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City of Glendale - Presentation on Monitoring November 21, 2024 Michelle Thomsen Emergency Services Program Manager Community Action Programs and Services (CSBG, LIHEAP, STCS, NHN) MThomsen@azdes.gov Arizona Department of Economic Security Child and Community Services Division Introduction ➔Background ➔Goal of Monitoring ➔Monitoring Practices ➔Grant Recipient Selection ➔3 Phases of the Compliance Monitoring Process ◆Pre-Monitoring ◆Monitoring Engagement ◆Post-Monitoring ➔Findings and Recommendations ➔SFY25 Monitoring Schedule and Previous Monitoring Outcomes Agenda ➔CSBG Act of 1998 and LIHEAP Statutes CSBG-eligible entities and LIHEAP recipients are required to be monitored on-site at least once every three years ➔Hybrid monitoring process takes place over two weeks and includes an on-site visit ➔CCSD CAPS conducts compliance monitoring of a sample of subgrantee programs Background • Ensure that programs are operating in accordance with federal statutes • Provide an opportunity to assist in areas in need of improvement • Understanding how federal and state requirements are being implemented • Analyze subgrantee programmatic and fiscal policies and procedures • Monitoring subgrantee recipient practices, sample case files, and financial transactions • Gathering information on noteworthy practices and strategies • Providing training and technical assistance, when needed Goal of Monitoring • The overall health of an agency • The effectiveness of the board of directors (CSBG only) • The CSBG project funding (CSBG only, as applicable) • The accuracy of application intake and applicant funding assistance • Administrative and leadership capacity of agency management • The strength of the agency, the Network, and other contractors • Performance Management Framework to include Organizational Standards and ROMA (CSBG only). Monitoring Practices • Criteria-based process to select subgrantees each year for compliance monitoring • Assess and prioritize subgrantee data and information to determine who would benefit most from compliance monitoring • Several data sources used to select subgrantees such as risk assessments and annual independent single audit reports • Number and severity of audit findings and the results from previous compliance monitoring • Prioritizes agencies that have not participated in compliance monitoring in the previous 3 years Grant Recipient Selection ➔Agencies provide pre-selected documents for CCSD to review and prepare for monitoring ◆Request for information is sent 4-6 weeks prior to the monitoring engagement ➔Includes Contract Compliance Review (CCR) document requests and case file requests ◆A selected group of case files for CSBG, LIHEAP, STCS, and NHN, as applicable ➔On-site visits, interviews, and observations and scheduled ➔Completion of provided Contract Compliance Review (CCR) documents related to Administration, Fiscal, and Programs Compliance Monitoring Process - Pre-Monitoring ➔Begins with an entrance interview to include all state and agency staff who will participate in the monitoring process ➔On-site and remote compliance monitoring event ◆Utilization of a monitoring protocol and questionnaire ◆Questionnaire is used to interview agency staff and conduct observation of activities ◆Questionnaires are used to guide the discussion and cover most areas of program and fiscal operations ◆The general areas of the protocol include reviewing the following areas of compliance with the federal statutes, applicable state and federal regulations, and the agency’s policies and procedures Compliance Monitoring Process - Monitoring Engagement ❖Personnel Review with Human Resource Staff ➢Five random employee files are selected ❖Billing Review with Fiscal Staff ➢Review of invoice and fiscal documentation submitted for billing. At least one invoice is selected to obtain samples from all funding lines ❖Board Member Interviews ➢For CSBG only - Interviews are conducted with at least one low-income representative and one from either the private sector or an elected official/representative. ❖CSBG Program Interview with agency management staff ❖LIHEAP Program Interview with agency management staff ❖The monitoring engagement ends with an exit interview Compliance Monitoring Process - Monitoring Engagement ➔Compile all observations made during pre-monitoring and the monitoring engagement and identifies any findings, recommendations, and noteworthy practices ➔CCSD CAPS drafts an initial monitoring report ◆The initial monitoring report is issued to the agency within 30 calendar days of completing the monitoring engagement and will list Findings and Recommendations for the agency. ◆The agency has 30 calendar days from the issuance of the initial report to respond ◆CCSD CAPS will request the agency provide a plan to address deficiencies as well as a narrative for implementing recommendations Compliance Monitoring Process - Post-Monitoring Findings identify contract deficiencies that must be corrected. • A Corrective Improvement Plan (CIP) must be provided for each Finding • A CIP must detail logical steps the agency will take to correct the finding expeditiously. • The CIP will be reviewed and approved by CCSD CAPS staff and monitored to ensure the agency’s compliance. • Failure to submit or implement a CIP may result in further negative actions Recommendations identify areas in which CCSD strongly encourages an improvement • The agency must develop and submit a narrative response for each recommendation and identify a methodology for implementation. • If the agency chooses not to implement a recommendation, the narrative must provide a valid justification to be reviewed and approved by CCSD Findings and Recommendations SFY25 Monitoring Schedule Anticipated Month Agency Type September 2024 Gila County Community Services On-Site November 2024 City of Phoenix Human Services On-Site February 2025 City of Glendale On-Site April 2025 Wildfire, Inc On-Site June 2025 NACOG On-Site Monitoring scheduled for 01/27/2025 - 02/07/2025 Last monitoring was in March 2022 1 Finding amd 1 Recommendation regarding missing items in Personnel files Questions