Resources from the COVID-19 Compliance and Oversight Taskforce
Compliance Plan: August 2020 (PDF)
Outline of the state’s oversight framework, includes a review of state and federal guidelines applicable to COVID-19 recovery funding, and features best practices for preventing fraud, conducting compliant procurements, and establishing strong internal controls.
Integrity Monitor Guidelines: June 2021 (PDF)
Updated guidelines of which agencies, departments, or authorities require the oversight of an Integrity Monitor, what tasks the Integrity Monitors can be hired to perform, the reporting required of Integrity Monitors, and how the Integrity Monitors should be overseen.
- Reporting Template: Integrity Monitor Category 1 and 2 (Download)
- Reporting Template: Integrity Monitor Category 3 (Download)
- Risk Assessment Template (Download)
- Integrity Monitor Guidelines: August 2020 (superceded by June 2021 updates) (PDF)
Resources from the Office of the State Comptroller
Submitting COVID-19 Contracts: July 2021 (Webpage)
Information regarding the submission of COVID-19 contracts to OSC’s Procurement Division for review. OSC reviews procurements valued at $150,000 or more by State departments, agencies, and independent State authorities using COVID-19 recovery funds.
Risk Assessment Template: June 2021 (Download)
Template to assess risk in programs, procedures, and processes, including a review of the ability to comply with state and federal statutory and regulatory requirements with regard to reporting, monitoring, oversight, and susceptibility to fraud, waste, and abuse.
Transparency Website Tutorial: February 2021 (PDF)
Tutorial on how to access a breakout of the federal COVID-19 funds by state program.
State Government-Specific Resources
Working with Integrity Monitors - Practical Contracting Tips and Red Flags: September 2021 (PDF)
Practical tips to assist with procuring an integrity monitor. Provides a general outline of the process for developing and issuing an engagement query and provides helpful guidance on selecting an integrity monitor from the proper category, planning for the engagement, developing a detailed scope of work, determining the length of the engagement, evaluating bids, and working with an integrity monitor.
Webinar on ensuring a transparent recovery from COVID-19, focusing on internal controls and procurement compliance.
Local Government-Specific Resources
Learn about the American Rescue Plan Act’s Local Fiscal Recovery Funds, including best practices for compliance, procurement, subrecipient monitoring, and internal controls.
Local Government Procurement Checklist on Uniform Guidance: October 2021 (PDF)
Procurement Checklist designed to assist local governments in understanding the procurement requirements under the Uniform Guidance, providing citations to various statutory requirements as well as links to required forms.
Local Government Representatives Compliance Alert: July 2021 (PDF)
Overview of resources available to assist local governments in their administration and oversight of federal COVID-19 funding, including Local Fiscal Recovery Funds under the American Rescue Plan Act (ARPA).
Practical best practices on complying with federal and state guidance for Local Fiscal Recovery Funds.
Template for a checklist to determine whether internal controls are in place to prevent fraud, waste, and abuse.
Waste or Abuse
Waste or Abuse