Reporting And Recordkeeping Compliance And Monitoring

Monthly Financial Expense Reports

Grantees are required to submit a Monthly Financial Expense Report by the 25th of the following month for the duration of their grant term (ex. the September Monthly Financial Expense Report is due October 25). Reports that are submitted after the last day of the month will not be accepted (i.e. After October 31st, no September Monthly Financial Expense Reports will be accepted). Detailed information on the submission of these reports can be found in the Financial Compliance Requirements article.

Quarterly Programming Reports

Grantees are required to submit a Quarterly Programming Report detailing the achievements, challenges, lessons learned, and overall impact of their program, as well as providing feedback for BCYF. These reports will be completed and submitted via the portal.

The schedule for Quarterly Programming Reports is as follows:

Monitoring, Site Visits, and Maintenance of Records

Monitoring

The services provided by the Grantee pursuant to this Grant may be monitored, inspected, and evaluated by BCYF to determine that they are being delivered in accordance with the Scope of Grant. This may occur through meetings, site inspections, teleconferences and through the monitoring of Grantee's adherence to the terms of the Grant. BCYF’s failure to monitor, inspect, or evaluate according to these provisions shall not relieve the Grantee of any of its obligations under this Grant.

Site Visits

All grantees are required to schedule one annual site visit with their assigned Program Officer. BCYF values the opportunity to conduct these visits during regular program operation hours at the site where the grantee delivers programming associated with the grant. During the visits, BCYF may observe the delivery of service to participants. Your assigned Program Officer will provide a written report within two weeks of concluding the site visit.

Maintenance of Records

For a period of five (5) years from termination of any BCYF Grant, the Grantee shall facilitate inspection, by representatives of BCYF, or any other agency or entity designated by BCYF, of any of the Grantee’s records pertaining to matters covered by this Grant. The Grantee shall permit BCYF and/or its designee to make copies or transcripts from such records, and to make audits of all Grants, invoices, materials, payrolls, personnel records, conditions of employment, and other data relating to matters covered by this Grant. The Grantee shall grant to the State of Maryland access to all information, including client records, consistent with State and federal laws.

Record Retention and Access

Except as provided in the section below regarding Participant Service Records, the Grantee shall retain all books, records, or other documents relevant to this Grant for five (5) years after receipt of final payment pursuant to this Grant or longer as may be required by applicable law after final payment for the service period, at its cost, and City auditors and any persons duly authorized by BCYF shall have full access to, and the right to examine and audit any of said material during the said period.

Audit Retention

If an audit is initiated prior to the expiration of the grant term or such later period as may be required by applicable law, and extends past that period, all documents shall be maintained until the audit is completed.

Discontinuing Operation

If Grantee determines that it will no longer operate as a business in the State of Maryland within the five-year period after receipt of final payment pursuant to this Grant or such later period as may be required by applicable law or this Grant, it shall notify BCYF of such decision at least ninety (90) days prior to discontinuing its operation in the State of Maryland. At BCYF's request, Grantee shall provide any and all books, records or other documents relevant to this Grant to BCYF. Otherwise, records shall be maintained by Grantee, its successors, and assigns.

Evaluating Outcomes

Grantees will be required to establish and use practices that enable BCYF and Baltimore communities to evaluate outcomes and innovations, with Technical Assistance and support from BCYF team members.

For support in establishing metrics, please review the Grantmaking Priorities, Outcomes, & Sample Metrics document.

Data Collection

Grantee shall establish and maintain data collection practices to monitor the fulfillment of participant outcome objectives, terms and conditions, and all other requirements contained in the approved Scope of Grant and with any program evaluation.

Performance Monitoring

Grantee shall establish and use results-based accountability performance monitoring to assess the quality and effectiveness of services identified in the approved Scope of Grant.

Participant Service Records

Grantee shall establish and maintain enrollment documentation for each participant in the program. Participant enrollment documentation shall be retained for five years (or longer as required by applicable law) following the Grant Term. At a minimum, this documentation should contain the following:

• Evidence that participant enrollment/participation was  attained;

• Evidence of attendance of each participant in each program offering/session;

• Evidence that grantee consented or declined to participate regarding data collection and evaluation; and,

• If consented, demographic information needed for data collection requirements.

Confidential Information

Grantee hereby acknowledges that Grantee may be asked to collect information from participants (if this Grant is for services) that is considered confidential under federal, state, or local laws.

Compliance

Grantee hereby agrees to comply with all federal, state, and/or local laws regarding safeguarding the confidentiality of such information, and to provide an appropriate Notice of Information Practices to all participants, or, if the participant is a minor, to the  participant's parent or legal guardian, informing them of the collection of certain demographic and other data, as identified in this Grant. Furthermore, the data will be kept in either an electronic database or in hard copy program files, and the data collected may be used to monitor the contractual obligations of the Grantee and to evaluate any system of care or initiative of BCYF.

Written Consent

Any information collected from the participants, or records regarding services performed under this Grant, shall be confidential and shall not be disclosed to any third party without the prior written consent of the program participants, or if a minor, the youth’s primary caregiver, or pursuant to a valid court order. Grantee shall cooperate in the collection of any written consent that BCYF may request with regards to the release of information, except that no participant may be compelled to consent to the release of confidential information, nor have services contracted for under this Grant denied due to their unwillingness to consent to their release.

HIPAA and Medical Records Privacy and Security Compliance

Grantee acknowledges its duty to review and comply, to the extent applicable, with all requirements of the federal Health Insurance Portability and Accountability Act (“HIPAA”), 42 U.S.C. § 1320d et seq. and all implementing regulations, including 42 CFR Part 2, 45 CFR Parts 142, 160 and 164 as amended from time to time.  

Grantee agrees to execute any documents as may be requested by BCYF to ensure compliance with HIPAA.  

The Grantee also agrees to comply, where applicable, with the Maryland Confidentiality of Medical Records Act (“MCMRA”), Md. Health-General § 4-301 et seq. This obligation includes, but it is not limited to, adhering to the privacy and security requirements entailed for Protected Health Information under federal HIPAA and State MCMRA, making the transmission of all electronic information compatible with the federal HIPAA requirements, and otherwise providing good information management practices regarding all health information and medical records.

Protected Health Information

“Protected Health Information” is as defined in the HIPAA regulations at 45 CFR 160.103 and 164.501. Protected Health Information includes information that is individually identifiable; that is created or received by a healthcare provider, health plan, public health authority, employer, life insurer, school or university, or healthcare clearinghouse; and that is related to the past, present, or future physical or mental health or condition of an individual, or to the provision of healthcare to an individual. The definition excludes certain education records as well as employment records held by a covered entity in its role as employer.