Programmatic Risk Survey - Division of Family and Community Services

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 IDHS 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:

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

Entity Information

Entity Name*

FEIN*

DUNS Number*

CSFA Number*
(example: 444-xx-xxxx)

CSFA Name*

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:

a. Quality assurance
b. Outcome tracking and reporting mechanisms
c. Relevant documentation of services/goods delivered
d. Staff performance management policies and procedures
e. Personnel policies and procedures that include conflict of interest statements
f. Complaint/grievance resolution policies and procedures
g. Governing body policies and procedures that include conflict of interest statements
h. Safeguarding funds, property and other assets against loss from unauthorized use or disposition
i. Management of grant term extensions, where applicable

1.2. Do you have internal controls that govern program delivery on the topics of:

a. Quality assurance reporting
b. Appropriate (to industry) supervision of staff
c. Unit costs analysis and management
d. Accreditation/licensing compliance program

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:

a. Records all time worked, including time not charged to awards ?
b. Is signed-off by the employee and a supervisor?
c. Includes an approved methodology?

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:

a. Leadership change(s)
b. Significant program / grant initiative(s)
c. Structural changes
d. Fiscal changes
e. Statutory or regulatory requirements
f. Other

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?

Yes or No

If NO, go to question 2.10

2.7. What responsibilities does the sub-grantee/sub-recipient/sub-award perform?

a. Participant eligibility determination
b. Performance reporting
c. Program delivery functions
d. Financial reporting
e. Other

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?

Yes or No

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

on-site review

review of prior monitoring

desk / quantitative review

2.10. Do you obtain prior written approval from the funding agency when:

a. The scope or objective of the program changes
b. Key personnel specified in the application change
c. The approved project director disengages for more than 3 months or reduces 25% of time devoted to the project

Question is not applicable because organization has not been subject to these requirements

2.11. Does your organization have performance measurements that tie to financial data?

Yes or No

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?

Yes or No

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?

Yes or No

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?

Yes or No

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?

Fully able to comply with all statutory requirements
With the following exception(s), the organization is able to comply: Text response of exception(s)

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?

Yes or No

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 How long has your agency implemented programming for at-risk youth?

5.2 Has your agency received a grant (federal or state) to implement programming for at-risk youth in the past 3 years?

5.3. Is your agency's mission/goals consistent with improving outcomes for at-risk youth?

5.4. Does your agency separately provide programming and services to at-risk youth that will compliment or support those that will be provided by this grant?

5.5. Is your agency "trauma informed"?

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.

* By checking, I certify that the information provided is accurate.

First Name:* Last Name:*

Email:*