1. Risk Assessment

Purpose

Per 2 CFR 200.331(b), the Office of Adult Education Initiatives (AEI) must conduct a risk assessment at the beginning of each program year, using established criteria, to evaluate each grantee’s risk for the purpose of determining a monitoring plan.

Process

Once Annual Financial Reports have been submitted, AEI will score the below elements for each grantee. Each grantee will receive a copy of their results once it is completed.

Elements are weighted between 1-5 points. An element that is weighted as a 5 means the element puts the grantee at higher risk than an element weighted at a 4 and so on. If the element does not pertain to the program an “N/A” will be entered. If the program is not at risk for that element, a “0” will be entered.

Grantees determined to be higher risk may be selected for a full or targeted on-site review. This means that a grantee may receive more than one on-site visit during the four-year grant cycle. Grantees receiving an on-site visit may be required to submit additional interim financial reports and/or receive additional monitoring calls from the AEI Program Coordinator.

#	Element	Points	Collection Method
1	Program did not receive AEFLA funding in the previous fiscal year.	5	Previous fiscal year AEFLA grantee list
2	The AEFLA and/or IELCE grant awards total over $250,000.	4	Grant Award Letter(s)
3	Addition of new services (example: ESL or IET) or expansion of services into another Local Workforce Development Area.	3	Grantee Applications
4	Other entities (state/federal grant managers, partner agencies, auditors, staff employed by the program, etc.) have alerted the AEI office of potential risks.	4	AEI grantee notes
5	Grantee has missed the deadline for submission of more than three (3) AEFLA deadlines or grant requirements in the last fiscal year. Requesting an extension counts toward the missed deadline total.	3	AEI grantee notes
6	25% or fewer participants made an Educational Functioning Level Gain in the previous year.	5	NRS Table 4
7	Grantee did not meet the statewide Measurable Skill Gains Target	5	NRS Table 4
8	In the last program year, the grantee received at least one Program Improvement Plan	2	AEI program notes
9	In the last program year, the grantee received at least one Corrective Action Plan	4	AEI program notes
10	The program’s most recent audit reveals areas of concern (AEI will document concerns).	4	Audit review
11	Program that was funded last year had turnover in one of the following grantee contacts within the last twelve (12) months: Primary contact Secondary contact Fiscal Contact LACES System Administrator Assessment Administrator	5	Compare the prior year’s grantee application to the current year grantee application
12	Agency returned 5% or more of grant funding in previous year.	4	Compare the prior year’s grantee budget to the prior year’s Annual Financial Report column within the budget

13	The program submits requests for reimbursement less than quarterly.	3	CDE Grants Fiscal drawdown tracker
14	CDE’s Grants Fiscal documented concerns with the grantee’s last Annual Financial Report filed.	4	CDE Grants Fiscal grantee notes
15	The grantee failed to follow through with the stated fiscal remediation plan after targeted technical assistance from the AEI Program Coordinator and Grants Fiscal.	3	AEI Program Coordinator and CDE Grants Fiscal grantee notes
16	More than 50% of the instructional staff do not have their Adult Basic Education Authorization credential	2	Staff List
Total Points		60