State Monitoring

2010 NASCSP WAP Orientation Training

Bob ScottDirector of WAP Services

NASCSP

Grant Guidance Requirements

State must conduct comprehensive monitoring of each subgrantee at least once a year.

A minimum of 5% of completed units must be inspected by the Grantee Higher % strongly encouraged Additional inspections if significant problems are

found Grantees encouraged to also inspect jobs “in

progress” Safe work practices, LSW, and other relevant factors Can be very revealing

Grant Guidance Requirements

Subgrantee should be briefed on the observations and findings generated by the visit.

Within 30 days, State will prepare a written report on its findings and send it to the subgrantee for corrective action

Noncompliance findings unresolved within 45 days should be reported to the PMC.

Sensitive or significant noncompliance findings should be reported to the PMC immediately.

Grant Guidance Requirements

Major findings should be tracked by the State to final resolution.

DOE recommends tracking to include: findings, including success stories, recommended corrective actions, deliverables, due dates, responsible parties, actions taken, and final resolution.

State will summarize and review each subgrantee's audit, program assessment reports and findings. Results should be considered during annual planning and available for review during DOE visits.

Monitoring Approach

Part of State Plan On-File Section Overview of procedures and

guidelines for Grantee monitoring of local agencies

Monitoring Procedures Overview

Goals of Monitoring Guiding Principles Desktop Reviews Subgrantee Monitoring Visits Monitoring Procedures Local Agency Monitoring

Responsibilities Agency Discipline/At-Risk Policy

Goals of Monitoring

Analyze whether best possible program services are being delivered to low-income population

Determine program compliance and accountability

Analyze program performance Analyze quality of work

Goals of Monitoring

Identify problems, deficiencies, and areas that need improvement and advise on how to correct

Assist agencies in their program operations and compliance with DOE and State regulations

Assess T&TA needs Be a major tool for program

improvement

Guiding Principles

Intended to be constructive process, conducted with consistency, fairness, respect, and timeliness

Foster positive, open, and constructive working relationships

Two-way process to promote interaction, feedback, and improvements to Grantee and Subgrantee

Guiding Principles Understanding that Grantee and

Subgrantee share the same goals of program effectiveness and improvement

Promote improvement by providing technical assistance, reinforcing strengths, and sharing successes, innovations, and practices seen at other agencies

Reports will be based on established policies, procedures and standards

Types of Monitoring

Desktop Monitoring

Subgrantee Visits

Desktop Monitoring

Not an agency visit Based on reported information to the State by

subgrantees Can save time of actual subgrantee visits by

preparing and organizing information in advance

Performance analysis Review of expenditures Certain compliance issues Identify specific focus areas for agency visit,

including problematic jobs

Subgrantee Visits

Fiscal Monitoring Program Specific Administrative and

Management Review Field Procedures Monitoring and Job

Inspections

Fiscal Monitoring

Often part of overall agency fiscal monitoring conducted by specialized Grantee fiscal monitor

ARRA may necessitate more focused WAP Fiscal monitoring

Usually a distinction between fiscal/procurement monitoring and specific WAP issues like job costing and reporting

Administrative and Management Review

Review production, expenditures, and related compliance issues with agency

Review Client Files Review material, tool, equipment, and

vehicle property and inventory records Review client flow charts and scheduling Review safety policies and practices Review insurance policies Inspect warehouse

Field Procedures Monitoring and Job

inspections

Analysis of quality of field practices, including Diagnostics Overall effectiveness Compliance with audit protocols Compliance with State Field Standards Workmanship Appearance Thoroughness Health and Safety issues

Field Inspections

Will probably have several more field inspection visits that fiscal and administrative visits ARRA production levels will necessitate Frequent visits recommended

Should be a random selection of jobs within reason

Monitoring Procedures

Agency visits are typically scheduled in advance by notification from Grantee Representative

Upon arrival, Monitor(s) should conduct entrance interview

Local WAP Coordinator should be available at all times during visit

Exit conference at conclusion of visit

Monitoring Procedures

Report should be sent to subgrantee within 30 days (preferably sooner)

Agency has to submit corrective actions, if necessary, within specified time frame

Grantee reviews agency response Grantee writes agency to note

acceptance of response or any unresolved issues

Best Practices and Tips What We’ve Learned

Be constructive – conduct yourself professionally, be fair, treat agency personnel with respect, be on time

Never monitor with “I gotcha” intentions

Always act as a partner and team player – after all, you and the agency should share the same goal of program improvement

Best Practices and Tips What We’ve Learned

Help find solutions to problems Understand the agency and local

program environment and set realistic expectations

Offer constructive criticism based on your knowledge, experience, and the fact that you have observed other agencies that have dealt with similar circumstances

Best Practices and Tips What We’ve Learned

Remember – monitoring reports are often the only assessment by State an agency receives

Should be a thorough assessment that also recognizes good practices, not just deficiencies

Don’t be afraid to pat someone on the back, they are in the Weatherization Program and probably need and deserve it

Best Practices and Tips What We’ve Learned

State needs to have clear, printed up-to-date administrative and field standards to base monitoring

States need to tell subgrantee in advance when you are coming, what you will be doing, and what documentation will be needed

Best Practices and Tips What We’ve Learned

Monitor(s) should draft reports (or at least an outline of findings) and conduct exit interview so agency is not taken off guard by report

Talk to clients – assess their satisfaction, ask if they can tell difference in comfort and/or fuel bills, but be careful about discussing findings with them

Best Practices and Tips What We’ve Learned

Define major and minor findings – Focus on major findings

Major finding – significant concern, such as misuse of funds, eligibility issue, major health and safety issue, consistently failing to follow rules or standards

Minor finding – Smaller concern, such as minor file omissions, quick fixes, doesn’t significantly impact overall results

Best Practices and Tips What We’ve Learned

Make monitoring flow between visits – do follow-up of last visit Document progress from last visit Confirm whether cited deficiencies

were corrected Note areas of improvement

Best Practices and Tips What We’ve Learned

Do frequent monitoring – agency tends to be more responsive to findings and suggestions

Consider team monitoring – can cover a lot more ground and can capitalize on individual strengths

Focus on issues – not people Be tough on issues, but (where possible)

sensitive to people

Best Practices and Tips What We’ve Learned

Get your field monitors digital cameras – pictures can be a valuable way to document and illustrate field work Make digital pics part of the exit

conference and report DOE Reg. – Subgrantee must perform

final inspection. Grantee monitoring should analyze effectiveness of subgrantee inspection process.

Best Practices and Tips What We’ve Learned

Make monitoring part of the Training Program and use it as an opportunity to provide T&TA Include agency field staff in field monitoring Consider asking agency to select their best jobs

and their most problematic ones and visit with them

Have them set up blower door, do diagnostic tests, heating system tests, etc.o Analyze their expertise and practiceso See if equipment is calibrated and maintained

Best Practices and Tips What We’ve Learned

Strive to be consistent between monitoring staff Try to insure your monitoring forms/tools are as

objective as possible Have monitors do “practice” monitoring together.

Inspect same files individually and then compare notes. Go to same house, inspect individually and compare findings and discuss.

Consider developing library of “common findings” so there is similar wording and explanations between monitors in reports

Formulate criteria that calls for agency returns to job sites

Best Practices and Tips What We’ve Learned

The report is the written final word – make sure monitors have time to carefully write report

Remember that some of the readers of the monitoring report may not have the same expertise as the monitor.

Make sure monitoring reports are clear and objective, and major findings are listed first and most prominently.

Findings should include specific references to Weatherization Standards

Best Practices and Tips What We’ve Learned

Either report or cover letter must make clear corrective actions needed and possible consequences.

State Program Managers must insure their monitors are thorough and correct and then must support them.