1. Learning Objectives Conducting an On-Site Monitoring Review FPO calls the Grantee: “As you know, we’re a little more than nine months into your 24 month grant period-of-performance and it’s time to schedule an on-site review.” Conducting an On-Site Review

2. Learning Objectives On-Site Monitoring Review  Compliance  Technical Assistance

3. On-Site Reviews - Purpose  On-site reviews are one tool used for project oversight  FPO examines, observes and analyzes the grantee’s readiness and capacity to operate the grant  Assess the grant’s risk level, identify areas of concern, and determine best / positive practices for replication

4. Five Core Activities  Design and governance  Program and grant management systems  Financial management systems  Service delivery  Performance accountability

5. Core Monitoring Guide

7. Statement of Work  Timeline  Program implementation  Products & deliverables  Performance Outcomes  Allowable costs

8. On-Site Review Procedures Pre-review preparation. Step 1. Conduct the review on-site. Step 2. Post-review procedures. Step 3.

9. Pre-Review Preparation

10.  Provide grantee with prior notice  Develop an agenda  Organize and plan trip logistics  Schedule interviews and site visits

11. FPO contacts the Grantee to schedule an on-site visit: “How would the week of October 6th work for you? That’s about a month and a half from now. Great, I’ll put it on my calendar. A member of our Financial Services staff will also join me on the review. I’ll also attach the Core Monitoring Guide that we will use to conduct the review once on-site. We’ll get it out to you shortly.” Pre-Review Preparation Conducting an On-Site Review

12. Pre-Review Preparation  Review all grant documents  Check the quantity and quality of products, services, deliverables, and outcomes  Review the organization’s policies and procedures (e.g., personnel, administration, financial, equal opportunity notice, ADA, etc.)  Obtain a listing of the drawdowns; compare planned vs. actual grant expenditures

13. Pre-Review Preparation  Confirm agenda items, logistics and the on-site review process; to include sub-recipients and other service provider partnerships

14. Pre-Review Preparation  Identify any special resources needed for the visit – financial management specialist, combined review with Trade or Apprenticeship, subject matter experts, etc.

15. Pre-Review Preparation  Provide copies of formal notification, agenda, itinerary, and review materials to grantee in advance of visit.

16. During the On-Site Review  FPO arrival and agenda review  Monitor the work in progress  Check financial documentation  Document observations  Conduct exit conference  Debrief grantee

17. During the On-Site Review  FPO and review team arrival  Introductions and conduct an entrance conference

18. During the On-Site Review Following grantee introductions: “Thanks for the introductions, and thank-you all for setting aside time this week to work with us. We’re looking forward to learning more about your organization and grant. Before we get into too much detail, I thought it might be a good idea to do a quick review…” Conducting an On-Site Review

19. During the On-Site Review  Monitor the grant work in progress: Check for conformance with grant requirements Review participant files Request source documentation to review Provide technical assistance

20. During the On-Site Review “Thanks for the tour of your agency and the training site(s). It’s very helpful to get a picture of how services are actually delivered. We’re ready now to move on to staff interviews and the participant file reviews.” Conducting an On-Site Review

21. During the On-Site Review  Check financial documentation

22. During the On-Site Review  FPO will document all information

23. During the On-Site Review  Interview program staff, management officials and participants  Examine program operating and information management systems

24. During the On-Site Review  Conduct an exit conference  Discuss initial results of the review

25. Post-Review Procedures Conducting an On-Site Review FPO and Review team meet with the Grantee before leaving: “Okay, I think we’ve covered all of the findings, areas of concern, and positive practices. I understand that you have located additional eligibility documentation for the two participants that, based on what was in the file, did not meet the eligibility criteria. We will look forward to receiving that shortly, and will let you know if the documentation resolves the finding. As I mentioned before, you will also receive a written monitoring report within thirty days of the exit meeting.

26. Issue Official Monitoring Report  FPO drafts an official Monitoring Report under the signature of ETA’s Regional Administrator within 30 days of the exit interview. Compliance Findings Areas of Concern Noted Positive Practices

27. Follow-up  FPO will work with the grantee to resolve all outstanding Monitoring Report Compliance Findings.  Continued technical assistance will be offered throughout the life of the grant’s period of performance.

28. Contact Information Stan L. Blazek Federal Project Officer U.S. Department of Labor Employment and Training Administration 230 S. Dearborn St., 6 th Floor Chicago, IL 60604 (312) 596-5423 blazek.stan@dol.gov