ID:

Administration and Management
Areas Reviewed / Item / Ranking* / Comments
E / AA / S / NI
Project Administration / 1.Institutional
a.How effectively does the institution monitor the grant?
b.To what extent has a chain of command been established and is conducive to effective project management?
c.To what extent is project space adequate?
d.To what extent does office space lend itself to student confidentiality and file security?
e.To what degree is the administration participant-oriented and supportive of TRIO?
2.Administrative
a.To what extend are institutional relationships established (Administration, Financial Aid Office, Housing etc.)?
b.How well are administrative records maintained and kept up-to-date?
c.How long are project records, including student records, kept?
d.To what extent are procedures in place to manage the project (internal reporting, tracking process objectives/activities, staff meetings, etc.)?
e.To what extent are procedures in place to manage project risk and minimize institutional liability?
f.To what extent are policy manuals available for project areas such as an administrative manual that explains project procedures?
Area Reviewed / Item / Ranking* / Comments
E / AA / S / NI
Project Administration
(continued) / 3.Staffing
a.To what extent is key staff on-board at designated salaries and approved percentage of time?
b.How accessible and up-to-date are job descriptions?
c.How compliant is the project’s Time & Effort documentation?
d.How effective are staff development activities?
e.To what extent is staff trained on confidentiality and security issues related to participant files and documentation?
4.Role of Staff and Director
a.To what extent are the staff roles, including that of the director, defined and in place?
b.To what extent is there a balance between the director’s management and service delivery responsibilities?
5.Overall Rating of Project Administration / Additional Comments
Area Reviewed / Item / Ranking* / Comments
E / AA / S / NI
Budget Management / 1.Grant Records
a.How long are records retained?
b.Are all Grant Award Notifications (ED GAPS 001) on file?
c.Is there an indirect cost agreement on file?
d.To what extent are audits of the project/grantee documented and on file?
2.Accounting System
a.To what extent is there a project accounting system independent of the institution’s system?
b.To what extent are deviations from the approved budget documented?
c.Are there any unallowable costs? Are allowable costs reasonable, appropriate, and prudent?
d.To what extent have there been unobligated funds at the end of the budget year and how have they been used?
3.Equipment
a.How complete and accessible are purchase records?
b.How complete is the project’s inventory of equipment?
c.To what extent are records available for surplus (discarded) equipment?
d.To what extent has use of the equipment been documented? Has there been adequate use?
4.Overall Rating of Budget Management / Additional Comments
Area Reviewed / Item / Ranking* / Comments
E / AA / S / NI
Project Evaluation / 1.Administrative
a.To what extent have timelines been set?
b.To what degree have responsibilities been assigned to individual staff members?
c.To what extent does the project track completion of activities?
d.To what degree are samples of evaluation forms available?
2.Project Objectives
a.How would you rate the objectives: outcome and/or process? Are there recommendations that would make them stronger?
b.To what extent do the objectives support the intent of Legislation?
c.To what extend have the Prior Experience criteria been addressed?
d.To what degree are the objectives ambitious and attainable?
e.To what extent are the objectives measurable (is there a performance evaluation for each objective)?
f.Has there been a change in scope? If so, has it been reported to the Department of Education?
g.To what degree has the evaluation (process and outcome) as stated in the grant been carried out?
Area Reviewed / Item / Ranking* / Comments
E / AA / S / NI
Project Evaluation
(continued) / 3.Participant Focused
a.To what extent do participants evaluate the services they receive?
i.Tutoring?
ii.Workshops?
iii.Classes?
iv.Other areas?
b.How supportive is the participant climate?
4.Performance Reporting
a.How would you evaluate the project’s ability to monitor current status/achievement to date?
i.Does the project have internal data, reports, cohort tracking, etc.?
ii.Has the 2/3 requirement been met?
iii.To what extent has progress been made toward meeting project objectives?
b.To what extent have Annual Performance Report requirements been met?
i.Has the APR been submitted on time and all conditions been met?
ii.To what extent does the APR address objectives?
iii.Is prior experience addressed?
5.Overall Rating of Project Evaluation / Additional Comments
Area Reviewed / Item / Ranking* / Comments
E / AA / S / NI
Participant Documentation / 1.File Security
a.To what degree are participant files secure, maintained, and up-to-date?
b.To what degree are archived files secured?
c.To what degree is the system for destroying old files secure and does it ensure confidentiality?
2.Data Collection
a.How would you rate the overall participant documentation system?
i.How complete is the demographic information in the participant files (i.e. gender, ethnicity, years in project, etc.)?
ii.To what extent do the files contain information that determines the eligibility to participate in the project under program regulations?
b.How would you rate the project’s efforts to address academic need?
i.To what extent has the institution or project articulated the basis for determining need for academic support?
ii.To what extent has the need for academic support been documented in the participant files?
Area Reviewed / Item / Ranking* / Comments
E / AA / S / NI
Participant Documentation
(continued) / 3.Data Effectiveness
a.How would you rate the project’s efforts to monitor and document participant progress?
b.Is there a record of services or contracts provided for each participant?
c.Is there an assessment of intervention provided in participant files?
d.Is there a performance and progress report on each participant by cohort year for the duration of the attendance in the project or until graduation?
e.How does the project monitor its participants’ progress including those enrolled in postsecondary education?
f.To what extent do the project’s source records support the information reported in the APR?
4.Overall Rating of Student Documentation / Additional Comments
Overall Evaluation
(Optional)
Strengths of Project / Recommended Improvements

UB Review Table *Ranking Scale: E = Exemplary; AA = Above Average; S = Satisfactory; NI = Needs Improvement Updated 11/05 Page 1 of 8