North Carolina Department of Commerce – Energy Division

Quality Management Plan

Harold Davis, III Deputy Section Chief

Weatherization

• Quality Management Plan (QMP) - Outlines what is expected by DOE to ensure quality of management at both the Grantee and Subgrantee level. Most of management quality is exhibited through outcomes, minimization of complaints, and findings from monitoring.

• PY14 (Goals & Timetables)

• PY15 (Implementation & Training)

• Even the Cylons needed a Plan…

Quality Management Plan

Quality Management Plan

• Implementation: Ensure that all contracts have management expectations incorporated.

• Grantee: Expectations will be negotiated the state plan. Should come out in the next few months, us it these requirements as a model for the Subgrantee.

• Subgrantee: Several Areas:

– Risk Assessment/Key Personnel

– Scope of Work

QMP – Risk Assessment

• NC requires Subgrantees to apply every year.

– Application requires Job Descriptions, Resumes and Organizational Charts

• Require a cross walk from Subgrantees were they link these job descriptions with the Core Competencies. If the job descriptions are lacking, we will request a timeline for them to be updated.

• If Resumes do not match updated job descriptions, then we will require a timeline for training.

– Restrictions in Key Personnel are already in our contract

• Revising how key personnel are treated by the program. Instead of looking at people, look at job titles and being key to the program.

Description Score (1) Description Score (2) Description Score (3)

a. Financial Statements

Subgrantee has had no Findings for the FY11 Financial Audit.

1

Subgrantee has had at least one Signif icant Deficiency Finding for the FY11 Financial Audit.

Subgrantee has had at least one Material Weakness/Material Noncompliance Finding for the FY11 Financial Audit.

c. DOE WAP Contract Units

Subgrantee has met unit obligations specif ied for FY12.

Subgrantee has completed at least 85% of its unit obligation.

Subgrantee has completed less than 85% of its unit obligation.

3

d. DOE WAP Expenditures

Subgrantee expended 90% or more of its allocation during FY12.

Subgrantee expended betw een 89% and 80% of its allocation during FY12.

Subgrantee expended less than 80% of its allocation during FY12.

3

A. Client File & AR4CA Documentation

Client f iles and AR4CA documentation w ere consistently and correctly collected on homes monitored w ith at most one exception.

1

Client f iles and AR4CA documentation w ere consistently and correctly collected on homes monitored w ith some exceptions.

Client f iles and AR4CA documentation w ere not consistently and correctly collected on homes monitored.

b. Initial Energy Audit

Initial energy audits w ere consistently and correctly performed on homes monitored w ith at most one exception.

Initial energy audits w ere consistently and correctly performed on homes monitored w ith some exceptions.

2

Initial energy audits w ere not consistently and correctly performed on homes monitored.

a. Key Staff

Executive Director has three or more years of experience in that position.

Executive Director has one to tw o years of experience in that position.

Executive Director has less than one year of experience, is Acting/Interim in the position, or is Vacant.

3

d. Key Staff

Program Coordinator has three or more years of experience in the position.

Program Coordinator has one to tw o years of experience in the position.

2

Program Coordinator has less than one year of experience, is Acting/Interim in the position, or is Vacant.

Yes/ No Score

No 1

Yes/ No Score

No 3

Yes 1

29

8

5

42

High

2. Programmatic Monitoring (FY12):

Has Subgrantee lost a Type A Program w ithin the past tw o years (since April 1, 2011)?

Does the Subgrantee have unrestricted funds equivalent to 60 days cash on hand?

Has the Subgrantee changed financial auditors once in the past 6 years?

Risk Level:

Cumulative Risk Score:

Score Key:

Low Risk = 18-26

Medium Risk = 27-35

4. Additional Risk Factors

(Score of 3 for Yes and 1 for No)

(Score of 1 for Yes and 3 for No)

Subgrantee FY14 Risk Assessment

1. Financial Audit and Performance Assessment:

Low Risk Medium Risk High RiskCriteria

High Risk = 36 and above

3. Key Staff Experience:

Audit & Performance Score:

Key Staff Score:

Additional Risk Factors:

• Risk Assessment has prefilled fields and Subgrantee filled fields

• Subgrantee knows if they are high, medium or low risk before submission

• Subgrantee can address deficiencies with submission

• Subgrantees are required to submit specific, detailed, monitor-able corrective action plans.

• Initial: Agency will ensure final inspections are performed.

• Revised: Coordinator shall review all final inspections files before jobs are closed. Executive Director will inspect 10% of files before jobs are closed and keep a log of the homes reviewed.

Subgrantee has completed less than 85% of its unit obligation.

Subgrantee expended less than 80% of its allocation during FY12.

Subgrantee has completed less than 85% of its unit obligation.

North Carolina Weatherization Assistance Program

1. Financial Audit and Performance Assessment:

QMP – Risk Assessment

QMP – Scope of Work

• NC will integrate management requirements into the scope of work of the contract.

• Currently we have only covered the output measures of units (expending funds & completing units) and the general weatherization process in the Scope of Work .

• Formalize the management requirements in the scope of work.

The End