What should Service Coordinators expect during monitoring visits and audits?
HUD uses several tools to assess grantees’ past and current performance. On-site monitoring visits, off-site reviews, and audits ensure that program funds are being used properly. These reviews also determine whether a grantee’s implementation activities comply with ROSS program goals and regulations.
- On-site monitoring visits provide HUD with an opportunity to assess current grantee performance. During visits, HUD will review program records and meet with ROSS grantee staff. HUD may also meet with program participants and community partners to get a fuller picture of program operations.
- Off-site review consists of a thorough review of program documentation and the grantee. These can supplement on-site monitoring visits, or substitute for them when grantees are rated as low-risk. Off-site reviews may also be used when the field office or ONAP is unable to travel to perform on-site monitoring, or when review focuses on a specific performance area. HUD may request that grantees share their records in order to make an off-site review possible.
- Audits examine grantees’ financial activities, including whether program resources are being used in accordance with grant requirements.
Preparation for monitoring visits and audits
The information and documentation that ROSS grantees collect in preparation for an audit will also be useful in preparation for an on-site monitoring visit or off-site review.
Types of documentation
ROSS Service Coordinators must maintain comprehensive, well-organized, and regularly updated records to comply with reporting requirements. Documentation that Service Coordinators should be able to produce for on-site monitoring or off-site review include:
- Grant agreement;
- ROSS Service Coordinators – Funding Request (HUD 52768);
- Letters attesting to match commitment;
- Tracking of match commitments indicating how much has been used;
- Program outreach materials for potential participants;
- PCC membership, outreach and meeting materials;
- Resource directory with entries for service providers and programming available in the community;
- Resident files (intake form, written notes, the Individual Training and Services Plan, assessments, case notes, copies of service referrals, documentation of termination);
- Financial files (expenses and corresponding invoices for salaries/fringe, training, and administrative activities);
- Memoranda of Understanding and other agreements with service providers; and
- Resume/evidence of Service Coordinator’s qualifications.