effective oversight
DESCRIPTION
Effective Oversight. CSBG Oversight: An Operational Continuum. Effective Oversight. Contracts. Effective Oversight. Policies and Procedures. Effective Oversight. Holistic Monitoring. Federal Law and Applicable Regs. Effective Oversight. Monitoring Tool . State Plan. - PowerPoint PPT PresentationTRANSCRIPT
Effective OversightCSBG Oversight: An
Operational Continuum
Effective Oversight
Contracts
Effective OversightPolicies and Procedures
Effective OversightHolistic
Monitoring
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Federal Law and
Applicable Regs
Effective Oversight
Monitoring
Tool
Policies and Procedures
State Plan
A Systems View of Monitoring
Brown Buckley Tucker
CSBG
Head Start
LIHEAP
WAPWIA
IM 49
IM 94
Monitoring Practices and Principles
Why Use a System’s Approach
I.M. 94 ‘State CSBG Lead Agencies …should …
ensure …that agency Head Start programs have ongoing systems of oversight and monitoring.’
‘It is important to stress that quick fixes to identified problems typically result in a reoccurrence of the problems. Most areas needing improvement are often linked to major systems that often require thoughtful planning and time to implement needed changes.’
I.M. 94, cont.
‘…the Community Services Network must continue to focus its efforts on strengthening overall agency governance and administration, fiscal control, program effectiveness and accountability to assure capacity to comply with all program requirements of the various programs administered by the agency.’
I.M. 49 “Recognizing that CSBG does not succeed as an individual program…
Special attention will be paid to State capabilities to identify the…needs
among eligible entities, particularly those related to strengthening
OVERALL program administration, fiscal management,…”
I.M. 49, cont. “…State…officials …(should)
reinforce the importance of effective management SYSTEMS…”
“…As part of …oversight, we should implement on-going…SYSTEM-WIDE actions…to assure continued administrative and fiscal integrity, program effectiveness, and accountability among ALL PROGRAMS administered by CAAs.”
I.M. 49, cont.
“…Agencies in the past have often focused their energies on ‘preparing for the monitoring test’ instead of implementing on-going SYSTEMS that identify areas needing improvement…”
I.M. 49, cont.
“…Agencies that choose to operate each of their programs separately without a coordinated strategy to address the multi-faceted causes and conditions of poverty…are meeting neither the letter nor the spirit of the CSBG act.”
“…Community Action is one agency with one mission.”
I.M. 49, cont. “…Most areas needing improvement
are often linked to major SYSTEMS…”
“…State …officials (should) …reinforce the importance of effective management SYSTEMS…”
NASCSP’s Standard Monitoring Principles and Practices for CSBG
“…State monitors should look at more than compliance with program rules and regulations.”
“…State monitors need to take a SYSTEMS view of each CAA…”
Monitoring Principles and Practices
Any State MonitoringStructure
ABC Community ActionBoard of Directors
Executive Director
CSBG
CSBG Staff
Head Start
Head Start Staff
Weatherization
Weatherization Staff
LIHEAP
LIHEAP Staff
Housing
Housing Staff
Finance
Finance Staff
Brown Buckley Tucker
A System for Monitoring
Integrated Monitoring Structure
Monitoring Tool
CollaborativeRelationships
Staff Training
Dynamics of Change
HUD Head StartWeatherization
Brown Buckley Tucker
ABC Community ActionGovernance
Fiscal Policies & Procedures Planning:
Mission & PlanningAdmin. Systems & Procedures
Programs EvaluationPartnerships
Outcomes
Monitoring as oversight…
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Federal Law and
Applicable Regs
Effective Oversight
Monitoring
Tool
Policies and Procedures
State Plan
Guides states in assuring that all federal and state laws/regulations, policies and procedures, and the contract are followed References key areas Simplifies monitoring report/corrective
action by having citations readily in hand
Effective Oversight: Monitoring Tool
CSBG Reference
CEAP Reference
CSBG/CEAP Questions
OMB Cir. A-110, Subpart C_.21 & OMB Cir. A-102 & A-87(if app), 1 § 5.14
OMB Cir. A-110, Subpart C_.21 & OMB Cir. A-102 & A-87(if app)CEAP Contract Sect 6, 1 § 5.14
5. Are Monthly Expenditure Report () financial figures reconciled from the general ledger or accounting work papers?Methodology: Compare for two months provided by Subrecipient with copy of brought by Program Officer. Also, review General Ledger and working papers and/or reports used to compile figures for the in review.
Referenced Monitoring Question
CSBG Reference Question
42U.S.C. §9901 et seq. Sect 676 (b)(11), and 10 § 5.3 and § 5.210, Contract Sect 33
CAP Plan 111. Has the Department received and accepted the current year Plan?Methodology: Review current year CAP Plan and check approval date.
Referenced Monitoring Question
Monitoring ItemThere is an analysis of the agency’s poverty needs and problems, the client groups at risk in its geographic area, and an analysis of the resources available to address those identified needs. (42 U.S. C9908 (b) (11); CSBG State Plan; Contract Section 2.01.5)
Referenced Monitoring Question
Topic Question GuidancePlanning Is there a community
needs assessment for the community served?
According to the CSBG statute, needs assessment refers to a systematic effort aimed at evaluating what the service requirements of the community are. It is aimed at determining what services it is essential to provide, what is available, and what is missing. A best practice for conducting a needs assessment would be for the agency to be conducting a needs assessment that is used agency-wide versus individual programs completing program-specific assessments. Needs assessments can be conducted through several methodologies including surveys, all-staff meetings, one-on-one interviews, focus groups, or community meetings. There is a regularly conducted, broad-based community needs assessment and a system is in place to utilize data in developing the agency strategic plan and in formulating program goals and objectives. Information from the needs assessment is used in formulating agency goals and objectives in which the board members were involved and approved. Information is also shared with the community, local policy makers and legislators. The agency’s needs assessment and strategic plan are utilized in seeking funding through governmental and private funding sources.
Referenced Monitoring Question
Topic Question GuidanceCustomer Service Complaints
What is the system for handling customer complaints/grievances? Is this system/process written? How are customers made aware of the procedures?
In an excellent agency, there are opportunities for customers to provide feedback to the agency, including complaints. This system includes ways in which to handle and assess complaints. CSBG contract requirement item # 27; LIHEAP contract requirement item # 4.
Referenced Monitoring Question
On-Site Monitoring
Follow-Up
Board Meeting Minutes
AuditReview of Documents
Phone Calls
Reports from
Partner Agencies
Monitoring Process is Ongoing
Checking the boxes is not enough
Reflect back on the monitoring practices, which include state monitors should: Look at more than compliance with program rules
and regulations Assess the effectiveness of the board of directors. Assess the administrative and leadership capacity
of agency management as it relates to meeting the Board of Director’s goals.
CAUTION…..
NASCSP Monitoring Principles and Practices Congress Calls For More
Accountability
Monitoring Tool
Monitoring PracticesMonitoring
Principles
Joint Problem Solving
More thanCompliance Board
EffectivenessMutualRespect
OpenCommunications
Systems to Inform& Follow Up Administrative
Capacity
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Federal Law and
Applicable Regs
Effective Oversight
Monitoring
Tool
Policies and Procedures
State Plan