4007.1 The OST Office shall conduct regular compliance and programming reviews of grantees.

4007.2

1. (a) Grantees shall be subject to a minimum of one (1) administrative compliance monitoring visit and one (1) programmatic monitoring visit per grant period.
2. (b) Administrative compliance monitoring includes review of: compliance with applicable District laws, rules, regulations, procedures, and policies; grantee's use of grant funds; verification of appropriate clearances and background checks for personnel; financial and organizational documentation; and participant files to verify enrollment, attendance, consent forms, data entry, and other information.
3. (c) Programmatic monitoring includes: review of facilities where programming occurs to verify programming activities; access to program procedures and policies; and access to participants and staff to interview, verify, and confirm program details, procedures, and policies.

4007.3 Grantees shall be subject to scheduled and unscheduled programmatic site visits by the OST Office to monitor and assess program quality.

4007.4 Each grantee shall maintain its financial records in accordance with generally accepted accounting principles and shall account for all funds, tangible assets, revenues, and expenditures in such records. Each grantee shall ensure that all of its financial records are accurate, complete, and current at all times. Each grantee shall make its financial records available for audit and inspection by the OST Office, or its agents, upon the request of the OST Office.

4007.5

1. (a) At the completion of a grant period, the OST Office shall provide the grantee an accountability risk profile ("ARP"), which shall designate the grantee as "low-risk", "medium-risk", or "high-risk".
2. (b) As part of the process of making an ARP risk, the OST Office shall review whether the grantee met all grant agreement requirements, including program reporting and financial reporting.
3. (c) The ARP risk classification will determine the amount of monitoring required for future grants and the eligibility of the grantee to apply to

future RFAs or receive future grants from the OST Office.

(d) An organization designated as “high-risk” shall not be eligible to apply for a grant from the OST Office until both: (1) one year has elapsed since the date of the designation; and (2) appropriate documentation has been provided to the OST Office that documents that the organization’s performance has improved. Performance improvement can be documented either in the form of an audit or an independent program assessment.

4007.6 Each grantee shall maintain programmatic and financial documentation, in either physical or electronic format, related to the grant for five (5) years after submission of the final report.

SOURCE: Final Rulemaking published at 68 DCR 1699 (February 5, 2021).