Quality Management Plan
Harold Davis, III
Deputy Section Chief
Weatherization
North Carolina Department of Commerce – Energy Division
Quality Management Plan
• 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
• 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.
Subgrantee FY14 Risk Assessment
Criteria
Low Risk
Description
Score (1)
Medium Risk
Description
Score (2)
High Risk
Description
Score (3)
1. Financial Audit and Perform ance Assessm ent:
a. Financial
Statements
Subgrantee has had
no Findings for the
FY11 Financial Audit.
c. DOE WAP
Contract Units
Subgrantee has met
unit obligations
specified for FY12.
Subgrantee has
completed at least 85%
of its unit obligation.
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 has had
at least one Material
Weakness/Material
Noncompliance
Finding for the FY11
Financial Audit.
Subgrantee has
completed less than
85% of its unit
obligation.
Subgrantee
expended less than
80% of its allocation
during FY12.
Client files and AR4CA
documentation w ere
consistently and
correctly collected on
homes monitored w ith
some exceptions.
Client files and
AR4CA
documentation w ere
not consistently and
correctly collected
on homes monitored.
Initial energy audits
w ere consistently and
correctly performed on
homes monitored w ith
some exceptions.
Initial energy audits
w ere not
consistently and
correctly performed
on homes monitored.
1
Subgrantee has had at
least one Significant
Deficiency Finding for
the FY11 Financial
Audit.
3
3
2. Program m atic Monitoring (FY12):
A. Client File &
AR4CA
Documentation
Client files and AR4CA
documentation w ere
consistently and
correctly collected on
homes monitored w ith
at most one exception.
Initial energy audits
w ere consistently and
b. Initial Energy
correctly performed on
Audit
homes monitored w ith
at most one exception.
1
2
• Subgrantee knows if they
are high, medium or low risk
before submission
3. Key Staff Experience:
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.
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
Executive Director
has less than one
year of experience,
is Acting/Interim in
the position, or is
Vacant.
Program Coordinator
has less than one
year of experience,
is Acting/Interim in
the position, or is
Vacant.
3
4. Additional Risk Factors
(Score of 3 for Yes and 1 for No)
Yes/ No
Has Subgrantee lost a Type A Program w ithin the past tw o years (since April 1, 2011)?
(Score of 1 for Yes and 3 for No)
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?
Score Key:
Score
No
1
Yes/ No
Score
No
3
Yes
• Risk Assessment has
prefilled fields and
Subgrantee filled fields
1
Audit & Performance Score:
29
8
Low Risk = 18-26
Key Staff Score:
Medium Risk = 27-35
Additional Risk Factors:
5
High Risk = 36 and above
Cum ulative Risk Score:
42
Risk Level:
High
• Subgrantee can address
deficiencies with submission
QMP – Risk Assessment
North Carolina Weatherization Assistance Program
1. Financial Audit and Performance Assessment:
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.
• 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.
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