National Association of HBCU Title III Administrators, Inc.

2015 Technical Assistance Workshop - San Antonio, TX

Applied Compliance and Accountability Session – June 24, 2015

Perry Herrington, Clark Atlanta University

Tori Willis, Arkansas Baptist College

COMPLIANCE CHECKLIST

Regulations and Laws

Distributed to all Activity Directors

  • Shared with employees funded by the grant
  • Shared with grant program coordinators or employees who assist with grant administration

Distributed to Grants Accounting Offices

  • Ensure Business and Accounting employees who administer fiscal responsibilities of grant are aware of regulations and laws that govern the grant

Policies and Procedures

Title III Handbook

  • Does your handbook cover all your policies and procedures including: grant employees, grant evaluation, property and equipment, records management, grant budget management / budget revisions, procurement, travel, consultants, etc.

Title III Meetings

  • Meet at minimum once a quarter to reiterate policies and procedures, address concerns, provide updates/changes/new information, and share information about grant activities to encourage collaboration.

Equipment and Inventory

What are the institution’s policies?

  • Does these policies cover the grant legal requirements?
  • Do you keep an internal inventory list?
  • Do you conduct site visits to ensure equipment is located according to your inventory list?
  • How often do you reconcile your inventory list with your institution’s records?

Grant Fiscal Management

How do you manage your budget internally?

  • Do you have access to your institution’s budget system (Banner, Peoplesoft, Jenzabar, etc)?
  • How does your Activity Directors track expenditures and budget balances?
  • How do you ensure vendors have been paid and the timeliness of those payments?

How do you track your federal budget balance?

  • Do you have access to G-5?
  • Does your grant accounting office provide G-5 reports?

Procurement

What are the institution’s policies?

  • Does these policies cover the grant’s legal requirements?
  • Does your procurement office verify that vendors are not on the debarment and suspension list?
  • How do you handle sole sourcing?

Audits

Do you have documentation for all funds expended?

  • This documents proper approvals (approvals based on your written policies and procedures) for all expenditures

Do you have documentation for any budget revisions?

Do you have Time and Efforts for all grant funded employees?

Do you have an Inventory list of equipment and supplies according to your written policies?

Do you have your completed and submitted Annual Performance Reports?

Title III Program Operation Plan

Make sure you are spending according to the approved budget

Track the task on the Implementation Table

  • Are the activities performing these task in the time-frame written?

Track the progression of the objectives to ensure day-to-day operations of the activities moves them towards completion

Applied Compliance and Accountability Session – June 24, 2015

Compliance Checklist