Monitoring Document Request Grantee Resource

250 E Street SW

Washington, D.C. 20525

202-606-5000/ 800-942-2677

Monitoring Document Request

Grantee Resource

Office of Monitoring

January 2024

Overview

When selected for monitoring, grantees will receive a request for initial

documents from the Office of Monitoring. This resource serves as an additional

reference of the documents that may be requested.

This resource includes the list of documents that may be requested to complete

routine compliance monitoring of selected grantees. The required documents

depend on the monitoring activity or activities assigned to the grant. In addition,

some monitoring activities include a supplemental document request, based on

the initially submitted documents. This resource identifies supplemental

documents where applicable.

Note that some documents might not apply to all organizations or programs.

Table of Contents

1. Financial and Operational Fitness Assessment (FOFA) ....................................... 2

2. Program Specific: Commission Operations Monitoring Review ........................ 4

3. Program Specific: AmeriCorps State and National (ASN) ................................. 8

4. Program Specific: VISTA ......................................................................................... 9

5. Program Specific: Senior Companion Program (SCP) ..................................... 12

6. Program Specific: Foster Grandparent Program (FGP) .................................... 14

7. Program Specific: Retired and Senior Volunteer Program (RSVP) .................. 16

8. Program Specific: Days of Service ...................................................................... 18

9. New to AmeriCorps .............................................................................................. 20

10. National Service Criminal History Check (NSCHC) ........................................... 23

11. Prohibited Activities .............................................................................................. 25

1. Financial and Operational Fitness Assessment (FOFA)

FOFA - Initial Documents

Document Name

Description

Blank In-Kind Voucher

A blank sample of the documentation your organization

uses to record and value in-kind donations

Chart of Accounts

A document outlining the accounting codes and cost

centers used by your organization to identify transactions

by expense type, and by project/grant.

Completed Segregation of Duties

Worksheet

A worksheet demonstrating internal controls of your

organization and how the responsibilities for specific duties

are divided across organization staff. The worksheet

requiring completion can be found under ‘Resources’ at

https://americorps.gov/grantees-sponsors/monitoring

Cost Allocation Policies

All policies describing how costs are charged to specific

direct cost centers, and/or to indirect cost centers. The

policy/policies should also identify the allocation methods

used. This may be a single document, or a separate

allocation policy for direct costs and indirect costs.

Documentation of Personnel

Expenses/Timekeeping Policies and

Procedures

Policies and Procedures related to how employees who

charge time to the grant record, validate, and receive

approval for their time worked.

Federal Cash Management Policy and

Procedure

Policies and Procedures related to the drawdown of federal

funds, including both any overarching policy as well as

procedural information such as who initiates, approves,

submits a drawdown, when that happens, etc.

Fiscal Policies/Accounting Handbook

Pertinent organizational policies and procedures related to

internal controls, accounting practices, financial

management, etc.

General Ledger showing the Federal

share of expenses for the time period

corresponding with the Federal

Financial Report (FFR) identified by the

Monitoring Officer.

The General Ledger should clearly show the total figure

reported as Federal Expenditures on the Federal Financial

Report (FFR) for the period requested in the Monitoring

Officer Notes below. If possible, please submit a version

exported to Excel. If it is not clear how these figures match,

or if calculations were required, please provide an

annotation on the document or a separate document with

notes.

Key Concepts of Financial Grants

Management Training Certificate

Certificates demonstrating that staff have completed the

Key Concepts of Financial Grants Management Training in

the last year.

FOFA - Initial Documents

Document Name

Description

List of Costs Included as Indirect Costs

Provide a list of the specific costs that your organization

includes as indirect costs. For example, rent, admin staff,

utilities, etc.

Match Ledger showing the

grantee/sponsor share of expenses for

the time period corresponding with the

Federal Financial Report (FFR) identified

by the Monitoring Officer.

The Match Ledger should clearly show the total figure

reported as Grantee/Recipient Share of Expenditures on

the Federal Financial Report (FFR) for the period requested

in the Monitoring Officer Notes below. If possible, please

submit a version exported to Excel. If it is not clear how

these figures match, or if calculations were required,

please provide an annotation on the document or a

separate document with notes.

Match Policy

Organization policy describing the sources, types, methods

of tracking and reporting of match.

Negotiated Indirect Cost Rate

Agreement (if applicable), or Indirect

Cost Allocation Plan (State and Local

Governments Only)

Negotiated Indirect Cost Rate Agreement (if applicable), or

Indirect Cost Allocation Plan (State and Local Governments

Only) A NICRA is document that confirms and outlines the

approved indirect cost rate negotiated between the

Federal Government and a grantee’s organization.

State and local governments may alternatively submit a

cost allocation plan, which identifies how direct and

indirect costs are allocated across different cost centers.

Organizational Chart

An organizational chart that covers all positions that

support the project (both direct and indirect).

Procedures for determining the

allowability of costs

All policies or procedures that describe how the

allowability of costs is determined.

Procurement Policies

All policies or procedures that describe how the

allowability of costs is determined.

Record Retention Policies

A policy describing an organization's legal and compliance

recordkeeping practices.

FOFA - Initial Documents

Document Name

Description

Sample Timesheet (Completed) and

Explanation

A sample of a completed timesheet for an employee in

your organization who charges time to the grant. If

possible, please provide an example for an individual that is

partially allocated to the grant.

If utilizing and electronic timekeeping system, please

provide a written description of the electronic timekeeping

process that your organization implements. What does a

complete, approved timecard look like (for example, are

approvals shown via check marks by daily entries, and

'approved' icon on the timecard, an electronic signature of

the employee/member and their supervisor, etc.)

Supporting documentation for the

selected drawdown(s) from the

Payment Management System.

Provide supporting documentation for the selected

Payment Management System drawdown(s). This includes

a tabulation or ledger of the individual transactions

included in the drawdown(s), any associated approvals,

signatures, or process steps outlined in your organizational

policies and procedures, and the PMS drawdown

confirmation.

FOFA - Supplemental Documents

Document Name

Description

Supporting Documentation for the

Selected Expenses in the Cost Sample

Worksheet

Supporting documentation is required for each transaction

identified by the Monitoring Officer in the Cost Sample

Worksheet. Supporting documentation includes any

underlying agreements or contracts, invoices, payment

requests, procurement documentation, receipts, and proof

of payment.

2. Program Specific: Commission Operations Monitoring Review

Commission Operations - Initial Documents

Document Name

Description

Enforcement Policy for Noncompliance

Commission's internal guidelines around enforcement

actions it will take if noncompliance is identified

List of Subrecipients with Audit Findings

A list of all subrecipients who were identified as having

financial findings, either through audit or monitoring.

Please enter N/A if there were no audit findings in the

portfolio.

Commission Operations - Initial Documents

Document Name

Description

Member Management Policies, TTA

Materials

Policies and TTA materials for the Commission's

subrecipients pertaining to member management and

supervision. This may be contained in a document you

already submitted; if so, please note where in another

document we can find this. If these materials are housed

on a shared website, please submit the link in this

document.

Member Interviewee Pre-Selection

Sample

The completed version of the template provided for this

request should include the following for each member: the

address of their daily service, the name of their on-site

supervisor, and their expected end-date

Policy for Applying Specific Conditions

Policy or procedure the Commission relies on when

considering whether to apply a special condition on a

subrecipient's grant

Policy for Evaluating Subrecipient Risk

The policy or procedure the Commission uses to evaluate

subrecipient risk of noncompliance and to tailor monitoring

accordingly. This may be contained in a document you

already submitted; if so, please note where in another

document we can find this

PPR Data Reporting Tools for

Subrecipients

Any materials you provide to your subrecipients on how to

approach performance measure data collection and

reporting, and / or any guidance or instructions you

provide to them that would clarify your state's process.

PPR Data Summary Chart for Sampled

The MO will select one performance measure (PM) in the

PPR to test. We want to see how the reported figures

(output and outcome) were determined. This document

(the PPR Data Summary Chart) is whatever tool,

spreadsheet, or aggregation system you (or your

subrecipient) use to total up the data for this performance

measure. We will select a sample from this document for

which we will want to see source documentation in the

next round.

For example, if the PM relates to tutoring, and your output

is number of students served, and the outcome is number

of students improved, for this document request, we want

to see the spreadsheet (or equivalent tool) used to tally up

student attendance and student performance, which

informs the PPR entries.

Commission Operations - Initial Documents

Document Name

Description

Prohibited Activities Policies and

Training Materials

Any statewide policy or training materials you provide to

subrecipients regarding prohibited activities. If this is

contained in another document, please note where we can

view it.

Recruitment Tools and Materials

Any tools or materials related to recruitment that the

Commission makes available to its subrecipients. If this is

housed in another document or on your website, please

indicate where we can view it.

Member Supervisor Training

Documentation

Documentation that the selected member supervisor has

completed training to serve as an AmeriCorps member

supervisor, in accordance with the policies and

expectations set forth by the Commission.

Member Supervisor Training Policies

The Commission's policies and expectations it has for

member supervisors at the subrecipient / service site level.

This may be contained in a document you already

submitted; if so, please notate where in another document

we can find this.

Statewide Teleservice Policy

If the Commission allows teleservice, please provide the

statewide teleservice policy, which is required by the ASN

guidance issued in January of 2023.

Subrecipient Audit Tracking Method

Documentation that the Commission is verifying

subrecipient audit requirements on an annual basis in

accordance with 2 CFR 200.332 (f). A written description of

the Commission's method will suffice.

Subrecipient Monitoring Plan, Policy,

Tools, or Other Materials

Policy or procedure the Commission uses to guide its

monitoring activities (and how risk is considered), which

may include timelines, monitoring tools, and

considerations that precipitate monitoring

Subrecipient Selection Process

(Competitive)

Materials the Commission uses to review, assess, and

select organizations for inclusion in their competitive

application. This may include rubrics, instructions for

readers, statewide priorities, selection procedures, etc.

Subrecipient Selection Process

(Formula)

Materials the Commission uses to review, assess, and

select organizations for formula funding. This may include

rubrics, checklists, statewide priorities, selection

procedures, etc.

Training Materials for Subrecipients'

Member Hour Tracking

Training materials the Commission makes available to its

subrecipients to inform the field about member hour

tracking requirements and best practices

Commission Operations - Initial Documents

Document Name

Description

Any Other Materials

If you believe there are policies and procedures the

Commission maintains that may provide insight to your MO

as they complete the UMP assessment, please upload

them. If this is housed in another document or on your

website, please indicate where we can view it.

Commission Operations - Supplemental Documents

Document Name

Description

Commission's Verification that Audit

Findings are Resolved (Subrecipient

Level)

If there were financial findings in the portfolio, please

provide documentation that the Commission verified that

the subrecipient resolved them (per 2 CFR 200.332(d)(2))

Documentation of Commission Internal

Records Adjustment

If there were financial findings in the portfolio, please

provide documentation of how the Commission adjusts its

own internal records to account for the required resolution

Source Documentation for Sampled PM

From the PPR data summary chart, the MO has selected

some data for which we want to see the source

documentation. The source documentation will vary based

on your performance measure, but it should align with

what was described in the application. Source

documentation could be attendance logs (redacted logs are

ok), summaries of pre- and post-test results, deeds for

housing developments, etc. This is the receipt to back up

the data on the PPR Summary Chart, similar to a receipt

that backs up an entry on a general ledger.

Member Position Descriptions

Member position descriptions (if not included in the

member service agreements) for the 4 selected members

Member Service Agreements

Member service agreements (or member contracts) for the

4 selected members

Member Timesheets

The timesheets for the pay periods selected by your MO,

for the 4 members selected by your MO

Completed Subrecipient Risk

Assessment

The risk assessments for noncompliance completed by the

Commission for the selected subrecipients

Executed Subrecipient Agreement

The completed subrecipient agreements for the

subrecipients selected by the monitoring officer

3. Program Specific: AmeriCorps State and National (ASN)

ASN - Initial Documents

Document Name

Description

Accessibility Policy and Procedure

Policies and procedures to ensure accessibility to all

persons (staff and members) with mobility, hearing, vision,

mental, and cognitive impairments, that may include the

accessibility self-evaluation.

Active Member Roster

The ASN Member Roster must include members' first and

last names, enrollment date, DOB/age at enrollment,

station site, supervisor's name, member status (active,

exited, other) and exited date if applicable. The roster

should include all members at all service sites active during

the monitoring assessment period.

Filed Grievances and Follow Up from

the Last Two Years for Prime and

Service Sites

If there have been any incidents or grievances filed within

the last two years, documentation submitted may include

follow up, actions taken, and conclusion to the incident.

Fixed Amount Drawdown

Policy/Procedure

This document is only required if the monitored award is a

fixed amount award.

Grievance Policy and Procedure

Any policy/procedure regarding the filing and adjudication

of grievances from within or outside of the grantee

organization

Limited English Proficiency Policy and

Procedure

Policies and procedures outlining the process to address

providing materials and/or support to any staff/volunteers

who may have limited English proficiency.

Member Management Policies and

Procedures

All member management policies related to member

recruitment, hiring, accessibility, training, supervision, and

timekeeping

Non-Discrimination Policy and

Documentation of Public Notice

Written organizational policy containing nondiscrimination

language. Additional examples of public materials and

postings may be provided or researched, e.g. public

website, service agreements, etc.

Other Subrecipient Oversight Policies

and Procedures

PPR Data Summary Chart

A document showing the high-level summary of the

outputs and outcomes reported for the in the most recent

PPR for the performance measure selected by the

Monitoring Officer. May be an Excel spreadsheet, export

from a system used to track data, etc. Should be an

aggregate report that shows a breakdown across

subrecipients, operating sites, and / or service locations.

ASN - Initial Documents

Document Name

Description

Recruitment and Application Materials

Public-facing documentation for grantee staff and/or

members/volunteers, including job postings and national

service position descriptions.

Site Supervisor Training Documentation

Evidence of Site Supervisor training (e.g. training agenda,

attendance list, and/or certificate of completion)

Subgrantee Monitoring Tools

Tools the prime uses to monitor sub-recipient.

Subrecipient Agreement / Notice of

Subaward (Template)

A blank copy of your current subrecipient

agreement/subaward template.

ASN - Supplemental Documents

Document Name

Description

Timesheets for AmeriCorps Members who

were selected to be interviewed.

(Please see notes sections for names of selected members).

Copies of Member Files, including Member

Service Agreements, for the AmeriCorps

members who were selected to be

interviewed.

(Please see notes sections for names of selected members).

Raw/source documentation for selected

progress report data

Raw/source documentation for the selected performance

measures detailed by your assigned Monitoring Officer. This is

backup documentation for the summary data submitted in the

initial document request. Source documentation may include

things like: report cards, survey results, attendance logs, etc.,

depending on the material you use to measure your outputs and

outcomes.

4. Program Specific: VISTA

VISTA - Initial Documents

Document Name

Description

Accessibility Policy and Procedure

Policies and procedures to ensure accessibility to persons

with mobility, hearing, vision, mental, and cognitive

impairments, that may include the accessibility self-

evaluation.

Additional Training Materials for

Members

Agendas, announcements for training opportunities,

and/or materials related to other member trainings

throughout their service year.

Evidence of Project Director's

Completion of VISTA Sponsor

Orientation

Documentation showing that the Project Director has

completed the VISTA Sponsor Orientation (VSO) (e.g.

screenshot of completion, certificate).

VISTA - Initial Documents

Document Name

Description

Filed Grievances and Follow Up from

the Last Two Years for Prime and

Service Sites

If there have been any incidents or grievances filed within

the last two years, documentation submitted may include

follow up, actions taken, and conclusion to the incident.

Grievance Policy and Procedure

Any policy/procedure regarding the filing and adjudication

of grievances from within or outside of the sponsor

organization

Limited English Proficiency Policy and

Procedure

Policies and procedures in place that ensure program

accessibility to persons with Limited English Proficiency.

List of social media platforms and

websites

A list of social media platforms and websites of the

organizations hosting AmeriCorps members and/or

AmeriCorps project related social media platforms and

websites.

Member Management Policies and

Procedures

All policies related to member management including

leave, recruitment, hiring, accessibility, training,

supervision, and timekeeping

Member Timesheets and/or Leave

Documentation

Please submit member timesheets and/or any leave

requests/documentation for the time period and members

requested in the Monitoring Officer Notes (column F).

News stories or press releases related

to AmeriCorps project

News stories or press releases related to the AmeriCorps

project during the assessment period.

Non-Discrimination Policy and

Documentation of Public Notice

Written organizational policy containing nondiscrimination

language. Additional examples of public materials and

postings may be provided or researched, e.g. public

website, service agreements, etc.

PPR Data Summary Chart

A document showing the high-level summary of the

outputs and outcomes reported for the in the most recent

PPR for the performance measure selected by the

Monitoring Officer. May be an Excel spreadsheet, export

from a system used to track data, etc. Should be an

aggregate report that shows a breakdown across

subrecipients, operating sites, and / or service locations.

Recruitment and Application Materials

Public-facing documentation for sponsor staff and/or

members, including job postings and national service

position descriptions.

Service-related transportation

documents for members

Policy, procedure, forms, and/or tracking system to

demonstrate members are reimbursed for service-related

transportation and/or provided other means of transport

for the period of time and members requested in the

Monitoring Officer Notes (column F).

VISTA - Initial Documents

Document Name

Description

Site Orientation and Training Materials

for Members

Plan, agenda, and/or training materials designed by the

sponsor and/or subsite to onboard new members.

Site Supervisor Training Documentation

Evidence of training of site supervisors (e.g. training

agenda, attendance list from training, completion of VISTA

Sponsor Orientation).

Subsite Agreements/Memorandums of

Understanding (MOUs)

Executed Agreements/Memorandums of Understanding

(MOUs) from a selection of active subsites described by the

assigned Monitoring Officer in the Monitoring Officer Notes field

(column F).

Subsite Monitoring and Oversight

Policies and Procedures

Any policies and procedures related to the monitoring and

oversight of VISTA grant/program operations occurring in

subsites and service locations other than the sponsor's

main location as applicable.

VISTA Placement Site Report

Confirm that the uploaded VISTA Placement Site report

contains the 1. correct member names and site placement,

2. correct site names, and 3. correct supervisor names. If

there are inaccuracies, please describe them in the

'grantee notes' field.

VISTA - Supplemental Documents

Document Name

Description

Raw/source documentation for selected

progress report data

Raw/source documentation for the selected performance

measure(s) identified in the initial document request; the

raw/source documentation supports the summary data

submitted in response to the initial document request.

Source documentation may include volunteer sign-in

sheets, documents confirming the amount of funds raised,

survey results, etc., depending on the methods used to

measure outputs and outcomes.

Outside Employment Forms

Completed and approved outside employment forms for

members identified by the Monitoring Officer in the Notes

section

5. Program Specific: Senior Companion Program (SCP)

SCP - Initial Documents

Document Name

Description

Accessibility Policy and Procedure

Policies and procedures to ensure accessibility to all

persons (staff and volunteers) with mobility, hearing,

vision, mental, and cognitive impairments, that may

include the accessibility self-evaluation.

ACS Volunteer Roster

The ACS Volunteer Roster must include volunteers first and

last name, enrollment date, DOB/age at enrollment, station

site, supervisor's name, stipend information, volunteer

status (active, exited, other) and exited date if applicable.

The roster should include all volunteers at all service sites

active during the monitoring assessment period.

Additional Training Materials for

Volunteers

Agendas, announcements for training opportunities,

and/or materials related to other member trainings

throughout their service year.

Board of Directors and Advisory Council

List

List of board of directors and advisory council members to

include members' names, titles (e.g. Board Treasurer),

phone numbers, and emails.

Filed Grievances and Follow Up from

the Last Two Years for Prime and

Service Sites

If there have been any incidents or grievances filed within

the last two years, documentation submitted may include

follow up, actions taken, and conclusion to the incident.

Grievance Policy and Procedure

Any policy/procedure regarding the filing and adjudication

of grievances from within or outside of the grantee

organization

Limited English Proficiency Policy and

Procedure

Policies and procedures outlining the process to address

providing materials and/or support to any staff/volunteers

who may have limited English proficiency.

List of social media platforms and

websites

A list of social media platforms and websites of the

organizations hosting AmeriCorps members and/or

AmeriCorps project related social media platforms and

websites.

News stories or press releases related

to AmeriCorps project

News stories or press releases related to the AmeriCorps

project during the assessment period.

Non-Discrimination Policy and

Documentation of Public Notice

Written organizational policy containing nondiscrimination

language. Additional examples of public materials and

postings may be provided or researched, e.g. public

website, service agreements, etc.

SCP - Initial Documents

Document Name

Description

PPR Data Summary Chart

A document showing the high-level summary of the

outputs and outcomes reported for the in the most recent

PPR for the performance measure selected by the

Monitoring Officer. May be an Excel spreadsheet, export

from a system used to track data, etc. Should be an

aggregate report that shows a breakdown across

subrecipients, operating sites, and / or service locations.

Recruitment and Application Materials

Public-facing documentation for grantee staff and/or

members/volunteers, including job postings and national

service position descriptions.

Site Orientation and Training Materials

for Volunteers

Plan, agenda, and/or training materials designed by the

sponsor and/or subsite to onboard new members.

Station Oversight Policies and

Procedures

All policies and procedures related to management,

training, monitoring and oversight of volunteer station

operations

Subsite Agreements/Memorandums of

Understanding (MOUs)

Executed Agreements/Memorandums of Understanding

(MOUs) from a selection of active subsites described by the

assigned Monitoring Officer in the notes section below (if

applicable).

Volunteer Management Policies and

Procedures

All policies related to volunteer management including

eligibility requirements, recruitment, hiring, accessibility,

leave, training, supervision including training agenda or

other training documentation, and timekeeping

SCP - Supplemental Documents

Document Name

Description

Eligibility Documents

• Documentation of income eligibility for volunteers receiving

stipends.

• Documentation of volunteers age to include enrollment form

and official source documentation (e.g. government ID) showing

DOB

Volunteer Assignment Plans

• Description of activities assigned, client served, expected

outcome, service period etc.

MOUs

•Executed MOU's for the selected volunteer stations

•Documentation that verifies the volunteer stations selected are

either a public or non-profit private organization, or an eligible

proprietary health care agency.

Raw/source documentation for selected

progress report data

Raw/source documentation for the selected performance

measures detailed by the assigned Monitoring Officer. This is

backup documentation for the summary data submitted in the

initial document request. Examples of source documentation

include but are not limited to: survey results, attendance logs,

etc., and is dependent on document type used to measure

outputs and outcomes.

6. Program Specific: Foster Grandparent Program (FGP)

FGP - Initial Documents

Document Name

Description

Accessibility Policy and Procedure

Policies and procedures to ensure accessibility to persons

with mobility, hearing, vision, mental, and cognitive

impairments, that may include the accessibility self-

evaluation.

ACS Volunteer Roster

The ACS Volunteer Roster must include volunteers first and

last name, enrollment date, DOB/age at enrollment, station

site, supervisor's name, stipend information, volunteer

status (active, exited, other) and exited date if applicable.

The roster should include all volunteers at all service sites

active during the monitoring assessment period.

Additional Training Materials for

Volunteers

Agendas, announcements for training opportunities,

and/or materials related to other member trainings

throughout their service year.

Board of Directors and Advisory Council

List

List of board of directors and advisory council members to

include members' names, titles (e.g. Board Treasurer),

phone numbers, and emails.

Filed Grievances and Follow Up from

the Last Two Years for Prime and

Service Sites

If there have been any incidents or grievances filed within

the last two years, documentation submitted may include

follow up, actions taken, and conclusion to the incident.

Grievance Policy and Procedure

Any policy/procedure regarding the filing and adjudication

of grievances from within or outside of the grantee

organization

Limited English Proficiency Policy and

Procedure

Policies and procedures in place that ensure program

accessibility to persons with Limited English Proficiency.

List of social media platforms and

websites

A list of social media platforms and websites of the

organizations hosting AmeriCorps members and/or

AmeriCorps project related social media platforms and

websites.

News stories or press releases related

to AmeriCorps project

News stories or press releases related to the AmeriCorps

project during the assessment period.

FGP - Initial Documents

Document Name

Description

Non-Discrimination Policy and

Documentation of Public Notice

Written organizational policy containing nondiscrimination

language. Additional examples of public materials and

postings may be provided or researched, e.g. public

website, service agreements, etc.

PPR Data Summary Chart

A document showing the high-level summary of the

outputs and outcomes reported for the in the most recent

PPR for the performance measure selected by the

Monitoring Officer. May be an Excel spreadsheet, export

from a system used to track data, etc. Should be an

aggregate report that shows a breakdown across

subrecipients, operating sites, and / or service locations.

Recruitment and Application Materials

Public-facing documentation for grantee staff and/or

members/volunteers, including job postings and national

service position descriptions.

Site Orientation and Training Materials

for Volunteers

Plan, agenda, and/or training materials designed by the

sponsor and/or subsite to onboard new members.

Station Oversight Policies and

Procedures

All policies and procedures related to management,

training, monitoring and oversight of volunteer station

operations

Subsite Agreements/Memorandums of

Understanding (MOUs)

Executed Agreements/Memorandums of Understanding

(MOUs) from a selection of active subsites described by the

assigned Monitoring Officer in the notes section below (if

applicable).

Volunteer Management Policies and

Procedures

All policies related to member management including

eligibility requirements, recruitment, hiring, accessibility,

leave, training, supervision including training agenda or

other training documentation, and timekeeping

FGP - Supplemental Documents

Document Name

Description

Eligibility Documents

• Documentation of income eligibility for volunteers

receiving stipends.

• Documentation of volunteers age to include enrollment

form and official source documentation (e.g. government

ID) showing DOB

Volunteer Assignment Plans

• Description of activities assigned, client served, expected

outcome, service period etc.

MOUs

•Executed MOU's for the selected volunteer stations

•Documentation that verifies the volunteer stations

selected are either a public or non-profit private

organization, or an eligible proprietary health care agency.

Raw/source documentation for selected

progress report data

Raw/source documentation for the selected performance

measures detailed by the assigned Monitoring Officer. This

is backup documentation for the summary data submitted

in the initial document request. Examples of source

documentation include but are not limited to: survey

results, attendance logs, etc., and is dependent on

document type used to measure outputs and outcomes.

7. Program Specific: Retired and Senior Volunteer Program (RSVP)

RSVP - Initial Documents

Document Name

Description

Accessibility Policy and Procedure

Policies and procedures to ensure accessibility to persons

with mobility, hearing, vision, mental, and cognitive

impairments, that may include the accessibility self-

evaluation.

ACS Volunteer Roster

The ACS Volunteer Roster must include volunteers first and

last name, enrollment date, DOB/age at enrollment, station

site, supervisor's name, volunteer status (active, exited,

other) and exited date if applicable. The roster should

include all volunteers at all service sites active during the

monitoring assessment period.

Additional Training Materials for

Volunteers

Agendas, announcements for training opportunities,

and/or materials related to other member trainings

throughout their service year.

Board of Directors and Advisory Council

List

List of board of directors and advisory council members to

include members' names, titles (e.g. Board Treasurer),

phone numbers, and emails.

Filed Grievances and Follow Up from

the Last Two Years for Prime and

Service Sites

If there have been any incidents or grievances filed within

the last two years, documentation submitted may include

follow up, actions taken, and conclusion to the incident.

Grievance Policy and Procedure

Any policy/procedure regarding the filing and adjudication

of grievances from within or outside of the grantee

organization

Limited English Proficiency Policy and

Procedure

Policies and procedures in place that ensure program

accessibility to persons with Limited English Proficiency.

RSVP - Initial Documents

Document Name

Description

List of social media platforms and

websites

A list of social media platforms and websites of the

organizations hosting AmeriCorps members and/or

AmeriCorps project related social media platforms and

websites.

News stories or press releases related

to AmeriCorps project

News stories or press releases related to the AmeriCorps

project during the assessment period.

Non-Discrimination Policy and

Documentation of Public Notice

Written organizational policy containing nondiscrimination

language. Additional examples of public materials and

postings may be provided or researched, e.g. public

website, service agreements, etc.

PPR Data Summary Chart

A document showing the high-level summary of the

outputs and outcomes reported for the in the most recent

PPR for the performance measure selected by the

Monitoring Officer. May be an Excel spreadsheet, export

from a system used to track data, etc. Should be an

aggregate report that shows a breakdown across

subrecipients, operating sites, and / or service locations.

Recruitment and Application Materials

Public-facing documentation for grantee staff and/or

members/volunteers, including job postings and national

service position descriptions.

Site Orientation and Training Materials

for Volunteers

Plan, agenda, and/or training materials designed by the

sponsor and/or subsite to onboard new members.

Station Oversight Policies and

Procedures

All policies and procedures related to management,

training, monitoring and oversight of volunteer station

operations

Subsite Agreements/Memorandums of

Understanding (MOUs)

Executed Agreements/Memorandums of Understanding

(MOUs) from a selection of active subsites described by the

assigned Monitoring Officer in the notes section below (if

applicable).

Volunteer Management Policies and

Procedures

All policies related to volunteer management including

eligibility requirements, recruitment, hiring, accessibility,

leave, training, supervision including training agenda or

other training documentation, and timekeeping

RSVP - Supplemental Documents

Document Name

Description

Eligibility Documents

• Documentation of income eligibility for volunteers

receiving stipends.

• Documentation of volunteers age to include enrollment

form and official source documentation (e.g. government

ID) showing DOB

Volunteer Assignment Plans

• Description of activities assigned, client served, expected

outcome, service period etc.

MOUs

•Executed MOU's for the selected volunteer stations

•Documentation that verifies the volunteer stations

selected are either a public or non-profit private

organization, or an eligible proprietary health care agency.

Raw/source documentation for selected

progress report data

Raw/source documentation for the selected performance

measures detailed by the assigned Monitoring Officer. This

is backup documentation for the summary data submitted

in the initial document request. Examples of source

documentation include but are not limited to: survey

results, attendance logs, etc., and is dependent on

document type used to measure outputs and outcomes.

8. Program Specific: Days of Service

Days of Service - Initial Documents

Document Name

Description

Accessibility Policy and Procedure

Policies and procedures to ensure accessibility to all

persons (staff and volunteers) with mobility, hearing,

vision, mental, and cognitive impairments, that may

include the accessibility self-evaluation.

Filed Grievances and Follow Up from

the Last Two Years for Prime and

Service Sites

If there have been any incidents or grievances filed within

the last two years, documentation submitted may include

follow up, actions taken, and conclusion to the incident.

Grievance Policy and Procedure

Any policy/procedure regarding the filing and adjudication

of grievances from within or outside of the grantee

organization

Information given to volunteers on the

day of service and/or volunteer training

materials

Materials given to inform and/or train volunteers on the

day of service (e.g. pamphlets, brochures, exit surveys)

Limited English Proficiency Policy and

Procedure

Policies and procedures outlining the process to address

providing materials and/or support to any staff/volunteers

who may have limited English proficiency.

Days of Service - Initial Documents

Document Name

Description

List of service sites including dates of

service activities performed under the

grant

List of service sites under the grant and dates of service

activities performed at each site for MLK or 9/11 Day of

Service, as applicable.

List of social media platforms and

websites

A list of social media platforms and websites of the

organizations hosting AmeriCorps members and/or

AmeriCorps project related social media platforms and

websites.

List of subrecipients/subawardees with

individual subaward dollar amounts

and DUNS numbers

A list of subrecipients and subawards along with award

amounts and DUNS numbers for the grant number listed.

News stories or press releases related

to AmeriCorps project

News stories or press releases related to the AmeriCorps

Day of Service project during the assessment period.

Non-Discrimination Policy and

Documentation of Public Notice

Written organizational policy containing nondiscrimination

language. Additional examples of public materials and

postings may be provided or researched, e.g. public

website, service agreements, etc.

Photos from the day of service and/or

link to them

Upload no more than five photos from the day of service,

including volunteers in action, and/or link to them.

Raw/source data or documentation for

required reported data

Raw/source data or documentation showing 1. the number

of volunteers recruited, trained, and committed to one or

more future service activities and 2. the number of

organizations engaged and committed to one or more

future service activities that honor and reflect MLK or

September 11th that correspond with your last submitted

PPR.

Recruitment and Application Materials

Public-facing documentation for grantee staff and/or

members/volunteers, including job postings and national

service position descriptions.

Request for Proposal (RFP) or other

process to solicit subaward applications

Policies, procedures, and/or notices used to solicit

subrecipients/subawards for the MLK and/or September

11th Day of Service grant.

Volunteer Recruitment Materials

Materials used to recruit Day of Service volunteers (e.g.

posters, flyers, social media posts).

Prohibited Activities Policy

Policy describing all Prohibited Activities applicable to the

grant program/awards administered by the

grantee/sponsor organization.

Days of Service - Supplemental Documents

Document Name

Description

Subrecipient Agreements / Notice of

Subawards (Executed Documents)

Copies of the executed subrecipient

agreements/subawards for the following subrecipients

selected in the notes section below by your Monitoring

Officer.

9. New to AmeriCorps

New to AmeriCorps - Initial Documents

Document Name

Description

Accessibility Policy and Procedure

Policies and procedures to ensure accessibility to persons

with mobility, hearing, vision, mental, and cognitive

impairments, that may include the accessibility self-

evaluation.

ACS Site Roster Report

Complete list of service sites included on the grant

ACS Volunteer Roster

Complete the template. The ACS Volunteer Roster must

include volunteers’ first and last name, enrollment date,

DOB/age at enrollment, service start date, station site,

supervisor's name, volunteer status (active, exited, other)

and exited date, if applicable.

Note: RSVP Volunteers do not receive a stipend so this

column should show as ‘N/A’ or ‘No’. The roster should

include all volunteers at all service sites active during the

monitoring assessment period

Chart of accounts, or other document

showing expenses are tracked by cost

type and by project/grant.

A document outlining the accounting codes and cost

centers used by your organization to identify transactions

by expense type, and by project/grant. Any account(s)

related to a grant under monitoring are annotated or

documented separately for clarity and ease of reference.

Completed Segregation of Duties

Worksheet

Please complete the linked worksheet and return to

AmeriCorps.

Evidence of Project Director's

Completion of VISTA Sponsor

Orientation (VSO)

*only applies to VISTA sponsors

Documentation showing that the Project Director has

completed the VISTA Sponsor Orientation (VSO)

(e.g., screenshot of completion, certificate)

Federal cash management policy and

procedure/drawdown policy and

procedure

Policies and Procedures related to the drawdown of federal

funds, including both any overarching policy as well as

procedural information such as who initiates, approves,

submits a drawdown, when that happens, etc.

New to AmeriCorps - Initial Documents

Document Name

Description

Fiscal Policies/Accounting Handbook

Pertinent organizational policies and procedures related to

internal controls, financial and accounting practices, etc.

Grievance Policy and Procedure

Any policy/procedure regarding the filing and adjudication

of grievances from within or outside of the grantee

organization

Limited English Proficiency Policy and

Procedure

Policies and procedures in place that ensure program

accessibility to persons with Limited English Proficiency.

List of social media platforms and

website(s)

A list of social media platforms and

websites of the organization(s)

hosting AmeriCorps members and volunteers

and/or social media or website that contains information

on the AmeriCorps project and activities

Member / Volunteer Management and

Recruitment Policies

All policies related to member management including

leave, recruitment, hiring, accessibility, training,

supervision, and timekeeping.

Member / Volunteer timesheet

template and/or timekeeping

documentation

A template timesheet that a member or volunteer utilizes

to track their AmeriCorps service hours, and/or

timekeeping documentation that shows how member

hours and leave are tracked.

Member service agreement template

A template for the member or volunteer’s position

description that outlines expectations for their service

term.

Member timekeeping policies

Including general member timekeeping requirements and

procedures, and as applicable, training and fundraising

limitations (ASN), explanation of what is considered full-

time work schedule for members (VISTA)

Non-Discrimination Policy and

Documentation of Public Notice

Written organizational policy containing nondiscrimination

language. Additional examples of public materials and

postings may be provided or researched, e.g. public

website, service agreements, etc.

NSCHC Policies and Procedures

Organization's internal NSCHC policy and procedures.

NSCHC Record Review Form (NRRF)

The form provided by OM that the grantee should

complete by answering all questions about an NSCHC

record of the grantee’s choosing.

One Complete NSCHC Record

The grantee should select an NSCHC record of a covered

individual that they consider complete that was active

during the assessment period (MO to include assessment

period dates). See components listed on New to

AmeriCorps Record Review Form.

New to AmeriCorps - Initial Documents

Document Name

Description

Procurement Policies and Procedures

All policies and procedures related to contracting,

equipment and supply purchases, and any other

procurement activity

Recruitment and Application Materials

Public-facing documentation for grantee staff and/or

members/volunteers, including job postings and national

service position descriptions.

Sample Employee Timesheet

(Completed) and Relevant Notes

A sample of a completed timesheet for an employee in

your organization who charges time to the grant. In

addition to regular work time, the completed timesheet

should demonstrate how leave and/or holiday time are

recorded.

If utilizing an electronic timekeeping system, please

provide a written description of the electronic timekeeping

process that your organization implements. What does a

complete, approved timecard look like (for example, are

approvals shown via check marks by daily entries, and

'approved' icon on the timecard, an electronic signature of

the employee/member and their supervisor, etc.)

Service Site/Volunteer Station

agreement/MOU Template

A template document that will be used to formally outline

the agreement between the grantee and its host sites /

service sites / stations.

Site Monitoring / Oversight Policies

(Programmatic and Financial)

All policies and procedures, both programmatic and

financial, related to overseeing sites (subrecipients,

operating sites, host sites, service locations, etc.). This may

include, but is not limited to, oversight and enforcement

policies, monitoring plans or schedules, and monitoring

tools and checklists.

Subrecipient Agreement Template or

Notice of Grant Award

A template document that will be used to formally outline

the agreement between the grantee and its subrecipients

(not applicable if there are no subrecipients).

Supervisor Orientation

Agenda/Materials

An agenda and/or training materials for training provided

to site supervisors regarding prohibited activities.

New to AmeriCorps - Initial Documents

Document Name

Description

Timekeeping policies and procedures,

explanation of electronic timekeeping

system (if applicable)

Timekeeping policies and procedures for your

organizational staff, including the process for how

employees who charge time to the grant record, validate,

and receive approval for their time worked.

If utilizing an electronic timekeeping system, please

provide a written description of the electronic timekeeping

process that your organization implements. What does a

complete, approved timecard look like? (for example, are

approvals shown via check marks by daily entries, and

'approved' icon on the timecard, an electronic signature of

the employee/member and their supervisor, etc.) Policies

and Procedures related to how employees who charge

time to the grant record, validate, and receive approval for

their time worked.

10. National Service Criminal History Check (NSCHC)

NSCHC - Initial Documents

Document Name

Description

List of Individuals Requiring NSCHC

Provide a list of all individuals requiring National Service

Criminal History Checks (NSCHC) under the grant being

reviewed, who served or worked on the grant at any time

during the monitoring assessment period. This should

include: Foster Grandparent Program and Senior

Companion Program volunteers who received a stipend,

and staff who received a full or partial salary, directly or

reflected as match, under a cost reimbursement grant.

For each individual, include their legal first and last name,

their position/title, and their start and end date (if

applicable).

Position/title should be "member", "volunteer", or the staff

title (as it appears on the grant's budget narrative, if

applicable). Staff or volunteers who have exited prior to

the monitoring period do not need to be included in this

list.

If anyone included on the list has had a break in work or

service of 180 days or more, list both sets of start and end

dates.

Note for ASN: ASN grantees need only provide this

information for staff requiring NSCHC under this grant. The

member roster will be pulled from the Member Portal to

determine ASN members requiring NSCHC during the

monitoring assessment period.

Note for VISTA: VISTA grantees need only provide this

information for staff requiring NSCHC under this grant.

VISTA member criminal history checks are not reviewed by

the Office of Monitoring. And, NSCHC is not required for

VISTA staff whose salaries are reflected solely on the

Grantee Share column of the VISTA grant budget and paid

entirely from non-federal funds.

NSCHC e-Course Training Certificate

At least one AmeriCorps-designated NSCHC e-Course

training certificate for staff member(s) in the organization

with some responsibility for NSCHC compliance. Any

certificate(s) submitted should be dated at least one day

prior to the date that this request was sent, and at most

one year (365 days) prior to the date that this request was

sent.

NSCHC Policy and Procedures

Organization's internal NSCHC policy and procedures.

Statement on Use of AmeriCorps-

Approved Vendors Fieldprint and

Truescreen

A short-written statement indicating whether or not your

organization uses the AmeriCorps-approved vendors

Truescreen and Fieldprint to conduct NSCHC. If your

organization has ever used these vendors, please clarify if

this use is regular, for one NSCHC component, only for

rechecks under the Exemption Period, etc.

NSCHC - Supplemental Documents

Document Name

Description

Completed NSCHC Information

Collection Spreadsheet

Using the Information Collection Spreadsheet, please

provide the requested information for the selected

individuals requiring NSCHC during the monitoring

assessment period.

Complete NSCHC Files

For individuals listed on the Information Collection

Spreadsheet, please submit complete files of NSCHC-

related information to include everything that is necessary

to ascertain compliance. Refer to the next tab in this

spreadsheet, "Submitting an NSCHC File", for details on

relevant documents to include depending on the check

source. Note that for individual's whose checks were

conducted entirely in Fieldprint and Truescreen, the

Monitoring Officer will obtain most information directly

from the vendor system; submission of paper-records is

only necessary for information not captured in the vendor

system.

NSCHC e-Course Training Certificate for

Sampled Subrecipients, if applicable

At least one AmeriCorps-designated NSCHC e-Course

training certificate for staff member(s) of the subrecipients

listed below with some responsibility for NSCHC

compliance. Any certificate(s) submitted should be dated

at least one day prior to the date that this request was

sent, and at most one year (365 days) prior to the date that

this request was sent.

[MO list subs]

NSCHC Policy and Procedures for

Sampled Subrecipients, if applicable

NSCHC policy and procedures for the following

subrecipients:

[MO list subs]

11. Prohibited Activities

Prohibited Activities - Initial Documents

Document Name

Description

Active Volunteer/Member Roster

The Active Volunteer/Member Roster should contain the

following information: Volunteer/Member name; Service

site assignment; Service site assignment title; Site

supervisor; Status (Active, Exited, Other). The roster should

include all volunteers/members at all service sites active

during the monitoring assessment period. Please submit

the roster in Excel, if possible.

List of prime grantee staff on the

selected grant during the monitoring

assessment period.

The list must include the following: Staff first and last

name; Position title; Position status (Active, Resigned,

Other)

Monitoring Documentation

Template of and/or completed monitoring activity done by

the grantee. A completed activity should include

monitoring results and follow-through of appropriate

action on identified deficiencies. Include any and all

applicable completed monitoring tools, final reports,

follow-up correspondence, and documentation of

enforcement or corrective action for each activity.

Monitoring and Oversight Policies and

Procedures

Any policies and procedures related to the monitoring and

oversight of grant/program operations occurring at service

sites. 

Prohibited Activities Policy

Policy describing all Prohibited Activities applicable to the

grant program/awards administered by the

grantee/sponsor organization.

Training Documentation

Any documents related to the training of grantee staff,

members, or volunteers. This could include written

procedures, training sign-in sheets, etc.

Prohibited Activities - Supplemental Documents

Document Name

Description

Volunteer/Member Assignment

Descriptions

For selected volunteers, submit the following: ASN -

Position Description; FGP/RSVP/SCP - Volunteer

Assignment Plan.