Introduction



[State agency name here]Grant Program Monitoring Monitoring Guideline and Forms TOC \o "1-1" \h \z \u Introduction PAGEREF _Toc298912907 \h 2Scheduling A Monitoring Visit PAGEREF _Toc298912908 \h 3Internal Review prior to monitoring Visit PAGEREF _Toc298912909 \h 4Grant Monitoring tool PAGEREF _Toc298912910 \h 5Sample Emails RE: Monitoring Visits and Reports PAGEREF _Toc298912911 \h 7Sample Monitoring Report PAGEREF _Toc298912912 \h 8IntroductionThe monitoring guideline was prepared to help provide consistent processes and information for grant staff with monitoring process and tools. The information and tools should be used as a foundation for all monitoring of funded programs of the [List State Agency Name Here]Each funded grant project has been assigned to a Grant Program Staff, who will serve as the program’s primary contact. The primary contact is the individual responsible for scheduling and conducting the Monitoring Visit as well as for providing technical assistance to the program. The [List State Agency Name Here] Financial Analyst(s) may participate in the monitoring visit or conduct a fiscal monitoring visit separately. The primary contact is responsible for scheduling, main inquiries and writing of the monitoring report.The grant program staff will schedule annual monitoring visits for each program for projects receiving $250,000K and above. Projects receiving > $50,000 – $249,999K will be subject to one monitoring visit during the grant period, which will be conducted through either a desk review or a site-monitoring visit.The term ‘monitoring’ is used to describe both the broad overall system of reviewing and tracking the use of public funds, and the more specific day-to-day review processes to assure that a particular sub-recipient is in compliance with federal or state rules and regulations, and is meeting the goals and objectives of the grant. The [List State Agency Name and Division]is responsible for monitoring awards and providing reasonable assurance that grantees are:Doing what was proposed and approvedMeeting programmatic, administrative, fiscal requirementsRemaining consistent with the plan for programs/projectsIdentifying and resolving problems/issuesReceiving needed technical assistanceDemonstrating compliance with funding regulations The purpose of grant monitoring is to:Provide accountability and oversightEnsure proper spendingVisit programs that may need assistanceMeasure grant performanceIdentify opportunities for improvementServe the needs of granteesBuild rapport and support effective grant performanceGrant Monitoring shall be accomplished through the following methods:Technical AssistanceDesk ReviewOn-site and Assessment VisitsRegular CommunicationsScheduling a Monitoring VisitThe primary contact will schedule a routine monitoring visit at least four to six weeks in advance by contacting the Grantee Authorized Representative/Grant Project Director to:Schedule the date and time of the monitoring visit (include arrival/start time and approximate length)Designate grantee staff to be interviewed (at minimum, the Project Director, Fiscal Officer, and grant-funded staff);[List State Agency Name and Division Here] team member will create an agenda for the monitoring visit. The agenda will include approximate times to meet with different staff, materials that will be reviewed with these staff members, and topics of discussion. [List State Agency Name and Division Here] team member will provide this agenda to the Grantee Authorized Representative/Grant Project Director via e-mail prior to the monitoring visit, allowing time for the Grantee Authorized Representative/Grant Project Director to review the agenda and make adjustments if needed.Outline the need for grantee to submit program and fiscal files and rm the Grantee Authorized Representative/Grant Project Director that additional items may be requested at the time of the monitoring visit.Assess the need to plan technical assistance during the monitoring visit.Internal Review prior to Monitoring VisitPrior to the monitoring visit, the [List State Agency Name and Division Here] Grant Program team member will review materials submitted by the grantee to the [List State Agency Name and Division Here] office. Following is a list of items to be included in the review process, as well as questions to assist the [List State Agency Name and Division Here] Grant Program Team Members in their analysis of the materials.Program’s file: grant contract application, agreement, work plan, and most recently approved budget; performance reports; correspondence & previous monitoring report(s).Are there any clarifications that need to be made? If so, what? Are more details needed? If so, what?Any “red flags”?Any difficulties the project is encountering?Weaknesses of the project? Strengths of the project?Compliance with certified assurances issues?Are timelines being met?Are the DUNS # and CCR Registration current (if applicable)?Program’s fiscal information: overall budget, reimbursement claims, any budget revision requests, any key purchases with grant funds or matching funds, and audit review summary. Are there any clarifications that need to be made? If so, what? Are more details needed? If so, what?Any “red flags”?Are timelines being met?Ask the [List State Agency Name and Division Here] Financial Analyst about any concerns.Review all reporting submitted (including program and financial information)Review Pre-Site Monitoring Tool completed by program prior to monitoring visit.After reviewing the above items and considerations, the [List State Agency Name and Division Here] primary contact will create a list of questions and concerns for the monitoring visit.It may be helpful for the [List State Agency Name and Division Here] primary contact to organize items in the order of individuals to be interviewed at the monitoring visit. (For example, fiscal questions for the Fiscal Officer, volunteer-related questions for the Volunteer Coordinator, statistical questions for the statistical person on staff, etc.) Grant Monitoring ToolGRANT MONITORING GUIDELINESDate Report Completed:Grants Manager:GrantName: GrantNumber: Topic AreaYesNoN/ARecommendations/CommentsProgram Operation1. Are project goals attainable in this grant period?2. Is the project progressing on schedule?3. Is the project functioning as described in application?4. Has there been a change in Primary Contacts?5. Do Progress Reports describe project activities?6. Is data provided to support project outcomes?7. Is data provided to support project outputs?8. Are there Segregation of Duties between fiscal & program? 9. Is there evidence of a change in project scope?Budget1. Will Project Meet Budget Time Frame? If not, why?2. Have Budget Adjustments Been Needed?3. Do expenses have supporting documentation?4. Are Match Requirements being met?-- Can grantee provide clear documentation of match?-- What are the sources of the match?5. Is there a budget variance greater than 10% per category?6. Are grant funds routinely requested to meet obligations?7. Bank reconciliations are performed monthly?8. If applicable, is the value of in-kind contribution supported by documentation.Personnel 1. Are there Job Descriptions for ALL Grant-funded Positions?2. Are Time Sheets Maintained For ALL Grant Employees?3. Are all positions paid by the grant working on approved grant activities?Travel1. Is Travel Documented by date, distance, locations, purpose & rates?2. Is mileage reimbursement paid at the State rate or less?Supplies/Operating Expenses1. Have these been purchased according to budget?Equipment1. Has approved equipment been purchased?2. Was competitive bidding used to obtain equipment, if applicable?3. Is equipment being used appropriately?4. Does grantee have current property control record on file?5. Does agency have physical inventory control procedures?Reports1. Are ALL required reports on file with [List State Agency Name and Division Here]-- Financial Report-- Progress Report -- Special Report-- Annual Progress ReportH. Collaborative partners1. Are collaborative partners involved with grant involved with service/outcome delivery? Professional and Contractual Services 1. Can grantee provide documentation for all sub-contracts issued with grant funds? 2. Was competitive bidding used to obtain contract(s)?3. Does grantee have written conflict of interest policies and procedures?4. Does Contract outline work to be performed and does it comply with program objectives?5. If Sole Source used, is approval on file?6. Is “Contractor” making regular & accurate billing?Federal Regulations (if applicable)Additional Specific Items1. [list additional funding specific requirements here]L. Best practice/innovative results 1. Highlight strong performance M. SUMMARY INFORMATIONGrants Manager's Assessment of Project, including Strengths, Problem Areas and Recommendations: Sample Emails RE: Monitoring Visits and ReportsScheduling a Monitoring Visit Dear Grantee,I am sending this message to schedule a grant monitoring visit.The purpose of the grant monitoring visit is to monitor grant programmatic and fiscal activities. We will conduct interviews with agency personnel responsible for the grant management of [List grant program name/information here]. The interviewees should be a team that may include the agency head, the program director, the program contact, the fiscal manager and grant funded personnel. The following will be addressed during grant monitoring:Progression toward grant goals and objectives Highlighting grant-funded program accomplishmentsStatus of collaborations with identified partnersVerifying compliance requirementsDiscussing financial, program, and progress reporting data Conducting a fiscal review and reviewing financial processes and proceduresConcerns or performance barriersYour agency’s comments and questionsPlease reference the attached Grant Monitoring Tool.Following the grant monitoring visit, [List Agency Team members here] will review the information presented during the review process. The grant monitoring visit will be documented and placed in your agency’s file. If necessary, a corrective action plan will be implemented.Please confirm by reply to this message or by telephone your availability for the proposed monitoring dates. We appreciate and look forward to our ongoing work together.Sincerely,[State Agency Team Member(s)Contact Information]Sample Monitoring Report Grant Monitoring VisitGrant NameDate of VisitMeeting PlaceAttendees:This report is a follow-up to the monitoring visit conducted with your organization. We appreciate the attention that you and your organization gave to the monitoring process and your responsiveness to requests for clarification or further documentation. Thank you for providing responses to the grant-monitoring checklist as well as the information you provided re:The progression towards the goals and objectives of your programThe accomplishments of your programPast and future projectsTraining sessions your program staff have attended or implementedCollaborations with other agenciesCompliance with financial, progress, and Annual Progress ReportsFiscal Review, financial processes and proceduresList, if applicable, areas of concerns hereThis presents a thorough overview of your program and fiscal operations.Currently, List State Agency Name and Division Here has: [Choose which is applicable - #1: no response required or #2: follow-up required] [#1] No items that require a response. The responses and supporting documentation provided details for confirming financial and program oversight and compliance with the grant agreement requirements. All of the information you provided was responsive and well-organized. **Move to last two sentences of report.[#2] The following items that require a response:Choose if applicable when follow-up is required. Below are sample examples – fill in specifics that are applicable for your state agency.[List State Agency Name and Division Here] reviewed the internal controls for administering the grant funds and found that policies and procedures should be strengthened to meet the fiscal oversight requirements of the grant award. As discussed, the following action items require corrective steps be taken by the date specified for each. These are suggested and sample examples only – fill in specifics that are applicable for your state agency.Example: Progress and financial reporting were not submitted to [List State Agency Name and Division Here] when due. Please submit the response(s) to the action items by [List State Agency Name and Division with appropriate time period] to [List contact information here]. We welcome your feedback, questions, and/or clarifications.If you should need further information or technical assistance, please contact [List contact information here]. Thank you and your staff for the cooperation extended to us during this monitoring review. We wish you continued success in your program and look forward to our future work together.Sincerely,[List Grant Program Team Member with contact info here]cc (via e-mail): [List additional team members here] ................
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