The Grants Monitoring Division provides fiscal and administrative oversight of all Cal EMA grants through review of an organization's processes to ensure compliance with the rules, laws, and guidelines governing federal grant awards. Cal EMA accomplishes this oversight function through "monitoring." The information below is provided to give you an idea of what monitoring is and how to prepare for a review or visit.
There are different types of reviews performed by Cal EMA monitoring staff to validate compliance, using a training and technical assistance approach. These include Audit Reviews, Schedule (Questionnaire) Reviews, Desk Reviews, and On-Site Reviews. You may expand each review type listed below for additional information.
The Grants Monitoring Division routinely monitors Singe Audit Reports for subrecipients expending $500,000 or more in a year in federal awards. We also monitor Financial Statement and Grant Specific Audit Reports for subrecipients receiving less than $500,000. If the auditor suggests there are areas for improvement or non-compliance with grant requirements, monitors follow-up to ensure that corrective actions are being taken by the subrecipient.
Schedule (Questionnaire) Review
Periodically, a self-certification Schedule (Questionnaire) may be mailed out for the subgrantee to complete and return to Cal EMA. They are typically 2-3 pages in length and are due back within 30 days. Each Schedule is specific to one particular grant, although some questions may pertain to an overall policy or process. If a response indicates a potential deficiency or area of non-compliance, monitoring staff will follow-up with the subgrantee to provide or request additional information, or to assist with any necessary corrections/changes. A Corrective Action Plan (CAP) may be required.
This type of review focuses on a payment or payment period, and involves a review of all related transactions and processes to verify that grant funds were expended in compliance with federal regulations and the terms and conditions of Cal EMA agreements. The review is conducted via phone, mail, and e-mail, although any equipment examination that cannot be accomplished with photographic and other pertinent documentation may require an abbreviated site visit. If a desk-based financial monitoring identifies inaccurate expenditure reporting or misunderstanding of, or non-compliance with, federal or state grant management requirements, the monitor follows up with the subgrantee to provide assistance in correcting any inefficiencies, errors, or policies/procedures. A Corrective Action Plan (CAP) may be required.
On-Site Reviews (or Site Visit)
This is the most comprehensive monitoring activity, focusing on one or more payments or grants, in which Cal EMA assesses the capability, performance, and compliance of subgrantees against applicable administrative regulations and grant requirements. Site visits are conducted by one or more Cal EMA Grants Monitoring staff, in conjunction with Cal EMA Grant Program staff, when possible, and are not meant to be considered an audit. The goal of Cal EMA's on-site reviews is to ensure that subgrantees are aware of, and in compliance with, grant requirements. Like desk reviews, Cal EMA works with subgrantees to correct any inefficiencies, error, or policies/procedures not in compliance with federal or state regulations. A Corrective Action Plan (CAP) may be required.
The Grants Monitoring Division does not monitor subgrantee programmatic activities, or meeting goals and objectives of the overall grant. This oversight and technical assistance is provided by Cal EMA's program administrators. Please visit the appropriate Grant Management area of the Cal EMA website for further information.