18 Miss. Code. R. 20-1-1-V.8.3

Current through December 10, 2024

Section 18-20-1-1-V.8.3 - MONITORING ACTIVITIES (WPN 20-4)

MS DOE WX BIL WAP will utilize WPN 20-4 when establishing a monitoring plan to ensure quality workmanship, financial and programmatic accountability, and adherence to federal/state regulations as well as contractual agreements.

In accordance with WPN 20-4, the Independent QCI will be utilized when addressing the comprehensive monitoring reviews of client files and subgrantees' records, as well as inspection of at least 10 percent of each subgrantees DOE-funded completed units.

The Division of Community Services has met with the Division of Program Integrity. Monitoring schedules will be coordinated so that DCS staff will complete the technical review during the same time DPI is monitoring the financial and administrative. The T&TA report from DCS will be included as part of the official monitoring report issued by DPI.

The programmatic monitoring system has been designed to provide a systematic method of identifying program strengths and weaknesses, a basis for assisting agencies by improving program operations and for continuing the flow of information between the subgrantee level and DCS which is necessary for problem identification and resolution.

The State will conduct on-site monitoring visits of each subgrantee agency at least once annually. Those agencies having weaknesses in any area will be monitored and technical assistance provided as necessary to ensure program and fiscal compliance.

Procedures:

Monitoring visits will normally be scheduled and confirmed at least one week prior to the visit. However, the State does reserve the right to conduct unscheduled monitoring visits. Programmatic and Fiscal Monitoring functions will be performed by Division of Monitoring, a division within the MDHS and Technical Monitoring by the Division of Community Services (DCS).

* Programmatic & Fiscal Monitoring (Grantee T&TA Administrative): This is conducted by The Division of Monitoring and budgeted at 5%, at 2 staff members.

* Technical Monitoring (Grantee T&TA Technical Monitoring): This will be conducted by The Division of Community Services and budgeted at 52% at 2 staff members.

An entrance conference will be conducted with the subgrantees Executive Director or a designee to explain the purpose of the visit. The Division of Monitoring reviews program operations of subgrantees randomly. Internal audits will be conducted in accordance with the General Accounting Office's, "Standards for Audits of Governmental Organizations, Programs, Activities, and Functions" and generally accepted auditing standards established by the American Institute of Certified Public Accountants. Additionally, this office seeks to target those entities with large allocations and agencies with demonstrated problems. DCS Technical Staff will conduct random Technical reviews.

Although each subgrantee is required to contract with an independent audit firm for audits, the selection process are reviewed and approved by MDHS/DCS per the Audit Request for Proposal. All audit reports are reviewed and reconciled by the MDHS-Division of Procurement Services.

The Division of Monitoring will complete a written report of the administrative and fiscal review. DCS technical staff will complete a written report of the programmatic and fieldwork performance. The Director of Monitoring and the DCS director will review the report before it is forwarded to the agency. DCS will conduct desk and site reviews to ensure procedures are followed according to the standard work specifications. All noted findings will be provided to subgrantees in writing within thirty days after the monitoring visit. Deficiencies in fiscal, program operations or Technical assessments, which are not properly corrected according to instructions, may result in suspension of funds or termination.

Findings

1. Any of the following criteria generally constitutes a Finding:

a) Violation of eligibility guidelines.

b) A health or safety condition that affects clients, subgrantee staff and subgrantee subcontractors, or the integrity of the building structures that was created by, exacerbated by, or not corrected by the delivery of Weatherization services.

c) The omission of a required measure or technique with major energy savings potential.

d) Work not performed to the standard work specifications (SWS).

e) Expenditure of Weatherization Assistance Program funds on measures that are not approved under the Weatherization Assistance Program or required for health or safety reasons.

f) Major expenditure of funds on measures that do not yield a NEAT or MHEA generated savings-to-investment ratio of one or greater.

g) False documentation on pre and post audits.

h) Failure to track un-used materials.

i) Failure to maintain client file documentation according to procedures.

2. An Onsite Assessments Report that contains a Finding:

a) Requires an immediate response from the subgrantee.

b) Requires corrective action be taken.

c) May result in disallowed costs.

d) May result in an increased assessment/monitoring rate.

e) May result in the requirement of additional training for the subgrantee personnel and contractors.

f) May result in the recommendation for High Risk Status for the subgrantee.

g) Continued Findings of this type may result in termination of DCS Weatherization Assistance Program Award to the subgrantee and/or disbarment of contractors.

Trends for Concern

1. The following criterion generally constitutes a Trend for Concern:

a) Any other areas of noncompliance with the Mississippi Weatherization Field Guide/Standards, Mississippi Weatherization State Plan, Standard Work Specifications (SWS) or any other guidance issued by the Division of Community Services not considered a Finding

2. An Onsite Assessments Report that contains a Trend for Concern:

a) Requires immediate action to eliminate any future occurrences.

b) May require corrective action to be taken if similar future situations relating to Major energy savings measures, documentation requirements, or health and safety measures are found to be repeated.

c) May be reclassified as a Finding if repeated, that is, if similar situations are found on consecutive assessment visits.

d) May result in the requirement of additional training for the subgrantee personnel or contractors.

TENTATIVE MONITORING SCHEDULE
PERIOD	AGENCY
FIRST QUARTER	SOUTH CENTRAL MULTI-COUNTY
SECOND QUARTER	WWISCAA PRAIRIE OPPORTUNITY
THIRD QUARTER	NORTEAST MS CS LIFT, INC.
FOURTH QUARTER	TBA (FOLLOW-UPS)

18 Miss. Code. R. 20-1-1-V.8.3

Adopted 11/23/2020

Amended 11/7/2021

Amended 1/6/2023

Amended 7/10/2023