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MONITORING PROCEDURES

MONITORING PROCEDURES. CITY OF SHREVEPORT DEPARTMENT OF COMMUNITY DEVELOPMENT COMMUNITY DEVELOPMENT BLOCK GRANT (CDBG). INTRODUCTION.

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MONITORING PROCEDURES

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  1. MONITORING PROCEDURES CITY OF SHREVEPORT DEPARTMENT OF COMMUNITY DEVELOPMENT COMMUNITY DEVELOPMENT BLOCK GRANT (CDBG)

  2. INTRODUCTION

  3. The Department of Community Development views its monitoring responsibilities as an on-going process requiring continuous communication, evaluation, and follow-up. The process involves frequent contacts, written communications, and an analysis of reports, audits, and periodic meetings with Subrecipients. The departmental staff stays informed concerning compliance with program requirements and the extent to which technical assistance is needed. • The overriding goal of monitoring is to determine compliance, prevent/identify deficiencies and design corrective actions to improve or reinforce program participant information. • Monitoring will also provide opportunities to identify program participants’ accomplishments as well as successful management, implementation, and evaluation techniques that might be replicated.

  4. PREPARING FOR THE ONSITE VISIT

  5. The Department of Community Development monitoring process will generally consist of desk reviews and on-site visits. Desk reviews consist of reviewing reports and/or records that are submitted by Subrecipients to the Department of Community Development.

  6. Prior to conducting an on-site visit, the Monitor will review: • Financial reports • Recent status reports • Subrecipient Approved Budget • Subrecipient reimbursement payments • Subrecipients executed agreements • Previous correspondences and reports from past on-site monitoring reviews These items will be reviewed to assess progress, examine changes in activities, identify existing or potential problems, and determine elements of the program to be given priority during the review.

  7. STEP 1 THE CALL

  8. All visits are to be arranged in advance with the Subrecipients by the Program Monitoring staff. The City of Shreveport, Department of Community Development monitoring staff begins the monitoring process by calling grantees to explain the purpose of the visit and to agree upon dates for the visit.

  9. STEP 2 THE FORMAL NOTIFICATION LETTER

  10. A formal notification letter is sent prior to the planned visit and will include: • Confirmation of the dates for the review. • Scope of the monitoring. • Information needed for review during the visit. • Staff persons needed for interviews or assistance during the review. The letter will also confirm the need for any services in conducting the monitoring such as conference rooms, or telephones, if necessary.

  11. ATTACHMENT A NOTIFICATION LETTER

  12. STEP 3 THE ENTRANCE CONFERENCE

  13. Prior to conducting the on-site monitoring reviews, an entrance conference is held at the beginning of monitoring visit, usually with the executive director or other top official of the organization, to make sure the grantee has a clear understanding of the purpose, scope and schedule for the monitoring. The monitor will explain how the monitoring will be conducted.

  14. STEP 4 DURING THE MONITORING VISIT

  15. During the review, the monitoring staff keeps a record of information reviewed and conversations held with the grantee during the monitoring visit. The information reviewed and obtained will serve as the basis for conclusions drawn from the visit.

  16. STEP 5 THE EXIT INTERVIEW

  17. At the end of the monitoring visit, the monitoring staff meets again with key representatives of the grantee to: • Present preliminary results of the monitoring. • Provide an opportunity for the grantee to correct any misconceptions ormisunderstandings. • Secure additional information to clarify or support the conclusions. • If applicable, provide an opportunity for the grantee to report on steps the organization may already be taking to address areas of noncompliance or nonperformance.

  18. A program monitoring report will be prepared and distributed to Subrecipients or appropriate staff persons, summarizing the monitoring results and describing any required corrective actions or follow-up activities. The Subrecipient has the opportunity to contest the findings and concerns, and should do so in writing within 30 days of the monitoring visit. The Department of Community Development will respond to the Subrecipient’s letter to clear or contest the findings and concerns within 30 days.

  19. The monitoring report will determine, if applicable, any deficiencies. These deficiencies take two forms; findings and concerns. • Findings are conditions that are not in compliance with regulatory or statutory requirements. • Concerns are deficiencies in performance that are not based upon a regulatory or statutory requirement that should be to the attention of the program participant. If not addressed, a concern can lead to findings.

  20. APPROVAL The Department of Community Development Bureau Chief of Administration will sign all monitoring letters to ensure consistency in the handling of monitoring findings and concerns, and to assess the quality and accuracy of the monitoring. The Bureau Chief’s signature will also attest that the performance problems are properly detected and the selected corrective actions are designed to remedy the specific instance of noncompliance as well as any systematic deficiencies that may affect the expenditure of funds in the future. The Director of Community Development will also ensure that the monitoring letter make appropriate, supportable comments and draws sound conclusions. As results, the Subrecipient will have a clear understanding of the Community Development’s perception of its performance during a specific time period.

  21. DOCUMENTATION Each step of the monitoring process is documented and maintained in the Department of Community Development’s central files. The client files will remain confidential to protect the privacy of the clients served. A copy of each program monitoring report is kept in the Department of Community Development Director’s office and in the central files.

  22. STEP 6 FOLLOW-UP LETTER

  23. At the end of the process, the monitoring staff provides the grantee with a formal written notification of the results of the monitoring review. This letter will point out problem areas, and recognize successes. In addition, the monitoring letter creates a permanent written record of what was found during the review. The letter outlines any concerns or monitoring findings and provides a deadline for a written response and corrective actions.

  24. STEP 7 RESPONSE TO MONITORING FINDINGS

  25. If the follow-up letter will identify any concerns or monitoring findings, the grantee must provide a written response within 30 days of the date of the letter. (If additional time is needed, a request for an extension must be submitted to the City of Shreveport, Department of Community Development).

  26. REFERENCES Title 24: Housing and Urban Development - PART 570 – Community Development Block Grant (CDBG) requires that the City of Shreveport, Department of Community Development, monitor program activities to ensure program compliance.

  27. ATTACHMENTS

  28. QUESTIONS & ANSWERS

  29. THANK YOU

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