Transcript EERE Programs Briefing

2010 Orientation for State WAP Directors and Staff
Federal/State Monitoring
Eric Bell
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1 | Weatherization Assistance Program
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Monitoring

Regulatory cite for Monitoring/Oversight
– Section 440.23 Oversight, Training, and Technical Assistance
• Secretary and the appropriate Project Management Center (PMC)
Director, in coordination with Secretary of Health and Human
Services, shall monitor and evaluate the operation of projects carried
out by CAAs receiving financial assistance by:
– On-Site Inspections
– Or Through other means
• To ensure the effective provision of weatherization assistance for
dwellings of low-income persons
• The Secretary of DOE and the appropriate PMC Directors, the
Comptroller General of the United States and, for projects carried out
by a CAA, the Secretary of Health and Human Services shall have
access to any books, documents, papers, information and records
• Each grantee shall ensure that audits by or on behalf of subgrantees
are conducted
2 | Weatherization Assistance Program
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Monitoring Policy
 DOE believes in a team approach to monitoring – we are all in
this together
 Sincerely appreciates the generally good job that everyone
performs in administering the Weatherization Assistance
Program
3 | Weatherization Assistance Program
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Monitoring Policy
 PMC (DOE) to Grantees
– Project Management Center staff will monitor the Grantees
and their oversight of the subgrantees
– Grantees will be monitored against their current, approved
Plans, and processes
– PMC staff will accompany Grantee staff to observe
monitoring of subgrantees
4 | Weatherization Assistance Program
eere.energy.gov
Monitoring Policy
 Notification
– PMC will contact their Grantees to determine the best time
for a site visit
– Written notice of the visit will be provided to the Grantee in
advance of visit
 Site Visits
– Should include a review of programmatic elements
– May include financial elements, as well
• At times a programmatic report may be issued prior to the
financial report (Grantee will be notified of two separate reports)
5 | Weatherization Assistance Program
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Monitoring Policy
 Site Monitoring Report
– Should be issued to the Grantee after completion of the site
visit
 Desk Monitoring
– PMC offices conduct assessments of Grantees from their
desks
– Can use conversations with Grantees, WinSAGA,
correspondence, fiscal and programmatic reports, etc.
6 | Weatherization Assistance Program
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Grantee to Local Monitoring
 State is responsible for executing the activities contained in the
State Plan
 This includes ensuring grant funds are expended in accordance
with applicable law including:
– Regulations contained in 10 CFR 440
– Applicable Office of Management and Budget Circulars
– DOE Financial Assistance Rule (10 CFR Part 600)
– Other procedures as DOE may prescribe
– State requirements
7 | Weatherization Assistance Program
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Grantee to Local Monitoring
 Role
 The Grantee must conduct comprehensive monitoring of each
subgrantee at least once a year. The Grantee’s Plan must include
a monitoring plan to provide adequate oversight of use of DOE
funds by subgrantees. The comprehensive monitoring must
include review of client files and subgrantees’ records, as well as
inspection of at least 5 percent of each subgrantee’s DOEfunded completed units. Grantees are encouraged to review
units in the process of being weatherized when monitoring, as
well. DOE strongly encourages a higher percentage of units be
inspected. If inspection reveals quality control or other problems,
Grantee shall increase the number of units monitored and
frequency of inspection until all issues are resolved. Detailed
review of subgrantee records and inspections must be maintained
by the Grantee and be available at the request of DOE monitors.
8 | Weatherization Assistance Program
eere.energy.gov
Grantee to Local Monitoring
 Tracking
– Track major findings from subgrantee assessment visits and
financial audits until resolved
– DOE recommends that the tracking record developed by the
State include, but not be limited to:
• Success stories
• Findings
• Recommended corrective actions
• Deliverables
• Due dates
• Responsible parties
• Actions taken
• Final resolution
9 | Weatherization Assistance Program
eere.energy.gov
Grantee to Local Monitoring
 Analysis
– Annually, State will summarize and review each
subgrantee’s audit, program assessment report and findings
for internal assessment of State and subgrantee needs,
strengths and weaknesses
– Results of this annual assessment should be considered
during annual planning and should be available in the state
office for regional office review during state program
assessment visits
– Results can be used to help identify training and technical
assistance needs
10 | Weatherization Assistance Program
eere.energy.gov