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National UASI Homeland Security Conference

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Title: PowerPoint Presentation Author: donosoe Last modified by: NYC OMB Created Date: 4/30/2012 4:22:34 PM Document presentation format: On-screen Show (4:3) – PowerPoint PPT presentation

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Title: National UASI Homeland Security Conference


1
Managing Your DHS OIG Audit Best Practices and
Lessons Learned from New York State and New York
City
  • National UASI Homeland Security Conference
  • May 24, 2012 in Columbus, Ohio

Presented By Meghan Dudley, NYS Federal Grant
Program Specialist Edward Donoso, NYC Federal and
State Grants
2
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

3
OIG Audit The NYS and NYC Approach
CONTINUOUS ADVOCACY
ACTIVE ENGAGEMENT
Proactive Approach
Involve the Right People
Prepare Share Info
UNIFIED MESSAGE
4
OIG Audit The NYS and NYC Experience
Scope
Timeline
Advocacy
  • 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

5
Background
6
(No Transcript)
7
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 Programming Catastrophic Planning
Public Safety Communications Voice, Data and Wireless Communications Systems
Public Health Outbreak Detection, Fatality Mgmt.
8
Active Engagement
9
NYC Urban Area Working Group
Joint Workshops
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
NYC Urban Area Web Portal
Single Voice on Communication
Grant Requirements Authorized Equipment List DHS
Information Bulletins Other Federal and State
Links
FEMA Policies Measurement Tools Strategy and
SPR IG Audit
10
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 Coordinators 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
11
Ensuring Compliance
  • The Citys 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

12
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

13
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

14
Grant Tracking System
Problem
Program Management
Outcome
A Mayoral project team was set up to oversee the
process, define requirements, and ensure
compliance with local, state and federal
regulations.
Agencies were procuring a large number of assets
under Department of Homeland Security grants and
needed a consistent method to track them.
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
15
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

16
Develop A Unified Message
17
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

18
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

19
Continued Advocacy
20
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)

21
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!
22
Beyond the Audit The Bigger Picture
  • Nationwide, we are still struggling with issues
    identified in numerous OIG Audits

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 weve made with grant
dollars?
23
Biography
  • Edward Donoso works at the NYC Office of
    Management and Budget. At OMB, Eds 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 Donoso Federal and State Revenue Unit Head
NYC Office of Management and Budget Telephone
212.788.6673 Email donosoe_at_omb.nyc.gov
24
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 States
    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 Masters Degree in Political Science from the
    SUNY Rockefeller School of Public Affairs and
    Policy.

Meghan Dudley Federal Grant Administrator Office
of Counterterrorism NYS Division of Homeland
Security and Emergency Services Telephone
518.242.5105 Email MDudley_at_dhses.ny.gov
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