Audit 296084

FY End
2023-06-30
Total Expended
$220.62M
Findings
4
Programs
50
Year: 2023 Accepted: 2024-03-20
Auditor: Galindez LLC

Organization Exclusion Status:

Checking exclusion status...

Findings

ID Ref Severity Repeat Requirement
382380 2023-001 - Yes N
382381 2023-002 - - N
958822 2023-001 - Yes N
958823 2023-002 - - N

Programs

ALN Program Spent Major Findings
84.063 Federal Pell Grant Program $97.98M Yes 0
84.268 Federal Direct Student Loans $62.99M Yes 1
84.031 Higher Education_institutional Aid $3.42M Yes 0
84.007 Federal Supplemental Educational Opportunity Grants $2.85M Yes 1
14.228 Community Development Block Grants/state's Program and Non-Entitlement Grants in Hawaii $2.16M - 0
84.047 Trio_upward Bound $1.78M Yes 0
84.033 Federal Work-Study Program $1.58M Yes 0
84.066 Trio_educational Opportunity Centers $1.02M Yes 0
47.076 Education and Human Resources $872,937 - 0
84.042 Trio_student Support Services $626,956 Yes 0
84.120 Minority Science and Engineering Improvement $536,104 - 0
84.002 Adult Education - Basic Grants to States $530,409 - 0
84.149 Migrant Education_college Assistance Migrant Program $481,195 - 0
84.141 Migrant Education_high School Equivalency Program $436,259 - 0
84.335 Child Care Access Means Parents in School $343,886 - 0
16.575 Crime Victim Assistance $335,521 - 0
93.859 Biomedical Research and Research Training $300,909 - 0
10.223 Hispanic Serving Institutions Education Grants $286,997 - 0
84.217 Trio_mcnair Post-Baccalaureate Achievement $284,878 Yes 0
84.425 Education Stabilization Fund $268,509 Yes 0
84.044 Trio_talent Search $243,929 Yes 0
21.027 Coronavirus State and Local Fiscal Recovery Funds $242,131 - 0
59.037 Small Business Development Centers $215,863 - 0
93.178 Nursing Workforce Diversity $151,121 - 0
10.310 Agriculture and Food Research Initiative (afri) $131,146 - 0
81.123 National Nuclear Security Administration (nnsa) Minority Serving Institutions (msi) Program $109,015 - 0
47.050 Geosciences $105,459 - 0
47.074 Biological Sciences $102,788 - 0
47.079 Office of International Science and Engineering $87,753 - 0
93.243 Substance Abuse and Mental Health Services_projects of Regional and National Significance $80,669 - 0
43.001 Science $72,035 - 0
10.443 Outreach and Assistance for Socially Disadvantaged and Veteran Farmers and Ranchers $55,425 - 0
93.586 State Court Improvement Program $48,390 - 0
20.109 Air Transportation Centers of Excellence $43,477 - 0
43.008 Education $40,305 - 0
15.657 Endangered Species Conservation Ð Recovery Implementation Funds $37,784 - 0
59.058 Federal and State Technology Partnership Program $29,773 - 0
19.750 Bureau of Western Hemisphere Affairs (wha) Grant Programs (including Energy and Climate Partnership for the Americas) $25,000 - 0
15.634 State Wildlife Grants $22,511 - 0
17.259 Wia Youth Activities $22,508 - 0
84.116 Fund for the Improvement of Postsecondary Education $18,739 - 0
16.746 Capital Case Litigation Initiative $18,545 - 0
93.124 Nurse Anesthetist Traineeships $14,003 - 0
10.902 Soil and Water Conservation $11,840 - 0
12.630 Basic, Applied, and Advanced Research in Science and Engineering $11,464 - 0
10.675 Urban and Community Forestry Program $8,269 - 0
84.379 Teacher Education Assistance for College and Higher Education Grants (teach Grants) $7,914 Yes 0
16.029 Office on Violence Against Women Special Projects $6,617 - 0
45.312 National Leadership Grants $5,335 - 0
10.318 Women and Minorities in Science, Technology, Engineering, and Mathematics Fields $2,238 - 0

Contacts

Name Title Type
PMELJCUDNL17 Orlando Gonzalez Auditee
7877586260 Luis Corrada Auditor
No contacts on file

Notes to SEFA

Title: Basis of Presentation Accounting Policies: Expenditures reported in the Schedule are reported on the accrual basis of accounting. Such expenditures are recognized following the cost principles contained in the Uniform Guidance, wherein certain types of expenditures may or may not be allowable or may be limited as to reimbursement. The University has elected not to use the 10 percent de minimis indirect cost rate, as allowed under the Uniform Guidance. De Minimis Rate Used: N Rate Explanation: The auditee did not use the de minimis cost rate. The accompanying schedule of expenditures of federal awards (the Schedule) includes the federal grant activity of Universidad Interamericana de Puerto Rico, Inc. and Subsidiaries (the University), under programs of the federal government for the year ended June 30, 2023. The information in the Schedule is prepared in accordance with the requirements of Title 2 U.S. Code of Federal Regulations (CFR) Part 200, Uniform Administrative Requirements, Cost Principles, and Audit Requirements for Federal Awards (the Uniform Guidance). Therefore, some amounts presented in the Schedule may differ from amounts presented in or used in the preparation of the consolidated financial statements of the University. Because the Schedule presents only a selected portion of the operations of the University, it is not intended to, and does not, present the consolidated financial position, changes in net assets, and cash flows of the University. Funds received for Student Financial Assistance Programs (principally Pell Grant) and COVID-19 Higher Education Emergency Relief Fund (student aid portion) that are awarded to students are excluded from revenue and expenses in the consolidated financial statements of the University.
Title: Assistance Listing (ALN) Number Accounting Policies: Expenditures reported in the Schedule are reported on the accrual basis of accounting. Such expenditures are recognized following the cost principles contained in the Uniform Guidance, wherein certain types of expenditures may or may not be allowable or may be limited as to reimbursement. The University has elected not to use the 10 percent de minimis indirect cost rate, as allowed under the Uniform Guidance. De Minimis Rate Used: N Rate Explanation: The auditee did not use the de minimis cost rate. The Assistance Listing Numbers included in the Schedule are determined based on the program name, review of grant contract information and the OMB’s Assistance Listing Number (ALN).
Title: Major Federal Programs Accounting Policies: Expenditures reported in the Schedule are reported on the accrual basis of accounting. Such expenditures are recognized following the cost principles contained in the Uniform Guidance, wherein certain types of expenditures may or may not be allowable or may be limited as to reimbursement. The University has elected not to use the 10 percent de minimis indirect cost rate, as allowed under the Uniform Guidance. De Minimis Rate Used: N Rate Explanation: The auditee did not use the de minimis cost rate. Major programs are identified in the Summary of Auditors’ Results Section in the Schedule of Findings and Questioned Costs. Federal programs are presented by federal agency.
Title: Accounting Policies for Loan and Loan Guarantees Accounting Policies: Expenditures reported in the Schedule are reported on the accrual basis of accounting. Such expenditures are recognized following the cost principles contained in the Uniform Guidance, wherein certain types of expenditures may or may not be allowable or may be limited as to reimbursement. The University has elected not to use the 10 percent de minimis indirect cost rate, as allowed under the Uniform Guidance. De Minimis Rate Used: N Rate Explanation: The auditee did not use the de minimis cost rate. The University participates in the Federal Direct Student Loans (Direct Loans) program of the U.S. Department of Education (USDE). Under the Direct Loans program, the University is responsible only for certain administrative duties, accordingly, the disbursements under the program and the outstanding loan balances are excluded from the consolidated financial statements of the University. However, Direct Loans are considered a component of the student financial assistance programs of the University, as such, new loans processed during the year ended June 30, 2023 amounting to $62,987,014 were included in the Schedule. Federal expenditures for Direct Loans are determined when loans are made to the students, accordingly, the balance of Direct Loans from previous years is not considered federal expenditures of the current year. Direct Loans are made by the Secretary of Education. The Student’s Aid Reports (SAR) or Institutional Student Information Record (ISIR), along with other information, is used by the University to originate a student’s loan.
Title: Noncash Program Accounting Policies: Expenditures reported in the Schedule are reported on the accrual basis of accounting. Such expenditures are recognized following the cost principles contained in the Uniform Guidance, wherein certain types of expenditures may or may not be allowable or may be limited as to reimbursement. The University has elected not to use the 10 percent de minimis indirect cost rate, as allowed under the Uniform Guidance. De Minimis Rate Used: N Rate Explanation: The auditee did not use the de minimis cost rate. The consolidated financial statements of the University include the following notes payable to the USDE as of June 30, 2023, which are not included in the Schedule:

Finding Details

Finding No. 2023–001 - Special Tests and Provisions - Return of Title IV Funds - San Germán Campus Federal Program Name Student Financial Assistance Programs Cluster - Federal Direct Student Loan Program (DL) Assistance Listing 84.268 Name of Federal Agency U.S. Department of Education (USDE) Pass-through Entity N/A Criteria According to 34 CFR 668.22(j)(2) for an institution that is not required to take attendance, it must determine the withdrawal date for a student who withdraws without providing notification to the institution no later than 30 days after the end of the earlier of the: (i) Payment period or period of enrollment, as appropriate, in accordance with paragraph (e)(5) of this section; (ii) Academic year in which the student withdrew; or (iii) Educational program from which the student withdrew. Condition In testing compliance with the return of Title IV funds requirements, we made a selection of sixty (60) students who withdrew, dropped-out, or failed to attend to the University, plus all thirteen (13) students from the selected campuses that failed to earn a passing grade, for a total of seventy three (73) students, and noted that for one (1) student, the determination of withdrawal was performed after the required 30 days, as follows: Table Cause At the end of the term in the San Germán campus, the professor certified a non-passing grade and later changed it to an unauthorized withdrawal, resulting in an administrative withdrawal for the student. However, such administrative withdrawal was not determined within the required period. As a result, the return of Title IV funds was not processed on a timely manner. Effect As a result of this instance of noncompliance, the USDE may issue warnings and/or impose penalties on the University. Also, the incorrect return of Title IV funds could limit the students’ future eligibility to Title IV funds. Questioned Costs None. Context Of the 2,417 withdrawals from the selected campuses for the year ended June 30, 2023, we selected sixty (60) students who withdrew, dropped-out, or failed to attend to the University, plus all thirteen (13) students from the selected campuses that failed to earn a passing grade, for a total of seventy-three (73) students, and noted one (1) instance of noncompliance. Following is a description of the sample that included the finding identified and the population from which the sample was drawn for students that received Pell funds: Table Following is a description of the sample that included the finding identified and the population from which the sample was drawn for students that received Direct Loans: Table Identification of a Repeat Finding This is a repeat finding from the immediate previous audit (2022-001). Recommendation The University San Germán Campus’ management should reinforce its procedures to ensure the identification and timely resolution of instances in which students withdrew without providing notification to the University. Views of Responsible Officials and Planned Corrective Actions The University management agrees with this finding. Refer to the corrective action plan on pages 66-67.
Finding No. 2023–002 - Special Tests and Provisions – Disbursements to or on behalf of students Federal Program Name Federal Supplemental Educational Opportunity Grants (FSEOG) Assistance Listing 84.007 Name of Federal Agency U.S. Department of Education Pass-through Entity N/A Criteria 34 CFR 668.164(h) states that Title IV, HEA credit balance occurs whenever the amount of title IV, HEA program funds credited to a student's ledger account for a payment period exceeds the amount assessed the student for allowable charges associated with that payment period. The institution must pay the resulting credit balance directly to the student or parent borrower within 14 days after (1) the first day of class of a payment period if the credit balance occurred on or before that day, or (2) the balance occurred if that was after the first day of class. Condition As part of our testing of 27 students who received FSEOG funds, we noted one (1) instance for which the University did not pay the credit balance to the student within the 14 days required. Cause The provisions of Title IV allow the University to collect debts between terms through transfers during the academic year up to an amount of $200.00. In this case, the Fajardo Campus personnel attempted to collect a prior term debt from a student with an available credit balance; however, an incorrect code was inadvertently used in this transaction. Therefore, the remaining credit balance did not get paid within the 14 days as required by Title IV. Effect As a result of this instance of noncompliance, the USDE may issue warnings and/or impose penalties on the University. Questioned Costs None. Context Of the 6,423 students who received FSEOG funds from the selected campuses for 2023, we selected 27 students for testing and noted one (1) instance in which the University did not comply with the disbursements to or on behalf of students’ requirements. Identification of a Repeat Finding This is not a repeat finding from the immediate previous audit. Recommendation The University should enhance its control procedures to ensure all credit balances in a student’s account are paid directly to the student within the required timeframe. Views of Responsible Officials and Planned Corrective Actions The University management agrees with this finding. Refer to the corrective action plan on pages 68-69.
Finding No. 2023–001 - Special Tests and Provisions - Return of Title IV Funds - San Germán Campus Federal Program Name Student Financial Assistance Programs Cluster - Federal Direct Student Loan Program (DL) Assistance Listing 84.268 Name of Federal Agency U.S. Department of Education (USDE) Pass-through Entity N/A Criteria According to 34 CFR 668.22(j)(2) for an institution that is not required to take attendance, it must determine the withdrawal date for a student who withdraws without providing notification to the institution no later than 30 days after the end of the earlier of the: (i) Payment period or period of enrollment, as appropriate, in accordance with paragraph (e)(5) of this section; (ii) Academic year in which the student withdrew; or (iii) Educational program from which the student withdrew. Condition In testing compliance with the return of Title IV funds requirements, we made a selection of sixty (60) students who withdrew, dropped-out, or failed to attend to the University, plus all thirteen (13) students from the selected campuses that failed to earn a passing grade, for a total of seventy three (73) students, and noted that for one (1) student, the determination of withdrawal was performed after the required 30 days, as follows: Table Cause At the end of the term in the San Germán campus, the professor certified a non-passing grade and later changed it to an unauthorized withdrawal, resulting in an administrative withdrawal for the student. However, such administrative withdrawal was not determined within the required period. As a result, the return of Title IV funds was not processed on a timely manner. Effect As a result of this instance of noncompliance, the USDE may issue warnings and/or impose penalties on the University. Also, the incorrect return of Title IV funds could limit the students’ future eligibility to Title IV funds. Questioned Costs None. Context Of the 2,417 withdrawals from the selected campuses for the year ended June 30, 2023, we selected sixty (60) students who withdrew, dropped-out, or failed to attend to the University, plus all thirteen (13) students from the selected campuses that failed to earn a passing grade, for a total of seventy-three (73) students, and noted one (1) instance of noncompliance. Following is a description of the sample that included the finding identified and the population from which the sample was drawn for students that received Pell funds: Table Following is a description of the sample that included the finding identified and the population from which the sample was drawn for students that received Direct Loans: Table Identification of a Repeat Finding This is a repeat finding from the immediate previous audit (2022-001). Recommendation The University San Germán Campus’ management should reinforce its procedures to ensure the identification and timely resolution of instances in which students withdrew without providing notification to the University. Views of Responsible Officials and Planned Corrective Actions The University management agrees with this finding. Refer to the corrective action plan on pages 66-67.
Finding No. 2023–002 - Special Tests and Provisions – Disbursements to or on behalf of students Federal Program Name Federal Supplemental Educational Opportunity Grants (FSEOG) Assistance Listing 84.007 Name of Federal Agency U.S. Department of Education Pass-through Entity N/A Criteria 34 CFR 668.164(h) states that Title IV, HEA credit balance occurs whenever the amount of title IV, HEA program funds credited to a student's ledger account for a payment period exceeds the amount assessed the student for allowable charges associated with that payment period. The institution must pay the resulting credit balance directly to the student or parent borrower within 14 days after (1) the first day of class of a payment period if the credit balance occurred on or before that day, or (2) the balance occurred if that was after the first day of class. Condition As part of our testing of 27 students who received FSEOG funds, we noted one (1) instance for which the University did not pay the credit balance to the student within the 14 days required. Cause The provisions of Title IV allow the University to collect debts between terms through transfers during the academic year up to an amount of $200.00. In this case, the Fajardo Campus personnel attempted to collect a prior term debt from a student with an available credit balance; however, an incorrect code was inadvertently used in this transaction. Therefore, the remaining credit balance did not get paid within the 14 days as required by Title IV. Effect As a result of this instance of noncompliance, the USDE may issue warnings and/or impose penalties on the University. Questioned Costs None. Context Of the 6,423 students who received FSEOG funds from the selected campuses for 2023, we selected 27 students for testing and noted one (1) instance in which the University did not comply with the disbursements to or on behalf of students’ requirements. Identification of a Repeat Finding This is not a repeat finding from the immediate previous audit. Recommendation The University should enhance its control procedures to ensure all credit balances in a student’s account are paid directly to the student within the required timeframe. Views of Responsible Officials and Planned Corrective Actions The University management agrees with this finding. Refer to the corrective action plan on pages 68-69.