Monitoring Advisory

Monitoring Advisory cover
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Updated November 2015

DISCLAIMER: GHSA guidance documents have not been updated to include the requirements in the IFR published in the Federal Register on May 23, 2016, which implement the FAST Act.

State Highway Safety Offices (SHSOs) implement behavioral highway safety programs with federal grant funds largely by sub-allocating funding to other state and local agencies and nonprofits. SHSOs must monitor these grants to ensure that subrecipients are spending their funds in the manner intended.

GHSA developed this Monitoring Advisory to enhance the state monitoring processes. It was originally reviewed by the GHSA Executive Board and the National Highway Traffic Safety Administration (NHTSA) and adopted by the GHSA membership in September 2006. The Monitoring Advisory was updated in 2012. This new updated version, which includes sample State forms to address the FY 2016 Uniform Guidance pre-award risk assessment requirement, was completed in November 2015.

Download GHSA Monitoring Advisory

Appendices

Appendix A. State Monitoring Survey

Appendix B. Tabulation of Responses to GHSA Survey Questions

Appendix C. Policies and Procedures Samples

  • Illinois
  • Indiana Monitoring Guidelines
  • Iowa Contract Monitoring Policy for Law Enforcement Grants
  • Iowa Contract Monitoring Policy for Non-Law Enforcement Grants
  • Kentucky
  • Maryland
  • Nebraska
  • Nevada
  • Ohio
  • Oklahoma
  • Oregon On-Site Project Monitoring Process

Appendix D. Monitoring Form Samples

  • Alabama
  • California
  • Illinois On-Site Monitoring Report
  • Illinois Project Monitoring Checklist and Report
  • Indiana Grant Monitoring Checklist and Report
  • Iowa Administrative Review Report
  • Kentucky On-Site Monitoring Form
  • Maine On-Site or Telephone Contact Sub grant Monitoring Form
  • Maryland On-Site Project Monitoring Checklist and Report Form
  • Massachusetts Site Visit / Desk Review Worksheet
  • Massachusetts Monitoring Form
  • Michigan
  • Mississippi Sub Grantee Monitoring Report Form
  • Nebraska On-Site Monitoring Form
  • Nevada On-Site Monitoring Report
  • North Dakota Program and Financial On-Site Monitoring Report
  • North Dakota Program and Financial On-Site Monitoring Report for Law Enforcement
  • Oklahoma On-Site Project Review Checklist
  • Oregon On-Site Mid Year Monitoring Report
  • Rhode Island Monitoring Administrative Review Report
  • Tennessee Desk Monitoring Form including policy
  • Tennessee Monitoring Form Example (incomplete sample)
  • Virginia Grantee Monitoring Form
  • Virginia Grantee Monitoring Form for Law Enforcement Agencies

Appendix E. SHSO In-House Preparation Samples

  • Kentucky
  • Massachusetts Monitoring Site Visit Compliance Guide Checklist
  • Massachusetts Monitoring Site Visit Compliance Guide Table of Contents
  • Massachusetts Monitoring Visit Introductory Form Letter
  • Minnesota
  • North Carolina
  • Rhode Island Monitoring Visit Explanation Letter for Subrecipients
  • Tennessee Program Manager Monitoring Checklist

Appendix F. Miscellaneous SHSO Forms, Checklists, and Practices

  • Alabama Sample Grantee Notification Letters
  • Arizona Monitoring Guide for Sub Grantees
  • Georgia PowerPoint Presentation On-Site Form Training
  • Hawaii Equipment Record
  • Hawaii Record of Small Purchases
  • Illinois Monitoring Contact Report
  • Indiana Year End Grant File Checklist
  • Iowa Contract Deficiency Follow-up Report
  • Iowa Contract Deficiency Notification
  • Iowa Contract Cancellation Notice
  • Iowa Law Enforcement Performance Measures Review Form
  • Iowa Tracking Report Summary
  • Maryland Monitoring Tracking (in house) Work Sheet
  • Maryland On-Site Monitoring Confirmation Email
  • Maryland On-Site Monitoring Visit Email Reminder
  • Maryland On-Site Visit Letter Template
  • Mississippi Project Monitoring Schedule
  • Missouri Telephone Contact Monitoring Schedule
  • New Mexico Project File Review Checklist
  • New Mexico Site Visit Checklist / Selective Traffic Enforcement
  • North Carolina Project Tracking Form (file)
  • North Dakota Contract Execution Cover Letter
  • North Dakota FFATA Sub-Recipient Information Collection Form
  • Ohio Grantee on Notice Letter
  • Ohio Grantee on Notice Policy
  • Oklahoma Contract Non-Compliance Procedure
  • South Carolina Financial Monitoring Form
  • Tennessee Grant Equipment Surplus Release Letter
  • Tennessee Monitoring (Pre-Visit Notification) Letter Template
  • Tennessee Monitoring (Follow Up Notice) Letter Template (no findings)
  • Tennessee Monitoring Refresher Course Agenda
  • Tennessee Title VI Assessment
  • West Virginia Monitoring Report
  • West Virginia Equipment Purchase / Use Report

Appendix G. SHSO Pre-Award Risk Assessment Forms

  • Alabama Comprehensive Risk Assessment Form
  • Colorado Grantee Risk Assessment, Pre Assessment Signature Page
  • Indiana Risk Assessment Form
  • Iowa Program Selection Guidelines (page 7)
  • Kentucky Risk Assessment (manual tabulation)
  • Kentucky Risk Assessment (electronic tabulation)
  • Michigan Risk Assessment and Monitoring Checklist
  • Minnesota Pre-Award Risk Assessment Form and Rating Scale(modified version of Montana form)
  • Minnesota Medium and High Risk Grant, Subrecipient Follow-Up Form(modified version of Montana form)
  • Minnesota High Risk Assessment Plan(modified version of Montana form)
  • Montana Pre-Award Risk Assessment Form and Rating Scale
  • Montana Risk Assessment Subrecipient Follow-Up Form
  • Montana Post Award Risk Assessment Plan
  • Oklahoma Pre-Award Risk Assessment Form (modified version of Montana form)
  • Oklahoma Risk Assessment Applicant Follow-up Form(modified version of Montana form)
  • Pennsylvania Subrecipient Risk Assessment Form & Monitoring Scale
  • Pennsylvania Risk Assessment Summary Tracking List
  • Rhode Island Risk Assessment Form(Montana version)
  • Utah Risk Assessment Form Package(modified version of Montana forms in one package)
  • Vermont Policy for Grant Issuance and Monitoring(see pgs. 42-43 Grantee Risk-Based Assessment)
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