Pennserve DESK MONITORING & RISK ASSESSMENT TOOL

Desk Monitoring Tool, PY 2016-2017

Program:

PennSERVE DESK MONITORING & RISK ASSESSMENT TOOL

PY 2016-2017

Program Name:

Date Completed:

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

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)

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

1. Failure to address previous issues

RISK INDICATORS

Programmatic:

• 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

• 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

• 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

• 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

• Review files and to determine any history of complaints about the program

• 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

• Determine if the grantee is in their first funding cycle

• 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%

• 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

Fiscal:

• Review the pre-award assessment and mid-year follow-up to determine if the fiscal agent has changed

• 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

• 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

• 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?

• 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

• 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

Past Performance:

• Determine if any past programmatic visits have resulted in findings
• Determine if any past fiscal visits have resulted in findings

• Determine if any past programmatic findings have been corrected
• Determine if any past fiscal findings have been corrected

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Last Updated 12/30/2014

Desk Monitoring: Member Documentation Review

PY 2014-2015

Program:

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