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Monitoring Strategies and Procedures

On-Site Reviews

Monitoring Checklist

Similar to desk-based reviews, on-site monitoring allows the Contracts & Grants Unit to assess the capability, performance, and compliance of sub-grantees against applicable administrative regulations and grant requirements. Field visits are led by monitoring professionals, in conjunction with program staff, when possible. Field visits are more extended reviews that focus on one or more payments or grants. The goal of the Contracts & Grants Unit’s on-site reviews is to ensure that sub-grantees possess adequate policies, processes, and systems to manage the Contracts & Grants awards effectively. Like desk reviews, the Contracts & Grants Unit works with sub-recipients to correct any inefficiencies, errors, or policies/procedures not in compliance with Federal or State regulations.

Compliance Reviews – What to Expect

Desk reviews are completed remotely via phone, mail, and email. For on-site reviews, the Contracts & Grants Unit will call to set a mutually agreed upon tim­e for us to come to your office to review material related to the reimbursement(s). In both instances, a letter from the Contracts & Grants Unit is sent identifying specific reimbursements for a particular month or quarter with a request to send or assemble supporting material for us to verify documentation supporting the reimbursement(s). The request can cover personal services, operating expenses, equipment, match, or a combination of cost categories on projects. The request can be for one or more grants. You may be asked for clarification or more information during our review. Once the document review process is complete, you will be provided with a Compliance Review Report detailing the results of our review. If our review uncovers areas of non-compliance, you may be asked to submit a Corrective Action Plan (CAP) with forms and instructions to assist you in preparing the CAP.

For more information on sub-recipient monitoring click here.