Understanding OneStar s Portfolio Risk Assessment and Monitoring Processes

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1 Understanding OneStar s Portfolio Risk Assessment and Monitoring Processes March 17,

2 Overview OneStar Foundation conducts a variety of fiscal and programmatic monitoring of organizations at all phases of the grant process: Pre-Award Award Post-Award Close-Out Our goal today is to familiarize you with the risk assessment and monitoring-related policies and procedures OneStar has in place to ensure our actions are consistent among our grantees as well as internally when we experience staff turnover. 2

3 Phases of Monitoring Pre-Award Award Post-Award Closeout SAM.gov Application Review (Community and Staff) Organizational Capacity Survey Start-Up Visit Start-Up Document Review SAM.gov Training and Technical Assistance (Prevention) Suspension and Termination (Terms and Conditions) Annual Portfolio Risk Assessment and Monitoring Schedule Monitoring Fiscal Periodic Expense Report (PER) Federal Financial Report (FFR) Audit Review Onsite Desk-Based Program AmeriCorps Progress Report (APR) Onsite Desk-Based Enforcement Notice of Noncompliance High Risk Status Suspension and Termination PER/FFR and Accounting Reconciliation Final Status Report (FSR) 3

4 Pre-Award SAM.gov Application Review (Community and Staff) Organizational Capacity Survey Start-Up Visit Start-Up Document Review 4

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7 Start-Up Start-Up Visits For any new program, OneStar staff will conduct an on-site visit before the program year starts in order to meet staff, ensure understanding of the AmeriCorps program and to be available in person to address any questions. Start-Up Document Review All programs are required to submit Start-Up documents prior to being able to receive their Grant Award. 7

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9 AWARD SAM.gov Re-checked prior to issuing a grant award. Training and Technical Assistance Award through Post-Award Our goal is always to prevent mismanagement of federal grant funds and resulting disallowed costs. New AmeriCorps Staff Orientation Monthly Calls and/or Webinars Annual Grantee Meeting Suspension and Termination Included as part of all Grantee s Terms and Conditions at the time of award acceptance. 9

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11 Post-Award Risk Assessment Monitoring Schedule Monitoring Fiscal Program Enforcement Notice of Noncompliance High Risk Status Suspension and Termination 11

12 Risk Assessment OneStar utilizes an annual Portfolio Risk Assessment to help determine the depth and types of monitoring and oversight for each of its AmeriCorps grantees. OneStar uses the information gathered on noncompliance issues, risk factors identified in monitoring (desk-based or on-site), inherent risk factors and any escalation to inform the monitoring activities. 12

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19 A typical on-site monitoring visit (2-3 days) Fiscal Pre-visit questions and documents may be requested of the sub-grantee Staff interviews to understand fiscal systems and other issues as applicable to the grantee Source documentation testing from recent PERs (review receipts, payroll records, accounting records, time and effort tracking) Specific issue investigation (as applicable) Monitoring 19

20 A typical on-site monitoring visit (2-3 days) Program Observe AmeriCorps members in action Review AmeriCorps member files and timesheets Member File and Timesheet Review Tools Discuss Performance Measure Data Quality Self- Assessment and review data collection systems (new) Interview AmeriCorps members, supervisors, site staff, program staff and leadership (separately) Member Interview Tool Site Supervisor/Staff Interview Tool Monitoring 20

21 Member File Review Tool 21

22 Enforcement Enforcement Notice of Noncompliance A letter provided to a grantee when they are noncompliant in meeting a requirement of the program. (late report, nonattendance) High Risk Status This policy pertains to the identification of high-risk grantees, the imposition of special conditions or restrictions and the notification to grantees of their high-risk status. Suspension and Termination Outlined in Section 13 of Grant Terms & Conditions 22

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24 Post-Award Reconciliation between all PERs paid to grantees and OneStar s accounting system. Final Status Report (FSR) 24

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27 27 Questions?