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OCJS Grants Monitoring & Fiscal Compliance

Grant Monitoring and Fiscal Compliance

The OCJS division of Grant Monitoring and Fiscal Compliance monitors grant awards for compliance with applicable federal and state statutes, regulations, and grant requirements; uniform administrative requirements, cost principles for federal and state grants, established program policies and procedures, and the Standard Federal Subgrant Conditions. Staff serve in a fiduciary capacity to manage and monitor compliance of one or more statewide criminal justice programs in the field, such as law enforcement and community crime prevention programs, survivor assistance programs, technology programs, and family violence prevention and services.

The OCJS division of Grant Monitoring and Fiscal Compliance ensures optimum productivity, efficiency, and quality of agency operations and services, by monitoring objectives through a variety of techniques including:

  • Conducting risk assessments;
  • Attending in-person visits to high and moderate risk grantees agencies;
  • Ensuring fiscal accountability and integrity by reviewing:
    • Reports
    • Policies
    • Time keeping
    • Contracts
    • Financial reports & record keeping
    • Allowability of expenditures
    • Quarterly summary reports
    • Problem identification
    • Corrective solution development
    • Technical assistance
  • Evaluating of the financial impact of operations, systems, and services by reviewing:
    • Claims processing
    • Utilization review audits
  • Assisting grantees with alignment of federal statutes, regulations, policies, procedures, and guidelines.
  • Facilitating virtual quarterly technical assistance webinars.

QSR Fiscal Reimbursement Requests

OCJS fiscal monitors conduct financial reviews of Quarterly Subgrant Reports submitted to Grant Coordinators. The fiscal monitor’s role is to ensure:

  1. Correctness of the period funding date
  2. Consistency with the reimbursement amount, current expenditures, and cash on hand amounts.
  3. Compliance between current expenditures, submitted backup documentation, and expenses in the approved budget or approved budget/programmatic adjustments.
  4. Uniformity of requested reimbursement between OCJS and match funds.
  5. Correctness of the sum of current expenditures.

Fiscal monitors will either approve the request for reimbursement or return the QSR to the grantee for revision. QSRs returned for revision create a delay in funding due to the inaccuracies. In order to ensure timely reimbursement approval and payment, it is critical for:

  • Expenditures to match the approved grant budget or approved budget/programmatic adjustments, including only allowable expenditures.
  • Submitted backup documentation match the current expenditures and include a completed Equipment Inventory Form for final QSRs.
  • OCJS funds and match funds be appropriately proportioned based on accepted grant application.

Onsite and Remote Fiscal Compliance Reviews

OCJS Division of Grants Monitoring and Fiscal Compliance is committed to the health and safety of our partners while ensuring compliance with state and federal funding regulations. In an effort to be mindful of this dual commitment, fiscal compliance reviews will be performed remotely for the foreseeable future.

Completing risk assessments, in conjunction with the grant application, creates a proactive system to ensure fiscal success of all grantees. It is an acknowledgement that some may need additional assistance to implement an effective project and remain in compliance with federal regulations. The assignment of risk can change throughout the grant period, depending on changing circumstances. The risk assessment should not be viewed as a pejorative or punitive system, but as a tool to create high quality programs. This risk assessment will indicate the urgency of an onsite visit or if a remote review would suffice.