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

Why Site Monitoring? Arizonas Monitoring Policy & Program Monitoring Tools Accomplishments/Lessons Learned

44 CFR Part § Monitoring and reporting program performance. Grantees must monitor grant and subgrant supported activities to assure compliance with applicable Federal requirements and that performance goals are being achieved 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

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?

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.

Award Amount Performance Issues/A-133 Audit Findings Staff Recommendations Selection Criteria Selected Subgrantees Proposed Schedule Review with Leadership Supervisory Staff Timeline: Notification to Close-out Monitoring Templates/Tools Implementation Plan Corrective Action Plans Number of Days to Comply Noncompliance Actions Accomplishments Lessons Learned Annual Review/Report

Strategic Planner, Equipment Specialist, Finance Specialist Reviews Grant Pre-site Meeting Completes Monitoring Report Form Post-site Meeting to Finalize Report Content Reviews Final Report for Grant File Facilitated by a Monitoring Coordinator

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

Includes: Cover page w/all pertinent information Date/Jurisdiction/Staff/POC/Grant Numbers/Qtrly Rpts 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

Site Monitoring Jurisdictions 475 Grant Files Reviewed 3 Grant Cycles Jurisdictions 160 Grant Files Reviewed 1 – 2 Grant Cycles 2012 Schedule 13 trips 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

QUESTIONS? Cheryl Bowen Kennedy Arizona Department of Homeland Security