Monitoring Process Overview
Grants Monitoring provides fiscal and administrative oversight of all Cal OES grants through review of an organization's processes to ensure compliance with the rules, laws, and guidelines governing federal grant awards. 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 review or visit. Scroll to the bottom for documents detailing each process.
Desk Compliance Assessment
This type of review focuses on a payment or payment period, and involves a review of all related transactions and processes to verify that grant funds were expended in compliance with federal regulations and the terms and conditions of Cal OES Grant Subawards. The review is conducted via phone, mail, and e-mail, although any equipment examination that cannot be accomplished with photographic and other pertinent documentation may require an abbreviated site visit. If a desk-based financial monitoring identifies inaccurate expenditure reporting or misunderstanding of, or non-compliance with, federal or state grant management requirements, the monitor follows up with the Subrecipients to provide assistance in correcting any inefficiencies, errors, or policies/procedures. A Corrective Action Plan (CAP) may be required. See below for more information on the CAP process.
On-Site Compliance Assessment (or Site Visit)
This is the most comprehensive monitoring activity, focusing on one or more payments or grants, in which Cal OES assesses the capability, performance, and compliance of subrecipients against applicable administrative regulations and grant requirements. On-site assessments are conducted by one or more Cal OES Grants Monitoring staff, in conjunction with Cal OES Grant Program staff, when possible, and are not meant to be considered an audit. The goal of the Cal OES's on-site assessment is to ensure that Subrecipients are aware of, and in compliance with, grant requirements. Like desk compliance assessments, Cal OES works with Subrecipients to correct any inefficiencies, error, or policies/procedures not in compliance with federal or state regulations. A Corrective Action Plan (CAP) may be required. See below for more information on the CAP process.
Schedule (Questionnaire) Review
Periodically, a self-certification Schedule (Questionnaire) may be mailed out for the Subrecipients to complete and return to Cal OES. They are typically 2-3 pages in length and are due back within 30 days. Each Schedule is specific to one particular grant, although some questions may pertain to an overall policy or process. If a response indicates a potential deficiency or area of non-compliance, monitoring staff will follow-up with the Subrecipients to provide or request additional information, or to assist with any necessary corrections/changes. A Corrective Action Plan (CAP) may be required.
Program Review
Grants Monitoring does not monitor Subrecipients programmatic activities, or meeting goals and objectives of the overall grant. This oversight and technical assistance is provided by Cal OES's program administrators. Please visit the appropriate Grants Management area of the Cal OES website for further information.
