FY17 Texas Workforce Commission Subrecipient Monitoring Presentation will include Expectations prior to the onsite visit The onsite visit Exit Conference Reports Program Areas to be reviewed ID: 731323
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Slide1
Adult Education and Literacy Monitoring FY17
Texas Workforce Commission
Sub-recipient Monitoring Slide2
Presentation will include:
Expectations prior to the on-site visit
The on-site visit
Exit ConferenceReportsProgram Areas to be reviewedFiscal Areas to be reviewed
AEL FY17 Monitoring OverviewSlide3
Prior to the On-site review
Notification of
Review – (Engagement Letter and Confirmation Page)
Document Request Packet (DRP)Desk Review – Assess risk and areas to testNumber of Monitors to be on-siteSamples Thursday before the on-site visit
Equipment needed for review i.e. copiers,
WIFI Access (internet)
AEL FY17 Monitoring OverviewSlide4
DOCUMENT REQUEST PACKET
Organization
Information
(organizational chart- current and dated)Staff namesJob titlesLocationTelephone numbersContracts and Financial Agreements (list of all active contract and non-financial agreements)Cost Allocation
(current dated copy of approved cost allocation plan and/or indirect cost rate plan; include policies for how the plan is developed and approved)
AEL FY17 Monitoring OverviewSlide5
DOCUMENT REQUEST PACKET
Accounting Records
(detailed general ledger report of AEL transactions during the scope of the review, detailed by:
Funding stream/grantCost categoryVendor nameTransaction description Line itemGeneral Ledger should be in
EXCEL
FORMAT
Chart
of Accounts in
EXCEL FORMAT
List
of all Bank accounts associated with AEL funds
AEL FY17 Monitoring OverviewSlide6
DOCUMENT REQUEST PACKET
Current Class Schedule
Listing of all classes
include:LocationType of classDays and Hours scheduled(include transition and bilingual classes)
AEL FY17 Monitoring OverviewSlide7
DOCUMENT REQUEST PACKET
Policies and Procedures
Electronic dated copies of policies and procedures:
Standard operating procedures (SOP)AEL FY17 Monitoring OverviewSlide8
DOCUMENT REQUEST PACKET
Policies and
Procedures continued
AssessmentData managementDistance LearningAccounting BudgetFinancial ReportingDetermining Cash NeedsPersonnel/Human ResourcesTime Reporting
AEL FY17 Monitoring OverviewSlide9
DOCUMENT REQUEST PACKET
Policies and
Procedures continued
TravelAutomation – Internal ControlsPersonally Identifiable InformationMonitoring and Oversight AEL FY17 Monitoring OverviewSlide10
ENTRANCE
Plan
for o
n-site visit Areas to be reviewed Contacts Potential exit timeEstablish the frequency of the debriefing with the Director or designee
AEL FY17 Monitoring OverviewSlide11
ON-SITE
Document processes and gather policies not received in the DRP
Interviews with staff
Testing of areas not completed in Desk ReviewInform Grantee of potential issues as they ariseAEL FY17 Monitoring OverviewSlide12
EXIT CONFERENCE
Discuss review
Potential findings
Questioned Cost Customer Survey
AEL FY17 Monitoring OverviewSlide13
Reports
Draft report
Time frame
Response Final reportSupplementalAEL FY17 Monitoring OverviewSlide14
PROGRAM
AEL FY17 Monitoring Overview
ProgramSlide15
PROGRAM AREAS TO BE REVIEWED
Eligibility
Assessment
Security of Data –Personally Identifiable Information (PII)AEL FY17 Monitoring OverviewSlide16
Eligibility, Intake and Screening
Release
of information
Student enrollment 16 year old court order 17 and 18 withdrawal and parent permission TANF documentation in file, if applicable
AEL FY17 Monitoring OverviewSlide17
Assessment
Documentation
of pre-test
Pre-test prior to enrollment in TEAMSDocumentation of Post-TestMet post test requirement or exception in fileAll assessments administered to a client must be entered into TEAMS regardless if they obtained a gain or not. Supporting documentation for each test noted in TEAMS must be maintained in the case file.
AEL FY17 Monitoring OverviewSlide18
Security of Data/PII
Physical Security
Location where PII is stored
WalkthroughDisposal Equipment used to secure access i.e. cameras, electronic badgesElectronic SecurityEncryptionFollowing policy on computer usage
Removable media
AEL FY17 Monitoring OverviewSlide19
FISCAL
AEL FY17 Monitoring Overview
FiscalSlide20
FISCAL AREAS TO BE REVIEWED
Disbursements
Cost Allocation
Cash ManagementFinancial ReportingAEL FY17 Monitoring OverviewSlide21
DISBURSEMENTS
General Ledger
T
ransactions Reasonable and Necessary Adequately Documented Allowable Properly Classified and RecordedCompliance with Uniform Grant Guidance (UGG)
AEL FY17 Monitoring OverviewSlide22
COST ALLOCATION
Review
Cost
Allocation Plan and/or Indirect Cost Rate/Plan Allocated CorrectlyAEL FY17 Monitoring OverviewSlide23
CASH MANAGEMENT
Document
m
ethodology for cash forecasting (cash draws) Bank Reconciliation – review bank statements Compare CDER cash draws to expenditures
AEL FY17 Monitoring OverviewSlide24
FINANCIAL REPORTING
Monthly
reporting in CDER
Compare GL to CDER expendituresReporting Obligations and Accruals
AEL FY17 Monitoring OverviewSlide25
FREQUENTLY ASKED QUESTIONS
What are the most common findings among the AEL Grantees?
Why did some get on-site monitoring and others a desk review?
How often will we be monitored?What is acceptable documentation for TANF eligibility students?Why does it take so long to get our reports back?If we get a finding, how does that affect our contract?What if we do not correct a finding?Slide26
CONTACTS
Gloria Murillo, Field Director Sub-recipient Monitoring
512-936-2519
Alma I. Tagle, Project Manager (Presenter)512-936-2513Mary Millan, Manager of Field Operations512-936-3612Brian Shaw, Quality Assurance Manager512-936-3050
AEL FY17 Monitoring Overview