Monitoring activities ensure that accountability exists for program resources and provides information that can be used to improve the program’s operation and services. Monitoring takes place while the program is in operation and provides oversight for the services being delivered at the local level.
Goals of monitoring include determining program compliance and accountability, analyzing program performance, and analyzing quality and effectiveness of the work on completed dwellings. Quality program monitoring will identify problems, deficiencies, and areas that need improvement, and then assist agencies in their program operations and compliance with DOE and State regulations. Monitoring is also a part of a successful training program by assessing the need for training and technical assistance to improve local agency service delivery, cost-effectiveness, and accountability.
Specific DOE rules in regards to Grantee monitoring (found in annual Grant Guidance) include:
The Grantee must conduct comprehensive monitoring of each subgrantee at least once a year, including monitoring must include review of client files and subgrantees records, as well as actual inspection of at least 5 percent of the completed units. Grantees are strongly encouraged to inspect additional “in progress” units in order to assess compliance with safe work practices, adherence to lead safe weatherization protocols, and other factors that are relevant to onsite, in progress reviews.
The subgrantee should be briefed on the observations and findings generated by the monitoring visit, usually through an exit interview. Within 30 days after each visit, the Grantee will prepare a written report on its findings and send it to the subgrantee for corrective action, if applicable. Noncompliance findings unresolved within forty-five days should be reported to the PMC. Sensitive or significant noncompliance findings should be reported to the PMC immediately.
Major findings from subgrantee monitoring visits and financial audits should be tracked by the Grantee to final resolution. DOE recommends that the tracking record developed by the Grantee include, but not be limited to: findings, including success stories, recommended corrective actions, deliverables, due dates, responsible parties, actions taken, and final resolutions.
Annually the Grantee will summarize and review each subgrantee’s audit, program monitoring reports and findings for internal monitoring of Grantee and subgrantee needs, strengths, and weaknesses. The results of this annual monitoring should be considered during annual planning and should be available in the Grantee Office for the PMC staff to review during their Grantee program monitoring visits.
Relevant Program Guidance
Effective: January 15, 2010 - To clarify the monitoring requirements contained in Section 4.0 GRANTEE PROGRAM OVERSIGHT (Program Monitoring) of WPN 09-1B, Grant Guidance to Administer ARRA Funding, dated March 12, 2009.
Effective: December 18, 2009 - To issue grant guidance and management information for the Low-Income Weatherization Assistance Program (Weatherization) for Program Year (PY) 2010.
WPN 09-1B GRANT GUIDANCE TO ADMINISTER THE AMERICAN RECOVERY AND REINVESTMENT ACT OF 2009 FUNDING
March 12, 2009 - To issue grant guidance and management information for accessing funding under the American Recovery and Reinvestment Act of 2009 (Recovery Act). This guidance should be used in conjunction with Weatherization Program Notice (WPN) 09-1A, Grant Guidance for Program Years 2008 and 2009 to Access the $250 Million Supplemental Funding, dated October 27, 2008, and WPN 09-1, Program Year 2009 Weatherization Grant Guidance, dated November 17, 2008.
Grantee Monitoring Documents