Audit 307792

FY End
2023-08-31
Total Expended
$219.27M
Findings
10
Programs
32
Year: 2023 Accepted: 2024-05-31

Organization Exclusion Status:

Checking exclusion status...

Findings

ID Ref Severity Repeat Requirement
399270 2023-001 Significant Deficiency - N
399271 2023-001 Significant Deficiency - N
399272 2023-001 Significant Deficiency - N
399273 2023-001 Significant Deficiency - N
399274 2023-002 Significant Deficiency - E
975712 2023-001 Significant Deficiency - N
975713 2023-001 Significant Deficiency - N
975714 2023-001 Significant Deficiency - N
975715 2023-001 Significant Deficiency - N
975716 2023-002 Significant Deficiency - E

Programs

ALN Program Spent Major Findings
84.063 Federal Pell Grant Program $91.57M Yes 1
84.268 Federal Direct Student Loans $16.08M Yes 1
84.031 Higher Education_institutional Aid $10.16M - 0
84.007 Federal Supplemental Educational Opportunity Grants $4.28M Yes 1
84.033 Federal Work-Study Program $2.86M Yes 1
84.048 Career and Technical Education -- Basic Grants to States $2.12M - 0
84.047 Trio_upward Bound $1.44M - 0
84.042 Trio_student Support Services $697,198 - 0
17.285 Apprenticeship USA Grants $601,631 - 0
84.044 Trio_talent Search $521,162 - 0
84.335 Child Care Access Means Parents in School $429,237 - 0
84.425 Education Stabilization Fund $333,476 Yes 0
17.268 H-1b Job Training Grants $303,805 - 0
84.066 Trio_educational Opportunity Centers $258,173 - 0
94.006 Americorps $248,894 - 0
12.006 National Defense Education Program $231,768 - 0
12.905 Cybersecurity Core Curriculum $170,236 - 0
12.903 Gencyber Grants Program $158,965 - 0
84.002 Adult Education - Basic Grants to States $131,613 - 0
47.076 Education and Human Resources $90,339 - 0
16.525 Grants to Reduce Domestic Violence, Dating Violence, Sexual Assault, and Stalking on Campus $85,356 - 0
20.235 Commercial Motor Vehicle Operator Safety Training Grants $70,000 - 0
93.558 Temporary Assistance for Needy Families $57,904 - 0
43.008 Education $53,903 - 0
10.223 Hispanic Serving Institutions Education Grants $46,495 - 0
17.278 Wia Dislocated Worker Formula Grants $30,160 - 0
93.595 Welfare Reform Research, Evaluations and National Studies $24,000 - 0
93.243 Substance Abuse and Mental Health Services_projects of Regional and National Significance $20,363 - 0
45.162 Promotion of the Humanities_teaching and Learning Resources and Curriculum Development $19,071 - 0
12.902 Information Security Grants $7,181 - 0
84.305 Education Research, Development and Dissemination $4,324 - 0
10.902 Soil and Water Conservation $-58 - 0

Contacts

Name Title Type
XMDHUN8FUPN9 Patrick F. Vrba Auditee
2104850356 Chad Lassen Auditor
No contacts on file

Notes to SEFA

Title: FEDERAL ASSISTANCE RECONCILIATION Accounting Policies: BASIS FOR PRESENTATION The Alamo Community College District (the District) is comprised of San Antonio College, St. Philip’s College, Palo Alto College, Northeast Lakeview College, and Northwest Vista College. The purpose of the Schedule of Expenditures of Federal Awards (the Schedule) is to present a summary of those activities of the District that have been financed by the United States Government (federal awards). Federal awards received directly from federal agencies are included in the Schedule. Additionally, all federal awards passed through from other entities have been included on the Schedule. Although the District is required to match certain grants, as defined in the grants, no such matching is included in the Schedule. The information in this Schedule is presented in accordance with the requirements of 2 CFR Part 200, Uniform Administrative Requirements, Cost Principles, and Audit Requirements for Federal Awards (Uniform Guidance). Because the Schedule presents only a selected portion of the operations of the District, it is not intended to and does not present the financial position, statement of activities, or cash flows of the District. De Minimis Rate Used: N Rate Explanation: Since the District uses agency approved Indirect Recovery Rate it has elected not to use the 10% de minimis cost rates as permitted in the Uniform Guidance, Section 200.414 Indirect (F&A) costs. Other Operating Revenues - federal grants and contracts - per Schedule A $ 22,002,312 Add: Non-Operating Revenues - federal revenue, non-operating - per Schedule C 181,190,755 Total Federal Revenues per Schedule A and C 203,193,067 Reconciling Items: Add: Federal Direct Student Loans 16,080,270 Less: Federal contracts (Note 4 below) - Total Federal Expenditures per Schedule of Expenditures of Federal Awards $ 219,273,337
Title: SIGNIFICANT ACCOUNTING POLICIES USED IN PREPARING THE SCHEDULE Accounting Policies: BASIS FOR PRESENTATION The Alamo Community College District (the District) is comprised of San Antonio College, St. Philip’s College, Palo Alto College, Northeast Lakeview College, and Northwest Vista College. The purpose of the Schedule of Expenditures of Federal Awards (the Schedule) is to present a summary of those activities of the District that have been financed by the United States Government (federal awards). Federal awards received directly from federal agencies are included in the Schedule. Additionally, all federal awards passed through from other entities have been included on the Schedule. Although the District is required to match certain grants, as defined in the grants, no such matching is included in the Schedule. The information in this Schedule is presented in accordance with the requirements of 2 CFR Part 200, Uniform Administrative Requirements, Cost Principles, and Audit Requirements for Federal Awards (Uniform Guidance). Because the Schedule presents only a selected portion of the operations of the District, it is not intended to and does not present the financial position, statement of activities, or cash flows of the District. De Minimis Rate Used: N Rate Explanation: Since the District uses agency approved Indirect Recovery Rate it has elected not to use the 10% de minimis cost rates as permitted in the Uniform Guidance, Section 200.414 Indirect (F&A) costs. The expenditures included in the schedule are reported for the District’s fiscal year. Negative amounts shown on the Schedule represent adjustments or credits made in the normal course of business to amounts reported as expenditures in prior years. Expenditure reports to funding agencies are prepared on the award period basis. The expenditures reported above represent funds that have been expended by the District for the purposes of the award. The expenditures reported above may not have been reimbursed by the funding agencies as of the end of the fiscal year. Some amounts reported in the Schedule may differ from amounts used in the preparation of the basic financial statements. Separate accounts are maintained for the different awards to aid in the observance of limitations and restrictions imposed by the funding agencies. Since the District uses agency approved Indirect Recovery Rate it has elected not to use the 10% de minimis cost rates as permitted in the Uniform Guidance, Section 200.414 Indirect (F&A) costs. The District has followed all applicable guidelines issued by various entities in the preparation of the schedule.
Title: EXPENDITURES NOT SUBJECT TO FEDERAL SINGLE AUDIT Accounting Policies: BASIS FOR PRESENTATION The Alamo Community College District (the District) is comprised of San Antonio College, St. Philip’s College, Palo Alto College, Northeast Lakeview College, and Northwest Vista College. The purpose of the Schedule of Expenditures of Federal Awards (the Schedule) is to present a summary of those activities of the District that have been financed by the United States Government (federal awards). Federal awards received directly from federal agencies are included in the Schedule. Additionally, all federal awards passed through from other entities have been included on the Schedule. Although the District is required to match certain grants, as defined in the grants, no such matching is included in the Schedule. The information in this Schedule is presented in accordance with the requirements of 2 CFR Part 200, Uniform Administrative Requirements, Cost Principles, and Audit Requirements for Federal Awards (Uniform Guidance). Because the Schedule presents only a selected portion of the operations of the District, it is not intended to and does not present the financial position, statement of activities, or cash flows of the District. De Minimis Rate Used: N Rate Explanation: Since the District uses agency approved Indirect Recovery Rate it has elected not to use the 10% de minimis cost rates as permitted in the Uniform Guidance, Section 200.414 Indirect (F&A) costs. The District did not receive any federal contracts, $0.
Title: FEDERAL DIRECT STUDENT LOAN PROGRAM Accounting Policies: BASIS FOR PRESENTATION The Alamo Community College District (the District) is comprised of San Antonio College, St. Philip’s College, Palo Alto College, Northeast Lakeview College, and Northwest Vista College. The purpose of the Schedule of Expenditures of Federal Awards (the Schedule) is to present a summary of those activities of the District that have been financed by the United States Government (federal awards). Federal awards received directly from federal agencies are included in the Schedule. Additionally, all federal awards passed through from other entities have been included on the Schedule. Although the District is required to match certain grants, as defined in the grants, no such matching is included in the Schedule. The information in this Schedule is presented in accordance with the requirements of 2 CFR Part 200, Uniform Administrative Requirements, Cost Principles, and Audit Requirements for Federal Awards (Uniform Guidance). Because the Schedule presents only a selected portion of the operations of the District, it is not intended to and does not present the financial position, statement of activities, or cash flows of the District. De Minimis Rate Used: N Rate Explanation: Since the District uses agency approved Indirect Recovery Rate it has elected not to use the 10% de minimis cost rates as permitted in the Uniform Guidance, Section 200.414 Indirect (F&A) costs. The District participates in the Federal Direct Student Loans program (ALN 84.268). Loans under the Federal Direct Student Loans program are made directly by the federal government to students. Loans disbursed during the fiscal year ended August 31, 2023 totaled $16,080,270 and are presented as current year federal expenditures.
Title: NONCASH AWARDS Accounting Policies: BASIS FOR PRESENTATION The Alamo Community College District (the District) is comprised of San Antonio College, St. Philip’s College, Palo Alto College, Northeast Lakeview College, and Northwest Vista College. The purpose of the Schedule of Expenditures of Federal Awards (the Schedule) is to present a summary of those activities of the District that have been financed by the United States Government (federal awards). Federal awards received directly from federal agencies are included in the Schedule. Additionally, all federal awards passed through from other entities have been included on the Schedule. Although the District is required to match certain grants, as defined in the grants, no such matching is included in the Schedule. The information in this Schedule is presented in accordance with the requirements of 2 CFR Part 200, Uniform Administrative Requirements, Cost Principles, and Audit Requirements for Federal Awards (Uniform Guidance). Because the Schedule presents only a selected portion of the operations of the District, it is not intended to and does not present the financial position, statement of activities, or cash flows of the District. De Minimis Rate Used: N Rate Explanation: Since the District uses agency approved Indirect Recovery Rate it has elected not to use the 10% de minimis cost rates as permitted in the Uniform Guidance, Section 200.414 Indirect (F&A) costs. There were no federal noncash awards in fiscal year 2023 other than Federal Direct Student Loans discussed in Note 5 above.

Finding Details

Federal Agency: Department of Education Federal Program: Student Financial Assistance Cluster Assistance Listing Numbers: 84.007 – Federal Supplemental Education Opportunity Grants 84.033 – Federal Work Study Program 84.063 – Federal Pell Grant Program 84.268 – Federal Direct Student Loans Federal Award Identification Number and Year: N/A Award Period: September 1, 2022 to August 31, 2023 Type of Finding: • Significant Deficiency in Internal Control Over Compliance • Other Matters Criteria or Specific Requirement: The Gramm-Leach-Bliley Act (Public Law 106-102) requires financial institutions to explain their information-sharing practices to their customers and to safeguard sensitive data. (16 CFR 314) The Federal Trade Commission considers Title IV-eligible institutions that participate in Title IV Educational Assistance Programs as “financial institutions” and subject to the Gramm-Leach-Bliley Act (16 CFR 313.3(k)(2)(vi). In addition, per Uniform Guidance 2 CFR 200.303, federal entities receiving federal awards are required to establish and maintain internal controls designed to reasonably ensure compliance with federal laws, regulations and program compliance requirements. Condition: Under an institution’s Program Participation Agreement with the Department of Education and the Gramm-Leach-Bliley Act, schools must protect student financial aid information, with particular attention to information provided to institutions by the Department or otherwise obtained in support of the administration of the federal student financial aid programs. Questioned Costs: None Context: During our review of the GLBA reports for Alamo Community College District, we noted one of the eight required GLBA safeguards was missing from the written information security plan (District’s Enterprise Data Governance Standard), and there was no review of the plan. Cause: The Enterprise Data Governance Standard did not include one of the required GLBA safeguards. Effect: The District is not in full compliance with GLBA. Repeat Finding: No Recommendation: We recommend that the District review the updated GLBA requirements and ensure their Enterprise Data Governance Standard includes all required elements. Views of Responsible Officials: There is no disagreement with the audit finding. The District has a plan to correct the finding.
Federal Agency: Department of Education Federal Program: Student Financial Assistance Cluster Assistance Listing Numbers: 84.007 – Federal Supplemental Education Opportunity Grants 84.033 – Federal Work Study Program 84.063 – Federal Pell Grant Program 84.268 – Federal Direct Student Loans Federal Award Identification Number and Year: N/A Award Period: September 1, 2022 to August 31, 2023 Type of Finding: • Significant Deficiency in Internal Control Over Compliance • Other Matters Criteria or Specific Requirement: The Gramm-Leach-Bliley Act (Public Law 106-102) requires financial institutions to explain their information-sharing practices to their customers and to safeguard sensitive data. (16 CFR 314) The Federal Trade Commission considers Title IV-eligible institutions that participate in Title IV Educational Assistance Programs as “financial institutions” and subject to the Gramm-Leach-Bliley Act (16 CFR 313.3(k)(2)(vi). In addition, per Uniform Guidance 2 CFR 200.303, federal entities receiving federal awards are required to establish and maintain internal controls designed to reasonably ensure compliance with federal laws, regulations and program compliance requirements. Condition: Under an institution’s Program Participation Agreement with the Department of Education and the Gramm-Leach-Bliley Act, schools must protect student financial aid information, with particular attention to information provided to institutions by the Department or otherwise obtained in support of the administration of the federal student financial aid programs. Questioned Costs: None Context: During our review of the GLBA reports for Alamo Community College District, we noted one of the eight required GLBA safeguards was missing from the written information security plan (District’s Enterprise Data Governance Standard), and there was no review of the plan. Cause: The Enterprise Data Governance Standard did not include one of the required GLBA safeguards. Effect: The District is not in full compliance with GLBA. Repeat Finding: No Recommendation: We recommend that the District review the updated GLBA requirements and ensure their Enterprise Data Governance Standard includes all required elements. Views of Responsible Officials: There is no disagreement with the audit finding. The District has a plan to correct the finding.
Federal Agency: Department of Education Federal Program: Student Financial Assistance Cluster Assistance Listing Numbers: 84.007 – Federal Supplemental Education Opportunity Grants 84.033 – Federal Work Study Program 84.063 – Federal Pell Grant Program 84.268 – Federal Direct Student Loans Federal Award Identification Number and Year: N/A Award Period: September 1, 2022 to August 31, 2023 Type of Finding: • Significant Deficiency in Internal Control Over Compliance • Other Matters Criteria or Specific Requirement: The Gramm-Leach-Bliley Act (Public Law 106-102) requires financial institutions to explain their information-sharing practices to their customers and to safeguard sensitive data. (16 CFR 314) The Federal Trade Commission considers Title IV-eligible institutions that participate in Title IV Educational Assistance Programs as “financial institutions” and subject to the Gramm-Leach-Bliley Act (16 CFR 313.3(k)(2)(vi). In addition, per Uniform Guidance 2 CFR 200.303, federal entities receiving federal awards are required to establish and maintain internal controls designed to reasonably ensure compliance with federal laws, regulations and program compliance requirements. Condition: Under an institution’s Program Participation Agreement with the Department of Education and the Gramm-Leach-Bliley Act, schools must protect student financial aid information, with particular attention to information provided to institutions by the Department or otherwise obtained in support of the administration of the federal student financial aid programs. Questioned Costs: None Context: During our review of the GLBA reports for Alamo Community College District, we noted one of the eight required GLBA safeguards was missing from the written information security plan (District’s Enterprise Data Governance Standard), and there was no review of the plan. Cause: The Enterprise Data Governance Standard did not include one of the required GLBA safeguards. Effect: The District is not in full compliance with GLBA. Repeat Finding: No Recommendation: We recommend that the District review the updated GLBA requirements and ensure their Enterprise Data Governance Standard includes all required elements. Views of Responsible Officials: There is no disagreement with the audit finding. The District has a plan to correct the finding.
Federal Agency: Department of Education Federal Program: Student Financial Assistance Cluster Assistance Listing Numbers: 84.007 – Federal Supplemental Education Opportunity Grants 84.033 – Federal Work Study Program 84.063 – Federal Pell Grant Program 84.268 – Federal Direct Student Loans Federal Award Identification Number and Year: N/A Award Period: September 1, 2022 to August 31, 2023 Type of Finding: • Significant Deficiency in Internal Control Over Compliance • Other Matters Criteria or Specific Requirement: The Gramm-Leach-Bliley Act (Public Law 106-102) requires financial institutions to explain their information-sharing practices to their customers and to safeguard sensitive data. (16 CFR 314) The Federal Trade Commission considers Title IV-eligible institutions that participate in Title IV Educational Assistance Programs as “financial institutions” and subject to the Gramm-Leach-Bliley Act (16 CFR 313.3(k)(2)(vi). In addition, per Uniform Guidance 2 CFR 200.303, federal entities receiving federal awards are required to establish and maintain internal controls designed to reasonably ensure compliance with federal laws, regulations and program compliance requirements. Condition: Under an institution’s Program Participation Agreement with the Department of Education and the Gramm-Leach-Bliley Act, schools must protect student financial aid information, with particular attention to information provided to institutions by the Department or otherwise obtained in support of the administration of the federal student financial aid programs. Questioned Costs: None Context: During our review of the GLBA reports for Alamo Community College District, we noted one of the eight required GLBA safeguards was missing from the written information security plan (District’s Enterprise Data Governance Standard), and there was no review of the plan. Cause: The Enterprise Data Governance Standard did not include one of the required GLBA safeguards. Effect: The District is not in full compliance with GLBA. Repeat Finding: No Recommendation: We recommend that the District review the updated GLBA requirements and ensure their Enterprise Data Governance Standard includes all required elements. Views of Responsible Officials: There is no disagreement with the audit finding. The District has a plan to correct the finding.
Federal Agency: Department of Education Federal Program: Education Stabilization Fund Assistance Listing Number: 84.425E Federal Award Identification Number and Year: N/A Award Period: September 1, 2022 to August 31, 2023 Type of Finding: • Significant Deficiency in Internal Control Over Compliance • Other Matters Criteria or Specific Requirement: In accordance with 2 CFR Section 200.407, institutions distributing HEERF funding are required to ensure that students meet the eligibility requirements of the program while following established policies and procedures. In addition, per Uniform Guidance 2 CFR 200.303, entities receiving federal awards are required to establish and maintain internal controls designed to reasonably ensure compliance with federal laws, regulations and program compliance requirements. Condition: During our testing of student expenditures of HEERF funding, we identified certain internal control policies of the District were not followed. Questioned Costs: None Context: During our testing of the HEERF student expenditures, we identified certain instances where internal control policies of the District were not followed at Northwest Vista College. Cause: The District in certain instances did not follow the internal control policies implemented around the awarding of HEERF student funds. Effect: There were certain instances where HEERF funds were disbursed that did not follow the District’s internal control policies. Repeat Finding: No Recommendation: We recommend that the District review their internal processes and ensure all internal control policies are followed. Views of Responsible Officials: There is no disagreement with the audit finding. The District has a plan to correct the finding.
Federal Agency: Department of Education Federal Program: Student Financial Assistance Cluster Assistance Listing Numbers: 84.007 – Federal Supplemental Education Opportunity Grants 84.033 – Federal Work Study Program 84.063 – Federal Pell Grant Program 84.268 – Federal Direct Student Loans Federal Award Identification Number and Year: N/A Award Period: September 1, 2022 to August 31, 2023 Type of Finding: • Significant Deficiency in Internal Control Over Compliance • Other Matters Criteria or Specific Requirement: The Gramm-Leach-Bliley Act (Public Law 106-102) requires financial institutions to explain their information-sharing practices to their customers and to safeguard sensitive data. (16 CFR 314) The Federal Trade Commission considers Title IV-eligible institutions that participate in Title IV Educational Assistance Programs as “financial institutions” and subject to the Gramm-Leach-Bliley Act (16 CFR 313.3(k)(2)(vi). In addition, per Uniform Guidance 2 CFR 200.303, federal entities receiving federal awards are required to establish and maintain internal controls designed to reasonably ensure compliance with federal laws, regulations and program compliance requirements. Condition: Under an institution’s Program Participation Agreement with the Department of Education and the Gramm-Leach-Bliley Act, schools must protect student financial aid information, with particular attention to information provided to institutions by the Department or otherwise obtained in support of the administration of the federal student financial aid programs. Questioned Costs: None Context: During our review of the GLBA reports for Alamo Community College District, we noted one of the eight required GLBA safeguards was missing from the written information security plan (District’s Enterprise Data Governance Standard), and there was no review of the plan. Cause: The Enterprise Data Governance Standard did not include one of the required GLBA safeguards. Effect: The District is not in full compliance with GLBA. Repeat Finding: No Recommendation: We recommend that the District review the updated GLBA requirements and ensure their Enterprise Data Governance Standard includes all required elements. Views of Responsible Officials: There is no disagreement with the audit finding. The District has a plan to correct the finding.
Federal Agency: Department of Education Federal Program: Student Financial Assistance Cluster Assistance Listing Numbers: 84.007 – Federal Supplemental Education Opportunity Grants 84.033 – Federal Work Study Program 84.063 – Federal Pell Grant Program 84.268 – Federal Direct Student Loans Federal Award Identification Number and Year: N/A Award Period: September 1, 2022 to August 31, 2023 Type of Finding: • Significant Deficiency in Internal Control Over Compliance • Other Matters Criteria or Specific Requirement: The Gramm-Leach-Bliley Act (Public Law 106-102) requires financial institutions to explain their information-sharing practices to their customers and to safeguard sensitive data. (16 CFR 314) The Federal Trade Commission considers Title IV-eligible institutions that participate in Title IV Educational Assistance Programs as “financial institutions” and subject to the Gramm-Leach-Bliley Act (16 CFR 313.3(k)(2)(vi). In addition, per Uniform Guidance 2 CFR 200.303, federal entities receiving federal awards are required to establish and maintain internal controls designed to reasonably ensure compliance with federal laws, regulations and program compliance requirements. Condition: Under an institution’s Program Participation Agreement with the Department of Education and the Gramm-Leach-Bliley Act, schools must protect student financial aid information, with particular attention to information provided to institutions by the Department or otherwise obtained in support of the administration of the federal student financial aid programs. Questioned Costs: None Context: During our review of the GLBA reports for Alamo Community College District, we noted one of the eight required GLBA safeguards was missing from the written information security plan (District’s Enterprise Data Governance Standard), and there was no review of the plan. Cause: The Enterprise Data Governance Standard did not include one of the required GLBA safeguards. Effect: The District is not in full compliance with GLBA. Repeat Finding: No Recommendation: We recommend that the District review the updated GLBA requirements and ensure their Enterprise Data Governance Standard includes all required elements. Views of Responsible Officials: There is no disagreement with the audit finding. The District has a plan to correct the finding.
Federal Agency: Department of Education Federal Program: Student Financial Assistance Cluster Assistance Listing Numbers: 84.007 – Federal Supplemental Education Opportunity Grants 84.033 – Federal Work Study Program 84.063 – Federal Pell Grant Program 84.268 – Federal Direct Student Loans Federal Award Identification Number and Year: N/A Award Period: September 1, 2022 to August 31, 2023 Type of Finding: • Significant Deficiency in Internal Control Over Compliance • Other Matters Criteria or Specific Requirement: The Gramm-Leach-Bliley Act (Public Law 106-102) requires financial institutions to explain their information-sharing practices to their customers and to safeguard sensitive data. (16 CFR 314) The Federal Trade Commission considers Title IV-eligible institutions that participate in Title IV Educational Assistance Programs as “financial institutions” and subject to the Gramm-Leach-Bliley Act (16 CFR 313.3(k)(2)(vi). In addition, per Uniform Guidance 2 CFR 200.303, federal entities receiving federal awards are required to establish and maintain internal controls designed to reasonably ensure compliance with federal laws, regulations and program compliance requirements. Condition: Under an institution’s Program Participation Agreement with the Department of Education and the Gramm-Leach-Bliley Act, schools must protect student financial aid information, with particular attention to information provided to institutions by the Department or otherwise obtained in support of the administration of the federal student financial aid programs. Questioned Costs: None Context: During our review of the GLBA reports for Alamo Community College District, we noted one of the eight required GLBA safeguards was missing from the written information security plan (District’s Enterprise Data Governance Standard), and there was no review of the plan. Cause: The Enterprise Data Governance Standard did not include one of the required GLBA safeguards. Effect: The District is not in full compliance with GLBA. Repeat Finding: No Recommendation: We recommend that the District review the updated GLBA requirements and ensure their Enterprise Data Governance Standard includes all required elements. Views of Responsible Officials: There is no disagreement with the audit finding. The District has a plan to correct the finding.
Federal Agency: Department of Education Federal Program: Student Financial Assistance Cluster Assistance Listing Numbers: 84.007 – Federal Supplemental Education Opportunity Grants 84.033 – Federal Work Study Program 84.063 – Federal Pell Grant Program 84.268 – Federal Direct Student Loans Federal Award Identification Number and Year: N/A Award Period: September 1, 2022 to August 31, 2023 Type of Finding: • Significant Deficiency in Internal Control Over Compliance • Other Matters Criteria or Specific Requirement: The Gramm-Leach-Bliley Act (Public Law 106-102) requires financial institutions to explain their information-sharing practices to their customers and to safeguard sensitive data. (16 CFR 314) The Federal Trade Commission considers Title IV-eligible institutions that participate in Title IV Educational Assistance Programs as “financial institutions” and subject to the Gramm-Leach-Bliley Act (16 CFR 313.3(k)(2)(vi). In addition, per Uniform Guidance 2 CFR 200.303, federal entities receiving federal awards are required to establish and maintain internal controls designed to reasonably ensure compliance with federal laws, regulations and program compliance requirements. Condition: Under an institution’s Program Participation Agreement with the Department of Education and the Gramm-Leach-Bliley Act, schools must protect student financial aid information, with particular attention to information provided to institutions by the Department or otherwise obtained in support of the administration of the federal student financial aid programs. Questioned Costs: None Context: During our review of the GLBA reports for Alamo Community College District, we noted one of the eight required GLBA safeguards was missing from the written information security plan (District’s Enterprise Data Governance Standard), and there was no review of the plan. Cause: The Enterprise Data Governance Standard did not include one of the required GLBA safeguards. Effect: The District is not in full compliance with GLBA. Repeat Finding: No Recommendation: We recommend that the District review the updated GLBA requirements and ensure their Enterprise Data Governance Standard includes all required elements. Views of Responsible Officials: There is no disagreement with the audit finding. The District has a plan to correct the finding.
Federal Agency: Department of Education Federal Program: Education Stabilization Fund Assistance Listing Number: 84.425E Federal Award Identification Number and Year: N/A Award Period: September 1, 2022 to August 31, 2023 Type of Finding: • Significant Deficiency in Internal Control Over Compliance • Other Matters Criteria or Specific Requirement: In accordance with 2 CFR Section 200.407, institutions distributing HEERF funding are required to ensure that students meet the eligibility requirements of the program while following established policies and procedures. In addition, per Uniform Guidance 2 CFR 200.303, entities receiving federal awards are required to establish and maintain internal controls designed to reasonably ensure compliance with federal laws, regulations and program compliance requirements. Condition: During our testing of student expenditures of HEERF funding, we identified certain internal control policies of the District were not followed. Questioned Costs: None Context: During our testing of the HEERF student expenditures, we identified certain instances where internal control policies of the District were not followed at Northwest Vista College. Cause: The District in certain instances did not follow the internal control policies implemented around the awarding of HEERF student funds. Effect: There were certain instances where HEERF funds were disbursed that did not follow the District’s internal control policies. Repeat Finding: No Recommendation: We recommend that the District review their internal processes and ensure all internal control policies are followed. Views of Responsible Officials: There is no disagreement with the audit finding. The District has a plan to correct the finding.