WEBVTT

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Hello and welcome to the

AmeriCorps office of Monitorings

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Overview of monitoring reports

and corrective action planning.

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My name is Alex Delaney and I'm

the acting deputy director of

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the Office of monitoring here at

AMERICORP. And I will be joined

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today by two of my colleagues,

Stacy Dennis and Noel Welsh.

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Throughout this webinar, we'll

be providing an overview of the

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next steps of the monitoring

process.

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We will discuss the monitoring

results and report format and

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notifications, and will provide

an overview and tips on the

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corrective action planning

process.

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Since initiating the current

monitoring cycle earlier this

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year, our monitoring officers

have coordinated both remote and

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on-site monitoring assessments

with grantee staff, which

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include a review of internal

policies and procedures, a

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review of sample documentation

to validate our assessment, and

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in some cases, interviews with

grantee staff members and

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volunteers.

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This slide of the monitoring

activity lifecycle shows the

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steps that have been taken since

the kickoff of this cycle. The

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pre monitoring activities have

been completed. We are now

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completing our monitoring phase

of the life cycle and are

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entering the post monitoring and

closeout phase. So at this point

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we are preparing to distribute

the monitoring results to each

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awardee that was monitored this

round and these monitoring

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results will also be shared in

advance to the Office of

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Regional Operations portfolio

managers.

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Once the results are received,

if there were findings, it will

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be time to begin work on a

corrective action plan or cap a

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plan that outlines how your

organization will address the

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findings discovered during the

monitoring activity.

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Nolan Stacey will go into more

detail on that process later on

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in the webinar.

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So that's a high level overview

of the post monitoring and

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closeout phase, but let's talk a

little bit more about the

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details of the report and

results that you will receive.

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As you see in the slide,

grantees will be receiving an

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e-mail notification from their

assigned monitoring Officer

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indicating that the monitoring

results are ready for review.

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The e-mail includes a PDF

attachment of the formal

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monitoring results notification

from the office monitoring and

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this letter will provide key

information about the monitoring

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activities that were assigned to

the AmeriCorps grant, as well as

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the outcomes of each review

whether there are findings or no

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deficiencies.

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The letter will also indicate if

monitoring activity results will

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require the grantee to develop a

corrective action plan within 30

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calendar days of receiving the

results.

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The e-mail and notification

letter will also provide

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instructions for how grantees

can access their secure OneDrive

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folder to review the monitoring

report and the detailed National

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Service criminal history check

components, if applicable.

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So to reiterate, the e-mail

itself will give you the

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documents you need, instructions

on the next steps and how to

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access your OneDrive secure

folder.

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The monitoring summary report

itself and the National Service

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criminal history check

components, if applicable, will

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be available to view and

download from the OneDrive

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Secure folder.

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Now that we've covered what you

will receive in the

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notification, let's take a

closer look at the monitoring

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report itself.

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So I'm going to share my screen

and walk through a sample

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monitoring report so you can see

what it looks like and get a

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sense of how to navigate the

results.

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So First off, you'll see this

cover page. The top section will

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give you general information

related to your grant, your

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organization, the monitoring

officer who conducted the

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review, and the review start and

completion date.

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The next section here shows the

monitoring activity assignments.

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Throughout this monitoring

process, your grant has been

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monitored for either one or more

of these different review types.

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So if you're only assigned a

financial and operational

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fitness assessment, as is the

case in this sample, you will

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not have information visible to

you for any monitoring activity

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or activities that were not

assigned or conducted for your

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grant during the assessment.

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The cover page also gives you at

the very bottom the monitoring

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results which will be here uh

and you will see it will either

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be a pass, which means there is

no requirement for further

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action, or a corrective action

plan which will indicate the

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need for a corrective action

plan process.

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Now let's navigate over to the

summary tab, which again will be

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specific to the monitoring

activity assigned to your

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organization.

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So this section will list all of

the assessment questions within

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that individual activity, the

compliance determination for

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each question and any associated

notes from the monitoring

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officer or recommendations for

improvement.

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So for example, we see this

first question is noncompliant

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and there are notes from the

monitoring officer which uh

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details why in this case the Fr

does not match up with the

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provided general Ledger for the

same reporting.

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We moved down. You see the other

questions were determined to be

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compliant. So there may not be

any notes included there.

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I also want to highlight that

you may see like in question

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10501 here.

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That some determinations will

be.

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Made as a recommendation for

improvement.

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You may see a recommendation for

improvement noted in this area

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of the monitoring report and

these recommendations are for

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you to review and incorporate as

you see fit, but will not

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require a corrective action plan

as the overall subject area

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involved has already been deemed

compliant. This is just an

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opportunity for improvement.

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Overall, I would recommend doing

a thorough review of the

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compliance Determination,

Monitoring Officer notes, and

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recommendations for improvement

on this report summary tab

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before moving on to the final

tab, the corrective Action Plan

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summary.

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The CAP Summary tab is where, if

there were any noncompliant,

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noncompliant findings discovered

during your review, you and your

14421b52-b995-44fb-928e-fe0aa6ab4081-2

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team will identify the root

cause of the issue and how you

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will address it moving forward.

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Stacey and Noel will be talking

about this process in more

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detail in just a few moments,

but for now I do want to at

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least quickly show you the

format of the CAP summary. On

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the left hand side, you will see

any monitoring questions from

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your assigned monitoring

activity that were deemed

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00:06:10.046 --> 00:06:13.050

noncompliant and will require a

corrective action plan.

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For example, you see this first

question that we reviewed a

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00:06:17.592 --> 00:06:20.927

moment ago related to the FFR,

and you will see a standard

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issue statement with the overall

issue of noncompliance. This is

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a broad statement, but remember

there are more specific notes

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from the monitoring officer back

in the summary report tab.

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Then further over to the right

we have a series of corrective

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action planning prompts that

will guide you to completing the

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CAP for each identified non

compliance issue.

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Um.

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That is followed by the planned

completion or implementation

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date or and details on who

within the organization is

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responsible for making the

required changes.

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Once the corrective action plan

is complete, monitoring officers

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will review and provide notes

with a status of either

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resolved, insufficient or

approved in progress for each

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00:07:05.282 --> 00:07:05.710

finding.

5b94fe8c-c615-4b9e-b849-b7f58dd32dde-0

00:07:06.600 --> 00:07:10.413

So that's just a brief review of

the CAP portion of the report,

5b94fe8c-c615-4b9e-b849-b7f58dd32dde-1

00:07:10.413 --> 00:07:14.049

uh and now I'm going to turn it

over to my colleagues Stacey

5b94fe8c-c615-4b9e-b849-b7f58dd32dde-2

00:07:14.049 --> 00:07:17.445

Dennis and Noel Welsh, who are

our two corrective action

5b94fe8c-c615-4b9e-b849-b7f58dd32dde-3

00:07:17.445 --> 00:07:21.319

planning specialists to discuss

more about the corrective action

5b94fe8c-c615-4b9e-b849-b7f58dd32dde-4

00:07:21.319 --> 00:07:22.689

plan process in detail.

c71c9332-5693-4428-bc39-ce10d7ec6222-0

00:07:27.690 --> 00:07:28.550

Thank you, Alex.

c95ba81f-f735-44f9-b753-141967d7fb02-0

00:07:29.380 --> 00:07:32.605

So you've received your

monitoring results, and if you

c95ba81f-f735-44f9-b753-141967d7fb02-1

00:07:32.605 --> 00:07:35.947

show that a corrective action

plan is needed, you may be

c95ba81f-f735-44f9-b753-141967d7fb02-2

00:07:35.947 --> 00:07:38.000

asking yourself what happens

next.

bec70837-c784-42f3-b20c-e84e8eb42729-0

00:07:38.980 --> 00:07:42.318

The corrective action planning

process provides grant

bec70837-c784-42f3-b20c-e84e8eb42729-1

00:07:42.318 --> 00:07:45.595

recipients with a standard

approach to reviewing and

bec70837-c784-42f3-b20c-e84e8eb42729-2

00:07:45.595 --> 00:07:49.305

addressing identified findings

of noncompliance. It will be

bec70837-c784-42f3-b20c-e84e8eb42729-3

00:07:49.305 --> 00:07:52.892

conducted in three phases,

creating the corrective Action

bec70837-c784-42f3-b20c-e84e8eb42729-4

00:07:52.892 --> 00:07:56.911

plan, working on the corrective

action plan, and closing out the

bec70837-c784-42f3-b20c-e84e8eb42729-5

00:07:56.911 --> 00:08:00.249

corrective action plan. Each

phase will be discussed.

e116850c-c7c7-43a3-9e66-2024394a39fc-0

00:08:00.980 --> 00:08:05.292

In further detail throughout the

next few slides. However, please

e116850c-c7c7-43a3-9e66-2024394a39fc-1

00:08:05.292 --> 00:08:09.213

know during each of these three

phases there may be several

e116850c-c7c7-43a3-9e66-2024394a39fc-2

00:08:09.213 --> 00:08:10.519

requests for rework.

fc577446-5b9d-4796-987e-95759039db30-0

00:08:14.510 --> 00:08:18.279

A corrective action plan is a

method of documenting an issue

fc577446-5b9d-4796-987e-95759039db30-1

00:08:18.279 --> 00:08:21.801

or finding of noncompliance,

identifying its root cause,

fc577446-5b9d-4796-987e-95759039db30-2

00:08:21.801 --> 00:08:25.694

clearly laying out corrective

measures, and the plan of action

fc577446-5b9d-4796-987e-95759039db30-3

00:08:25.694 --> 00:08:29.154

to resolve the finding, and in

addition to check on the

fc577446-5b9d-4796-987e-95759039db30-4

00:08:29.154 --> 00:08:32.800

effectiveness of the proposed

action, it should contain an

fc577446-5b9d-4796-987e-95759039db30-5

00:08:32.800 --> 00:08:36.322

evaluation or follow up that

allows your organization to

fc577446-5b9d-4796-987e-95759039db30-6

00:08:36.322 --> 00:08:39.535

verify that the corrective

actions put in place are

fc577446-5b9d-4796-987e-95759039db30-7

00:08:39.535 --> 00:08:40.030

working.

e90c47ac-80c5-4cd1-947e-650a20c72ef6-0

00:08:41.420 --> 00:08:45.289

Prior to creating the corrective

Action Plan, review the awardee

e90c47ac-80c5-4cd1-947e-650a20c72ef6-1

00:08:45.289 --> 00:08:49.098

guide for developing caps as it

provides guidance in developing

e90c47ac-80c5-4cd1-947e-650a20c72ef6-2

00:08:49.098 --> 00:08:52.670

responses to each CAP element

for findings of noncompliance

e90c47ac-80c5-4cd1-947e-650a20c72ef6-3

00:08:52.670 --> 00:08:55.170

identified within the monitoring

summary.

fa31166e-aabb-4682-b809-5b02baa1d2ba-0

00:08:56.580 --> 00:09:00.677

Create the corrective action

plan within the Excel based tool

fa31166e-aabb-4682-b809-5b02baa1d2ba-1

00:09:00.677 --> 00:09:04.774

that Alex showed you earlier and

used during your monitoring.

fa31166e-aabb-4682-b809-5b02baa1d2ba-2

00:09:04.774 --> 00:09:08.475

Each finding of noncompliance

listed in the monitoring.

fa31166e-aabb-4682-b809-5b02baa1d2ba-3

00:09:08.475 --> 00:09:12.573

Monitoring requires a response

to the four elements, the root

fa31166e-aabb-4682-b809-5b02baa1d2ba-4

00:09:12.573 --> 00:09:16.538

cause, the corrective measures

required, plan of action and

fa31166e-aabb-4682-b809-5b02baa1d2ba-5

00:09:16.538 --> 00:09:20.635

evaluation, and follow up. Each

of these elements has guiding

fa31166e-aabb-4682-b809-5b02baa1d2ba-6

00:09:20.635 --> 00:09:24.336

questions to assist you in

planning how to resolve each

fa31166e-aabb-4682-b809-5b02baa1d2ba-7

00:09:24.336 --> 00:09:28.500

finding and after providing a

response to each of the element.

f80d679f-c4c6-4f5f-9136-96456f145448-0

00:09:29.020 --> 00:09:32.736

Findings determine a target date

for completing the corrective

f80d679f-c4c6-4f5f-9136-96456f145448-1

00:09:32.736 --> 00:09:35.272

actions and the person

responsible for the

f80d679f-c4c6-4f5f-9136-96456f145448-2

00:09:35.272 --> 00:09:39.106

implementation. Now let's take a

look at each individual element

f80d679f-c4c6-4f5f-9136-96456f145448-3

00:09:39.106 --> 00:09:41.820

in the corrective action plan in

more detail.

fab72565-c7c5-41af-9a8e-d7895848aed2-0

00:09:44.290 --> 00:09:48.130

The first app cap element is the

root cause, and the findings in

fab72565-c7c5-41af-9a8e-d7895848aed2-1

00:09:48.130 --> 00:09:51.616

the monitoring summary are

essentially the symptoms or the

fab72565-c7c5-41af-9a8e-d7895848aed2-2

00:09:51.616 --> 00:09:55.162

result. Like you see there in

the illustration of the tree,

fab72565-c7c5-41af-9a8e-d7895848aed2-3

00:09:55.162 --> 00:09:58.353

the root cause is what is

causing the issue. For this

fab72565-c7c5-41af-9a8e-d7895848aed2-4

00:09:58.353 --> 00:10:02.252

section, describe the results of

the analysis of the contributing

fab72565-c7c5-41af-9a8e-d7895848aed2-5

00:10:02.252 --> 00:10:05.029

factors that led to the

underlying root cause.

24bda30b-9d71-4a9e-b122-632ad9aa5d06-0

00:10:07.150 --> 00:10:09.160

When completing this section.

5eafea8d-586b-4322-a36c-302123cf0400-0

00:10:10.260 --> 00:10:13.010

Ask yourself what is causing the

finding.

1b729460-e0d3-49a3-a9a6-bd8dbee21452-0

00:10:13.760 --> 00:10:17.380

And what flaws in the work

process led to the issue?

92df9082-96ee-47f4-95be-3fd955eb931b-0

00:10:18.390 --> 00:10:20.920

Has this type of issue occurred

before?

3c925a4c-a182-4c4e-8f90-9139bfa6edd8-0

00:10:21.590 --> 00:10:23.950

And if it has, what caused it to

reoccur?

a707da16-c69c-4c4c-820f-caefe95a20b6-0

00:10:24.950 --> 00:10:26.600

And what should be happening?

0d8389e7-bfc7-4b0a-80f8-2002278d74d9-0

00:10:27.580 --> 00:10:30.390

So looking back at that tree in

in the picture.

de5c284d-10fc-457d-a1f1-59c483b21ad0-0

00:10:31.880 --> 00:10:35.027

But in this example, the

organization has volunteers

de5c284d-10fc-457d-a1f1-59c483b21ad0-1

00:10:35.027 --> 00:10:38.352

participating in prohibited

activities. And this is the

de5c284d-10fc-457d-a1f1-59c483b21ad0-2

00:10:38.352 --> 00:10:42.033

symptom. It's what was shown

during the monitoring. It's what

de5c284d-10fc-457d-a1f1-59c483b21ad0-3

00:10:42.033 --> 00:10:45.655

the monitoring officer noticed

in the review. The problem of

de5c284d-10fc-457d-a1f1-59c483b21ad0-4

00:10:45.655 --> 00:10:49.396

the issue was that the volunteer

was unaware of the prohibited

de5c284d-10fc-457d-a1f1-59c483b21ad0-5

00:10:49.396 --> 00:10:50.050

activities.

74d0f5d8-e82c-49a7-b2e3-d6deebff4380-0

00:10:50.790 --> 00:10:54.470

And the root cause was the

underlying reason for the issue.

74d0f5d8-e82c-49a7-b2e3-d6deebff4380-1

00:10:54.470 --> 00:10:57.967

The agency did not have the

updated policy on prohibited

74d0f5d8-e82c-49a7-b2e3-d6deebff4380-2

00:10:57.967 --> 00:11:01.280

activities and the volunteers

were not trained on the

74d0f5d8-e82c-49a7-b2e3-d6deebff4380-3

00:11:01.280 --> 00:11:02.630

prohibited activities.

9559a5c2-0ebd-4f6a-81a1-07ce217308e4-0

00:11:03.590 --> 00:11:07.970

There may be one root cause or

multiple causes. Make sure to

9559a5c2-0ebd-4f6a-81a1-07ce217308e4-1

00:11:07.970 --> 00:11:11.920

accurately identify what is

causing the issue at hand.

775f1637-8c93-48a7-a344-19171cd4e42e-0

00:11:15.720 --> 00:11:19.041

The next cap element is

corrective measures and think

775f1637-8c93-48a7-a344-19171cd4e42e-1

00:11:19.041 --> 00:11:22.425

about the following when

developing your response. How

775f1637-8c93-48a7-a344-19171cd4e42e-2

00:11:22.425 --> 00:11:23.840

can the issue be fixed?

e8cf53a4-2306-4ba6-a8b9-afd24a637485-0

00:11:24.750 --> 00:11:27.380

Do I need to reevaluate the

policy and procedure?

3e6b7eec-a65a-438f-b140-495c224a6255-0

00:11:28.410 --> 00:11:31.284

Determine who will conduct

training on the correct way to

3e6b7eec-a65a-438f-b140-495c224a6255-1

00:11:31.284 --> 00:11:31.730

do tasks.

bcdf5228-334a-4bee-a065-43c6ea1deb39-0

00:11:32.630 --> 00:11:36.313

And identify checks and balances

that may need to be strengthened

bcdf5228-334a-4bee-a065-43c6ea1deb39-1

00:11:36.313 --> 00:11:38.100

to ensure issues do not reoccur.

18e618ec-aaec-435a-8bc8-7449451d55a1-0

00:11:39.340 --> 00:11:42.030

What improved protocols will be

established?

6c64e384-415a-459f-b27b-78499facf2d4-0

00:11:42.860 --> 00:11:46.813

So in your response, describe

the proposed corrective changes

6c64e384-415a-459f-b27b-78499facf2d4-1

00:11:46.813 --> 00:11:50.511

to the processes and systems

that will eliminate the root

6c64e384-415a-459f-b27b-78499facf2d4-2

00:11:50.511 --> 00:11:54.272

cause and reduce the likelihood

of reoccurrence of the non

6c64e384-415a-459f-b27b-78499facf2d4-3

00:11:54.272 --> 00:11:58.417

compliance as well as how these

changes will be implemented. The

6c64e384-415a-459f-b27b-78499facf2d4-4

00:11:58.417 --> 00:12:02.178

key is to choose corrective

actions that address each root

6c64e384-415a-459f-b27b-78499facf2d4-5

00:12:02.178 --> 00:12:06.195

cause, and these actions will

generally require creating a new

6c64e384-415a-459f-b27b-78499facf2d4-6

00:12:06.195 --> 00:12:09.319

process or making a change to a

current process.

155710c0-474b-439f-b1ef-cafcc3b5176e-0

00:12:10.430 --> 00:12:14.197

Corrective actions that change

the system and do not allow the

155710c0-474b-439f-b1ef-cafcc3b5176e-1

00:12:14.197 --> 00:12:16.290

errors to occur are the

strongest.

61f76521-7385-43c4-8b37-96aee7270ec4-0

00:12:17.620 --> 00:12:21.191

If a particular corrective

action or change can't be

61f76521-7385-43c4-8b37-96aee7270ec4-1

00:12:21.191 --> 00:12:22.000

implemented.

446b2bab-dc11-4e93-bd64-622f27d0cefa-0

00:12:22.820 --> 00:12:26.700

Due to current constraints like

lack of resources.

e5159ad9-79ff-4302-94c0-2d170d4a2ab2-0

00:12:27.420 --> 00:12:30.439

You should look for other ways

of changing the process to

e5159ad9-79ff-4302-94c0-2d170d4a2ab2-1

00:12:30.439 --> 00:12:33.250

prevent a similar event from

occurring in the future.

46a6049f-9a97-4a34-ad66-564c7e460a56-0

00:12:37.050 --> 00:12:40.758

The next after determining what

corrective measures are needed,

46a6049f-9a97-4a34-ad66-564c7e460a56-1

00:12:40.758 --> 00:12:43.540

the next step is to outline the

plan of action.

6c55f1f2-e572-44a2-ad08-95d8be1f54ee-0

00:12:44.180 --> 00:12:46.930

Clearly state what is to be

done.

c8fd89b0-dc4e-49f9-a2f2-c612a80c26eb-0

00:12:47.660 --> 00:12:51.782

By whom and when. Some action

plans may be short term

c8fd89b0-dc4e-49f9-a2f2-c612a80c26eb-1

00:12:51.782 --> 00:12:55.904

interventions that can be

accomplished quickly, while

c8fd89b0-dc4e-49f9-a2f2-c612a80c26eb-2

00:12:55.904 --> 00:12:57.660

others may take longer.

e15adc77-e6b9-43c4-8396-c98d05101b75-0

00:12:58.660 --> 00:13:02.407

Consider how to effectively

implement the plan so people are

e15adc77-e6b9-43c4-8396-c98d05101b75-1

00:13:02.407 --> 00:13:06.094

complying with the proposed

changes and if the changes will

e15adc77-e6b9-43c4-8396-c98d05101b75-2

00:13:06.094 --> 00:13:07.200

make a difference.

6c768f49-e7b7-43c1-a4e9-8ce8636e21a0-0

00:13:08.400 --> 00:13:11.350

You need to create smart goals

with feasible deadlines.

18db00ee-5ee8-4786-b7ae-5140116eb2b8-0

00:13:12.070 --> 00:13:15.929

They should be specific,

measurable, achievable,

18db00ee-5ee8-4786-b7ae-5140116eb2b8-1

00:13:15.929 --> 00:13:20.419

realistic, and time bound. Make

sure that these goals or

18db00ee-5ee8-4786-b7ae-5140116eb2b8-2

00:13:20.419 --> 00:13:24.673

solutions are centered around

the root cause that you

18db00ee-5ee8-4786-b7ae-5140116eb2b8-3

00:13:24.673 --> 00:13:26.169

identified earlier.

d04dcc09-40df-46bb-8159-4872e7601a8d-0

00:13:26.930 --> 00:13:30.991

Detailing every step necessary

to eliminate the underlying

d04dcc09-40df-46bb-8159-4872e7601a8d-1

00:13:30.991 --> 00:13:32.300

cause of the issue.

3df144f4-e4f3-40c7-bf18-cbb9ef6ea7e3-0

00:13:36.470 --> 00:13:40.283

The 4th CAP element is the

evaluation and follow-up. Please

3df144f4-e4f3-40c7-bf18-cbb9ef6ea7e3-1

00:13:40.283 --> 00:13:43.397

describe how you will

successfully implement the

3df144f4-e4f3-40c7-bf18-cbb9ef6ea7e3-2

00:13:43.397 --> 00:13:46.701

corrective actions and how

they'll be evaluated and

3df144f4-e4f3-40c7-bf18-cbb9ef6ea7e3-3

00:13:46.701 --> 00:13:50.705

measured. This should include

details of how your organization

3df144f4-e4f3-40c7-bf18-cbb9ef6ea7e3-4

00:13:50.705 --> 00:13:53.946

will know that the proposed

corrective actions are

3df144f4-e4f3-40c7-bf18-cbb9ef6ea7e3-5

00:13:53.946 --> 00:13:57.759

effectively implemented during

the anticipated time frames.

7a409dae-ad0f-4e3f-9a0e-08eded62d0ed-0

00:13:58.520 --> 00:14:02.077

Including an assessment of

individuals responsible for

7a409dae-ad0f-4e3f-9a0e-08eded62d0ed-1

00:14:02.077 --> 00:14:06.282

adhering to changes and whether

the CAP is achieving the desired

7a409dae-ad0f-4e3f-9a0e-08eded62d0ed-2

00:14:06.282 --> 00:14:06.800

results.

376cc68e-c2d7-4462-9c56-77b573428b8d-0

00:14:07.810 --> 00:14:11.389

Evaluating the success of the

corrective actions usually

376cc68e-c2d7-4462-9c56-77b573428b8d-1

00:14:11.389 --> 00:14:15.345

becomes the responsibility of

the person designated to oversee

376cc68e-c2d7-4462-9c56-77b573428b8d-2

00:14:15.345 --> 00:14:16.790

the corrective actions.

c21a5273-bda8-4b3d-917b-47102b575a79-0

00:14:18.240 --> 00:14:21.821

Americore staff will be

reviewing the implementation of

c21a5273-bda8-4b3d-917b-47102b575a79-1

00:14:21.821 --> 00:14:25.851

the plan, so it's important to

have a clearly defined plan and

c21a5273-bda8-4b3d-917b-47102b575a79-2

00:14:25.851 --> 00:14:29.497

be able to demonstrate that the

measures of success were

c21a5273-bda8-4b3d-917b-47102b575a79-3

00:14:29.497 --> 00:14:33.462

monitored by the organizational

staff over time and that each

c21a5273-bda8-4b3d-917b-47102b575a79-4

00:14:33.462 --> 00:14:37.300

responsible individual or party

is confident that change is

c21a5273-bda8-4b3d-917b-47102b575a79-5

00:14:37.300 --> 00:14:37.940

permanent.

0a7e303d-84f4-4034-bcba-bcf033e44466-0

00:14:42.320 --> 00:14:45.217

The two remaining fields to

complete within the CAP summary

0a7e303d-84f4-4034-bcba-bcf033e44466-1

00:14:45.217 --> 00:14:47.922

document are the planned

completion date and the person

0a7e303d-84f4-4034-bcba-bcf033e44466-2

00:14:47.922 --> 00:14:49.420

responsible for implementation.

8c8b33e8-2aab-4b68-b7d7-f23b7684d3f1-0

00:14:50.560 --> 00:14:54.329

In the plan completion

implementation date field, enter

8c8b33e8-2aab-4b68-b7d7-f23b7684d3f1-1

00:14:54.329 --> 00:14:57.695

the expected date to complete

the plan and submit

8c8b33e8-2aab-4b68-b7d7-f23b7684d3f1-2

00:14:57.695 --> 00:15:02.004

documentation. If the plan must

be implemented over time, enter

8c8b33e8-2aab-4b68-b7d7-f23b7684d3f1-3

00:15:02.004 --> 00:15:05.774

the date that the documentation

or the evidence will be

8c8b33e8-2aab-4b68-b7d7-f23b7684d3f1-4

00:15:05.774 --> 00:15:09.140

submitted to the Office of

Monitoring for review.

ff355895-ee43-4e13-9ede-392a1221a1f5-0

00:15:10.880 --> 00:15:13.380

In the person responsible for

implementation field.

d083f81c-5316-464d-8877-a73322cca50a-0

00:15:14.110 --> 00:15:18.033

Identify the person or persons

who will be responsible for

d083f81c-5316-464d-8877-a73322cca50a-1

00:15:18.033 --> 00:15:21.890

evaluating and monitoring the

implementation of the plan.

33e9a62c-4e71-40d6-a444-8b88216eecda-0

00:15:25.750 --> 00:15:29.054

Now let's take a look at an

example of a corrective action

33e9a62c-4e71-40d6-a444-8b88216eecda-1

00:15:29.054 --> 00:15:30.790

plan for prohibited activities.

82c61bb0-a4d1-4a2a-bd2b-4ef13673a2f3-0

00:15:32.200 --> 00:15:35.749

The snapshot that's shown on the

screen is a portion of the

82c61bb0-a4d1-4a2a-bd2b-4ef13673a2f3-1

00:15:35.749 --> 00:15:39.416

corrective action Plan summary

worksheet Alex shared with you

82c61bb0-a4d1-4a2a-bd2b-4ef13673a2f3-2

00:15:39.416 --> 00:15:42.788

earlier. The CAP elements

discussed earlier are shown at

82c61bb0-a4d1-4a2a-bd2b-4ef13673a2f3-3

00:15:42.788 --> 00:15:44.089

the top of the screen.

efca3ac5-0fbe-4eeb-8fc8-4263ce493c20-0

00:15:44.730 --> 00:15:47.859

And then the guiding questions

and prompts to develop the CAP

efca3ac5-0fbe-4eeb-8fc8-4263ce493c20-1

00:15:47.859 --> 00:15:48.970

plan are listed below.

d318832f-44cb-4c27-92e0-b2e686ed0539-0

00:15:49.840 --> 00:15:51.250

So within this section.

665fcc84-bddd-46a5-8cf5-4844e093c3ce-0

00:15:53.140 --> 00:15:57.593

In the root cause section, the

agency does not have an updated

665fcc84-bddd-46a5-8cf5-4844e093c3ce-1

00:15:57.593 --> 00:16:01.905

policy on prohibited activities

and volunteers have not been

665fcc84-bddd-46a5-8cf5-4844e093c3ce-2

00:16:01.905 --> 00:16:05.510

trained on prohibited

activities, so keep in mind.

d76a4bbc-6a75-449e-9be8-9b629647c6cb-0

00:16:06.340 --> 00:16:09.769

That the root cause for any

finding may be different

d76a4bbc-6a75-449e-9be8-9b629647c6cb-1

00:16:09.769 --> 00:16:11.710

depending on the organization.

4f8509cd-f868-4f7b-a0f5-4ad7e07ea7b9-0

00:16:12.890 --> 00:16:17.139

Is it policy related? Is it

training related? Is it a lack

4f8509cd-f868-4f7b-a0f5-4ad7e07ea7b9-1

00:16:17.139 --> 00:16:18.220

of supervision?

3509ce7e-2daa-4ed5-bf11-ec5612c8cecd-0

00:16:18.920 --> 00:16:21.766

Just determine the the reason

for the issue at hand and that

3509ce7e-2daa-4ed5-bf11-ec5612c8cecd-1

00:16:21.766 --> 00:16:24.240

will help you to create your

corrective action plan.

120176b9-f647-4451-9ec9-7bf360e237a2-0

00:16:25.450 --> 00:16:27.740

The next section is the

corrective measures.

faf40cff-2a22-4e6f-9394-e251d6cdd969-0

00:16:29.180 --> 00:16:32.729

You might have to update a

prohibited activity policy or

faf40cff-2a22-4e6f-9394-e251d6cdd969-1

00:16:32.729 --> 00:16:36.154

have orientation for your

volunteers on the prohibited

faf40cff-2a22-4e6f-9394-e251d6cdd969-2

00:16:36.154 --> 00:16:36.840

activities.

128f910e-7e08-4776-9f4e-680ebf1875bd-0

00:16:37.610 --> 00:16:41.543

Annual training for staff and

volunteers to include prohibited

128f910e-7e08-4776-9f4e-680ebf1875bd-1

00:16:41.543 --> 00:16:42.230

activities.

9022fce8-6abe-4949-bd15-134900f7f1e4-0

00:16:42.880 --> 00:16:45.050

Or quarterly check-in and

reminders.

8b0bd038-eabb-4874-a74e-b737bc77449a-0

00:16:47.020 --> 00:16:52.250

In the required plan of action

section, you'll see four parts.

326bf654-b078-42fe-980a-a41751c40a04-0

00:16:52.970 --> 00:16:57.338

And your required plan of

action. Depending on what the

326bf654-b078-42fe-980a-a41751c40a04-1

00:16:57.338 --> 00:17:02.408

finding was, you might have one

required plan of action that you

326bf654-b078-42fe-980a-a41751c40a04-2

00:17:02.408 --> 00:17:07.167

determine will will fix the

issue, or you might have several

326bf654-b078-42fe-980a-a41751c40a04-3

00:17:07.167 --> 00:17:12.081

components of your plan and this

section you'll see four parts

326bf654-b078-42fe-980a-a41751c40a04-4

00:17:12.081 --> 00:17:16.995

#1. The program director will

update the prohibited activities

326bf654-b078-42fe-980a-a41751c40a04-5

00:17:16.995 --> 00:17:19.180

policy by August 31st, 2023.

6039fb64-c0c5-4123-ac0f-e49289e263b5-0

00:17:19.950 --> 00:17:23.220

#2 all volunteers and staff will

be trained number hibited

6039fb64-c0c5-4123-ac0f-e49289e263b5-1

00:17:23.220 --> 00:17:25.770

activities during the September

site meeting.

b80a2f21-102a-4500-8659-a103bca9ae58-0

00:17:26.580 --> 00:17:30.537

#3 the program director will

provide the office of monitoring

b80a2f21-102a-4500-8659-a103bca9ae58-1

00:17:30.537 --> 00:17:33.410

a copy of the updated board

approved policy.

6e4548c1-eaa2-4da3-9ab0-5f8ff5168eee-0

00:17:34.120 --> 00:17:37.758

And provide proof that

volunteers and staff have been

6e4548c1-eaa2-4da3-9ab0-5f8ff5168eee-1

00:17:37.758 --> 00:17:41.935

trained on prohibited activities

by October 6, 2023, and four

6e4548c1-eaa2-4da3-9ab0-5f8ff5168eee-2

00:17:41.935 --> 00:17:45.438

site supervisors will e-mail

quarterly reminders to

6e4548c1-eaa2-4da3-9ab0-5f8ff5168eee-3

00:17:45.438 --> 00:17:46.180

volunteers.

823adbd0-9b4d-4f58-bdc7-1d98bcd53ba2-0

00:17:48.640 --> 00:17:51.860

The fourth section is the

evaluation and follow-up, and

823adbd0-9b4d-4f58-bdc7-1d98bcd53ba2-1

00:17:51.860 --> 00:17:52.320

this is.

42b451d8-0d52-4dbb-8cb1-977f16af3893-0

00:17:52.970 --> 00:17:56.861

How you will know your plan is

working? Did you complete the

42b451d8-0d52-4dbb-8cb1-977f16af3893-1

00:17:56.861 --> 00:17:57.180

plan?

fc1b1ccf-c65d-4692-95ee-1a51b4d0dc18-0

00:17:57.800 --> 00:18:01.646

So the first one you'll see is

that you know it's working,

fc1b1ccf-c65d-4692-95ee-1a51b4d0dc18-1

00:18:01.646 --> 00:18:05.427

that's your policy is board

approved, your volunteers are

fc1b1ccf-c65d-4692-95ee-1a51b4d0dc18-2

00:18:05.427 --> 00:18:08.948

trained, 100% of the current

staff and volunteers are

fc1b1ccf-c65d-4692-95ee-1a51b4d0dc18-3

00:18:08.948 --> 00:18:09.470

trained.

7a76b3f5-cb6f-403b-b876-0c1a2dd4b394-0

00:18:10.170 --> 00:18:13.251

Um, you review the site

supervisor quarterly check-ins,

7a76b3f5-cb6f-403b-b876-0c1a2dd4b394-1

00:18:13.251 --> 00:18:16.608

and then you notice that that

the trained volunteers are not

7a76b3f5-cb6f-403b-b876-0c1a2dd4b394-2

00:18:16.608 --> 00:18:19.030

participating in the prohibited

activities.

b2a7d0f1-79f0-4fc9-b41a-0bdd1261c146-0

00:18:20.850 --> 00:18:24.811

And in the last two fields in

the grantee planned completion

b2a7d0f1-79f0-4fc9-b41a-0bdd1261c146-1

00:18:24.811 --> 00:18:28.514

date field, October 6, 2023,

that's the expected date to

b2a7d0f1-79f0-4fc9-b41a-0bdd1261c146-2

00:18:28.514 --> 00:18:32.476

complete the plan and submit

supporting documentation to the

b2a7d0f1-79f0-4fc9-b41a-0bdd1261c146-3

00:18:32.476 --> 00:18:33.840

Office of monitoring.

82ddef82-cf68-4e33-aaea-063a21f779ed-0

00:18:36.100 --> 00:18:39.545

The last one is the person

responsible for implementation,

82ddef82-cf68-4e33-aaea-063a21f779ed-1

00:18:39.545 --> 00:18:42.991

and in this case it's the

program director, Sam Smith, who

82ddef82-cf68-4e33-aaea-063a21f779ed-2

00:18:42.991 --> 00:18:46.145

will be responsible for

evaluating the success of the

82ddef82-cf68-4e33-aaea-063a21f779ed-3

00:18:46.145 --> 00:18:49.766

corrective actions and reporting

to the Office of monitoring,

82ddef82-cf68-4e33-aaea-063a21f779ed-4

00:18:49.766 --> 00:18:52.861

providing supporting

documentation that the plan was

82ddef82-cf68-4e33-aaea-063a21f779ed-5

00:18:52.861 --> 00:18:54.380

implemented and completed.

bbceb2bc-8a23-479b-ac26-6fd0e4b06c82-0

00:18:57.540 --> 00:19:01.359

So let's review a few key points

for phase one of the corrective

bbceb2bc-8a23-479b-ac26-6fd0e4b06c82-1

00:19:01.359 --> 00:19:02.770

action planning process.

eccfb52f-7b29-4fd1-8b0e-4828746ca825-0

00:19:04.590 --> 00:19:08.137

Each finding of noncompliance

identified in the monitoring

eccfb52f-7b29-4fd1-8b0e-4828746ca825-1

00:19:08.137 --> 00:19:11.624

must be addressed by creating a

CAP, and the plan will be

eccfb52f-7b29-4fd1-8b0e-4828746ca825-2

00:19:11.624 --> 00:19:14.870

developed and compiled on the

CAP summary tab of your

eccfb52f-7b29-4fd1-8b0e-4828746ca825-3

00:19:14.870 --> 00:19:18.357

monitoring report. The CAP plan

must be submitted to your

eccfb52f-7b29-4fd1-8b0e-4828746ca825-4

00:19:18.357 --> 00:19:21.724

monitoring officer within 30

days of the receipt of the

eccfb52f-7b29-4fd1-8b0e-4828746ca825-5

00:19:21.724 --> 00:19:25.271

monitoring report, and any

request to extend this deadline

eccfb52f-7b29-4fd1-8b0e-4828746ca825-6

00:19:25.271 --> 00:19:28.818

must be communicated to your

monitoring officer as soon as

eccfb52f-7b29-4fd1-8b0e-4828746ca825-7

00:19:28.818 --> 00:19:29.359

possible.

b318439c-df26-4a72-b4f7-78dfef1883ef-0

00:19:31.360 --> 00:19:35.954

Cap submissions must contain the

elements previously reviewed and

b318439c-df26-4a72-b4f7-78dfef1883ef-1

00:19:35.954 --> 00:19:39.644

that's the root cause.

Corrective measures required.

b318439c-df26-4a72-b4f7-78dfef1883ef-2

00:19:39.644 --> 00:19:43.473

Plan of action and your

evaluation follow up. Two very

b318439c-df26-4a72-b4f7-78dfef1883ef-3

00:19:43.473 --> 00:19:47.859

important elements that must be

included within this framework

b318439c-df26-4a72-b4f7-78dfef1883ef-4

00:19:47.859 --> 00:19:52.245

are the targeted timelines and

identifiable deliverables. This

b318439c-df26-4a72-b4f7-78dfef1883ef-5

00:19:52.245 --> 00:19:56.422

tells the monitoring officer and

other office of monitoring

b318439c-df26-4a72-b4f7-78dfef1883ef-6

00:19:56.422 --> 00:19:56.839

staff.

f4046505-1e14-4735-a912-44fa05974ee3-0

00:19:57.540 --> 00:20:01.167

Both what to expect to resolve

the areas of noncompliance and

f4046505-1e14-4735-a912-44fa05974ee3-1

00:20:01.167 --> 00:20:02.220

when to expect it.

1631c1b4-7342-4056-8cbb-16c3bcd96d12-0

00:20:04.560 --> 00:20:08.554

If a finding is able to be

resolved during the initial 30

1631c1b4-7342-4056-8cbb-16c3bcd96d12-1

00:20:08.554 --> 00:20:12.480

day cap creation. Please

remember to submit all relevant

1631c1b4-7342-4056-8cbb-16c3bcd96d12-2

00:20:12.480 --> 00:20:16.268

supporting documentation for

review to your monitoring

1631c1b4-7342-4056-8cbb-16c3bcd96d12-3

00:20:16.268 --> 00:20:16.820

officer.

165a741c-9ab2-46aa-af99-9e32a4149898-0

00:20:18.180 --> 00:20:22.026

This situation applies to

findings that can be resolved in

165a741c-9ab2-46aa-af99-9e32a4149898-1

00:20:22.026 --> 00:20:26.263

one step, such as a revision to

an FFR or application of current

165a741c-9ab2-46aa-af99-9e32a4149898-2

00:20:26.263 --> 00:20:29.980

branding guidelines to an

agency's promotional material.

e9979658-ca52-42f9-83c6-c6ece19e8865-0

00:20:33.580 --> 00:20:37.206

When the CAP summary report is

submitted to your monitoring

e9979658-ca52-42f9-83c6-c6ece19e8865-1

00:20:37.206 --> 00:20:37.690

officer.

4f4a4596-e135-4261-ab7f-435e0c29545c-0

00:20:38.370 --> 00:20:41.696

He or she will review the

proposed cap for each finding

4f4a4596-e135-4261-ab7f-435e0c29545c-1

00:20:41.696 --> 00:20:44.250

and any supporting documentation

provided.

fa48418f-b2ac-4b5a-beb6-c9bfd4cda43c-0

00:20:44.930 --> 00:20:49.484

Upon review, each binding and

its cap will be assigned one of

fa48418f-b2ac-4b5a-beb6-c9bfd4cda43c-1

00:20:49.484 --> 00:20:50.440

three status.

47f593dc-8941-4f6c-b7a0-c18f3d1d7ccf-0

00:20:51.610 --> 00:20:53.040

The first being resolved.

a5f1b26d-d53b-4e09-85c2-8d829ccefeaf-0

00:20:53.860 --> 00:20:57.418

This means that no additional

work is required and the CAP is

a5f1b26d-d53b-4e09-85c2-8d829ccefeaf-1

00:20:57.418 --> 00:20:57.820

closed.

36c71aed-3fe8-449c-9312-f46a31676166-0

00:20:58.840 --> 00:21:02.316

The second is in insufficient,

and this means that the

36c71aed-3fe8-449c-9312-f46a31676166-1

00:21:02.316 --> 00:21:06.109

corrective actions proposed will

not adequately resolve the

36c71aed-3fe8-449c-9312-f46a31676166-2

00:21:06.109 --> 00:21:10.091

finding. You'll need to rework

the CAP to ensure that the root

36c71aed-3fe8-449c-9312-f46a31676166-3

00:21:10.091 --> 00:21:13.568

cause of the finding is

addressed in full and that the

36c71aed-3fe8-449c-9312-f46a31676166-4

00:21:13.568 --> 00:21:16.350

corrective actions are clear and

effective.

2e5b6761-3964-4d19-874a-23fa9db63c4a-0

00:21:18.430 --> 00:21:19.590

Or the 3rd.

0cc458b8-c4bf-455b-96a9-d6dbc7227f94-0

00:21:20.820 --> 00:21:24.595

Assigned statuses could be

approved in progress, and this

0cc458b8-c4bf-455b-96a9-d6dbc7227f94-1

00:21:24.595 --> 00:21:28.502

means that the proposed CAP is

sufficient, but that it will

0cc458b8-c4bf-455b-96a9-d6dbc7227f94-2

00:21:28.502 --> 00:21:30.390

take time to fully implement.

9ef7192f-6583-48d7-932c-9530e4c297b8-0

00:21:31.500 --> 00:21:35.458

And approved in progress finding

will include the timeline and

9ef7192f-6583-48d7-932c-9530e4c297b8-1

00:21:35.458 --> 00:21:37.720

responsible parties for

completion.

b3788f37-64c8-428d-9de8-3caf8ec9c2b8-0

00:21:38.470 --> 00:21:42.389

And it must be resolved within

one year of the CAP being the

b3788f37-64c8-428d-9de8-3caf8ec9c2b8-1

00:21:42.389 --> 00:21:43.610

CAP being approved.

d9fb95ea-358c-4cce-af6d-92d2aa80139f-0

00:21:51.570 --> 00:21:55.112

If you're connection ohh, I'm

sorry, no, I'll pass it over to

d9fb95ea-358c-4cce-af6d-92d2aa80139f-1

00:21:55.112 --> 00:21:58.427

Noel to review Kate Phase two

and three of the corrective

d9fb95ea-358c-4cce-af6d-92d2aa80139f-2

00:21:58.427 --> 00:21:59.569

action plan process.

f7dcc215-8840-41f9-82af-a6ffa30e78d8-0

00:22:01.970 --> 00:22:04.931

If your corrective action plan

is approved in progress, you

f7dcc215-8840-41f9-82af-a6ffa30e78d8-1

00:22:04.931 --> 00:22:07.844

will move into phase two of the

corrective action planning

f7dcc215-8840-41f9-82af-a6ffa30e78d8-2

00:22:07.844 --> 00:22:10.953

process. This is considered the

implementation and maintenance

f7dcc215-8840-41f9-82af-a6ffa30e78d8-3

00:22:10.953 --> 00:22:11.249

phase.

a4ca7fda-7924-45a1-a0e8-b724cb5b5ea4-0

00:22:12.050 --> 00:22:15.255

For the next two phases of the

plan, you will work with an

a4ca7fda-7924-45a1-a0e8-b724cb5b5ea4-1

00:22:15.255 --> 00:22:18.460

assigned corrective action

planning or CAP specialist. The

a4ca7fda-7924-45a1-a0e8-b724cb5b5ea4-2

00:22:18.460 --> 00:22:21.774

CAP specialist will be your

primary point of contact for the

a4ca7fda-7924-45a1-a0e8-b724cb5b5ea4-3

00:22:21.774 --> 00:22:24.871

remainder of the monitoring

process and will provide you

a4ca7fda-7924-45a1-a0e8-b724cb5b5ea4-4

00:22:24.871 --> 00:22:27.914

with support to ensure you

complete your CAP within one

a4ca7fda-7924-45a1-a0e8-b724cb5b5ea4-5

00:22:27.914 --> 00:22:29.870

year of the CAP approval or

sooner.

a06b00e6-ef64-4d83-9bac-2d9cea455c24-0

00:22:31.000 --> 00:22:34.129

There are three steps in phase

two, so let's review each in

a06b00e6-ef64-4d83-9bac-2d9cea455c24-1

00:22:34.129 --> 00:22:34.390

turn.

c4131360-9ad3-44a5-a81d-29b049ea94f4-0

00:22:40.210 --> 00:22:43.959

When the corrective action plan

is approved, your organization

c4131360-9ad3-44a5-a81d-29b049ea94f4-1

00:22:43.959 --> 00:22:47.649

will receive a note of approval

from your monitoring officer.

c4131360-9ad3-44a5-a81d-29b049ea94f4-2

00:22:47.649 --> 00:22:51.042

Note that the date of the

approval notice determines the

c4131360-9ad3-44a5-a81d-29b049ea94f4-3

00:22:51.042 --> 00:22:54.732

deadline to fully resolve your

CAP. This was noted previously

c4131360-9ad3-44a5-a81d-29b049ea94f4-4

00:22:54.732 --> 00:22:57.529

one year from the date of the

approval notice.

c96fd061-f778-4e9f-a2ae-50c4f3210a39-0

00:22:58.230 --> 00:23:01.309

This notice will also explain

that you will be working with a

c96fd061-f778-4e9f-a2ae-50c4f3210a39-1

00:23:01.309 --> 00:23:02.800

CAP specialist moving forward.

285598b9-6e16-40a4-a0bf-219cd1b1bd5b-0

00:23:03.700 --> 00:23:06.907

The CAP specialist will send an

introductory e-mail no later

285598b9-6e16-40a4-a0bf-219cd1b1bd5b-1

00:23:06.907 --> 00:23:09.590

than five days following your

receipt of approval.

88bc88c6-bc11-4379-8433-47bbc72d71f1-0

00:23:11.610 --> 00:23:16.044

The CAP specialist intro e-mail

will include a link for you to

88bc88c6-bc11-4379-8433-47bbc72d71f1-1

00:23:16.044 --> 00:23:18.720

schedule a meeting. This is step

one.

56cbc69c-abf6-4dde-a9c0-68ecf5d354e0-0

00:23:19.640 --> 00:23:23.396

Schedule a time to meet as soon

as your schedule permits,

56cbc69c-abf6-4dde-a9c0-68ecf5d354e0-1

00:23:23.396 --> 00:23:26.700

preferably within 14 days of

receiving the e-mail.

2df3bae7-3eb2-4fac-8681-e2389b42c6bd-0

00:23:28.100 --> 00:23:31.166

This initial meeting will

primarily serve as a formal

2df3bae7-3eb2-4fac-8681-e2389b42c6bd-1

00:23:31.166 --> 00:23:34.120

introduction and an opportunity

to review each CAP.

fd679dfa-bef2-4cb0-a7a8-726daadcfa70-0

00:23:35.000 --> 00:23:38.474

The intro meeting will also be

used to confirm timelines and

fd679dfa-bef2-4cb0-a7a8-726daadcfa70-1

00:23:38.474 --> 00:23:41.720

deadlines, established points of

contact, and answer any

fd679dfa-bef2-4cb0-a7a8-726daadcfa70-2

00:23:41.720 --> 00:23:44.340

questions you may have about the

CAP process.

e71b62c6-9cf3-420e-8421-5524c28a5b5d-0

00:23:50.520 --> 00:23:53.959

Your organizations designee for

handling the CAP process should

e71b62c6-9cf3-420e-8421-5524c28a5b5d-1

00:23:53.959 --> 00:23:57.236

plan to meet with their cap

specialist at least quarterly to

e71b62c6-9cf3-420e-8421-5524c28a5b5d-2

00:23:57.236 --> 00:23:59.870

review the progress of each

finding on the plan.

ca33d57f-ec61-4085-b133-bb722c1d38b7-0

00:24:01.430 --> 00:24:03.130

Timelines for each CAP will

differ.

cf372139-79d8-4766-b396-5cb8055a7c78-0

00:24:03.900 --> 00:24:06.714

More frequent meetings may be

necessary, depending on the

cf372139-79d8-4766-b396-5cb8055a7c78-1

00:24:06.714 --> 00:24:07.540

Cap's complexity.

7254ea77-614f-4648-9648-c37583ecc96e-0

00:24:08.370 --> 00:24:11.584

Conversely, a finding may be

able to be resolved in a matter

7254ea77-614f-4648-9648-c37583ecc96e-1

00:24:11.584 --> 00:24:14.745

of weeks, and there is no reason

to delay an update in this

7254ea77-614f-4648-9648-c37583ecc96e-2

00:24:14.745 --> 00:24:15.220

instance.

6e19919c-3f1d-472c-8ad7-42dfe8af1e8b-0

00:24:16.570 --> 00:24:21.023

Regular communication is key to

closing the CAP as quickly as

6e19919c-3f1d-472c-8ad7-42dfe8af1e8b-1

00:24:21.023 --> 00:24:21.670

possible.

288ddcd8-a6db-41e7-83e0-ae760a44a35f-0

00:24:22.420 --> 00:24:25.900

At any point if you are ready to

submit a document for review.

d860c5bf-a922-4cc0-bb13-02b0c9b909ca-0

00:24:26.590 --> 00:24:29.627

Contact your CAP specialist and

they will provide you with a

d860c5bf-a922-4cc0-bb13-02b0c9b909ca-1

00:24:29.627 --> 00:24:31.470

link to your OneDrive secure

folder.

4f312588-4131-4663-aa47-42ce7d44aebe-0

00:24:35.670 --> 00:24:37.170

Once you received your

submission.

cad22a6b-9c92-41bf-902c-2351194a410c-0

00:24:38.130 --> 00:24:40.685

Once they receive your

submission, the CAP specialist

cad22a6b-9c92-41bf-902c-2351194a410c-1

00:24:40.685 --> 00:24:42.910

will review the document and

provide feedback.

1008e21e-e968-4460-899f-d309e2f36920-0

00:24:43.570 --> 00:24:46.110

Please note that a finding may

not be resolved quickly.

49bf3910-5dd0-4637-a902-6a4800a28283-0

00:24:46.830 --> 00:24:49.825

Multiple submissions may be

required and documentation

49bf3910-5dd0-4637-a902-6a4800a28283-1

00:24:49.825 --> 00:24:53.202

provided may need to be revised

one or more times in order to

49bf3910-5dd0-4637-a902-6a4800a28283-2

00:24:53.202 --> 00:24:54.510

fully resolve a finding.

bee9bb32-704e-460e-b9f3-a0ea7fc19dc9-0

00:24:55.170 --> 00:24:57.260

This is not a punitive process.

42fd6af1-1b85-447f-9783-7ecfc50d5795-0

00:24:57.910 --> 00:25:01.488

This work ensures that your

organization will implement the

42fd6af1-1b85-447f-9783-7ecfc50d5795-1

00:25:01.488 --> 00:25:04.530

plan necessary to achieve and

maintain compliance.

ef61215b-1a3a-414b-9ead-85b7cdf9fb52-0

00:25:06.940 --> 00:25:10.132

If the finding is not resolved,

the CAP specialist will send you

ef61215b-1a3a-414b-9ead-85b7cdf9fb52-1

00:25:10.132 --> 00:25:11.950

a cap update with detailed

feedback.

d052a4fb-e403-453b-ba6a-d7ea25378066-0

00:25:12.620 --> 00:25:16.428

Including a summary of the steps

necessary to resolve the finding

d052a4fb-e403-453b-ba6a-d7ea25378066-1

00:25:16.428 --> 00:25:16.890

in full.

2b175ce1-9dd5-4f0b-aaf5-478c944d4db9-0

00:25:17.970 --> 00:25:21.396

The update e-mail will also

include a link to schedule a

2b175ce1-9dd5-4f0b-aaf5-478c944d4db9-1

00:25:21.396 --> 00:25:23.320

meeting with the CAF specialist.

56c98947-889f-42cb-81b8-0cea228139ba-0

00:25:24.050 --> 00:25:27.194

Grantees are strongly encouraged

to take advantage of this

56c98947-889f-42cb-81b8-0cea228139ba-1

00:25:27.194 --> 00:25:30.445

meeting opportunity in order to

get clarification about next

56c98947-889f-42cb-81b8-0cea228139ba-2

00:25:30.445 --> 00:25:33.270

steps and coordinate any new

timelines for response.

8971af74-c032-4b09-8837-0f91b79cc6e7-0

00:25:39.110 --> 00:25:40.440

That details phase two.

b0eae8aa-f2a2-4986-bf96-9682c804334b-0

00:25:41.650 --> 00:25:45.300

Phase three is the end goal of

the cap process, the resolution

b0eae8aa-f2a2-4986-bf96-9682c804334b-1

00:25:45.300 --> 00:25:48.834

of all findings noted on your

monitoring report, and closure

b0eae8aa-f2a2-4986-bf96-9682c804334b-2

00:25:48.834 --> 00:25:49.530

of your CAP.

0b3d0e7e-8509-4910-8a64-e2600d5249da-0

00:25:50.780 --> 00:25:54.383

Once all findings are resolved,

the CAP specialist will send you

0b3d0e7e-8509-4910-8a64-e2600d5249da-1

00:25:54.383 --> 00:25:57.764

an official notification via

e-mail stating that the CAP has

0b3d0e7e-8509-4910-8a64-e2600d5249da-2

00:25:57.764 --> 00:25:58.430

been closed.

64c4aac8-bf2c-4c46-b58b-debdeb825c0e-0

00:25:59.390 --> 00:26:02.830

Notification will be accompanied

by a final cap summary report.

54790a88-4c93-49d1-a14c-a1a3f112e950-0

00:26:03.650 --> 00:26:07.772

Which details the actions taken

to resolve each finding and the

54790a88-4c93-49d1-a14c-a1a3f112e950-1

00:26:07.772 --> 00:26:11.701

determination of compliance by

the monitoring officer or CAP

54790a88-4c93-49d1-a14c-a1a3f112e950-2

00:26:11.701 --> 00:26:12.409

specialist.

68eeb222-a021-404d-91bd-6eb045a2b65e-0

00:26:13.370 --> 00:26:16.740

All of this documentation should

be retained along and in

68eeb222-a021-404d-91bd-6eb045a2b65e-1

00:26:16.740 --> 00:26:17.670

accordance with.

c3713aaa-d80a-4b0d-a142-0b6d572a348f-0

00:26:18.340 --> 00:26:21.210

All other records pertaining to

the grant that was monitored.

ded4581a-1920-4553-8ddc-5a32e4f7168d-0

00:26:26.050 --> 00:26:29.062

So let's review the key points

for phases 2 and three of the

ded4581a-1920-4553-8ddc-5a32e4f7168d-1

00:26:29.062 --> 00:26:30.840

corrective action planning

process.

c2eb3da8-60a8-44fc-b582-594c0fcb2811-0

00:26:32.380 --> 00:26:35.522

Once the CAP is approved in

progress and a sign cap

c2eb3da8-60a8-44fc-b582-594c0fcb2811-1

00:26:35.522 --> 00:26:39.268

specialist will support grantees

in the implementation of the

c2eb3da8-60a8-44fc-b582-594c0fcb2811-2

00:26:39.268 --> 00:26:39.510

CAP.

a0ae3ca0-ae05-4c53-984e-454233419819-0

00:26:40.530 --> 00:26:43.827

The CAP specialist will be your

primary point of contact with

a0ae3ca0-ae05-4c53-984e-454233419819-1

00:26:43.827 --> 00:26:47.072

the Office of monitoring until

all findings are resolved and

a0ae3ca0-ae05-4c53-984e-454233419819-2

00:26:47.072 --> 00:26:48.030

the CAP is closed.

97dd3c80-81f3-4b25-95ae-c6915989f8c1-0

00:26:49.280 --> 00:26:52.720

Grantees will meet with their

calf specialist on at least a

97dd3c80-81f3-4b25-95ae-c6915989f8c1-1

00:26:52.720 --> 00:26:55.529

quarterly basis to discuss

progress and workshop

97dd3c80-81f3-4b25-95ae-c6915989f8c1-2

00:26:55.529 --> 00:26:56.160

challenges.

77d2f3f9-d3bc-42b6-abb8-65f22fe0faf2-0

00:26:57.230 --> 00:27:00.410

While regular meetings are

required, CAP specialists are

77d2f3f9-d3bc-42b6-abb8-65f22fe0faf2-1

00:27:00.410 --> 00:27:03.480

available at anytime to address

questions or concerns.

2fbd1a23-9321-4396-9ef1-e549aa4a881c-0

00:27:06.390 --> 00:27:09.505

Evidence of corrective actions

is submitted through a OneDrive

2fbd1a23-9321-4396-9ef1-e549aa4a881c-1

00:27:09.505 --> 00:27:12.620

secure folder in accordance with

standard practices within the

2fbd1a23-9321-4396-9ef1-e549aa4a881c-2

00:27:12.620 --> 00:27:13.560

office and monitor.

ced8e0b0-6e40-42ff-b585-3bc7b6cb1814-0

00:27:14.450 --> 00:27:18.201

The CAP specialist will review

all submissions and respond with

ced8e0b0-6e40-42ff-b585-3bc7b6cb1814-1

00:27:18.201 --> 00:27:21.836

an updated CAP summary report

that either outlines next steps

ced8e0b0-6e40-42ff-b585-3bc7b6cb1814-2

00:27:21.836 --> 00:27:24.240

or confirms resolution for each

finding.

8cd9530e-dc75-4885-8249-b677cc3a7c99-0

00:27:25.970 --> 00:27:29.251

Once all approved in progress

findings are resolved, a

8cd9530e-dc75-4885-8249-b677cc3a7c99-1

00:27:29.251 --> 00:27:32.950

notification of CAP closure will

be sent to the grantee along

8cd9530e-dc75-4885-8249-b677cc3a7c99-2

00:27:32.950 --> 00:27:34.859

with a final cap summary report.

b212e9a6-1b0c-4c7b-b782-c31f84b0b4d0-0

00:27:35.970 --> 00:27:39.436

All records associated with the

CAP should be retained along and

b212e9a6-1b0c-4c7b-b782-c31f84b0b4d0-1

00:27:39.436 --> 00:27:40.450

in accordance with.

2823769f-c7f2-4f54-b1f5-9caf04157bba-0

00:27:41.280 --> 00:27:44.470

All of the records pertaining to

the grant that was monitored.

51f5d5d7-1226-4a20-af01-43cab36185aa-0

00:27:49.430 --> 00:27:53.211

This concludes the monitoring

report and corrective action

51f5d5d7-1226-4a20-af01-43cab36185aa-1

00:27:53.211 --> 00:27:56.993

planning informational webinar

and thank you for listening

51f5d5d7-1226-4a20-af01-43cab36185aa-2

00:27:56.993 --> 00:28:00.326

along. If you have any

additional questions, please

51f5d5d7-1226-4a20-af01-43cab36185aa-3

00:28:00.326 --> 00:28:04.557

contact your assigned Monitoring

Officer or the Monitoring Office

51f5d5d7-1226-4a20-af01-43cab36185aa-4

00:28:04.557 --> 00:28:06.160

at monitoring at cns.gov.

29594c05-2a7e-4d3e-bae5-92c514ea421a-0

00:28:06.850 --> 00:28:07.320

Thank you.