Compliance Assessment

The focus of a compliance assessment is to review administrative, fiscal, programmatic, and activities to examine compliance with applicable TRIO program laws, regulations, and policies and bring any pertinent findings or deficiencies to the attention of the institution or agency.

Services typically span two full days consisting of the following activities:

• review of applicable laws and regulations with program staff and institution/agency administrators
• examination of records for appropriate documentation
• examination of costs for allowable, allocable and reasonable
• review of evaluation in place
• closeout meeting

COE will share a final written report of findings and recommendations for improvement where needed within 30 days of service.

Data is collected through either on-site or virtual observation and an assessment of all relevant documents, forms, participant files, and financial records. Participant files are reviewed to determine compliance with applicable TRIO program laws, regulations, and policies. Financial documents are reviewed to determine whether grant funds were spent on reasonable, allocable, and allowable costs and determine the adequacy of fiscal accountability at the project level and institutional/agency oversight.

Each reviewed common area receives one of the following ratings as detailed in the final report: Required Action (RA) — Grantee must perform a corrective action to comply; Recommendation (R) — Grantee is in compliance but could improve in this area (not a required action); Compliant (C) — Grantee complies and fulfilling the requirement; and Effective (E) — Denotes an effective strategy for implementing the grant.

Virtual services begin at $3,500, with in-person services starting at $7,000 (plus the cost of travel) for Institutional Members.

Have more than one TRIO program need a compliance assessment or have more questions? Don’t hesitate to contact Angelica Vialpando via e-mail at angelica.vialpando@coenet.org.