Desk Monitoring Tool, PY 2016-2017

Program:

PennSERVE DESK MONITORING & RISK ASSESSMENT TOOL

PY 2016-2017

Program Name:

Date Completed:

RISK INDICATOR / 1 POINT FOR EACH YES
PROGRAMMATIC:
  1. Moderate to high level of staff turn-over (weighted 2 points)

  1. Overall programmatic progress (weighted 3 points)

  1. Late or Inaccurate reporting/submission of CNCS/PennSERVE reports and forms

  1. Changes in project design or scope

  1. History of complaints from members/others

  1. Has one or more satellite sites

  1. New sub-grantee (weighted 3 points)

  1. Low Enrollment/Retention Rate; High Member Turnover

  1. Data Quality

FISCAL:
  1. Recent change in fiscal agent

  1. Fiscal Issues/Challenges (weighted 3 points)

  1. Required Match (weighted 3 points)

  1. Multiple AmeriCorps grants

  1. Has one or more high costs

  1. Fiscal Risk Posed by Applicant (weighted 3 points)

PAST PERFORMANCE:
  1. Significant/numerous findings from previous site visits or desk monitorings

  1. Failure to address previous issues

Total (Possible 28 points)
Risk Assessment:
High (19 - 28 points)
Moderate (11 - 18points)
Low (0 – 10 points)

RISK INDICATORS

Programmatic:

Criterion #1:
Moderate to high level of staff turnover
Source Documentation:
Pre-award assessment; mid-year desk monitoring assessment
Instructions:
  • Review the pre-award assessment and the mid-year follow-up to determine if any key staff turnover has occurred. Key staff are any staff responsible for the programmatic or fiscal operation and/or management of the grant

Comments:
Criterion #2:
Overall programmatic progress
Source Documentation:
Past progress reports; mid-year assessment; OnCorps reporting; currently submitted grant applications; program evaluations
Instructions:
  • Using the above documentation, determine the overall progress of the project, including progress against the established performance measures by reviewing past performance and performance to date in OnCorps
  • Review evaluation efforts
  • Review 2014-2015 grant submission

Comments:
Criterion #3:
Late or Inaccurate reporting and/or submission of CNCS and/or PennSERVE reports and forms
Source Documentation:
All past CNCS and PennSERVE reporting and form requirements, including progress reports, OnCorps reports, MyAmeriCorps portal, and grant submissions
Instructions:
  • Review progress reports and funding applicationsfor timely submission
  • Review OnCorps reports for timely submission
  • Review MyAmeriCorps Portal for adherence to 30 day enrollment and exit guidelines

Comments:
Criterion #4:
Major changes in project design or scope
Source Documentation:
Progress Reports, 2014-2015 and 2015-2016 grant submissions
Instructions:
  • Review past progress reports and current funding application for a major increase or decrease in members, volunteers, or targets for performance measures
  • Review past and current funding application for major increase or decrease in partners and host sites or change in service activities

Comments:
Criterion #5:
History of Complaints from Members/Others
Source Documentation:
PennSERVE program files
Instructions:
  • Review files and to determine any history of complaints about the program

Comments:
Criterion #6:
Has two or more satellite sites
Source Documentation:
MyAmeriCorps Portal
Instructions:
  • Determine the number of service sites and if the grantee has members serving a majority of their time at a site other than where the program is located

Comments:
Criterion #7:
New sub-grantee
Source Documentation:
PennSERVE records
Instructions:
  • Determine if the grantee is in their first funding cycle

Comments:
Criterion #8:
Low Enrollment/Retention Rate; High Member Turnover
Source Documentation:
Progress reports, My AmeriCorps Portal
Instructions:
  • Determine if the grantee’s enrollment rate for the past grant year is below 100%
  • Determine if the grantee is on target to enroll 100% for the current year
  • Determine if the grantee’s retention rate for the past grant year is below 90%
  • Determine if the grantee’s retention rate for the current grant year is below 95%

Comments:
Criterion #9:
Data Quality and Collection
Source Documentation:
2014-2015 Program Application, OnCorps Reports, Program-provided Documents
Instructions:
  • Select an output from one of the program’s performance measures. Determine the collection tool the program stated would be used to collect data for the output
  • Request all data gathered for the output to date. This should include individual data reports as filed by members and/or individual host sites
  • Review the most recent Performance Measure progress report in OnCorps to assure that the number reported aligns with the backing documentation
  • If any data appears to be missing, or if there appear to be anomalies, program must provide rationale

Comments:

Fiscal:

Criterion 10:
Recent change in fiscal agent
Source Documentation:
Pre-award assessment; mid-year desk monitoring assessment
Instructions:
  • Review the pre-award assessment and mid-year follow-up to determine if the fiscal agent has changed

Comments:
Criterion #11:
Fiscal Issues/Challenges
Source Documentation:
Review of past invoices and FSRs; review of pre-award assessment; review of current grant submissions
Instructions:
  • Determine if the grantee on track to reach full expenditure for the current program year(divide program’s total budget by 12, then multiply by number of months that have passed since program start date)
  • Determine if more than 5% of the total grant award or more than $20,000 was left remaining at the conclusion of the previous program year
  • Determine if all invoices and financial status reports were correct andhave been submitted in a timely manner

Comments:
Criterion #12:
Required Match
Source Documentation:
Review of past invoices; past review of submitted match documentation
Instructions:
  • Review invoices from previous year and current year to date to determine if invoices submitted met match requirements, and if the program’s overall stated match has been met
  • Consider past review of match documentation and determine if all submitted matching and in-kind costs were allowable

Comments:
Criterion #13:
Multiple AmeriCorps grants
Source Documentation:
Mid-year desk monitoring assessment
Instructions:
  • Review documentation to determine if the grantee has more than one award from AmeriCorps, including National, VISTA, RSVP, etc… If so, how does the program ensure these grants work together but are managed separately?

Comments:
Criterion #14:
Has one or more high costs
Source Documentation:
Current budget and proposed 2015-2016 budget
Instructions:
  • Determine if any budget areas exceed what the fiscal officer determines to be normal expenditures
  • Determine if any costs have increased substantially from one grant year to the next

Comments:
Criterion #15:
Fiscal Risk Posed by Applicant
Source Documentation:
Federal Awardee Performance and Integrity Information System (FAPIIS)
Federal Audit Clearinghouse
Instructions:
  • FAPIIS: Enter the program’s DUNS number to determine if the program has any proceedings or exclusions
  • Federal Audit Clearinghouse: enter the program’s EIN number. Open the summary report. Determine if there have been any audit findings
  • Record the date that the program completed its Federal Audit

Comments:

Past Performance:

Criterion #16:
Significant/numerous findings from previous site visits or desk monitorings
Source Documentation:
PennSERVE monitoring records and reports
Instructions:
  • Determine if any past programmatic visits have resulted in findings
  • Determine if any past fiscal visits have resulted in findings

Comments:
Criterion #17:
Failure to address previous issues
Source Documentation:
PennSERVE monitoring records and reports
Instructions:
  • Determine if any past programmatic findings have been corrected
  • Determine if any past fiscal findings have been corrected

Comments:

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Last Updated 12/30/2014

Desk Monitoring: Member Documentation Review

PY 2014-2015

Program:

Member Name:
1) All required member documentation submitted:
2) Service Agreement contains all required elements:
3) Position Description contains all required elements:
4) Member has all required background checks for the level of access described in the position description:
5) Position Description aligns with the program's focus/performance measures:
6) Timesheets align with the position description/focus of the program:
7) Member is on track to complete service:
8) Timesheets are entered and approved in a timely manner:
9) Timesheets do not count hours for meals/break periods:

Items Requiring Clarification:

  1. (type here)

In a separate document, please provide a response to the required items and submit to PennSERVE at .

  • Date Written Response is Due:Friday, March xx, 2015
  • Date Submitted:______
  • Date Resolved:______

Cited Compliance Issues:

  1. (type here)

In a separate document, please provide a formal plan for correcting the above items and submit the plan(s) to PennSERVE at . In addition, you are required to provide updates on the Corrective Action plan(s) as part of your Successes/Challenges OnCorps report submission, due May 29, 2015 and again in your end of year report for 2015 (due date TBD).

  • If Yes, Date Initial Corrective Action Plan is Due:Friday, March xx, 2015
  • Date Submitted:______

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Last Updated 12/30/2014