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Program Year 3 Action Plan Monitoring response:
The HUD formula and entitlement funding received by the State each year is administered by ADECA and AHFA. The directors of these programs and their sub-recipients have developed detailed monitoring programs to ensure compliance with all state and federal regulations. Generally, HUD monitorings of Alabama’s programs end with favorable reviews or minor compliance issues that need to be addressed. Alabama has an excellent track record of resolving all concerns and findings in a timely and conscientious manner. A more detailed review of the monitoring programs established by the Consolidated Plan programs is provided below.
On behalf of the State of Alabama, ADECA does an on-site monitoring review of all CDBG construction grants at least once during the life of the project. Areas reviewed for compliance include adherence to one or more of the program’s national objectives, eligibility, financial management, civil rights, environmental concerns, citizen participation, timeliness, procurement, contract management, labor standards enforcement, acquisition, relocation, job creation, and housing as appropriate.
The State utilizes a computerized tracking system to initiate each monitoring visit at the point when a reasonable percent of the grant funds has been drawn. Currently, most monitoring visits are scheduled at the time at least 30 percent of the funds have been drawn. The system also tracks the resulting resolution of any findings made in a timely manner.
After each monitoring visit, a report is written to the grantee to explain the results of the review. Monitoring determinations range from “acceptable” to “finding” with appropriate corrective measures imposed. Corrective measures may include certifications that inadequacies will be resolved, documentary evidence that corrective actions have been instituted, reimbursement of disallowed costs, or other sanctions which limit the grantee’s future participation in the program. Furthermore, no grant can be closed until all monitoring findings have been satisfactorily resolved.
Under HOME Program guidelines, AHFA is required to conduct annual on-site inspection of recipients to determine compliance with the rules and regulations of Title II of the National Affordable Housing Act & 24CFR Part 92. The compliance monitoring procedures and requirements are as follows:
The State monitors ESG grants by going on-site to review program records and to make limited visits to sub-recipients to observe activities being carried out. The State has checklists for important program areas such as financial, environmental, etc. After each monitoring visit, a report is written to the grantee to explain the results of the review. Results range from “acceptable” to “concern” to “finding” with appropriate corrective measures being applied. Such measures may include certifications that shortcomings will be addressed, documentary evidence that corrective actions have been undertaken, reimbursement of disallowed costs, or other sanctions. Similar to CDBG, grants will not be closed if findings are unresolved.
Alabama’s PY2012 HOPWA Program will be administered by ADECA through a sub-recipient, AIDS Alabama, located in Birmingham. The State monitors this sub-recipient at least once a year through an on-site visit to the agency, as well as any of their sub-recipients. Monitoring is designed to assure compliance with applicable laws and regulations. Additionally, AIDS Alabama receives an annual external audit to monitor compliance with Generally Accepted Accounting Principles (GAAP) and with all applicable HUD regulations. AIDS Alabama also monitors each of its sub-recipients across the state annually to ensure compliance with all applicable laws and regulations and to monitor compliance with GAAP.
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