Please review the following tips on how to successfully prepare for a Wx Administrative compliance review. This will help decrease the agency time pulling documentation once the monitor is on site and will make the site visit faster.
- Review the monitoring tool that is sent with the scheduling letter prior to the site visit. This is the EXACT tool that is used to review your documentation. The monitor needs to physically see ALL items listed on that tool even though some of the same documentation may have been reviewed in the past. Do not assume that if items were viewed during past visits, they will not be needed again.
- Review the scheduling letter and the attached checklist within the letter. This is a general checklist that shows items that is needed for the review. Use this along with the monitoring tool to ensure all documentation is available.
- In order to prepare for the financial portion of the review, ALL documentation should be readily available for the monitor. This means the WX-702 invoice, chart of accounts, revenue and expense statement, general ledger, receipts, bills, invoices, journal vouchers, timesheets, payroll reports, etc. are required. Any documentation that proves what the agency billed to KHC is needed for review. The monitor will not review a sample of the expenses. The documentation for the entire amount billed will be reviewed. If the documentation doesn't match what is invoiced, be prepared to explain the discrepancy.
- All training documentation for in-house employees and contractors will be reviewed each year. Most years this information will not change, but be prepared to show all required certificates for each Weatherization employee and contractor.
- Have a list of ACTIVE employees (with titles) and contractors available for the monitor.
- Keep client files, contractor files, and training files organized. Keep current information at the front of contractor and training files. Review the files prior to the site visit to ensure you have required documentation in the file.