Louisiana Office of Community Development - Disaster Recovery - Exhibit 11-2 - Compliance Monitoring Core Checklist - Revised May 2025

Sep 12, 2026

This compliance monitoring core checklist evaluates whether a Subrecipient’s core administrative systems—financial management, procurement, contracting, and monitoring—meet minimum federal and state requirements. It supports consistent monitoring by assessing system effectiveness, reviewing financial management compliance with applicable laws and regulations, and verifying civil rights requirements during program implementation. It also guides monitors on required preparation steps, including review of statutes, waivers, grant and binding agreements, action plans, amendments, and approved program guidelines, and instructs completion through response, issue, and comments columns.

LanguageEnglish

CategoryForms

FormatPDF

Pages36

Reading Time13 min

AccessFree to download

Instructions and Monitoring Prep

Monitoring Preparation

Policies, Procedures, and Systems

Procurement Policies and Procedures

Contract Administration Process

Financial Management Policies and Procedures

Monitoring Policies and Procedures (Program Monitoring)

Recordkeeping and Reporting

Duplication of Benefits

Green Building Standards Requirements

Validation of Financial Management System

Establishing CDBG-DR/MIT-DR Funds Account

Financial Administration

Program Income

Financial Reporting and Audits

Civil Rights

Section 504

Fair Housing

Title VI

Section 3

Subrecipient Management

Records Management

Areas of Merit

Technical Assistance

Louisiana Office of Community Development-Disaster Recovery Exhibit 11-2 Compliance Monitoring Core Checklist Revised May 2025 TABLE OF CONTENTS 1. Instructions and Monitoring Prep ............................................................................................1 1.1 Monitoring Preparation ..............................................................................................2 2. Policies, Procedures, and Systems ...........................................................................................7 2.1 Procurement Policies and Procedures ........................................................................8 2.2 Contract Administration Process .............................................................................10 2.3 Financial Management Policies and Procedures ......................................................11 2.4 Monitoring Policies and Procedures (Program Monitoring) ....................................13 2.5 Recordkeeping and Reporting..................................................................................14 2.6 Duplication of Benefits ............................................................................................ 15 3. Green Building Standards Requirements ...............................................................................16 4. Validation of Financial Management System ........................................................................17 4.1 Establishing CDBG-DR/MIT-DR Funds Account ..................................................17 4.2 Financial Administration.......................................................................................... 18 4.3 Program Income ....................................................................................................... 19 4.4 Financial Reporting and Audits ...............................................................................20 5. Civil Rights ............................................................................................................................22 5.1 Section 504...............................................................................................................22 5.2 Fair Housing.............................................................................................................23 5.3 Title VI .....................................................................................................................24 5.4 Section 3...................................................................................................................25 6. Subrecipient Management .....................................................................................................29 7. Records Management.............................................................................................................32 8. Areas of Merit ........................................................................................................................33 9. Technical Assistance..............................................................................................................34 This checklist is designed to evaluate whether the Subrecipient’s core administrative systems—including financial management, procurement, contracting, and monitoring—meet the minimum requirements established by federal and state regulations. The checklist also serves to: • Assess the effectiveness of these systems at the Subrecipient level; • Review the Subrecipient’s financial management system for compliance with applicable laws, rules, and regulations; • Evaluate Subrecipient management practices, including oversight and documentation; and • Verify compliance with civil rights requirements in program implementation. Monitors should be familiar with program regulations, action plans, waivers, executed agreements, and relevant policies prior to conducting the review. Supporting documentation should b

FAQs

What purpose does the Compliance Monitoring Core Checklist serve?

It evaluates whether the Subrecipient’s core administrative systems—financial management, procurement, contracting, and monitoring—meet minimum requirements set by federal and state regulations. It also supports assessment of system effectiveness, compliance review, subrecipient oversight, and civil rights verification.

What information should monitors review before performing the checklist?

Monitors should be familiar with program regulations, action plans, waivers, executed agreements, and relevant policies. They should also gather supporting documentation in advance to complete an efficient monitoring process.

How should monitors record findings in the checklist?

Monitors should provide the appropriate response in the “Response” column. If an issue or deficiency is identified, they should mark it in the “Issue” column and use “Comments” to describe the concern, recommend corrective actions, and indicate whether technical assistance is needed.

Sep 12, 2026

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