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Grant Monitoring Process Florida has enhanced the slate and local capability and capacity to prevent, prepare and respond to terrorist threats since 1999 through various funding sources including federal grant funds. As the steward of the State Homeland Security Grant Program funds, projects and equipment the Florida Division of Emergency Management (FDEM) has a responsibility to track and monitor the status of the grant activity and items purchased. The monitoring process detailed in this document is designed to assess a recipient agency's compliance with applicable state and federal guidelines. The FDEM is responsible for monitoring the financial, programmatic and capability portion of the grant to include equipment procurement and compliance with applicable SHSGP grant guidance and statutory regulations. Monitoring is accomplished utilizing various methods including desk monitoring and on-site visits. There are two primary areas reviewed during monitoring activities - financial and programmatic/capability. Financial monitoring is the review ofrecords associated with the purchase and disposition of property, projects and contracts. Capability review is the observation of equipment purchased, protocols and other associated records. Various levels of financial and programmatic review may be accomplished during this process. Desk monitoring is defined as the review of projects, financial activity and technical assistance between the program office and the applicant via e-mail and telephone. Site visits are defined as actual visits to the recipient agency`s location by a team or members of the FDEM or their designee, to actually observe records, procedures and equipment. Frequency of annual monitoring activity: Each year the FDEM will identify up to 50°x6 of sub -grantees for site visit monitoring. It is important to note that although a given grant has been closed successfully, it is still subject to either desk or on-site monitoring for a five year period following closure. Examples of areas that may be examined include: Management and administrative procedures Grant folder maintenance Equipment accountability and sub -hand receipt procedures Program for obsolescence Status of equipment purchases Status of training for purchased equipment Status and number of response trainings conducted to include number trained Status and number of'exercises Status of'planning activity Anticipated projected completion Specific difficulties completing the project. Agency NIMS/ICS compliance documentation In certain circumstances, the FDEM may request additional monitoring/information if the activity, or lack there of, on the pari of the specific recipient has generated questions from the region, the sponsoring state agency or the FDEM leadership. The method of gathering this information will be determined on a case-by-case basis. Desk monitoring is an on-going process. Agenev recipients will be required to participate in desk top monitoring on an annual basis and as determined by the FDEM. The agency recipients will complete and submit the desk top monitoring within 14 business calendar days of receipt. This contact will provide an opportunity to identify the need for technical assistance (TA) and/or a site visit if the FDEM determines that a recipient is having difficulty completing their project. As difficulties/deficiencies are identified, the respective region or sponsoring agency will be notified by the program office via email. Information will include the grant recipient agency name, year and project description and the nature ofthe issue in question. Many of the issues that arise may be resolved at the regional or sponsoring agency level. Issues that require further TA will be referred to the FDEM for assistance. Examples of TA include but are not limited to. 4- Equipment selection or available vendors a- Eligibility of items or services 41 Coordination and partnership with other agencies within or outside the region or discipline Site Visits Site visits will be conducted by the FDEM or designated personnel. Site visits will be scheduled in advance with the recipient agency POC designated in the grant agreement. Monitoring questionnaires will be provided in advance of the visit. The FDEM will also conduct coordinated financial and grant file monitoring. These moruloring visits will be coordinated with the capability review visits. Subject matter experts from other agencies within the region or state may be called upon to assist in the form of a peer review as needed. All findings related to the capability review will be documented and maintained within the FDEM. 26