States are selected each year for monitoring based on a combination of risk factors, namely:
- Last time monitored.
- Questioned costs in A-133 single State audits for the two prior fiscal years.
- Failure to draw down available grant funds in regular or reasonable intervals.
- Conditions placed on the most recent grant award for failure to submit complete performance data and/or meet data quality standards.
- Failure to meet agreed-upon performance levels for all students and/or disaggregated student populations.
States/grantees are then scheduled for full or targeted visits. Full visits are week long, on-site reviews that address compliance with respect to the seven topical areas noted in section II above. Targeted visits are two-day, on-site reviews that address one or more of the above topical areas, depending on the issues and needs of the State/grantee.
Prior to each monitoring visit, DATE staff hosts a pre-briefing with OCTAE leadership to discuss the State and/or grantee risk factors and the planned agenda for the visit. During each visit, DATE staff review documentation and interview key staff pursuant to a prescribed set of checklist items. Following each visit, DATE hosts a post-briefing for the Assistant Secretary and other OCTAE leadership to share key findings and suggested improvement strategies that will be included in the final monitoring report for the State/grantee.
Within sixty days after the visit, a formal monitoring report is issued to the State/grantee indicating areas of non-compliance (findings) and corrective actions as well as suggested improvement strategies. Any State/grantee having findings must submit corrective actions to DATE within the timeframe established in the report or otherwise negotiated with DATE staff. The DATE staff coordinates extensive follow-up with the State to ensure that all corrective actions are addressed and closed in a timely fashion. A letter is issued to the State/grantee to officially close out the monitoring report once all corrective actions have been satisfied.
