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US Department of
Education Virtual Audit
– How I survived!
Jamie Manzanares
Director, TRIO Student Support Services
Contents
•  Be prepared before the audit
–  Know the TRIO Regulations!
–  Prepare your files (student, budget, etc.)
–  Have a relationship with your TRIO Program Officer
•  The audit
–  The letter
–  Working with your institution
–  The interview/process
–  After action report
Program Preparation
•  Make sure you and your staff know the TRIO
Regulations!
•  Have an established process for identifying the student
participants you are enrolling in your program
–  Be consistent on your decision making
•  Selection of students
•  Cultural trips
•  Grant Aid
•  File setup
•  Database operation
Consistency
Consistency
Consistency
Consistency
Consistency
Consistency
Consistency
Consistency
Consistency
Consistency
Consistency
Time and Effort Report
The Letter of Notification!
If there is more than one TRIO
program at your institution,
they too will be audited!
Key points of the audit
Preparing
Documents for the audit
Documents for the audit
Be honest and know what you
are talking about!
•  They will ask questions of you, to be follow up with
questions to your staff, and then Administration
•  Have supporting documentation at hand to send to them
or to refer to in support your answer(s)
•  Talk to your Finance Office and Grant Compliance Office
and make sure you are on the “same page” – later
example
•  Phone and video conference with more than just one
person from the US Department of Education
•  Ability to scan and send 40 hard copy participant files
Finance Question
Finance Question cont.
Finance Question - continued
Other areas that questions
were asked:
•  How did you award Grant Aid? What was the criteria?
Show the scoring matrix, if used.
•  Explain the Cultural Trips you took? What was priority
used to select students to attend? How many attended?
Was prior approval given to purchase meals?
•  How many transfer trips were taken? What was the
selection criteria used to chose students to attend? Was
prior approval given to purchase meals?
After Action Letter
Conclusion
•  The audit is survivable
–  Prepare in advance
–  Work with your institution
–  Work with your Program Officer
–  Work with your staff
–  Be honest
–  Be willing to learn
•  Questions?