C. OCJP Monitoring

1.        The OCJP Provides Monitoring to:

Determine subrecipient compliance with the requirements of state and/or federal programs, applicable laws and regulations and stated results and outcomes: Programmatic Monitoring.

Ascertain if internal control over financial management and accounting systems are adequate to account for program funds in accordance with state and federal requirements: Fiscal Monitoring.

2.        Subrecipient Agency Preparation for a Monitoring Visit:

OCJP subrecipients can expect to be monitored programmatically and fiscally at least once during a three-year  period (some subrecipients will be monitored annually).

Subrecipient agencies are selected for monitoring based on their level of risk as determined by OCJP. Examples of criteria used to determine risk are the number of grants received from OCJP, amount of funding received and previous areas of concern. Based on the level of risk a subrecipient may or may not be identified for a monitoring review in any given year of their contract period.

Prior to an on-site monitoring visit, subrecipients will receive notification from OCJP detailing the date and time of the monitoring visit in addition to what information will be requested. The agency may be requested to send some documents prior to the visit. The information requested for the monitoring visit may include completed, printed year-to-date program fund source annual reports. These will be provided to the OCJP staff at the time of the review. It is OCJP’s expectation that all agencies scheduled for a monitoring visit will be prepared and have available all the information requested when the visit is arranged. Additional documentation may be requested at the time of the review. Failure to cooperate fully with the monitoring process will result in written documentation of the agency’s lack of compliance.

3.        On-site Monitoring Review Expectations:

The onsite monitoring review will start with an entrance conference. It is expected that the Project Director will be present for the programmatic monitoring entrance conference, and Fiscal Director will be present during the fiscal monitoring entrance conference.  The chairperson of the governing board or designee, and authorizing official are also encouraged to attend this meeting. The monitor will explain the review process and the monitoring schedule. The project director should make sure that all requested information is available before the review.

The project director and fiscal director should be available during the entire review related to their responsibilities. The monitor will require explanation of supporting documents supplied by the agency. Additional information will be needed during most reviews. Equipment and other purchases through the grant should also be made available for inspection. If needed, the agency should contact the program monitor before the review to arrange workable solutions concerning availability of equipment.

All grant funded staff should also be available for interviews by the program monitor. The monitor has the prerogative to interview staff in private. This may include grant funded staff and other agency staff associated with the grant. The monitor may elect to do telephone interviews with staff in field offices. The agency should provide phone numbers and a list of staff locations.

The exit conference will be held at the end of the review. Again, the project director and fiscal director should be available at the exit conference. The board chairperson or designee and authorizing official are encouraged to attend. The monitor will discuss any known findings and/or observations at this time and the corrective action plan submission procedure.

4.        Disposition and Monitoring Report

At the conclusion of all monitoring review requirements, a monitoring report will be issued within thirty (30) business days. The report will be issued to the subrecipient, OCJP management as well as to the Comptroller of the Treasury/Division of Audit. The monitoring report must be maintained on-site by the subrecipient as part of the subrecipient grant file.​