National UASI Homeland Security Conference May 24, 2012 in Columbus, Ohio
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Transcript of National UASI Homeland Security Conference May 24, 2012 in Columbus, Ohio
National UASI Homeland Security ConferenceMay 24, 2012 in Columbus, Ohio
Presented ByMeghan Dudley, NYS Federal Grant Program SpecialistEdward Donoso, NYC Federal and State Grants
MANAGING YOURDHS OIG AUDIT Best Practices and Lessons Learned fromNew York State and New York City
Topics
Inspector General Audit: The NYS and NYC Approach
Background on NYC Urban Area and Major Programs
Active Engagement
Develop Unified Message
Continued Advocacy
Questions and Answers
OIG Audit: The NYS and NYC Approach
CONTINUOUS ADVOCACY
ACTIVE ENGAGEMENT
UNIFIED MESSAGE
Proactive Approach
Prepare & Share Info
Involve the Right People
Scope Timeline Advocacy
OIG Audit: The NYS and NYC Experience
– HSGP FY06 to FY08
– $565 Million in Grant Funds
– Audit Begins: December 2009
– Final Report Issued: January 2011
– Recommendations: Being Addressed
– During the audit, NYC and NYS worked together to review audit opinions, to clarify issues and provide follow-up information to address them
– After the audit, we have continued to work together to resolve any issues
Background
NYC Top DHS Funded Programs
NYC PROGRAM
NYPD / Law Enforcement The Domain Awareness System
EOC: Joint Operations Center
Public Safety Operations
FDNY / Fire Service Core Competency Training, NIMS
Communications and Situational Awareness
OEM / Emergency Management Citizen Preparedness ProgrammingCatastrophic Planning
Public Safety Communications Voice, Data and Wireless Communications Systems
Public Health Outbreak Detection, Fatality Mgmt.
Active Engagement
NYC Urban Area Working Group
NYC Urban Area Web Portal
Joint Workshops
Single Voice on Communication
Nassau County, New York City, Suffolk County, Westchester County, Yonkers, PANYNJ and the MTA hold monthly meetings
Representatives from NYS, DHS and FEMA also attend.
Regional Workshops
State Preparedness Report Workshop
Target Capabilities Workshop
Grant Requirements
Authorized Equipment List
DHS Information Bulletins
Other Federal and State Links
FEMA Policies
Measurement Tools
Strategy and SPR
IG Audit
Who is Involved During an IG Audit AGENCY ROLE
NYS Department of Homeland Security and Emergency Services
– SAA of the Homeland Security Grant Programs (SHSP, UASI and LETPP) for the New York region
– Fiscal Monitoring Unit
NYC Office of Management and Budget, Criminal Justice Coordinator’s Office, and Audit Oversight agency (Operations)
– Coordinate OIG Audit preparation, visit and follow-up
– Clarify issues
– Coordinate responses with NYC agencies
– Work with NYC agencies to ensure corrective actions are taken
City Agencies – Meet with IG team, provide supporting documentation and clarify issues
– Audit, Legal and Grant staff prepare responses to audit questions
– Implement any corrective actions
Ensuring Compliance
– The City’s Homeland Security Grant Program (HSGP) is coordinated and managed centrally
– The central oversight team coordinates Quarterly Reporting processes, flags issues and reviews expenditures that are being claimed
– Detailed Project-based reports are submitted each quarter to NYS
– We developed and implemented an inventory system to ensure compliance with federal inventory management requirements
– We prepared and distributed a Grants Policies and Procedures guide outlining the grant requirements
Ensuring Compliance cont.
– We coordinate ongoing NYS site visits and work with our agencies to respond to each report
– We communicate information on the grants to our agencies through ongoing communications
– We use our Urban Area Web Portal and the Help Path on our Inventory System website to post grant requirements, DHS Info Bulletins, and the NYS contracts
– We coordinate the Single Audit Sampling of Homeland Security grant program activity
NYS Fiscal Monitoring Unit
– Perform ongoing site visits, audit sampling and reviews
– Provide on-going fiscal oversight and fiscal monitoring of Homeland Security grants
– Help ensure that grantees are expending funds in accordance with State and Federal guidelines
– Inform grantees of fiscal compliance requirements
– Ensure grantee compliance with OMB Circular A-133
– Work with grantees to help detect and prevent fraud and abuse
– Provide technical advice and training to grantees
Grant Tracking System
Problem
Agencies were procuring a large number of assets under Department of Homeland Security grants and needed a consistent method to track them.
Program Management
A Mayoral project team was set up to oversee the process, define requirements, and ensure compliance with local, state and federal regulations.
Outcome
GTS allows users to Tag, Verify and Report on DHS Equipment
GTS Records the location of each asset and each person the asset is assigned to
10+ City agencies use GTS today
Over 5,000 assets have been entered into the system
Enhancements are being made to meet new needs and requirements
Federal Reporting Requirements
– Site fields and forms were mapped to the Federal Reporting Data Elements
– All Federal Grant Common Rule Requirements (Inventory Data Collection, Physical Inventory and Control System Requirements) are captured by GTS
Develop AUnified Message
Audit Findings
Recommendations covered the following areas:
– Strategy/Performance Measurement
– Sustainment Plans
– Grant Inventory Requirements
– Contracting Process
– Procurement
– Overtime Model
Generally, the State did an efficient and effective job of administering program requirements in accordance with grant guidance and recommendations
--OIG Auditors
“ “
Response to Draft Audit
Exit Conference (October 2010)
– NYS/NYC participated
– We worked together to prepare feedback in advance
– Review of each draft recommendation made by OIG
Revised Draft Report issued (November 2010)
– OIG made minor revisions to report after Exit Conference
Final Report Issued (January 2011)
– Final report included detailed written rebuttal from NYS/NYC
ContinuedAdvocacy
Best Practices
IMPLEMENT AN EFFECTIVE LONG-TERM PHILOSOPHY ON GRANTS– Transparency, Accountability and a Single Voice on Communications
will make “Audit Time” much easier!
PULL TOGETHER THE “RIGHT” TEAM OF EXPERTS– Engage your Executive Staff
PROACTIVELY PREPARE FOR YOUR AUDIT– Educate the Audit Team
PREPARE RESPONSE TO ALL AUDIT RECOMMENDATIONS– Draft a comprehensive response to the Audit and ensure that it is
included in the final Audit Report
USE AUDIT RECOMMENDATIONS TO DRIVE NEEDED CHANGE– Audit findings can be a catalyst for positive change (e.g. Focus on
particular issues and gaps)
Trends from Other OIG Audits
Review of 26 other States’ Audits found:
–Strategies lacked SMART Objectives (19 states)
–Reimbursement/Payment Issues (17 states)
–Issues with Grant “Basics” (16 states)
–Need for Sustainment Plans (11 states)
–Need for System to Measure Progress (9 states)
We are all dealing with many of the same issues!
Beyond the Audit: The Bigger Picture
Homeland Security Strategies
– DHS last released guidance on updating Strategies in 2005
– DHS and OIG not consistent in communication on strategies
How can we work together with FEMA to develop guidance for updating our Strategies, with the “SMART” principle in mind?
How can we work together with FEMA to showcase the accomplishments we’ve made with grant dollars?
Capability Assessments
– Congress, OIG, and others are looking to measure the impact of federal grant funds
– TCL has been replaced with the new Core Capabilities (and Presidential Policy Directive #8)
Nationwide, we are still struggling with issues identified in numerous OIG Audits
Biography
Edward Donoso works at the NYC Office of Management and Budget. At OMB, Ed’s team administers various Federal and State programs, including the Homeland Security Grants, the federal stimulus grants, and FEMA Public Assistance Programs. Prior to joining NYC OMB in 2005, Edward worked as an operations analyst for over 5 years at Credit Suisse, a global investment bank. Edward holds a B.A. in Business Administration, and a Masters in Public Administration from Metropolitan College of New York.
Edward DonosoFederal and State Revenue Unit Head NYC Office of Management and BudgetTelephone: 212.788.6673Email: [email protected]
Biography Meghan Dudley is a Grants Specialist for the Office of Counter-Terrorism (OCT) within the New York State Division of Homeland Security and Emergency Services (DHSES). Meghan has been with DHSES for approximately 6 years and her job responsibilities include coordinating the State’s SHSP Investment Justification submission, overseeing several specialty grants (e.g. HazMat, Bomb Squad) that DHSES supports, and serving as a programmatic liaison to the New York City UASI region. Prior to joining DHSES, Meghan received her Master’s Degree in Political Science from the SUNY Rockefeller School of Public Affairs and Policy.
Meghan Dudley Federal Grant AdministratorOffice of CounterterrorismNYS Division of Homeland Security and Emergency Services Telephone: 518.242.5105Email: [email protected]