Programmatic Risk Survey - Division of Mental Health

IDHS Grants Programmatic Risk Survey

The purpose of this assessment is to evaluate the programmatic risk of the applicant. Limited program experience, protocols and internal control governing program delivery will increase an applicant’s degree of risk but will not preclude the applicant from becoming a grantee. The applicant’s degree of risk may require additional conditions to be incorporated into the grant award pursuant to 2 CFR 200.207. Patterns or trends in programmatic risk will influence GATA training as well as the agency’s monitoring plan. Appropriate support must be provided by GATU and the agency to build grantee capacity. The Process for FY2018 Grants is as follows: A. IDHS provides the online questionnaire for our grantees to complete. B. Grantees complete the questionnaire for each grant they receive. C. IDHS scores the questionnaire based on the responses provided by the applicant D. The calculated responses equate to a risk profile for each of the risk categories. E. The risk profile is aligned to the applicable conditions for medium and high risk applicants in each of the categories. F. The agency communicates the applicable specific condition(s) to the grantee.

In response to the requirements of 2 CFR 200.205, the awarding agency (IDHS) is required to review the programmatic risk posed by applicants. Four risk categories are assessed through this questionnaire:

  1. Quality of management systems and ability to meet the management standards
  2. History of performance
  3. Reports and findings from audits performed under Subpart F—Audit Requirements of this part or the reports and findings of any other available audit
  4. The applicant's ability to effectively implement statutory, regulatory, or other requirements imposed on awardees.

Entity Information

1. Quality of management systems and ability to meet the management standards

1.1. Do you have written policies and procedures that guide program delivery on the topics of:
1.2. Do you have internal controls that govern program delivery on the topics of:
1.3. Does the organization have written standards of conduct covering real or perceived conflict of interest related to actions of employees engaged in the selection, award or administration of contracts supported by grant awards?
  • Yes or No
1.4. How many years of experience does the project leader have managing the scope of services required under this program?
1.5. Does the organization have a time and effort system that:

Question is not applicable because grants are based on a set rate or a per unit of service. Go to question 1.6

1.6. Does the organization have controls for invoicing grants paid based on a rate or unit of service?
  • Yes or No
1.7. Does the organization apply the same standard for match requirements as it does for expenses?
  • Yes, No or NA
1.8. To what extent are you able to produce periodic grant status reports to inform stakeholders about program outcomes?

2. History of performance (The applicant's record in managing grant awards, if it is a prior recipient of awards, including timeliness of compliance with applicable reporting requirements, conformance to the terms and conditions of previous awards, and if applicable, the extent to which any previously awarded amounts will be expended prior to future awards)

2.1. How many years of experience does your organization have with grants of comparable scope and/or capacity?
2.2. If your organization has experience with grants of comparable scope and/or capacity, provide a brief description of similar project goals and outcomes; specify the applicable year:
2.3. During your last two fiscal years, how frequently has your organization submitted project performance reports on time?
2.4. Have there been any significant changes in your organization in the last fiscal year related to:
2.5. Provide a brief explanation for all “YES” responses to question 2.4.
2.6. Does the organization utilize a sub-grantee/sub-recipient/sub-award to manage, administer or complete a project?

If NO, go to question 2.10

2.7. What responsibilities does the sub-grantee/sub-recipient/sub-award perform?
2.8 What percentage of grant funds does the organization pass on to sub-grantees/sub-recipients/sub-awards?
2.9. Does your organization have an implemented policy for sub-grantee monitoring?

If NO, go to 2.10. If YES, does it include

2.10. Do you obtain prior written approval from the funding agency when:
2.11. Does your organization have performance measurements that tie to financial data?

3. Reports and findings from audits performed under Subpart F—Audit Requirements of this part or the reports and findings of any other available audit

3.1. During the last two fiscal years, has your organization been out of compliance with programmatic terms and conditions of awards?
3.2. If your organization had at least one occurrence of non-compliance with programmatic terms and conditions, summarize each occurrence.
3.3. Have corrective actions been implemented within the specified timeframe?
3.4. Provide explanation for any corrective actions that were not implemented within the timeframe specified and for any corrective actions that remain open.
3.5. Have there been conflict of interest-related findings within the last two fiscal years?
a. If NO, go to question 3.6.
b. If YES, specify the conflict of interest-related finding and your response to the finding.
3.6. Has your organization been subject to conditional approvals due to program issues?
a. If NO, to go question 4.1.
b. If YES, specify the terms of the special condition and whether or not the special condition is still applicable.

4. The applicant's ability to effectively implement statutory, regulatory, or other requirements imposed on awardees.

4.1. To what extent does your organization have policies to ensure programmatic expenses are reasonable, necessary and prudent (allowable)?
4.2. To what extent does your organization have policies to ensure programmatic activities are allowable?
4.3. To what extent is your organization able to comply with all statutory requirements of this program?
4.4. Has the organization been out of compliance with any statutory, regulatory or other requirements of grant funding within the last two fiscal years?
b. If YES, specify the terms of the special condition and whether or not the special condition is still applicable.

5. Grant specific questions.

5.1
5.2
5.3.
Programmatic Risk Assessment Certification

On behalf of the applicant entity, I attest that the statements included herein are true, complete and accurate to the best of my knowledge. All occurrences of non-compliance with programmatic requirements have been disclosed.

*