Program Audit by 7akgJz52

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									                                               Department of Juvenile Justice and Delinquency Prevention
                                                           Support Our Students Program
                                                                 Monitoring Report

                          County
          Grantee Agency Name
                         Address
                      Telephone
 Agency Representative(s) Present
                                  st
          Year of Grant Funding 1 year                     2nd year       3rd year         Other (indicate # of yrs) ___
                      Monitor(s)
              Monitoring Period
                    Date of Visit
                  Date of Report
                                                                   ORGANIZATION STRUCTURE
         Compliance Indicators                 Y   N   NA          Findings Summary                                     Corrective Action/Recommendations
                                                               (include information source)
1. Grantee is sole administrator of DJJDP
contract.
2. Section 4A documentation of executed
contract     adequately      defines  roles/
relationships if Grantee is not sole
administrator of DJJDP contract.
3. Articles of Incorporation and IRS
501(c)(3) status letter available.
4. Grantee’s Non-Profit Board of Directors
monitors/reviews financial transactions and
program operations.
5. Current list of Grantee’s Non-Profit
Board of Directors available.
6. Grantee maintains organization chart
for SOS operations. Chart delineates
relationship       to       Grantee     and
subgrantees/subcontrators and employees
within SOS operation.
                                                                        FINANCE & ACCOUNTING
         Compliance Indicators                 Y   N   NA          Findings Summary                                     Corrective Action/Recommendations
                                                               (include information source)

                                                                                                                                            DJJDP/SOS Monitoring Report
                                                                                                                                                             Page 1 of 9
                                                                                                                                               Revised February 22, 2006
                                               Department of Juvenile Justice and Delinquency Prevention
                                                           Support Our Students Program
                                                                 Monitoring Report
1. Provider’s accounting records verify that
SOS      funds/expenditures     are      not
commingled with other revenue sources.
2. Provider maintains chart of accounts
and documented pro-ration schedule for
SOS expenditures.
3. Provider maintains budget file which
includes most current approved budget.
4. Provider prepares bank reconciliations
and utilizes documented reconciliation
process.
5. Provider maintains a list of authorized
check signers; checks contain dual
signatures.
6. Provider maintains documentation of
required insurance coverage including
worker’s        compensation,       general
comprehensive, vehicular insurance.
                                                                   PROPERTY & INVENTORY
         Compliance Indicators                 Y   N   NA        Findings Summary               Corrective Action/Recommendations
                                                             (include information source)
1. Provider maintains current equipment
list at each site including identification
number,      description,    location    of
equipment, serial number, acquisition date
and cost.
2. SOS equipment is tagged individually
with permanent identification number.
3. Provider used competitive bidding
process to purchase or lease vehicles/other
equipment valued at over $1,000. Provider
secured at least 3 bids.
4. Provider complies with fixed asset
disposition procedure as outlined in SOS
Requirements for Program Operations.
5. Provider maintains daily log at program
detailing use of vehicles and documents
                                                                                                                    DJJDP/SOS Monitoring Report
                                                                                                                                     Page 2 of 9
                                                                                                                       Revised February 22, 2006
                                             Department of Juvenile Justice and Delinquency Prevention
                                                         Support Our Students Program
                                                               Monitoring Report
approval process for vehicle usage.
6. Provider maintains documentation of
program space lease rental.
7. Provider received prior approval from
DJJDP for rehabilitation or renovation
exceeding the 4% cap.
                                                                 PAYROLL & PERSONNEL
         Compliance Indicators               Y   N   NA        Findings Summary               Corrective Action/Recommendations
                                                           (include information source)
1. Provider maintains a process of hiring
employees and recruiting volunteers.
2. Provider maintains timesheets or
attendance records on site for all
employees/volunteers.
3. Provider has written personnel policies
and written job descriptions.
4. Provider maintains personnel files for
each employee/volunteer which includes
     a. completed application for
         employment. Resume also
         included.
     b. information pertaining to the
         hiring date and rate of pay,
         including new hire letter.
     c. signed, written job descriptions
    d.   background screening
    e.   performance appraisals
    f.   copy of driver’s license
    g.  copies of at least two (2)
        professional references
    h. acknowledgement of receipt of
        policies/employee handbook
5. Volunteer records verify data reported
on Monthly 1037.
                                                              CONTRACTUAL AGREEMENTS

                                                                                                                  DJJDP/SOS Monitoring Report
                                                                                                                                   Page 3 of 9
                                                                                                                     Revised February 22, 2006
                                                 Department of Juvenile Justice and Delinquency Prevention
                                                             Support Our Students Program
                                                                   Monitoring Report
          Compliance Indicators                  Y   N   NA        Findings Summary               Corrective Action/Recommendations
                                                               (include information source)
1. Provider obtained prior written approval
from DJJDP for personal service contracts
greater than $1,000.
2. If provider utilizes an outside contractor,
provider must maintain all written
contracts for services. Subcontracts
contain:
a. Name, address, SSN of subcontractor
b. qualifications of subcontractor
c. service to be provided
d. hourly rate and duration of agreement
e. required approval signatures
                                                                         PROGRAMMATIC
          Compliance Indicators                  Y   N   NA        Findings Summary               Corrective Action/Recommendations
                                                               (include information source)
1. Provider maintains written program plan
designed to meet the needs of students in
attendance at each site.
2. Provider is serving minimum number of
students in accordance with approved grant
funding amount.
3. Services are being delivered as proposed
in Provider’s Program Plan/proposal.
4. Provider maintains daily or weekly
lesson/activity plans for services rendered.
5. Each program site provides at least 4
days of after-school programming of at
least 3 hours per day or five days of
programming of at least 2.5 hours per day.
6. File/record is established for each
enrollee,    containing     the     following
information:
     a. referral documentation

                                                                                                                      DJJDP/SOS Monitoring Report
                                                                                                                                       Page 4 of 9
                                                                                                                         Revised February 22, 2006
                                               Department of Juvenile Justice and Delinquency Prevention
                                                           Support Our Students Program
                                                                 Monitoring Report
    b.   enrollment form
    c.   emergency contact information
    d.   authorized individuals for student
         pick up
    e.   release authorizations including
         medical, media, and
         records/information
    f.   educational information
    g.    participant progress/regular
          updates
     h. documentation of family
          communication and participation
     i. acknowledgement of program
          guidelines, code of conduct, and
          student rights.
7. Each program site maintains daily
attendance records for youth enrolled.
8. Sample of attendance records at each
site verify data reported in Monthly 1037
Form
9. Provider maintains written policy to
protect the rights of students, including
student grievance procedures.
                                                                      HEALTH & SAFETY
         Compliance Indicators                 Y   N   NA        Findings Summary               Corrective Action/Recommendations
                                                             (include information source)
1. Provider’s fire/health/safety inspections
are current.
2. Provider maintains current emergency
preparedness plan.
3. Emergency procedures are posted and
visible. Provider maintains documentation
of practice drill activities.
4. At least one staff member on site is
certified in CPR/First Aid.
5. Provider maintains daily log authorizing
                                                                                                                    DJJDP/SOS Monitoring Report
                                                                                                                                     Page 5 of 9
                                                                                                                       Revised February 22, 2006
                                               Department of Juvenile Justice and Delinquency Prevention
                                                           Support Our Students Program
                                                                 Monitoring Report
parent/guardian pick-up and/or drop-off for
program participants.
                                                             COLLABORATION/SUSTAINABILITY
         Compliance Indicators                 Y   N   NA         Findings Summary              Corrective Action/Recommendations
                                                             (including information source)
1. Provider has written outline of
philosophy, objectives, and goals of SOS
programs. Outline is comprehensive to
include array of services to youth.
2. Demonstrated availability of distribution
to interested public.
3. Provider maintains documentation of
collaboration with partners to promote
sustainability.
4. Marketing materials contain DJJDP
and/or SOS logo.
                                                                        COMMUNICATION
         Compliance Indicators                 Y   N   NA         Findings Summary              Corrective Action/Recommendations
                                                             (including information source)
1. Provider requested and gained approval
for modification to approved Program
Plans
2. Provider notified DJJDP of changes in
personnel listed on Form 1013, job
responsibilities, or separation from the
program.
3. Provider notified DJJDP of all email
changes or other contact information.
                                                                       DATA & REPORTING
         Compliance Indicators                 Y   N   NA         Findings Summary              Corrective Action/Recommendations
                                                             (including information source)
1. Provider has complied with all required
reporting, as specified in SOS Policy,
Requirements for Program Operations and
DJJDP contract, including but not limited
to:

                                                                                                                    DJJDP/SOS Monitoring Report
                                                                                                                                     Page 6 of 9
                                                                                                                       Revised February 22, 2006
                                             Department of Juvenile Justice and Delinquency Prevention
                                                         Support Our Students Program
                                                               Monitoring Report
    a.   Monthly 1037 (due 10th        of
         month)
    b.   Cost Reports (January & August)
    c.   3rd Quarter Accounting (April).
         Verify that report was prepared
         jointly by program director and
         fiscal officer.
     d. Program Plans and Annual
         Reports.
     e. Equipment Inventory Form (due
         with contract renewal and August
         31st)
     f. Revenue Summary Form (due
         with contract renewal and August
         31st)
     g. Provider submitted schedule of
         receipts and expenditures, sworn
         statement, and supplementary
         information form by December
         31st.
     h. External evaluation data
         submissions
     i. Attendance at Mandatory
         Functions
     j. General communication/Follow-
         Up with DJJDP
2. Provider maintains Board approved
record retention policy that complies with
DJJDP record retention policy as outlined
in contract.
                                                             PROFESSIONAL DEVELOPMENT
         Compliance Indicators               Y   N   NA        Findings Summary                Corrective Action/Recommendations
                                                           (include information source)
1. Personnel files contain certificate of
attendance and/or completion for all
required training in accordance with SOS
Requirements for Program Operations.
                                                                                                                   DJJDP/SOS Monitoring Report
                                                                                                                                    Page 7 of 9
                                                                                                                      Revised February 22, 2006
                      Department of Juvenile Justice and Delinquency Prevention
                                  Support Our Students Program
                                        Monitoring Report
ADDITIONAL FINDINGS




PROGRAM STRENGTHS




PROGRAM CHALLENGES




                                   REQUIRED PROVIDER RESPONSE

                                                                                  DJJDP/SOS Monitoring Report
                                                                                                   Page 8 of 9
                                                                                     Revised February 22, 2006
                                         Department of Juvenile Justice and Delinquency Prevention
                                                     Support Our Students Program
                                                           Monitoring Report
1. CORRECTIVE ACTION
   Corrective Action Required:        ( ) Yes        ( ) No

As a result of the monitoring visit, areas are sited as requiring immediate corrective action. A corrective action response must be submitted in writing to the
Support Our Students State Office within thirty (30) days.

The correction action response is due by ______________.
2. RECOMMENDATIONS
   Recommendations Required ( ) Yes             ( ) No

Progress made toward implementing Department recommendations is required and will be reviewed at the next Department monitoring visit. It is strongly
encouraged that the Grantee begins implementing Department recommendations upon receipt of this report.

A follow-up monitoring visit is scheduled for ____________.

DJJDP/SOS SIGNATURES
Preparer of Report                                                 Printed Name                                                                      Date

Community Grants Program Coordinator                                Printed Name                                                                     Date

Community Grants Program Manager                                    Printed Name                                                                     Date

PROVIDER SIGNATURES
Program Director                                                   Printed Name                                                                      Date

Fiscal Officer                                                     Printed Name                                                                      Date

Chair, Board of Directors                                          Printed Name                                                                      Date




                                                                                                                                         DJJDP/SOS Monitoring Report
                                                                                                                                                          Page 9 of 9
                                                                                                                                            Revised February 22, 2006

								
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