2010 Orientation for State WAP Directors and Staff

1. 2010 Orientation for State WAP Directors and Staff Federal/State Monitoring Eric Bell

2. Monitoring • Regulatory cite for Monitoring/Oversight • Section 440.23 Oversight, Training, and Technical Assistance • Secretary and the appropriate Project Management Center (PMC) Director, in coordination with Secretary of Health and Human Services, shall monitor and evaluate the operation of projects carried out by CAAs receiving financial assistance by: • On-Site Inspections • Or Through other means • To ensure the effective provision of weatherization assistance for dwellings of low-income persons • The Secretary of DOE and the appropriate PMC Directors, the Comptroller General of the United States and, for projects carried out by a CAA, the Secretary of Health and Human Services shall have access to any books, documents, papers, information and records • Each grantee shall ensure that audits by or on behalf of subgrantees are conducted

3. Monitoring Policy • DOE believes in a team approach to monitoring – we are all in this together • Sincerely appreciates the generally good job that everyone performs in administering the Weatherization Assistance Program

4. Monitoring Policy • PMC (DOE) to Grantees • Project Management Center staff will monitor the Grantees and their oversight of the subgrantees • Grantees will be monitored against their current, approved Plans, and processes • PMC staff will accompany Grantee staff to observe monitoring of subgrantees

5. Monitoring Policy • Notification • PMC will contact their Grantees to determine the best time for a site visit • Written notice of the visit will be provided to the Grantee in advance of visit • Site Visits • Should include a review of programmatic elements • May include financial elements, as well • At times a programmatic report may be issued prior to the financial report (Grantee will be notified of two separate reports)

6. Monitoring Policy • Site Monitoring Report • Should be issued to the Grantee after completion of the site visit • Desk Monitoring • PMC offices conduct assessments of Grantees from their desks • Can use conversations with Grantees, WinSAGA, correspondence, fiscal and programmatic reports, etc.

7. Grantee to Local Monitoring • State is responsible for executing the activities contained in the State Plan • This includes ensuring grant funds are expended in accordance with applicable law including: • Regulations contained in 10 CFR 440 • Applicable Office of Management and Budget Circulars • DOE Financial Assistance Rule (10 CFR Part 600) • Other procedures as DOE may prescribe • State requirements

8. Grantee to Local Monitoring • Role • The Grantee must conduct comprehensive monitoring of each subgrantee at least once a year. The Grantee’s Plan must include a monitoring plan to provide adequate oversight of use of DOE funds by subgrantees. The comprehensive monitoring must include review of client files and subgrantees’ records, as well as inspection of at least 5 percent of each subgrantee’s DOE-funded completed units. Grantees are encouraged to review units in the process of being weatherized when monitoring, as well. DOE strongly encourages a higher percentage of units be inspected. If inspection reveals quality control or other problems, Grantee shall increase the number of units monitored and frequency of inspection until all issues are resolved. Detailed review of subgrantee records and inspections must be maintained by the Grantee and be available at the request of DOE monitors.

9. Grantee to Local Monitoring • Tracking • Track major findings from subgrantee assessment visits and financial audits until resolved • DOE recommends that the tracking record developed by the State include, but not be limited to: • Success stories • Findings • Recommended corrective actions • Deliverables • Due dates • Responsible parties • Actions taken • Final resolution

10. Grantee to Local Monitoring • Analysis • Annually, State will summarize and review each subgrantee’s audit, program assessment report and findings for internal assessment of State and subgrantee needs, strengths and weaknesses • Results of this annual assessment should be considered during annual planning and should be available in the state office for regional office review during state program assessment visits • Results can be used to help identify training and technical assistance needs