Skip to main content
Iowa Attorney General
Main Content

Probationary Status

Probationary status is a designation given to an organization that has exhibited poor financial and/or programmatic performance. An organization may be placed on probationary status if: 

  1. It demonstrates unsatisfactory administrative capacity. Examples include but are not limited to: 
    • CVAD program staff identify consistent high turnover of executive staff; 
    • CVAD program staff note consistent delinquent program claims, reports and/or contracts; 
    • CVAD program staff discover missing client files; 
    • Organization fails to address issues identified at a site monitoring visit; 
    • Organization has findings of discrimination; and/or 
    • Organization exhibits poor board governance that affects service delivery, etc.
  2. It is not financially competent/stable. Examples include but are not limited to:
    • CVAD financial staff have reviewed an organization audit with findings;
    • CVAD financial staff have determined an organization makes significant and continuous claim errors;
    • CVAD financial staff identifies there are financial concerns after on-site monitoring or a desk review; or
    • CVAD financial staff identifies any other issues giving concern regarding financial grant management.
  3. It is not/has not met the goals and deliverables outlined in grant contract. 

After repeated efforts to assist an organization to improve performance with little to no progress, CVAD staff will consult and recommend to the VSS Administrator that an organization be placed on probationary status. CVAD staff will meet to outline factors to be incorporated in a corrective action plan and a desired timeline for completion, and/or they will direct the program to create a corrective action plan with a desired timeline and deadline to submit it to CVAD for approval.

A. Financial Corrective Actions

If CVAD financial staff has documented financial concerns about an organization, CVAD will determine if:

  1. Financial risk assessment designation needs to be changed;
  2. CVAD financial staff needs to conduct an immediate desk review;
  3. CVAD financial staff needs to conduct an emergency on-site monitoring visit.

If an organization is placed on probationary status, they will be required to submit 100% documentation for the following 3-month probationary period. After the end of this 3-month probationary period, CVAD staff will determine if the probationary status is released, released with conditions, or extended. 

Financial corrective action and probationary status impacts the entire organization, so all CVAD funded programs within an organization will be subject to the decision.

B. Programmatic Corrective Action

If CVAD program staff have documented programmatic concerns about an organization or a program within an organization, CVAD program staff will determine if:

  1. CVAD’s programmatic risk assessment designation needs to be changed;
  2. The problem/problems warrant a formal corrective action plan;
  3. CVAD program staff need to provide additional technical assistance;
  4. CVAD program staff need to conduct an emergency on-site visit.

C. Notification of Probationary Status

If CVAD places an organization on probationary status and/or institutes a financial or programmatic corrective action plan on an organization or a program within an organization, the appropriate agency personnel will be notified in writing by CVAD staff. 

D. Release from Probationary Status or Corrective Actions

After CVAD staff determine the organization or program should be released from probationary status or other restrictions, CVAD will notify the program they have satisfied the terms of the financial and/or programmatic corrective action. CVAD staff will also outline any new terms of agreement, and/or special conditions, such as an increased programmatic or financial risk designation for the remainder of the grant cycle.
 

Sitemap
© 2019 State of Iowa Office of the Attorney General. All rights reserved.