Arizona Department of Homeland Security SAA Site Monitoring 6 th Annual Homeland Security UASI Conference May 2012

1. Governor Janice K. Brewer Director Gilbert M. Orrantia Arizona Department of Homeland Security SAA Site Monitoring 6th Annual Homeland Security UASI Conference May 2012

2. Key Points • Why Site Monitoring? • Arizona’s Monitoring Policy & Program • Monitoring Tools • Accomplishments/Lessons Learned

3. Why Site Monitoring? • 44 CFR Part 13.40 • § 13.40 Monitoring and reporting program performance. • “Grantees must monitor grant and subgrantsupported activities to assure compliance with applicable Federal requirements and that performance goals are being achieved.” • 2009 HSGP Guidance • Grantees - Monitoring will be accomplished through a combination of office-based reviews and onsite monitoring visits. • Inquiry Request by U.S. DHS and OIG auditors

4. Policy Things to Consider • Leadership Input • Audit Recommendations • How many site visits could your agency conduct annually? • Staff availability and potential travel requirements • How many awards did your agency make? • What grant year(s) do you want to monitor?

5. Arizona’s Policy OLD POLICY: At a minimum, twenty-four (24) site visits will be completed annually. Stakeholders expending $100,000 or more per grant in a single grant cycle must undergo a site visit. Site visits to those stakeholders who do not expend $100,000 or more per grant in a single grant cycle will be at the discretion of AZDOHS based upon performance as reported in programmatic reports, compliance issues, risk of the stakeholder based on audit findings, or other factors as determined by AZDOHS. CURRENT POLICY: The monitoring program sets a goal of conducting site visits or desk reviews on 10% of awards issued to stakeholders in a single grant cycle. Additional site visits and desk reviews will be at the discretion of AZDOHS based upon performance as reported in programmatic reports, compliance issues, risk of the stakeholder based on audit findings, or other factors as determined by AZDOHS.

6. Processes/Procedures

7. Site Monitoring Team • Strategic Planner, Equipment Specialist, Finance Specialist • Reviews Grant Files @ Pre-site Meeting • Completes Monitoring Report Form • Meets @ Post-site Meeting to Finalize Report Content • Reviews Final Report for Grant File • Facilitated by a Monitoring Coordinator

8. Site Monitoring Tools • Monitoring Coordinator Desk Manual • Site Visit Calendar • Notification Letter Templates • Monitoring Report Form • Sample Grant File Folder • Grant file organization information • Equipment marking information • Property Control Form • Final & Follow-up Letter Templates • Monitoring Tracking Database

9. Monitoring Report Form Includes: • Cover page w/all pertinent information • Date/Jurisdiction/Staff/POC/Grant Numbers/QtrlyRpts • Pre-monitoring Checklist • A-133 Review/Agreements/Extensions/EHP/Notes for visit • Finance, Equipment and Program sections • Accounting practices/Procurement/Personnel • Recordkeeping/Match/Pass-thru • Property Control • Scope of work/Milestones/Sustainability • Reporting/Communication/Regionalization • Planning/Training/Exercise • Post-site monitoring Visit Summary • Strengths/Areas for Improvement/Noncompliance/Corrective Action/Follow-up/Recommended further Technical Assistance

10. Lessons Learned -Accomplishments Site Monitoring • 2010 • 55 Jurisdictions • 475 Grant Files Reviewed • 3 Grant Cycles • 2011 • 35 Jurisdictions • 160 Grant Files Reviewed • 1 – 2 Grant Cycles • 2012 Schedule • 13 trips • 34 -40 Jurisdictions Lessons Learned • Flexible Schedule • Frequent Review of Initial Procedures/Tools • Requires Extensive Follow-up • Common Noncompliance Items • Equipment not marked • Outstanding Quarterly Reports • Enhanced Stakeholder Relationships • Opportunity to Provide Technical Assistance • Incorporated File Close-out Procedure into Process

11. QUESTIONS? Cheryl Bowen Kennedy cbowen@azdohs.gov Arizona Department of Homeland Security