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BOCC Fiscal Compliance Monitoring
The BOCC Fiscal Monitoring Team conducts annual fiscal monitoring for all agencies that meet the established monitoring pool requirements. This process provides a structured approach to identifying fiscal risks, communicating compliance expectations, supporting agencies in addressing deficiencies, and ensuring continued accountability for City-funded programs.
Fiscal Compliance Monitoring
- The BOCC Fiscal Monitoring Team conducts annual fiscal monitoring for all agencies that meet the established monitoring pool requirements.
- Agencies are selected based on a risk assessment, including factors such as the level of funding received from the San Francisco Department of Public Health (SFDPH).
- The Fiscal Monitoring Team initiates the process by sending each selected agency an initial monitoring letter. The letter outlines the required documentation, applicable fiscal standards, monitoring expectations, and available guidance and support. Agencies are provided 30 days to submit the requested documentation and demonstrate compliance with City fiscal monitoring requirements.
- Upon receipt of the required documents, the Fiscal Monitoring Team reviews the submissions to determine whether the agency meets the applicable standards. If all requirements are satisfied, the team issues a Verification of Conformance Letter documenting the agency’s compliance.
- If an agency does not submit the required documentation, a BOCC Fiscal Monitoring Team member contacts the agency to communicate the outstanding requirements and provide an opportunity to submit the missing information. If the agency fails to provide the required documentation after two follow-up attempts, a Finding Letter is issued.
- Following the issuance of a Finding Letter, the agency is provided 30 days to respond. The agency must either submit documentation demonstrating that the finding has been resolved or provide an explanation regarding the deficiency. The agency is also required to submit a Corrective Action Plan outlining the steps it will take to address the issue and prevent it from recurring.
- Once the agency submits its response and supporting documentation, the Fiscal Monitoring Team reviews the materials and determines whether the finding has been adequately addressed. The monitoring documentation and final determination are then uploaded into Salesforce, and a Final Status Letter is generated and sent to the agency. The letter identifies whether the agency has satisfied the applicable fiscal monitoring requirements.
- For agencies that do not fully satisfy the monitoring requirements, the Controller’s Office may conduct additional follow-up, request further documentation, or assign an appropriate monitoring tier based on the nature and severity of the outstanding findings.