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Plans of Correction Via Attestation for Assisted Living Facilities

PDF Version of DQA 09-052  (PDF, 38 KB)

Date: December 11, 2009
To: Adult Day Care ADC 14
Adult Family Homes AFH 17
Community Based Residential Facilites CBRF 26
Residential Care Apartment Complexes RCAC 18
From: Kevin Coughlin, Director
Bureau of Assisted Living

Otis Woods, Administrator
Division of Quality Assurance

Plans of Correction Via Attestation for Assisted Living Facilities

The purpose of this memo is to announce that in specified situations, the Bureau of Assisted Living will accept an attestation of compliance as a facility's plan of correction. 

It has been determined by the Department's Office of Legal Counsel that the Department has discretion regarding the requirements for submitting a plan of correction, and that the Department may accept an attestation of compliance (a statement or verification that the violation(s) have been or will be corrected) in lieu of submission of the traditional plan of correction format.

Effective January 1, 2010, the Bureau of Assisted Living will no longer require the traditional plan of correction for violations that did not result in enforcement. (For this purpose, "enforcement" includes forfeitures, department orders, special orders, no new admission orders, impending revocation, or licensure/certification revocation.) Instead, providers will be ordered to submit their plan of correction via attestation using the following process:

  1. The provider's representative will complete the following statement which will be stamped on page 1 of the Statement of Deficiencies (SOD):

     "On behalf of ____________________ (name of facility) the undersigned attests that all deficiencies have been or will be corrected effective _____________ (date)."

  2. The provider must then sign and return only page 1 of the SOD to the Department. No additional information will be required.

In lieu of submitting a traditional POC, it is the Department's expectation that providers will continue to evaluate systems to ensure continued compliance. It is anticipated that this procedural change will result in a more efficient and streamlined process for providers and for the Department.

If you have any questions regarding this memo, please contact the Assisted Living Regional Director for your region.