Section 2: Ongoing Monitoring
Anchor: #i1005870Introduction
Ongoing monitoring occurs in the ordinary course of operations and includes regular management and supervisory activities and other actions personnel take in performing their duties to assess the quality of internal controls and system performance.
Ongoing monitoring occurs every time a project manager holds a discussion or communicates with a subgrantee project director about the project and its performance.
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Ongoing monitoring can occur daily, weekly, or monthly. Weekly phone calls may be appropriate if there are problems. Monthly status meetings might be needed for complex projects or those with significant problems. Written correspondence, including e-mails, should address routine matters, unless problems are encountered. Quarterly review meetings between the subgrantee and the Project Manager are required.
The Project Manager is usually responsible for monitoring the project throughout the entire grant period, providing technical assistance as needed, and ensuring that the grant provisions are being followed. Regular and close communication between the Project Manager and subgrantee Project Director is encouraged to assist in the early detection of problems.
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Any item related to the progress and management of the grant might be covered in ongoing monitoring. Although usually limited to monitoring progress on activities, ongoing monitoring should also cover the timely submission of complete and correct reports and required documentation, and close examination of budget issues, overruns or underruns, problems encountered, procurement procedures, projected changes, the need for any amendments, best practices, etc.
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Through on-going and/or on-site monitoring, the Project Manager should become aware of any warning signs that can indicate subgrantee noncompliance issues or problems, such as lack of performance, a change in project direction, or fraudulent activities.
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Late project start |
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Low activity level |
No records or inconclusive records |
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Slow expenditure rate |
Evasive answers |
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Late reports or discrepancies |
Failure to obtain required TRF-BTS approvals |
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Low morale/poor attitude |
Salaries claimed did not reconcile with documents |
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Incorrect claims |
Payment for activities not specified in grant |
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Frequent personnel changes |
Submission of questionable invoices or backup documentation |
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Procedures
To ensure that effective ongoing monitoring is occurring, the Project Manager should:
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- Routinely set aside time to call or meet with subgrantee personnel. Anchor: #ALNLJDFF
- Make a list of issues or questions to cover prior to the contact. Anchor: #EOGDWFSY
- Ensure that all issues are covered and that a deadline has been agreed upon to resolve any issues.
Documentation of these contacts, such as notes or e-mails, should be kept in the project files and made available for monitoring. Notes or e-mails can also be documented through the submission of On-going Monitoring Reports through eGrants (See the subheading “Documentation” below.). Each grant agreement includes a provision that the subgrantee will arrange meetings with the Project Manager, at least quarterly, to present the status of activities, discuss problems, and present a schedule of activities for the following quarter’s work.
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Ongoing monitoring should involve grant personnel with management or oversight responsibility for the project. In addition to the Project Director, this would include a financial officer, possibly an agency grants manager, and any other key project personnel.
Each TxDOT district has an Internal Review Analyst (IRA) who works for the District Engineer and is trained to monitor and audit grants. This person is an excellent resource who can possibly assist the Traffic Safety Specialist (TSS) and provide guidance on laws, regulations, policies, and procedures.
The TRF-BTS Policy and Procedures Coordinator is another excellent resource, and may be asked to assist if there is a history of poor performance, or in the case of particularly large and/or complex grant projects such as grants with state agencies or STEP projects. The TRF-BTS Policy and Procedures Coordinator can also provide guidance for determining when to request assistance from management, senior program coordinators, or financial specialists based upon the nature and severity of problems encountered, or if fraud is suspected.
Anchor: #i1005957Documentation
Originals of all checklists, reports, and correspondence must be documented in the eGrants file of record maintained by TRF-BTS. A note to the file should be provided to document meetings and discussions. This documentation becomes important during the course of the project in case of changes in project activities, budget, or grant personnel. The documentation is also important at the end of the project since it is used to evaluate project and subgrantee performance.
To document on-going subgrantee monitoring activities, project managers should create and submit an On-Going Monitoring Report in eGrants. The subgrantee monitoring reports can be found by viewing a subgrantee’s grant in eGrants. “Subgrantee Monitoring” can be found under “Examine Related Items.” The procedures for completing the on-going monitoring report are:
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- Select “Create New” to create a Monitoring Report. Anchor: #KNFGNWPE
- Click on “View Edit and Complete Forms,” and select “On-Going Monitoring.” Anchor: #OECXXJUD
- Complete and save the On-Going Monitoring Report Form. Anchor: #NNMCMPWU
- Add additional information and/or attachments, if necessary, by opening and completing the applicable “Attachments” form page. Anchor: #RVQXSXOW
- Click on “Change the Status” to change the status of the On-going Monitoring Report to “Subgrantee Monitoring Submitted.”
NOTE: Once the status has been changed to “Subgrantee Monitoring Submitted,” the subgrantee will be able to view the monitoring report.