Audit 29720

FY End
2022-06-30
Total Expended
$11.92M
Findings
2
Programs
12
Year: 2022 Accepted: 2023-03-12
Auditor: Galindez LLC

Organization Exclusion Status:

Checking exclusion status...

Findings

ID Ref Severity Repeat Requirement
37710 2022-001 - - N
614152 2022-001 - - N

Programs

ALN Program Spent Major Findings
84.063 Federal Pell Grant Program $3.76M Yes 1
84.425F Heer Cares Institucional $2.91M Yes 0
84.425E Heer Cares A/p Students $1.75M Yes 0
84.268 Federal Direct Student Loans Program $1.75M Yes 0
84.031S Titulo V Latino $480,391 - 0
84.031C Equitable Access to Quality Stem Educ. and Transfer Pathways $458,884 - 0
84.007 Federal Supplemental Education Opportunity Grant Program $341,721 Yes 0
84.033 Federa Work-Study Program $314,776 Yes 0
84.335 Child Care Access Means Parents in School $60,496 - 0
84.938 Emergency Assistance H.m. $59,494 - 0
84.425L Cares Mhsi Minority Hispanic $14,948 Yes 0
84.379 Federal Teach Grant $10,845 Yes 0

Contacts

Name Title Type
JFA4KNMF5AM3 Ismael A Velez De La Rosa Auditee
7874447420 Rafael Nieves Auditor
No contacts on file

Notes to SEFA

Title: Note 3 Accounting Policies: Note 1 - Basis of PresentationThe accompanying supplementary Schedule of Expenditures of Federal Awards (the Schedule) includes the federal grant activity of Universidad Central de Bayamon, Inc. (the University) and is presented on the accrual basis of accounting. 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 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 financial position, changes in net assets, and cash flows of the University. Funds received for Student Financial Assistance Program (principally Pell Grant) that are awarded to students are excluded from revenue and expenses in the financial statements of the University. These grants are applied to the students tuition and fees, and any excess is paid to the students.Note 2 - Summary of Significant Accounting Policiesa. The Schedule is prepared from the Universitys accounting records and is not intended to present its financial position or the results of its operations.b. Expenditures are recognized following the cost principle contained in the Uniform Guidance, wherein certain types of expenditures may or may not be available or may be limited as to reimbursement.c. The financial transactions are recorded by the University in accordance with the terms and conditions of the grants, which are consistent with accounting principles generally accepted in the United States of America.d. Expenditures are recognized in the accounting period in which the liability is incurred, if measurable or when actually paid, whichever occurs first.e. The University has elected not to use the 10-percent de minims 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. Assistance Listing NumberThe assistance listing numbers included in the Schedule are determined based in the program name, review of grant contract information and the System for Award Management (SAM).
Title: Note 4 Accounting Policies: Note 1 - Basis of PresentationThe accompanying supplementary Schedule of Expenditures of Federal Awards (the Schedule) includes the federal grant activity of Universidad Central de Bayamon, Inc. (the University) and is presented on the accrual basis of accounting. 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 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 financial position, changes in net assets, and cash flows of the University. Funds received for Student Financial Assistance Program (principally Pell Grant) that are awarded to students are excluded from revenue and expenses in the financial statements of the University. These grants are applied to the students tuition and fees, and any excess is paid to the students.Note 2 - Summary of Significant Accounting Policiesa. The Schedule is prepared from the Universitys accounting records and is not intended to present its financial position or the results of its operations.b. Expenditures are recognized following the cost principle contained in the Uniform Guidance, wherein certain types of expenditures may or may not be available or may be limited as to reimbursement.c. The financial transactions are recorded by the University in accordance with the terms and conditions of the grants, which are consistent with accounting principles generally accepted in the United States of America.d. Expenditures are recognized in the accounting period in which the liability is incurred, if measurable or when actually paid, whichever occurs first.e. The University has elected not to use the 10-percent de minims 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 Federal ProgramsMajor 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: Note 5 Accounting Policies: Note 1 - Basis of PresentationThe accompanying supplementary Schedule of Expenditures of Federal Awards (the Schedule) includes the federal grant activity of Universidad Central de Bayamon, Inc. (the University) and is presented on the accrual basis of accounting. 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 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 financial position, changes in net assets, and cash flows of the University. Funds received for Student Financial Assistance Program (principally Pell Grant) that are awarded to students are excluded from revenue and expenses in the financial statements of the University. These grants are applied to the students tuition and fees, and any excess is paid to the students.Note 2 - Summary of Significant Accounting Policiesa. The Schedule is prepared from the Universitys accounting records and is not intended to present its financial position or the results of its operations.b. Expenditures are recognized following the cost principle contained in the Uniform Guidance, wherein certain types of expenditures may or may not be available or may be limited as to reimbursement.c. The financial transactions are recorded by the University in accordance with the terms and conditions of the grants, which are consistent with accounting principles generally accepted in the United States of America.d. Expenditures are recognized in the accounting period in which the liability is incurred, if measurable or when actually paid, whichever occurs first.e. The University has elected not to use the 10-percent de minims 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. Accounting Policies for Loans and Loan GuaranteesThe University participates in the Federal Direct Student Loans (Direct Loans) Program (ALN 84.268) of the U.S. Department of Education (USDE) since July 1, 2010. Loans made through the Direct Loans program include subsidized and unsubsidized Federal Stafford Loans and Federal PLUS loans. Although the University is not the recipient of the funds, such program is considered a component of the student financial assistance program at the University. 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 financial statements of the University. New loans processed for students during the year ended June 30, 2022 were $1,751,670.
Title: Note 6 Accounting Policies: Note 1 - Basis of PresentationThe accompanying supplementary Schedule of Expenditures of Federal Awards (the Schedule) includes the federal grant activity of Universidad Central de Bayamon, Inc. (the University) and is presented on the accrual basis of accounting. 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 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 financial position, changes in net assets, and cash flows of the University. Funds received for Student Financial Assistance Program (principally Pell Grant) that are awarded to students are excluded from revenue and expenses in the financial statements of the University. These grants are applied to the students tuition and fees, and any excess is paid to the students.Note 2 - Summary of Significant Accounting Policiesa. The Schedule is prepared from the Universitys accounting records and is not intended to present its financial position or the results of its operations.b. Expenditures are recognized following the cost principle contained in the Uniform Guidance, wherein certain types of expenditures may or may not be available or may be limited as to reimbursement.c. The financial transactions are recorded by the University in accordance with the terms and conditions of the grants, which are consistent with accounting principles generally accepted in the United States of America.d. Expenditures are recognized in the accounting period in which the liability is incurred, if measurable or when actually paid, whichever occurs first.e. The University has elected not to use the 10-percent de minims 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. Endowment Grant ProgramsThe University received in prior years grants in the amount of $91,474, $120,000, $180,000, $40,000, $25,000 and $50,000 from the Higher Education Institutional Aid Strengthening Institutions Program, the Title III Hispanic-Serving Institutions (HIS) STEM and Articulations Programs, and the Title V Developing Hispanic- Serving Institutions (HIS), respectively. The grants require 100% matching contributions from the institutional fund and the income earned on the amount. The University must invest and shall not expend the Endowment Fund Corpus for a period of twenty (20) years. Afterwards, the Endowment Fund Corpus can be used for any educational purpose. During the grant period, the University may not use more than fifty percent (50%) of the aggregate income earned. Therefore, the endowment fund includes both donor-restricted funds and unrestricted funds designated by the Board of Trustees. Restriction on the grants expires as follows: $91,474 grant expires in August 2032, $120,000 grant expires in 2035, $180,000 and $40,000 grants expire in 2037, $25,000 grants expire in 2039 and $50,000 grants expire in 2040. At the time these grants expire, the outstanding balances of these endowment funds are no longer temporarily restricted and become part of the Universitys unrestricted net assets.Balance on the remaining funds, including accrued interest and dividends since inception, amounted to $1,304,656 at June 30, 2022. Net loss for the year ended June 30, 2022 amounted to $146,040, which represents 100% of investment loss generated by the above-mentioned grants. Investment income (loss), as defined above, includes interest, dividends and realized and unrealized gains/losses in investment securities, net of investment expenses.

Finding Details

Finding No. 2022?001 ? Special Tests and Provisions ? Return of Title IV Funds Federal Program ALN 84.063, Federal Pell Grant Program (PELL), Student Financial Assistance Programs Name of Federal Agency U.S. Department of Education (USDE) Category Internal Control/Compliance Compliance Requirement Special Tests and Provisions Criteria 34 CFR Section 668.173 (b) states that an institution returns unearned Title IV, HEA program funds timely if; (1) the institution deposits or transfers the funds into the bank account it maintains under ?668.163 no later than forty-five (45) days after the date it determines that the student withdrew; (2) the institution initiates an electronic fund transfer (EFT) no later than forty five (45) days after the date it determines that the student withdrew; (3) the institution initiates an electronic transaction, no later than forty five (45) days after the date it determines that the student withdrew, that informs a Federal Family Education Loan (FFEL) lender to adjust the borrower's loan account for the amount returned; or (4) the institution issues a check no later than forty-five (45) days after the date it determines that the student withdrew. Universidad Central de Bayamon, Inc. Condition The return of Title IV funds as calculated by the University was performed after the required 45 days, in the following case: Finding Number Student Identifier OPEID Pell Disbursed ($) Pell Under- Payment ($) Pell Over- Payment ($) Direct Loan Disbursed ($) Direct Loan Under- Payment ($) Direct Loan Over- Payment ($) 2022-001 Student 1 502200 $ 2,436 * $ - $ - $ - $ - $ - * There was no under-payment or over-payment of Title IV funds. Cause In this case, the disbursement of Title IV funds was processed at the same date and time of the R2T4. This action caused the process of R2T4 to be interrupted and the personnel become aware of the issue several days later. Effect As a result of these conditions, the U.S. Department of Education may impose penalties to the University or issue a warning as to incur in a probation status. It also could deprive other needy students of federal funds. Context Of the 116 cases of withdrawal, we examined forty (40) participants and determined that in one (1) case the Return of Title IV funds was performed late. The composition of the audit samples for the Pell grant and direct loans programs and the population from which the samples were drawn were as follows: i. Pell Grant Program: Sample Description Related Compliance Requirement OPEID Student Receiving Pell (#) Pell Disbursed ($) Students Receiving Pell (#) Pell Disbursed ($) Elegibility Sample Eligibility; and, Special Tests and Provisions - Verification and Disbursements to or on Behalf of Student 00502200 36 $ 194,814 728 $ 3,575,369 Return of Title IV Funds Sample Special Tests and Provisions - Return of Title IV Funds 00502200 29 $ 74,690 75 $ 205,924 Sample and Population Overlap 2 $ 74,690 75 $ 205,924 Population from which the Sample Sample was drawn ii. Direct Loans Program: Sample Description Related Compliance Requirement OPEID Student Receiving Direct Loans (#) Direct Loans Disbursed ($) Students Receiving Direct Loans (#) Direct Loans Disbursed ($) Elegibility Sample Eligibility; and, Special Test and Provisions - Verification and Disbursement to or on Behalf of Student 00502200 5 $ 30,250 370 $ 1,751,670 Return of Title IV Funds Sample Special Test and Provisions - Return of Title IV Funds 00502200 14 $ 48,370 11 $ 32,086 Sample and Population Overlap - $ - 11 $ 32,086 Population from which the Sample Sample was drawn Identification of a repeat finding No Questioned costs None Recommendation The University management should reinforce its procedures to ensure that disbursement of Title IV funds and R2T4 process are running separately and that each process be revise to make sure it was completed. Also, management should continue to improve its processes including the communications between departments to ensure that return of Title IV funds is made within the prescribed period of time. Views of responsible officials and planned corrective actions The University management agrees with this finding. Please refer to the corrective action plan on page 52.
Finding No. 2022?001 ? Special Tests and Provisions ? Return of Title IV Funds Federal Program ALN 84.063, Federal Pell Grant Program (PELL), Student Financial Assistance Programs Name of Federal Agency U.S. Department of Education (USDE) Category Internal Control/Compliance Compliance Requirement Special Tests and Provisions Criteria 34 CFR Section 668.173 (b) states that an institution returns unearned Title IV, HEA program funds timely if; (1) the institution deposits or transfers the funds into the bank account it maintains under ?668.163 no later than forty-five (45) days after the date it determines that the student withdrew; (2) the institution initiates an electronic fund transfer (EFT) no later than forty five (45) days after the date it determines that the student withdrew; (3) the institution initiates an electronic transaction, no later than forty five (45) days after the date it determines that the student withdrew, that informs a Federal Family Education Loan (FFEL) lender to adjust the borrower's loan account for the amount returned; or (4) the institution issues a check no later than forty-five (45) days after the date it determines that the student withdrew. Universidad Central de Bayamon, Inc. Condition The return of Title IV funds as calculated by the University was performed after the required 45 days, in the following case: Finding Number Student Identifier OPEID Pell Disbursed ($) Pell Under- Payment ($) Pell Over- Payment ($) Direct Loan Disbursed ($) Direct Loan Under- Payment ($) Direct Loan Over- Payment ($) 2022-001 Student 1 502200 $ 2,436 * $ - $ - $ - $ - $ - * There was no under-payment or over-payment of Title IV funds. Cause In this case, the disbursement of Title IV funds was processed at the same date and time of the R2T4. This action caused the process of R2T4 to be interrupted and the personnel become aware of the issue several days later. Effect As a result of these conditions, the U.S. Department of Education may impose penalties to the University or issue a warning as to incur in a probation status. It also could deprive other needy students of federal funds. Context Of the 116 cases of withdrawal, we examined forty (40) participants and determined that in one (1) case the Return of Title IV funds was performed late. The composition of the audit samples for the Pell grant and direct loans programs and the population from which the samples were drawn were as follows: i. Pell Grant Program: Sample Description Related Compliance Requirement OPEID Student Receiving Pell (#) Pell Disbursed ($) Students Receiving Pell (#) Pell Disbursed ($) Elegibility Sample Eligibility; and, Special Tests and Provisions - Verification and Disbursements to or on Behalf of Student 00502200 36 $ 194,814 728 $ 3,575,369 Return of Title IV Funds Sample Special Tests and Provisions - Return of Title IV Funds 00502200 29 $ 74,690 75 $ 205,924 Sample and Population Overlap 2 $ 74,690 75 $ 205,924 Population from which the Sample Sample was drawn ii. Direct Loans Program: Sample Description Related Compliance Requirement OPEID Student Receiving Direct Loans (#) Direct Loans Disbursed ($) Students Receiving Direct Loans (#) Direct Loans Disbursed ($) Elegibility Sample Eligibility; and, Special Test and Provisions - Verification and Disbursement to or on Behalf of Student 00502200 5 $ 30,250 370 $ 1,751,670 Return of Title IV Funds Sample Special Test and Provisions - Return of Title IV Funds 00502200 14 $ 48,370 11 $ 32,086 Sample and Population Overlap - $ - 11 $ 32,086 Population from which the Sample Sample was drawn Identification of a repeat finding No Questioned costs None Recommendation The University management should reinforce its procedures to ensure that disbursement of Title IV funds and R2T4 process are running separately and that each process be revise to make sure it was completed. Also, management should continue to improve its processes including the communications between departments to ensure that return of Title IV funds is made within the prescribed period of time. Views of responsible officials and planned corrective actions The University management agrees with this finding. Please refer to the corrective action plan on page 52.