New Mexico Administrative Code
Title 11 - LABOR AND WORKERS' COMPENSATION
Chapter 2 - JOB TRAINING
Part 19 - WORKFORCE INNOVATION AND OPPORTUNITY ACT OVERSIGHT AND MONITORING
Section 11.2.19.14 - MONITORING CONDUCTED BY SUBRECIPIENT AND CONTRACT SERVICE PROVIDER

Universal Citation: 11 NM Admin Code 11.2.19.14

Current through Register Vol. 35, No. 18, September 24, 2024

A. Oversight responsibility. Sub-recipients and contract service providers shall assure that regular oversight of their own activities and regular monitoring of the activities of their contract service providers which receive public funds is conducted, completed, and documented. Monitoring shall include monitoring of both the fiscal and program performance of the entities or contract service providers administering and delivering services. These monitoring activities should be designated to ensure compliance with federal, state, and local requirements and that programs achieve intended results and grant funds and other assets are adequately safeguarded. Monitoring activities shall be planned to ensure the most effective use of monitoring resources.

B. Minimum requirements. Monitoring activities shall assess a contract service provider's compliance with applicable federal, state, or local laws, regulations, contract provisions/grant agreement, policies, and official directives. The sub-recipient shall assess the contract service provider's compliance with the appropriate uniform administrative requirements for grants and agreements applicable to the type of entity receiving funds, as promulgated in the OMB circulars or rules. These activities shall encompass both financial and programmatic monitoring and shall be evaluated on no less than an annual basis at a minimum. Each sub-recipient and contract service provider shall conduct regular oversight and monitoring of its own sub-recipients and contractors in order to ensure the following.

(1) Determine that expenditures have been charged to the cost categories and within the cost limitations specified in the applicable laws and regulations.

(2) Determine whether or not there is compliance with other provisions of applicable laws and regulations.

(3) Provide technical assistance as necessary and appropriate.

C. Monitoring plan. Sub-recipients and contract service providers shall develop their own local-level monitoring plan. This monitoring plan shall incorporate the following.

(1) Schedule or timetable for monitoring WIA funded activities.

(2) Identification of the type of review planned, such as on-site review, comparative financial analysis, desk review, staff analysis, or other type of appropriate review.

D. Controls over monitoring. To ensure comprehensive and effective monitoring, sub-recipients and contract service providers shall ensure the following.

(1) Require periodic reports from their contract service providers outlining monitoring reviews, noncompliance issues, and the status of corrective actions.

(2) Ensure that a briefing regarding monitoring activities and findings is provided to the local board or appropriate local board subcommittee at regularly scheduled meetings and that this briefing is documented.

(3) Perform an annual evaluation of the monitoring function to determine its effectiveness.

(4) Develop a written monitoring procedure to be used in monitoring both program and fiscal operations.

E. Reporting and resolution requirements. Sub-recipients and contract service providers shall ensure that monitoring reports identify instances of noncompliance with applicable federal, state, and local laws, regulations, contract provisions/grant agreement, policies, and official directives, and provide recommendations for corrective action and program quality enhancements. Sub-recipients and contract service providers shall ensure that timelines are established for the completion of corrective actions, based on the severity of the deficiency, and shall work with the contract service providers to ensure implementation of corrective actions. Timelines shall support prompt correction of any instances of non-compliance. Sub-recipients and contract service providers shall ensure that a copy of monitoring reports is made available to all local board members.

Disclaimer: These regulations may not be the most recent version. New Mexico may have more current or accurate information. We make no warranties or guarantees about the accuracy, completeness, or adequacy of the information contained on this site or the information linked to on the state site. Please check official sources.
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