Compliance Assessments

DID YOU KNOW?

Compliance assessment services are considered "allowable" costs for TRIO programs and can often be covered by excess funds accumulated due to staff vacancies for example.

The following four (4) areas are examined and assessed as part of NEC’s Compliance Assessment services:

Administrative: Project documents are reviewed to assess Project management and determine compliance with applicable TRIO program laws, regulations, and policies.

Documentation & Programming: Participant files are reviewed to validate individual Project eligibility, selection, services and activities provided, and individual progress on Project objectives.

Reporting & Evaluation: Monthly reports, Annual Performance Reports (APRs), and evaluation documents are assessed to determine the Project’s performance and progress toward achievement of approved objectives.

Fiscal Operations: Financial receipts and records are reviewed to determine if grant funds were spent on reasonable, allocable, and allowable costs and to determine the adequacy of fiscal accountability at the Project level as well as document any institutional or agency oversight.

Data is obtained through on-site observations, interviews with Project staff, and assessments of all applicable documents, forms, Participant files, and financial records. Each reviewed component receives one of the following ratings as detailed in a final report:

Required Action (RA) – Grantee must perform a corrective action to comply

Recommendation (R) – Grantee complies but could improve in this area (not a required action)

Compliant (C) – Grantee complies and fulfilling the requirement

Effective (E) - Denotes an effective strategy for implementing the grant

Our Compliance Assessment (2 days) Services include:

Assessment of administrative, programmatic, evaluation, and fiscal operations to determine compliance with applicable federal and/or state regulations;