Docstoc

MONITORING CHECKLIST CAA Monitoring MONITORING CHECKLIST Pre Monitoring  Announcement

Document Sample
MONITORING CHECKLIST CAA Monitoring MONITORING CHECKLIST Pre Monitoring  Announcement Powered By Docstoc
					CAA Monitoring



                            MONITORING CHECKLIST

Pre-Monitoring
   Announcement Letter
   Last Monitoring Report
   Most Recent Audit
   Print Screens – HP Financial
        Contract screen            #1
        Payments screen            #9
        Expenditures               #10
        Comment screen             #13
        Budget Comparison          #30
   Monitoring Checklist
   Make copies of financial forms for each contract:
        1. Transactions
        2. Cash Disbursements
   Review most current Head Start Federal review
         Examine findings
         Obtain general impression of management of Head Start program
   Review current work program summary as compared to Quarterly Reports
   Separate checklist for First Start
   [Separate Implementation Manual]
   Separate checklist for ESG (cities, towns, counties)
    [Separate Implementation Manual]


                  PROGRAM REPORTS                       EXPENDITURE REPORTS
                 CONTRACT   DUE              RECEIVED     DUE     RECEIVED
                    NO.

CSBG/CFN
ESG
HP
HS Collab.
HS Coord.
SAF/CAA
SAF/HS
SEEDS
Youth
Restitution
Weatherization
DOE/DHS




                                         1
CAA Monitoring



                  OKLAHOMA DEPARTMENT OF COMMERCE
                   OFFICE OF COMMUNITY DEVELOPMENT
                         MONITORING CHECKLIST
                 COMMUNITY ACTION AGENCY MONITORING


AGENCY_______________________________________________________________

DATE (S) _______________________________________________________________

MONITOR______________________________________________________________



Monitoring letter mailed _______________   Response due_________________




                                      2
CAA Monitoring



  SIGN IN SHEET – AGENCY______________________________________________
DATE_______________
                             ENTRANCE

        NAME                              TITLE
                                BOARD MEMBER / DIRECTOR, STAFF

__________________________       _______________________________
__________________________       _______________________________
__________________________       _______________________________
__________________________       _______________________________
__________________________       _______________________________
__________________________       _______________________________
__________________________       _______________________________
__________________________       _______________________________
__________________________       _______________________________
__________________________       _______________________________
__________________________       _______________________________
__________________________       _______________________________
__________________________       _______________________________
__________________________       _______________________________
__________________________       _______________________________
__________________________       _______________________________
__________________________       _______________________________
__________________________       _______________________________
__________________________       _______________________________
__________________________       _______________________________




                                 3
CAA Monitoring



                                    EXIT


NAME                                       TITLE
                                BOARD MEMBER / DIRECTOR, STAFF

______________________          _________________________
_____________________________   _________________________________
_____________________________   _________________________________
_____________________________   _________________________________
_____________________________   _________________________________
_____________________________   _________________________________
_____________________________   _________________________________
_____________________________   _________________________________
_____________________________   _________________________________
_____________________________   _________________________________
_____________________________   _________________________________
_____________________________   _________________________________
_____________________________   _________________________________
_____________________________   _________________________________
_____________________________   _________________________________
_____________________________   _________________________________
_____________________________   _________________________________
_____________________________   _________________________________
_____________________________   _________________________________
_____________________________   _________________________________
_____________________________   _________________________________




                                4
CAA Monitoring



                         GENERAL PROGRAM ADMINISTRATION

                      PERSONNEL POLICIES (ODOC Requirement #101)

Review Personnel Policies for compliance with standards.

1. Effective date of Policies _____________

2. Statement of travel & travel allowances (ODOC Requirement #105)          Yes   No

3. List of items to be included in personnel records                        Yes   No
   (Policies should list items specific to Agency)

4. Statement regarding accessibility to personnel files                     Yes   No
   (Are files located in secured areas with limited access)

5. Certification of time and attendance records                             Yes   No

6. Describes employee categories (Permanent, full time, etc.)               Yes   No

7. Describes employee performance appraisal procedures                      Yes   No
   (When, who, etc.)

8. Prohibits discrimination                                                 Yes   No

8A. Are discrimination policies posted?                                     Yes   No

9. Prohibits conflicts of interest and nepotism                             Yes   No

10. Statements regarding employment of persons with criminal records        Yes   No

11. Statement that salaries and benefits to be consistent with prevailing   Yes   No
    compensation practices.

11A. Has the agency conducted wage comparability studies?                   Yes   No

12. Details Fringe Benefits including leave and holidays                    Yes   No

13. Prohibits receipt of gifts and/or gratuities                            Yes   No




                                               5
CAA Monitoring




14. Includes employee Grievance Procedure                                Yes    No


15. Prohibit certain political activity (ODOC Requirement #104)          Yes    No

16. “NO SMOKING” posted in facilities entered during the review OR a Yes        No
“NO SMOKING” policy. Includes all facilities, funded in whole or part, in
which children could enter, even if accompanied by their parents while
their parents are seeking services or assistance and not just a facility that
offers services for children. (CSBG CONTRACT PROVISION to comply
with the Pro-Children Act of 1994)

COMMENTS




                                           6
CAA Monitoring



Review Personnel Records for compliance with Personnel Policies

                             Personnel Record Reviewed

1. Resume and/or
   application
   for employ-
   ment
2. Internal
   Revenue
   Service W-4
   Exemption
   form
3. Current job
   description



4. All personnel
   actions



5. Performance
   evaluations




COMMENTS
______________________________________________________________________________
______________________________________________________________________________
______________________________________________________________________________
______________________________________________________________________________
______________________________________________________________________________
__________________________________________




                                          7
CAA Monitoring



Affirmative Action (ODOC Requirement #102)

1. Date of current plan ______________________

2. Equal employment policy                                      Yes   No

3. Responsibility for implementation                            Yes   No

4. Evaluation of previous goals                                 Yes   No

5. Establish goals and timetables                               Yes   No

6. Procedures for dissemination of the Plan                     Yes   No

7. Internal evaluation procedures                               Yes   No

8. Grievance procedures                                         Yes   No

9. Identification of the Equal Employment Opportunity Officer   Yes   No


(NOTE: This policy should be updated annually)


COMMENTS




                                              8
CAA Monitoring



Client Appeals & Complaint/Grievance Procedures (ODOC Requirement #103)

1. Date of current procedures _________________

2. Initiation within ten (10) days                                   Yes   No

3. Final appeal to ODOC                                              Yes   No

4. Right of applicant                                                Yes   No

5. Right to private and confidential interviews                      Yes   No

6. No discrimination based on race, gender, etc.                     Yes   No

7. Timely approval or disapproval of application                     Yes   No

8. Written notification of appeal procedures                         Yes   No

9. Reasonable opportunity for fair hearing                           Yes   No

10. Access to relevant records                                       Yes   No

11. Timely determination and prompt notice of hearing decision.      Yes   No



COMMENTS




                                               9
CAA Monitoring




Requirements for Board of Directors (ODOC Requirement #201)

1. Board Size

A. How many board members are required by the Board By-laws? _________

B. How many board members are currently seated?                  _________

C. Why and how long have the seats been vacant?
___________________________________________________________________
___________________________________________________________________
___________________________________________________________________
___________________________________________________________________
___________________________________________________________________

2. Composition

A. Number of public representatives seated compared to the number required?    ______ / _____

B. Number of low-income representatives seated compared to the number required? _____ / _____

C. Number of private representatives compared to the number required?          _____ / ______

3. Selection Procedure

                 Board Member                            Selection Documents Reviewed




[Review at least two representatives from each sector]




                                         10
CAA Monitoring



4. Meeting and Quorum Requirements

A. How many board meetings were required by the agency by-laws during the last
   12 months? ________________

B. How many board meetings were held during the last 12 months? _____________


5. Open Meeting Act

A. Has the board meeting schedule been filed with the county clerk? __________

B. Are board meeting agendas posted at the site of the meeting 24 hours in
   advance? ________________

C. Who is responsible for posting and notification of board meetings?
    __________________________________




                                           11
CAA Monitoring



CONFAX Implementation Manual

Has the agency submitted revised copies of documents as required by ODOC
Requirement # 202?

1. Articles of Incorporation                                               Yes   No

2. By-laws                                                                 Yes   No

3. Affirmative Action Plan                                                 Yes   No

4. Personnel Policies                                                      Yes   No

5. Board Membership Roster                                                 Yes   No

6. Board Committee Membership List                                         Yes   No

7. Organizational Chart                                                    Yes   No

8. Program/Project Chart                                                   Yes   No

9. Approved Board Minutes                                                  Yes   No

10. List of satellite offices                                              Yes   No

11. Equipment/Inventory Listing date: ______________________               Yes   No

12. Client Appeals                                                         Yes   No

13. Financial Policies                                                     Yes   No

COMMENTS




                                         12
CAA Monitoring



                           MONITORING REPORT

ODOC REQUIREMENT #108 FINANCIAL MANAGEMENT

Agency Director please have the following available and ready for review:

                                                                REVIEWED

                                                                  Yes       No
Accounting Manual/Written Accounting Procedures
Bonding/Employee Dishonesty Insurance
   Agency _____________________________
   Amount $____________________________
General Liability Insurance
  Agency
Workers Compensation Insurance
Policy # ______________ Date of expiration ______________

Building/Property Leases
Chart of Accounts
Written Procurement Procedures



Bank Accounts in which ODOC Contract Funds are deposited
Number:                Name:




                                          13
CAA Monitoring




Questions for Fiscal staff                                           Yes   No
Does the Accounting System have
  Fixed Assets Register (do we have copy of inventory?)
  General Ledger
  Cash Receipts Journal
  Cash Disbursements Journal

Are Balance Sheet Accounts Reconciled monthly
Are operating and savings accounts within FDIC limits
Are Certificates of Deposit purchased with contract funds
Are the following kept locked:
   Blank Checks
   Check Protector
   Signature Stamp
   Personnel Records
   Undelivered Checks
Are any of the following types of expenses charged to ODOC Grant
Programs:
   Bad Debts
   Entertainment
   Fines and/or penalties
   Interest or other financial costs

AGENCY FISCAL STAFF                                       TITLE

_________________________________          ___________________________________

_________________________________          ___________________________________

_________________________________          ___________________________________

_________________________________          ___________________________________




                                          14
CAA Monitoring



Financial Monitor will review and answer the following during the course   of the
monitoring visit.
                       Payroll/Time Sheets/Leave                     Yes   No
Is there adequate documentation for distribution of hours worked
Are leave sheets completed by employees
Are time sheets completed by employees
Are time sheets approved by the supervisor
Cash Receipts/Expenditures/Cash Disbursements                        Yes   No
Are the books posted up-to-date
Are all funds tracked separately by contract
Do the expenditure reports submitted to ODOC agree with the Cash
Disbursements Journal and Expense ledgers
Are all general ledger entries traceable to source documentation
Is there appropriate supporting documentation for all checks written
Are invoices paid within the discount period
Are invoices marked “PAID” with the check number on the check
Does there appear to be excessive cash on hand?
Are all checks pre-numbered
Travel                                                               Yes   No
Are Travel Advances allowed by Policy
Are they charged to the receivable account
Are they reconciled after travel has been completed
Procurement                                                          Yes   No
Are Contracts awarded to other than the Lowest Bidder without
justification
Are procurement transactions conducted to provide maximum open and
free competition
Is a purchase order system in place
Are purchase orders dated prior to purchase
Are purchase orders approved by the correct authority
Are purchase orders attached to vendor’s invoice
Are purchase orders pre-numbered


COMMENTS _________________________________________________________________
______________________________________________________________________________
______________________________________________________________________________
______________________________________________________________________________




                                      15
CAA Monitoring



    ACCOUNTING PROCEDURES AND INTERNAL CONTROLS REVIEW
                Please Complete Prior to Monitoring Visit




Administrative Staff

Who performs the following

Approves:
  Journal Entries
  Purchase Orders
  Travel Request
  Vendor Invoices for Payment
  Employee Time-Sheets
  Requisitions

Who:
 Deposits Cash and/or Cash Receipts
 Signs Checks
 Opens Mail
 Reconciles the Bank Statements
 Records receipts in books of account
 Records disbursements
 Is responsible for Equipment Inventory
 Is responsible for Materials Inventory
 Is responsible for Insurance Maintenance
 Is responsible for Bldg./Property Leases
 Payroll Processing
 Accounts Payable

COMMENTS:
________________________________________________________________________
________________________________________________________________________
________________________________________________________________________
________________________________________________________________________
________________________________________________________________________
________________________________________________________________________




                                            16
CAA Monitoring



     ACCOUNTING PROCEDURES AND INTERNAL CONTROLS REVIEW
                 Please Complete Prior to Monitoring Visit




Administrative Staff

Who is Custodian of:
 Blank Checks
 Signature Stamp
 Undelivered Checks
 Inventory Records
 Personnel Records
 Check Protector
 Payroll Tax Reports

Who Prepares:
 Accounts Payable and
 Vendor Payment Checks
 Payroll Process and Payroll Checks
 Bank Reconciliation
 Request for Funds
 Payroll Tax Reports
 Payroll Tax Deposits
 Monthly Expenditure Reports
 Monthly Trial Balance
 Deposit Slips
 General Ledger Processing
 and Ledger Reconciliation
 Leave Records
 Year-end Closing Entries

COMMENTS:
________________________________________________________________________
________________________________________________________________________
________________________________________________________________________
________________________________________________________________________
________________________________________________________________________




                                      17
CAA Monitoring



                           RANDOM EQUIPMENT CHECK



                                    Program    Is item still utilized
Program          Item Purchased       Year     in program?                If no, explain what
                                   Purchased        Yes        No       happened to equipment




* Check at least two items in each program
** Equipment with life expectancy of more than 1 year




                                         18
CAA Monitoring




                              TRANSACTION TEST

Contract Number: ________________________            Program: ______________________

Contract Period From _____________________           To ___________________________

Contract Amount ________________________             Amount Expended: ______________

Use the Cash Disbursements journal or Monthly Trial Balance or Income Statement. On each of
these look for expenses by month and program. (The monthly Income Statement will give you a
total dollar amount. This may not be available in each agency.)

Monthly Expenditure Reports reviewed:

                               Total Amount is
                              Traceable to Ledger
Month/Year                      Yes         No                       Comments




Problems or Discrepancies:
_____________________________________________________________________________________
_____________________________________________________________________________________
_____________________________________________________________________________________
_____________________________________________________________________________________
_____________________________________________________________________________________
_____________________________________________________________________________________




                                            19
CAA Monitoring



         CASH DISBURSEMENTS & SUPPORTING DOCUMENTATION

Agency: _______________________________________________________________


Contract Number: ___________________ Program ___________________________

                                                   DOCUMENTATION

 Date      Check #           Payee      Amount   Req. or PO     Inv.      CC




LEGEND:          Req. - Requisition         Use Check Register (by contract)
                 PO - Purchase Order        or ask to review checks for each
                 Inv. - Invoice             contract.
                 CC - Check Copy

Problems or Discrepancies:
________________________________________________________________________
________________________________________________________________________
________________________________________________________________________
________________________________________________________________________
________________________________________________________________________
________________________________________________________________________
________________________________________________________________________




                                       20
CAA Monitoring



                   EMERGENCY SHELTER GRANT
                        MONITORING CHECKLIST



CONTRACTOR ________________________ CONTRACT NUMBER ___________________

AMOUNT $___________________________ REVIEWER ____________________________

CONTACT PERSON ___________________________________________________________

TELEPHONE NUMBER ________________________________________________________

NAME OF SHELTER ___________________________________________________________

ADDRESS ____________________________________________________________________

SHELTER CAPACITY ____________________ AVERAGE # CLIENTS SERVED _________




                                     21
CAA Monitoring



                                      SERVICES
                                   [If using ESG funds]

                                                            Yes      No        N/A

Did the essential service fund create a new service?        ______   ______    _____

OR

Did the essential service files document a quantifiable     ______   ______    _____
increase in services?

Was the 30% cap observed?                                   ______   ______    _____


                                                                  Yes     No    N/A

Were funds obligated or expended before release of funds?         _____ _____ _____

What kinds of services did the contractor provide with Operations funds? (Maintenance,
operation, security, fuels, equipment, insurance, utilities and furnishings)
________________________________________________________________________
________________________________________________________________________
________________________________________________________________________
________________________________________________________________________
________________________________________________________________________

What kind of services was achieved by Essential Services funds?
________________________________________________________________________
________________________________________________________________________
________________________________________________________________________
________________________________________________________________________
                                                                  Yes     No   N/A

Were these the same number of services as stated      _____ _____ _____
in the application? If no, recommend:
________________________________________________________________________
________________________________________________________________________
________________________________________________________________________



                                            22
CAA Monitoring



CAA’s Community Involvement:
________________________________________________________________________
________________________________________________________________________
________________________________________________________________________
________________________________________________________________________
________________________________________________________________________
________________________________________________________________________
________________________________________________________________________
________________________________________________________________________
________________________________________________________________________
________________________________________________________________________

                                                                Yes     No      N/A

Do the Prevention files contain evidence of eviction            _____ _____ _____
or utility termination?

Was the 30% cap observed?                                       _____ _____ _____

Was the Confidentiality of Victims of Family Violence           _____ _____ _____
observed? If Yes, how?
_____________________________________________________________________________________
_____________________________________________________________________________________
_____________________________________________________________________________________




                                           23
CAA Monitoring



 REPORTING (ODOC Requirement #111 & #706)

A. Do client files, intake logs, and other management information       Yes   No
   documents reconcile with progress reports?

    1. Has unit of General Local Government and shelter staff jointly   Yes   No
       discussed the ESG program and reporting process?

    2. Does shelter staff/unit of General Local Government discuss      Yes   No
       program progress?

B. Were progress reports submitted on time?                             Yes   No


COMMENTS




Make copies as needed.




                                           24
CAA Monitoring



REHABILITATION ONLY

What kind of Rehabilitation was achieved with REHAB funds?

________________________________________________________________________
________________________________________________________________________
________________________________________________________________________
________________________________________________________________________
________________________________________________________________________
________________________________________________________________________

Were funds used for any ineligible expenses?                    Yes     No     N/A
Ineligible acquisition or construction of shelter;
preparation of work specs, loan processing, inspections;
cost to renovate, rehab or convert buildings owned by
religious organizations; any activities that would result
in the displacement of a place of business.                     _____ _____ _____

COMMENTS:
________________________________________________________________________
________________________________________________________________________
________________________________________________________________________

Were funds used for major rehabilitation or conversion?         _____ _____ _____
(Must be maintained as shelter for 10 years, if Yes)

COMMENTS:
_____________________________________________________________________________________
_____________________________________________________________________________________



Were funds used for rehab? (three-year restriction)             _____ _____ _____

If the funds were spent for rehab, was an on-site inspection   _____ _____ _____
performed by the contractor?




                                            25
CAA Monitoring




                                                                  Yes    No    N/A
Was the rehab completed?                                          _____ _____ _____

If no, when is rehab expected? __________________________

COMMENTS:
________________________________________________________________________
________________________________________________________________________
________________________________________________________________________

Number of structures undergoing rehab ____________________

                                                                  Yes     No      N/A

Was there a work write up and cost estimate prepared?             _____ _____ _____
Date_________________

Were there specifications written?                                _____ _____ _____
Date_________________

Was there a bid package?                                          _____ _____ ____
Including:
       a bid advertisement with scope of work                     _____   _____   _____
       list of responders                                         _____   _____   _____
       criteria for selecting bid                                 _____   _____   _____
       acceptance or rejection letters                            _____   _____   _____

Were bids in line with cost estimates and write up?               _____ _____ _____

Did the advertisement for bid call attention of the bidders to:
       Section 3                                                  _____ _____ _____
       Segregated Facility                                        _____ _____ _____
       Section 109                                                _____ _____ _____

Were there minutes of the bid opening?                            _____ _____ _____

Was there a written Section 3 Plan?                               _____ _____ _____




                                             26
CAA Monitoring



Rehabilitation (continued)
                                                                   Yes         No   N/A

Does the contract with the subcontractor include reference to the following?

        EO 11246                                                   _____ _____ _____
        Equal Opportunity clause                                   _____ _____ _____
        Title VI clause                                            _____ _____ _____
        Section 3 clause                                           _____ _____ _____
        Section 109-clause                                         _____ _____ _____
        Lead Based Paint clause                                    _____ _____ _____
        Conflict of Interest                                       _____ _____ _____
        Hold Harmless clause                                       _____ _____ _____

Is there a written inspection?                                     _____ _____ _____
Date ___________________

Did the contractor contact ODOC regarding the debarred list?       _____ _____ _____

Did the contractor issue a Notice to Proceed to subcontractor?     _____ _____ _____
(If not, what process was used to make the determination?)

Did the contractor issue a Notice of Acceptance of Work?           _____ _____ _____
Date ___________________




                                            27
CAA Monitoring



                                RATING CRITERIA


If the project was awarded points for:

   Sub-population
    - Did the project serve at least 20% in the application populations?
                                                            Yes ___ No ___ N/A ___

    -   Total number of shelter beneficiaries             ____________________
        (excluding those served by traditional housing)

   Prevention
    - Was usage of budget commensurate with points awarded?
                                Yes ___ No ___ N/A ___ Points Awarded ______

   Bed capacity
    - Did bed capacity increase?                          Yes ___ No ___ N/A ___

   Review case management plan and compare to actual case management.
    Are activities consistent with points awarded?
                                       Yes ___ No ___ N/A ___ Points Awarded ______

    Review individual and families’ involvement in work at shelter.
    How is this documented?_______________________________________________
    ___________________________________________________________________
    ___________________________________________________________________

    Review plan to provide homeless individuals the opportunity to participate on
    shelters’ policy-making entity. How is this documented? ______________________
    ____________________________________________________________________
    ____________________________________________________________________
    -   Is it consistent with points awarded?
                                       Yes ___ No ___ N/A ___ Points Awarded ______




                                            28
CAA Monitoring




   Case Manager and Duties
    - Review personnel file for job description(s) of the case manager(s). Do the duties
       include:
              - Intake
              - Assistance in obtaining services
              - Evaluation of services
              - Tracking and evaluating client attendance and progress
                                                            Yes ___ No ___ N/A ___

    -   Review time sheets, do the hours of the case manager(s) equal a full time
        position?                                          Yes ___ No ___ N/A ___

Intake Process
       How is intake documented? _________________________________________
        ________________________________________________________________

        How were individuals given assistance in obtaining appropriate essential services?
        _________________________________________________________________
        _________________________________________________________________

Essential Service Chart
       Compare chart to actual services provided. Is the number and types of services
       provided in line with points awarded?               Yes ___ No ___ N/A ___

Benefit of Service
       Does client file contain evidence of the benefit of service to client?
                                                              Yes ___ No ___ N/A ___

Partnerships
       Review documentation provided to clients that outlines service providers that are
       available. Does this list correspond to the application listing?
                                                             Yes ___ No ___ N/A ___

Tracking
       How is attendance and progress of clients evaluated? How is it documented?
        ______________________________________________________________
        ______________________________________________________________




                                            29
CAA Monitoring



Communication

Review documentation indicating ongoing communication between case manager and
provider(s). Is it consistent with application listing? Yes ___ No ___ N/A ___

Will the percentage of clients to receive case management reach 50% as documented in
the application?                                            Yes ___ No ___ N/A ___
How many have received case management services to date?____________________


Transitional Housing Checklist

Are the number and location of transitional houses consistent with points awarded?
                                                        Yes ___ No ___ N/A ___
       Were the units occupied or vacant?               Yes ___ No ___ N/A ___

        If occupied, what is the date of occupancy and the length of the agreement?
        ______________________________________________________________

        Types of essential services offered through transitional housing. ___________
        ______________________________________________________________
        ______________________________________________________________

Is there evidence of the qualifications and guidelines for the client(s) to meet for
obtaining and maintaining transitional housing?               Yes ___ No ___ N/A ___
How is it documented? _________________________________________________
____________________________________________________________________
____________________________________________________________________

What is the total number of clients served through transitional housing as of monitoring
date? ________________

Compare the process for moving clients into transitional housing and permanent housing
to actual plan. Is it consistent with points awarded?       Yes ___ No ___ N/A ___
________________________________________________________________________
________________________________________________________________________

Is there documentation as to what service is provided to individuals and families who will
be unsuccessful in obtaining transitional housing?           Yes ___ No ___ N/A ___
________________________________________________________________________
________________________________________________________________________




                                              30
CAA Monitoring



                                 HEAD START
                            MONITORING CHECKLIST

Contract Number:    ___________________ Contract Amount:         ___________________

Number of Head Start sites: ______________________
Site Locations: ___________________________________________________________
________________________________________________________________________
________________________________________________________________________
Total number of children (unduplicated):    SAF ___________      HS ______________

Total number of families (unduplicated):   SAF ___________       HS ______________

Does total number of children and families reconcile to the       Yes ____ No ____
number projected in the work summary?

If not, explain. ___________________________________________________________
________________________________________________________________________
________________________________________________________________________
________________________________________________________________________
Were equipment purchases made according to required procurement Yes ____ No ___
procedures?
If no, explain. ___________________________________________________________
________________________________________________________________________
________________________________________________________________________


If there were findings/recommendations in the federal review, have corrective actions
been taken?                                                           Yes ____ No ____
What actions?
________________________________________________________________________
________________________________________________________________________
________________________________________________________________________




                                            31
CAA Monitoring




If corrective actions have not been taken, why not? ______________________________
________________________________________________________________________
________________________________________________________________________
________________________________________________________________________
Is contractor complying with the Work Program Summary?         Yes ____ No ____
If yes, explain. ___________________________________________________________
________________________________________________________________________
________________________________________________________________________
If no, explain. ____________________________________________________________
________________________________________________________________________
________________________________________________________________________
Verify that funds were expended to meet Work Program Summary objectives as indicated
in Quarterly reports. (Attach Quarterly Report. Check off items verified.)




                                         32
CAA Monitoring



                                          SEEDS
                              MONITORING CHECKLIST


DATE: ___________________________ MONITOR DATE _____________________
MONITORING TEAM: ___________________________________________________
CONTRACTOR: ________________________________________________________
CONTRACT NUMBER ____________________________
SEEDS CONTACT PERSON: ____________________________________________________
QUARTERLY REPORTS: _______________________ through _________________________
CONTRACT AMOUNT: $_________________________ LEVERAGE: $__________________
TOTAL PROJECT: $_____________________________


        Portfolio Information (verify to quarterly reports)
        A.   How many active loans in portfolio?
        B.   What is the dollar amount of loans in portfolio?
        C.   How many new loans made?
        D.   What is the total dollar amount of the new loans made?
        E.   How many new jobs created from the loans?
        F.   What is the total amount of loan payments received?
        G.   How many loans paid off?
        H.   How many loans settled?
        I.   How many loans were written off?
        J.   How many loans restructured?
        K.   How many loans had collection activity initiated?
        L.   How many loans had collection activity from the previous quarters?




                                              33
CAA Monitoring




II.     Beneficiary Information
        Verified Technical Assistance given for quarterly report:
                Low Income ____
                Black ____
                Hispanic ____
                Asian or Pacific Islander ____
                American Indian or Alaskan Native ____
                Handicapped ____
                Female Head of Household ____

        Verified assistance given to loan recipients:
            Low Income ______
            Black ______
            Hispanic ______
            Asian or Pacific Islander ______
            American Indian or Alaskan Native ______
            Handicapped ______
            Female Head of Household ______

III.    SEEDS Activity Summary (verified from quarterly reports)
        How many recruitment/selection activities?
        How many training activities?
        How many business plan development activities?
        How many lending policies/activities?
        How many portfolio management activities?
        How many follow-up activities?

Notes * Summary
________________________________________________________________________
________________________________________________________________________
________________________________________________________________________
________________________________________________________________________
________________________________________________________________________
________________________________________________________________________
________________________________________________________________________
________________________________________________________________________




                                            34
CAA Monitoring




                  WEATHERIZATION ASSISTANCE PROGRAM


Weatherization Eligibility and Application Review Procedures (ODOC Requirement
#301 and #303)

A. Has the contractor established procedures to ensure that eligible applicants are
    assisted? _____________________________________________________________
    _____________________________________________________________________
  Does the contractor have an active waiting list for each co?
  If Yes, estimate of how many on each list
____________________________________

B. Do they need to market the program? ______________________________________

    If they are already marketing, are the marketing documents current and correct?
    _____________________________________________________________________

    How are the marketing materials distributed? ________________________________
    _____________________________________________________________________
    How are they marketed? ________________________________________________
    Is the marketing updated regularly? _____ Yes     No _____
C. Has the Contractor weatherized any shelters? If Yes, were the procedures below
   followed?
   1. Was the shelter counted as one (1) unit per 800 square feet? __________________
   2. Were expenditures limited to twenty (20) percent of the Weatherization contract?
       __________________________________________________________________
   3. Did the Contractor obtain written permission to weatherize the shelter? ________
D. Has the Contractor established procedures to obtain certification by DHS for units
   served under the LIHEAP Program? ____________.
   If not, what are the procedures for establishing eligibility?
________________________________________________________________________
________________________________________________________________________
________________________________________________________________________
E. Have weatherization services to units weatherized during the period of September 30,
   1975 through September 30, 1993 received a new audit. _____________




                                            35
CAA Monitoring



F. Application Processing

    1. Are ineligible clients informed in writing with the Weatherization Denial Form?
        __________________________________________________________________
    2. Who conducts the on-site needs assessment?
    _____________________________________________________________________
    _____________________________________________________________________
    3. Who orders the Weatherization materials? _______________________________
    4. Who performs the final inspection of the weatherized unit? __________________
        __________________________________________________________________

COMMENTS




Maximum Allowable Costs and Waivers (ODOC Requirement #302)

1. What procedures have been established to ensure that Contractor expenditures do not
   exceed maximum allowable limits?
________________________________________________________________________
________________________________________________________________________
________________________________________________________________________
________________________________________________________________________

2. Has the Contractor exceeded the maximum allowable cost on any dwelling this
   contract year?
________________________________________________________________________
________________________________________________________________________
________________________________________________________________________




                                           36
CAA Monitoring




3. Were waivers requested and received prior to the Weatherization of units with
   expenditures above the maximum limits?
________________________________________________________________________
_______________________________________________________________________

4. What is the current average cost per dwelling unit? ___________________________

5. Has the agency exceeded $500.00 repair? ___________________________________



REVIEW of WEATHERIZATION FILES (ODOC Requirement #304)

1. Review 10% Weatherization Client Files. Attach Client File Checklist.

2. Weatherization Dwelling Inspection and Health & Safety Checklist.

3. Perform “on-site” visit to a minimum of three (3) WX houses per contractor/crews
   using Final Inspection checklist from client file.

TRAINING AND TECHNICAL ASSISTANCE:
(Indicate below all recommendations and requests for T/TA)
________________________________________________________________________
________________________________________________________________________
________________________________________________________________________
________________________________________________________________________
________________________________________________________________________


Request success stories, articles and photos.        Yes  No 

What type, if any, Health and Safety issues were addressed.
________________________________________________________________________
________________________________________________________________________
________________________________________________________________________




                                                37
CAA Monitoring




                                                     Health and Safety Checklist

Grantee Name _______________________________________________________________ Date __________________________

Reviewer ______________________________________________

Center/Areas Observed _______________________________________________

                      _________________________________________________

                      _________________________________________________


This observation form will help you, as a reviewer, to record your observations regarding several health and safety items. The items
are based on the performance standards (1301 through 1308). Items are not intended to be an exhaustive list of performance standards
related to health and safety, but rather items that can be rated according to a “checklist” format. This tool is intended to provide only
one piece of the picture. In order to obtain a complete picture of the agency’s compliance with health and safety standards, it is
necessary to combine information from this instrument with information obtained from other observations and interviews.

Please indicate whether the standard is supported by observations. Rate each item by circling “Yes” or “No”. You may also, and are
encouraged to, explain your ratings under “Observations/Comments.” In addition, if you are unclear about some items (e.g., where to
find a first-aid kit or medication), you may need to ask a teacher or a person in charge of health services.




____________________________________________________________________________________________________________
Head Start Interim Monitoring Instrument – Health and Safety Checklist




                                                                   38
CAA Monitoring
                                                                            Health and Safety Checklist

Area #1 – Classrooms (Infant/Toddler)
 Nonporus gloves are available for use when dealing with bloody                 Yes     No               Observations/Comments
   bodily fluids. [1304.22(e)(3)]
 The diaper-changing area is clean and proper hygiene procedures are            Yes     No
   followed. [1304.22(c)(5)]
 The Diaper-changing area is located away from areas used for cooking,          Yes     No
   eating, or children’s activities. [1304.53(a)(10)(xiv)]                       Yes     No
 Infant sleeping arrangements such as firm mattresses and they avoid            Yes     No
   soft bedding materials such as comforters, pillows, fluffy blankets,
   or soft toys. [1304.53(b)(3)]
 Cribs are at least 3 ft. apart from each other. [1304.22(e)(7)]                Yes     No
 Infant toys are made of non-toxic materials and are sanitized regularly        Yes     No
   [1304.53(b)(2)]
 Toilet training equipment is available. [1304.53(a)(10)(xv)]                   Yes     No
 Diapers are disposed of in a safe and sanitary manner.                         Yes     No
   [1304.53(a)(10)(xvi)]

Area #2 – Classrooms (General)
 Staff promote effective dental hygiene procedures. [1304.23(b)(3)]             Yes     No
 Toys are stored in a “safe and orderly fashion” (e.g., in their assigned       Yes     No
   places, not out where people can trip over them). [1304.53(b)(1)(vii)]
 The indoor and outdoor space for infants and toddlers is separated             Yes     No
   from general walkways and areas used by preschoolers.
   [1304.53(a)(4)]
 Toys, materials, and furniture are safe, durable, and kept in good             Yes     No
   condition (e.g., materials free of sharp edges and loose pieces,
   balloons and/or plastic bags not used, no choking hazards).
   [1304.53(b)(1)(vi)]
 Center space is organized into functional areas that are recognized by         Yes     No
   children and that allow for individual activities and social interactions.
   [1304.53(a)(3)]
 Staffing patterns support regulations regarding class size and number of       Yes     No
   adults per class. [1306.20]
 Staff, volunteers and children wash their hands with soap and running          Yes     No
   water at appropriate times. [1304.22(e)(1)]

    ___________________________________________________________________________________________________________________________________________
    Health and Safety Checklist



                                                                                        39
CAA Monitoring
Area #3: Kitchen or Classroom
 All medications are properly labeled (i.e., name of child/staff, name of      Yes    No
   medication, dosage, name/number of pharmacy/physician).                                            Observations/Comments
   [1304.22(c)(1)]
 Medications are under lock and key and out of reach of children.              Yes    No
   [1304.53(a)(10)(iii), 1304.22(c)(1)]
 Medications in need of refrigeration are refrigerated. [1304.22(c)(1)]        Yes    No
 A well-supplied first-aid kit is available, accessible to staff, and out of   Yes    No
   reach of children. [1304.22(f)(1)]

Area #4: Kitchen
 Refrigerator(s) and/or freezer(s) are cold enough (e.g., meet state           Yes    No
   licensing requirements) and things that belong in the refrigerator or
   freezer (e.g., milk) are appropriately stored there [1304.23(e)(1);
   1304.23(e)(2)]

Area #5: Bathrooms
 Bathroom facilities are clean, in good repair, and easily reached by          Yes    No
   children. [1304.53(a)(10)(xiv)]
 Bathroom facilities are separated from areas used for cooking, eating         Yes    No
   or children’s activities. [1304.53(a)(10)(xiv)]
 A utility sink is specifically used to clean potties. [1304.22(e)(6)]         Yes    No

Area #6: General/Throughout Facility
 Facilities are maintained at an adequate temperature. (Note: Take         Yes No
    into account the difference between the inside and outside
    temperatures.) [1304.53(a)(10)(i)]
 The facility has approved, working fire extinguishers, and an             Yes No
    appropriate number of smoke detectors that are tested regularly.
    [1304.53(a)(10)(vi)]
 Electrical plugs are covered. [1304.53(a)(10)(xi)]
 Rooms are well lit. [1304.53(a)(10)(iv)]
 Exits and/or evacuation routes are clearly marked. [1304.22(a)(3);        Yes No
    1304.53(a)(10)(vii)]
 Emergency lighting is available. [1304.53(a)(10)(iv)]                     Yes No
 Windows and glass doors are sufficiently marked or they have              Yes No
    sufficient barriers to prevent injury to children. [1304.53(a)(10)(xii)
 Facilities enable the safe and effective participation of persons with    Yes No
    disabilities. [1304.4(o)(4)]                                            Yes No
______________________________________________________________________________________________________________________________________________
Health and Safety Checklist


                                                                                      40
CAA Monitoring
Area #6: General/Throughout Facility (cont.)
 Emergency telephone numbers (e.g., EMS, Fire, Police, Poison                  Yes    No
   Control) are posted at each telephone. [1304.22(a)(2)]                                             Observations/Comments
 Policies on handling medical and health emergencies are posted                Yes    No
   clearly and visibly. [1304.22(a)(1)]
 There is at least 35 sq. ft. of usable (i.e., not including bathrooms,        Yes    No
   halls, kitchen, staff rooms, and storage places) indoor space per child.
   [1304.53(a)(5)]
 The heating/cooling system is adequately insulated. (Note: Look at            Yes    No
   pipes and/or radiators.) [1304.53(a)(10)(i)]
 There is an absence of highly flammable furnishings, decorations, or          Yes    No
   materials that emit toxic fumes. [1304.53(a)(10)(ii)]
 Flammable and other dangerous materials/poisons are stored in locked          Yes    No
   cabinets or facilities separate from medications and food and
   accessible only to authorized persons. [1304.53(a)(10)(iii)]
 Appropriate cleaning supplies are available to staff but out of reach of      Yes    No
   children. [1304.22(e)(6), 1304.53(a)(10)(iii)]
 Garbage and trash are stored and disposed of in a safe, sanitary              Yes    No
   manner. [1304.53(a)(10)(xvi)]
 The indoor and outdoor premises are cleaned daily and kept free of            Yes    No
   undesirable and hazardous materials and conditions. [1304.53(a)(10)(viii)]
 Appropriate licenses (water/sewage food/sanitation; fire codes;               Yes    No
   applicable transportation licenses; Indian Environmental Health, if
   applicable; and vendor/contractor licenses) are seen. [1304.53(a)(6)
   and (10)(xiii), 1304.23(e)(1), 1306.30(c)]

Area #7: Outdoors
 There is at least 75-sq. ft. of usable outdoor space per child.               Yes    No
   [1304.53(a)(5)]
 The playground equipment is in good repair and safe condition (e.g.,          Yes    No
   adequately secured to the ground, free of sharp edges and/or splinters
   soft falling surface). [1304.53(a)(7)(viii); 1304,53(a)(10)(viii);
   [1304.53(a)(10)(x)]
 The outdoor area is arranged such that no child can leave                     Yes    No
   premises or get into unsafe or unsupervised areas. [1304.53(a)(9)]

    ___________________________________________________________________________________________________________________________________________
    Health and Safety Checklist




                                                                                      41
CAA Monitoring
                           OKLAHOMA DEPARTMENT OF COMMERCE
                                  WEATHERIZATION ASSISTANCE PROGRAM
                                       CLIENT FILE REVIEW SHEET
                                                                                                                                   Inspec-   Work
                                                 Job                                                Rental   Occupant   Priority




                                                                                 Material
                                                                                 Receipts
       Name      Address   City      Contract            Appli-    LBP                                                               tion    Write




                                                                                            Audit
                                     Number     Number   cation   Notice                            Agree-    Agree-    List       Check-    -up
                                                                           BWR                       ment      ment
                                                                                                                                      list




                                                         42
CAA Monitoring




                 43

				
DOCUMENT INFO