Office of Monitoring

AmeriCorps Monitoring Report 

and Corrective Action 

Planning

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Welcome Message

Alex Delaney, Acting Deputy Director, Office of Monitoring

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• Monitoring Process - Post Monitoring 

Stage

• Overview of Monitoring Notification 

Materials and Report Format 

• Tips on Corrective Action Planning
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Monitoring Activity Lifecycle

*ORO: AmeriCorps Office of Regional Operat ions

You are here!
Monitoring Results and CAP Notifications

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Email 

•From assigned Monitoring Officer

•To Authorized Representative

•Copy (CC) to grantee Project Director

•Copy (CC) to AmeriCorps Portfolio Manager

•Includes PDF attachment of formal AmeriCorps letter

•Summarizes monitoring activity assignments for the grant and results 

(findings or no deficiencies), provides detailed instructions on next steps

•Instructions for accessing the monitoring report and NSCHC Supplement 

Results (if applicable) via secure OneDrive secure folder

•Information on how to view a recording of this webinar for reference

OneDrive Secure Folder

•Access the monitoring report Excel file, which includes a results summary

•Complete and submit Corrective Action Plans (Excel File) and supporting 

documentation through the OneDrive secure folder within 30 calendar 

days

OneDrive Secure Folder •NSCHC Supplement Results Excel Spreadsheet (if applicable)
Monitoring Report

Format 

Excel Workbook

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Overview of Monitoring Summary Report 

and Corrective Action Planning

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Stacy Dennis

Corrective Action Planning Specialist

Office of Monitoring

Noel Welsh

Corrective Action Planning Specialist

Office of Monitoring
Corrective Action Planning

What Happens Next?

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PHASE I: Create 

Corrective 

Action Plan

PHASE II: Work 

on Corrective 

Action Plan

Phase III: 

Corrective 

Action Plan 

Close Out
•Root Cause Analysis

•Corrective Measures

•Required Plan of Action

•Evaluation/Follow-Up

•Planned Completion Date

•Person(s) Responsible for Implementation

CAP PHASE I: Create A Corrective Action Plan

Elements to be applied to each issue, if applicable

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CAP Element: Root Cause

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❖ What is causing the finding issue?

❖ What flaws in the work processes 

led to the issue(s)?

❖ Has this type of issue occurred 

before and, if so, what caused it to 

reoccur?

❖ What should be happening?

Symptom: The Result or outcome of a 

problem, an observation.

• The organizat ion has volunt eers 

part icipating in prohibited activities.

Problem/Issue:

The volunt eer is unaware of t he prohibited 

act ivities.

Root Cause: What is causing the issue.

• The agency does not have an 

updat ed policy on all prohibited 

act ivities.

• Volunt eers have not been t rained on 

prohibited activities.
CAP Element: Corrective Measures

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❖ How can the issue be fixed?

❖ Re-evaluate the policy/procedure

❖ Determine who will conduct training on 

the correct way to do the tasks

❖ Identify checks and balances to be 

strengthened to ensure issues do not reoccur

❖ What improved protocols will be established?
CAP Element: Required Plan of Action

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❖ Who is doing what?

❖ How will the plan be implemented?

❖ What supporting documentation will be needed?
CAP Element: Evaluation/Follow-Up

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❖ What is the plan/procedure to evaluate the plan 

implemented?

❖ How often will the plan be evaluated?

❖ What are the desired results?
CAP Element: Additional Fields

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❖Planned Completion or 

Implementation Date

❖Person(s) Responsible for 

Implementation
Corrective Action Plan Example

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• Address each finding of noncompliance by creating a 

CAP and submitting it to the assigned Monitoring Officer 

through a secure folder within 30 calendar days.

• CAP submissions must include targeted timeframes and 

deliverables for implementation of the corrective action 

plan.

• If your organization addressed the finding and completed 

corrective actions during the 30 day CAP creation period, 

please include supporting documentation for evaluation.

• Submitted CAP will be reviewed by Monitoring Officer. The 

CAP will either be Resolved (no additional work), 

Insufficient (returned for rework), or Approved 

In Progress (long-term plan).

Corrective Action Plan Phase I: Key Points 

To be submitted to Office of Monitoring within 30 calendar days

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Corrective Action Plan Phase II

CAP Approval - Approved In-Progress

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✓ Schedule a time to meet with the 

Corrective Action Planning 

Specialist.

✓ Review Corrective Action Plan.

✓ Discuss timeline for components of 

the Corrective Action Plan.

✓ Establish goals to resolve any 

findings and complete the postmonitoring process.

CAP Phase II: Work on Corrective Action Plan

Step I- Meet With Your CAP SPECIALIST

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✓ Schedule regular (at minimum, 

quarterly) CAP meetings to review 

CAP progress.

✓ Provide Quarterly Updates and 

Provide Documentation of CAP items 

resolved.

✓ CAP Specialist will review and provide 

feedback.

CAP Phase II: Work on Corrective Action Plan

STEP 2 & 3 - Quarterly Updates and Evaluation/Review

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Our Goal is to provide the needed 

support to help grantees resolve 

findings noted on the CAP Summary 

report.

Once all findings are resolved, the 

grantee will receive a notice from the 

Monitoring Office of the CAP Closure.

CAP Phase III: Resolving Corrective Action Plan

Step 3- Final Review: CAP Closure

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• Once the CAP is Approved In Progress, an 

assigned CAP Specialist will support grantees in 

the implementation of the CAP.

• Grantees will meet with their assigned CAP 

Specialist quarterly and submit corrective actions 

through the OneDrive Secure Folder.

• Submissions should include 

documentation/evidence to support the finding 

resolution.

• Based on a final review, when all findings are 

resolved, a notification of CAP closure will be 

sent to the grantee for record-keeping.

Corrective Action Plan Phase II and III: Key Points

To be complete within one year after CAP Approval

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Questions?

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Please contact your assigned Monitoring 

Officer or the Monitoring Office at

monitoring@cns.gov.