Monitoring Process Overview
The Monitoring Division provides fiscal and administrative oversight of all Cal OES Grant Subawards through a review of an organization’s policies and procedures to ensure compliance with the rules, laws, and guidelines governing Grant Subawards. Cal OES accomplishes this oversight function through "monitoring." The information below is provided to give you an idea of what monitoring is and how to prepare for a desk or onsite compliance assessment.
Desk Compliance Assessment
The desk compliance assessment focuses on all or part of a reimbursement request and involves a review of all related transactions and processes to verify that Grant Subaward funds were expended in compliance with federal and state regulations and the terms and conditions of the Subaward. The review is conducted via phone, mail, and/or email, although any equipment inspections that cannot be accomplished with photographic or other means of inspecting remotely, may require an abbreviated onsite visit. If a desk assessment identifies inaccurate expenditure reporting or misunderstanding of, or noncompliance with, federal or state requirements, the Program Monitor follows up with the Subrecipient to provide assistance in correcting any inefficiencies, errors, or policies/procedures. A Corrective Action Plan (CAP) is required for each finding. See below for more information on the CAP process. See below for more information on the CAP process.
Onsite Compliance Assessment
The onsite compliance assessment is the most comprehensive monitoring activity, focusing on one or more reimbursement requests, or expenditures across multiple reimbursement requests, in which Cal OES assesses the capability, performance, and compliance of subrecipients against applicable administrative and fiscal grant regulations and requirements. Onsite assessments are conducted by one or more Program Monitors and may be performed in conjunction with Cal OES Program staff. These assessments are not considered to be an audit. The goal of Cal OES’s onsite assessment process is to ensure the Subrecipient is aware of, and in compliance with, Grant Subaward requirements. Like desk compliance assessments, Cal OES works with Subrecipients to correct any inefficiencies, errors, or noncompliance with federal or state regulations. A Corrective Action Plan (CAP) is required for each finding. See below for more information on the CAP process.
Schedule (Questionnaire) Review
Periodically, a self-certification Schedule Review, consisting of a two-three page questionnaire, may be mailed out for Subrecipients to complete and return to Cal OES with requested supporting documentation. These questionnaire focus on a particular topic or topics related to policies, procedures and/or payments. If a response indicates a potential deficiency or noncompliance, the monitoring staff will follow-up with the Subrecipient to provide or request additional information, or to assist with any necessary corrections or changes. A Corrective Action Plan (CAP) may be required during this process.
Program Review
The Monitoring Division does not monitor Subrecipients’ programmatic activities, or meeting goals or objectives of the Grant Subaward. This oversight and technical assistance are provided by Cal OES’s program administrators. Please visit the appropriate Grants Management area of the Cal OES website for further information.
