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Resource Management Risk Indicator Tool Instructions
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This tool is used to assess risk indicators to determine whether a comprehensive resource management review will be required. The risk level is based on the responses provided by the SFA and/or interview with the SFA contact. The timeframe that will be assessed is the SFA’s most recently completed fiscal year, program year or closed and audited year unless otherwise indicated . Refer to the Resource Management Off-site Assessment Module for additional information regarding the questions. Please note: SA reviewers may not provide the RM Risk Indicator Tool to an SFA for completion; the Tool must be completed based on the answers provided by the SFA in the Off-site Assessment Tool.
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Legend (Note: conditional formatting is used for the Fill format in column C (e.g. "Risk Flag" = red, "No Flag" equals light blue)
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Risk Level:
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If a "Risk Flag" is identified, this indicates the SFA is at risk for noncompliance with the resource management requirements; targeted corrective action and/or technical assistance may be required.= Risk Flag
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If "No Flag" is identifed, no further action is required.= No Flag
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Total Resource Management Risk Level:
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If ≥ 3 "Risk Flags" are identified, this indicates the SFA is at risk for noncompliance with the resource management requirements; therefore, a more comprehensive review with targeted corrective action and technical assistance is required.= At least 3 Risk Flags Identified
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-Comprehensive Review Required-
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If ≤ 3 "Risk Flags" are identified, a Resource Management comprehensive review is not required. However the SA must determine if any of the risk indicators triggered are due to noncompliance, assess corrective action, if necessary, and provide technical assistance as needed. The Resource Management Section of the Administrative Review Manual and RM Comprehensive Review Tool may be used as resources for reviewers needing further guidance on how best to assess SFA compliance and provide technical assistance in the four resource management areas. Corrective action assessed and/or technical assistance provided should be noted in the "Comments" section included in the Off-site Assessment Tool.= Less than 3 Risk Flags Identified
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Comprehensive review not required; assess corrective action and technical assisitance, if needed, in areas receiving risk indicators.
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