Audit 350130

FY End
2024-06-30
Total Expended
$17.11M
Findings
10
Programs
47
Organization: Occidental College (CA)
Year: 2024 Accepted: 2025-03-28
Auditor: Moss Adams LLP

Organization Exclusion Status:

Checking exclusion status...

Findings

ID Ref Severity Repeat Requirement
539593 2024-001 Significant Deficiency - N
539594 2024-001 Significant Deficiency - N
539595 2024-001 Significant Deficiency - N
539596 2024-001 Significant Deficiency - N
539597 2024-001 Significant Deficiency - N
1116035 2024-001 Significant Deficiency - N
1116036 2024-001 Significant Deficiency - N
1116037 2024-001 Significant Deficiency - N
1116038 2024-001 Significant Deficiency - N
1116039 2024-001 Significant Deficiency - N

Programs

ALN Program Spent Major Findings
84.268 Federal Direct Student Loans $7.48M Yes 1
84.063 Federal Pell Grant Program $1.80M Yes 1
84.334 Gaining Early Awareness and Readiness for Undergraduate Programs (gear Up 4 La) $1.74M Yes 0
84.038 Federal Perkins Loan Program (beginning of the Year) $1.47M Yes 1
97.036 US Department of Homeland Security - Federal Emergency Management Award $1.06M Yes 0
84.047 Upward Bound $675,281 - 0
84.033 Federal Work-Study Program $347,372 Yes 1
84.007 Federal Supplemental Educational Opportunity Grants $280,222 Yes 1
47.076 Creating Opportunities for High-Achieving Students in Science and Mathematics Through $230,590 - 0
10.164 Southwest Regional Food Business Center $199,418 - 0
15.423 Environmental Status of Artificial Structures Offshore California $113,041 - 0
93.RD National Heart, Lung, and Blood Institute Alliance for Community Engagement-Climate and Health (ace-Ch) $103,434 - 0
47.070 Mri: Acquisition of A High-Performance Computing Cluster for Occidental College $101,156 - 0
47.049 2022 Startalk - Occidental College $90,980 - 0
10.310 Los Angeles Urban Agriculture Internship Program $83,249 - 0
47.075 Rui: Sts: Race, Immigration, and the Public Understanding of Science $78,422 - 0
93.867 Electromechanical Cornea Reshaping for Refractive Vision Therapy $66,847 - 0
47.050 Collaborative Research: Redefining the Footprint of Deep Ocean Methane Seepage for Benthic Ecosystems $62,331 - 0
93.859 Regiodivergent Palladium-Catalyzed Decarboxylative Coupling of Stabilized Benzylic $59,145 - 0
10.170 California Department of Food and Agriculture $57,816 - 0
93.113 Los Angeles Voices on Oil, Community, Environment and Salud (las Voces) Study $54,272 - 0
47.074 Collaborative Research: Rui: Keystone Molecules and Estuarine Foodwebs: Chemical Defense and A Novel Biosynthetic Pathway in A Common Mudflat Mullusc $53,168 - 0
47.050 Rui: Collaborative Research: Understanding Bioerosion From Individuals to Ecosystems: the Impacts of Biotic and Abiotic Stressors on Sponge Erosion of Oyster Reefs $50,029 - 0
93.859 Photocatalyzed & Enantioselective Umpolung C-C Bond Forming Reactions of Carbonyls $42,675 - 0
47.075 Collaborative Research: Social Perception of Groups $40,988 - 0
47.074 Rui: Marine Vampire Microbiome Project (mvp) Blood-Feeding Marine Invertebrates and Their Bacterial Accompl $36,124 - 0
47.049 Rui: Development of Dianionic Enolates for the Stereoselective Synthesis of Natural and Unnatural Amino Acids $34,025 - 0
47.049 Coding Theory, Number Theory, and Related Topics - Mathematical Sciences Program $29,374 - 0
43.RD Satellite Monitoring of Rivers: A Distributed-Sampling Approach to Improve Satellite Estimates of River Water Quality on A Global Scale $28,907 - 0
47.076 Scholarships, Research Experiences, Leadership, and Community Center for Undergraduate Research in Mathematics $27,465 - 0
47.050 Collaborative Research: Rui: Ear-Climate: Investigating the Past, Present, and Future of Glaciated Alpine Landscapes Using An Integrated Data-Model Approach $26,148 - 0
47.049 Rui-Che: Development of Organometallic Complexes for the Next-Generation of Non-Aqueous Redox Flow Batteries $25,142 - 0
12.300 Safety Zone Kelp Monitoring at San Clemente Island $24,611 - 0
43.RD Converting Co2 to Gasoline Fuel Using Carbon Nanotube Platform $23,621 - 0
93.113 Health Symptoms and Risk Perception of Urban $18,241 - 0
47.049 National Research Experience for Undergraduates Program (nreup) $17,050 - 0
47.050 Mri: Acquisition of A Malvern Particle Size Analyzer for Interdisciplinary Research and Undergraduate Education and Research Training $14,114 - 0
47.049 Geometric and Semantic Structures for Two and Three-Dimensional Shape Understanding Building Bridges: Fifth Eu/us Summer School on Automorphic Forms and Related Topics $13,398 - 0
20.701 The Impact of Work-From-Home on Job and Housing Location in the Bay Area $13,275 - 0
47.049 The Role of Dwarf-Dwarf Galaxy Interactions Over Cosmic Time $13,054 - 0
47.075 Social, Behavioral, and Economic Sciences $11,522 - 0
10.559 Upward Bound Usda '23 - '28 $9,254 - 0
47.074 Digitization Pen Specimens $8,084 - 0
93.855 MacRophage Second-Line Responses to Group A Streptococcus Infection $5,987 - 0
47.074 Career: Integrating Undergraduate Research, Citizen Science, and Museum Genomics to Explore A Century of Change in North American Birds $2,713 - 0
20.701 Commuting During and After Covid-19: the Impact of Covid on Shared Mobility and Extreme Commuting in the Bay Area-Central Valley $1,046 - 0
43.RD Accelerated Aging Study for Reagents Used on Space Exploration $119 - 0

Contacts

Name Title Type
DCQQX5TRCYN9 Amos Himmelstein Auditee
3232591347 Melissa Harman Auditor
No contacts on file

Notes to SEFA

Title: Note 1 – Basis of Presentation Accounting Policies: Note 2 – Summary of Significant Accounting Policies Expenditures reported on 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 are not allowed or are limited as to reimbursement. Pass-through entity identifying numbers are presented where available. De Minimis Rate Used: N Rate Explanation: The College has elected not to use the 10 percent de minimis indirect cost rate as allowed under Uniform Guidance. The accompanying schedule of expenditures of federal awards (the Schedule) includes the federal award activity of Occidental College (the College”) under programs of the federal government for the year ended June 30, 2024. The information in this Schedule is presented 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 (Uniform Guidance). Because it presents only a selected portion of the operations of the College, it is not intended to, and does not, present the financial position, changes in net assets, or cash flows of the College.
Title: Note 3 – Federal Student Loan Programs Accounting Policies: Note 2 – Summary of Significant Accounting Policies Expenditures reported on 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 are not allowed or are limited as to reimbursement. Pass-through entity identifying numbers are presented where available. De Minimis Rate Used: N Rate Explanation: The College has elected not to use the 10 percent de minimis indirect cost rate as allowed under Uniform Guidance. The federal student loan program listed subsequently is administered directly by the College and balances and transactions relating to this program are included in the College’s consolidated financial statements. The balance of loans at the beginning of the year and loans made during the year are included in the federal expenditures presented in the Schedule. The balance of loans outstanding at June 30, 2024, consists of: (see table in "Notes to the Schedule of Expenditures of Federal Awards".

Finding Details

FINDING 2024-001 – Special Tests and Provisions – Enrollment Reporting: Significant Deficiency in Internal Control over Compliance (See table in "Schedule of Findings and Questioned Costs"). Criteria – 34 CFR section 685.309(b)(2): Unless it expects to submit its next updated enrollment report to the Secretary within the next 60 days, a school must notify the Secretary within 30 days after the date the school discovers that: (i) a loan under Title IV of the Act was made to or on behalf of a student who was enrolled or accepted for enrollment at the school, and the student has ceased to be enrolled on at least a half-time basis or failed to enroll on at least a half-time basis for the period for which the loan was intended; or (ii) A student who is enrolled at the school and who received a loan under title IV of the Act has changed his or her permanent address. Condition/context: A sample of 20 federal aid recipient students was selected from system generated reports of students who graduated, withdrew, or dropped during the 2023-2024 academic year. The enrollment information per the College’s records were compared to the information reported to the National Student Loan Data System (NSLDS) in order to determine if status changes were reported within the required timeframes. All 20 of the students selected as samples were not reported to the NSLDS within the required timeframe. Cause: Capacity constraints and turnover within the accounting department limited the College’s ability to implement proper oversight of enrollment reporting. Effect or potential effect: The NSLDS database did not include accurate information until the point at which it was corrected. This information is utilized by the Department of Education, the Direct Loan program, lenders, and other institutions to determine in-school status, deferment, and grace periods of student loans. Incorrect information could result in incorrect deferment, grace periods, billing, and repayment of student loans. Repeat Finding: This is not a repeat finding. Recommendation: We recommend that the College timely notify NSLDS of any changes of students’ status such as, graduation, address change, etc. We recommend that the College updates NSLDS for any graduations within the 30-day requirement or include in a roster file within 60 days. Corrective Action Plan: The College has accepted Moss Adams’ recommendation that the College document and implement processes to ensure timely NSLDS reporting. The College is in the process of restructuring the staffing in the financial aid office to update NSLDS for any students’ status changes. The College will address the deficiency by first reviewing and revising existing procedures and policies and then implementing and documenting new processes and policies to ensure proper controls and best practices. The College has already created a document that identifies all the reclassifications needed to produce the College’s Financial Statements. Condition/context: During the course of our audit, we noted that the College lacks digital transformation and automation on all significant accounting processes. With the absence of automation and documentation of financial reporting procedures, the College is unable to complete certain processes because it is such a manual process. Each of these internal control deficiencies on their own do not rise to the level of a significant deficiency; however, in the aggregate they were determined to represent a significant deficiency in financial close and reporting. Current year status – Fully corrected.
FINDING 2024-001 – Special Tests and Provisions – Enrollment Reporting: Significant Deficiency in Internal Control over Compliance (See table in "Schedule of Findings and Questioned Costs"). Criteria – 34 CFR section 685.309(b)(2): Unless it expects to submit its next updated enrollment report to the Secretary within the next 60 days, a school must notify the Secretary within 30 days after the date the school discovers that: (i) a loan under Title IV of the Act was made to or on behalf of a student who was enrolled or accepted for enrollment at the school, and the student has ceased to be enrolled on at least a half-time basis or failed to enroll on at least a half-time basis for the period for which the loan was intended; or (ii) A student who is enrolled at the school and who received a loan under title IV of the Act has changed his or her permanent address. Condition/context: A sample of 20 federal aid recipient students was selected from system generated reports of students who graduated, withdrew, or dropped during the 2023-2024 academic year. The enrollment information per the College’s records were compared to the information reported to the National Student Loan Data System (NSLDS) in order to determine if status changes were reported within the required timeframes. All 20 of the students selected as samples were not reported to the NSLDS within the required timeframe. Cause: Capacity constraints and turnover within the accounting department limited the College’s ability to implement proper oversight of enrollment reporting. Effect or potential effect: The NSLDS database did not include accurate information until the point at which it was corrected. This information is utilized by the Department of Education, the Direct Loan program, lenders, and other institutions to determine in-school status, deferment, and grace periods of student loans. Incorrect information could result in incorrect deferment, grace periods, billing, and repayment of student loans. Repeat Finding: This is not a repeat finding. Recommendation: We recommend that the College timely notify NSLDS of any changes of students’ status such as, graduation, address change, etc. We recommend that the College updates NSLDS for any graduations within the 30-day requirement or include in a roster file within 60 days. Corrective Action Plan: The College has accepted Moss Adams’ recommendation that the College document and implement processes to ensure timely NSLDS reporting. The College is in the process of restructuring the staffing in the financial aid office to update NSLDS for any students’ status changes. The College will address the deficiency by first reviewing and revising existing procedures and policies and then implementing and documenting new processes and policies to ensure proper controls and best practices. The College has already created a document that identifies all the reclassifications needed to produce the College’s Financial Statements. Condition/context: During the course of our audit, we noted that the College lacks digital transformation and automation on all significant accounting processes. With the absence of automation and documentation of financial reporting procedures, the College is unable to complete certain processes because it is such a manual process. Each of these internal control deficiencies on their own do not rise to the level of a significant deficiency; however, in the aggregate they were determined to represent a significant deficiency in financial close and reporting. Current year status – Fully corrected.
FINDING 2024-001 – Special Tests and Provisions – Enrollment Reporting: Significant Deficiency in Internal Control over Compliance (See table in "Schedule of Findings and Questioned Costs"). Criteria – 34 CFR section 685.309(b)(2): Unless it expects to submit its next updated enrollment report to the Secretary within the next 60 days, a school must notify the Secretary within 30 days after the date the school discovers that: (i) a loan under Title IV of the Act was made to or on behalf of a student who was enrolled or accepted for enrollment at the school, and the student has ceased to be enrolled on at least a half-time basis or failed to enroll on at least a half-time basis for the period for which the loan was intended; or (ii) A student who is enrolled at the school and who received a loan under title IV of the Act has changed his or her permanent address. Condition/context: A sample of 20 federal aid recipient students was selected from system generated reports of students who graduated, withdrew, or dropped during the 2023-2024 academic year. The enrollment information per the College’s records were compared to the information reported to the National Student Loan Data System (NSLDS) in order to determine if status changes were reported within the required timeframes. All 20 of the students selected as samples were not reported to the NSLDS within the required timeframe. Cause: Capacity constraints and turnover within the accounting department limited the College’s ability to implement proper oversight of enrollment reporting. Effect or potential effect: The NSLDS database did not include accurate information until the point at which it was corrected. This information is utilized by the Department of Education, the Direct Loan program, lenders, and other institutions to determine in-school status, deferment, and grace periods of student loans. Incorrect information could result in incorrect deferment, grace periods, billing, and repayment of student loans. Repeat Finding: This is not a repeat finding. Recommendation: We recommend that the College timely notify NSLDS of any changes of students’ status such as, graduation, address change, etc. We recommend that the College updates NSLDS for any graduations within the 30-day requirement or include in a roster file within 60 days. Corrective Action Plan: The College has accepted Moss Adams’ recommendation that the College document and implement processes to ensure timely NSLDS reporting. The College is in the process of restructuring the staffing in the financial aid office to update NSLDS for any students’ status changes. The College will address the deficiency by first reviewing and revising existing procedures and policies and then implementing and documenting new processes and policies to ensure proper controls and best practices. The College has already created a document that identifies all the reclassifications needed to produce the College’s Financial Statements. Condition/context: During the course of our audit, we noted that the College lacks digital transformation and automation on all significant accounting processes. With the absence of automation and documentation of financial reporting procedures, the College is unable to complete certain processes because it is such a manual process. Each of these internal control deficiencies on their own do not rise to the level of a significant deficiency; however, in the aggregate they were determined to represent a significant deficiency in financial close and reporting. Current year status – Fully corrected.
FINDING 2024-001 – Special Tests and Provisions – Enrollment Reporting: Significant Deficiency in Internal Control over Compliance (See table in "Schedule of Findings and Questioned Costs"). Criteria – 34 CFR section 685.309(b)(2): Unless it expects to submit its next updated enrollment report to the Secretary within the next 60 days, a school must notify the Secretary within 30 days after the date the school discovers that: (i) a loan under Title IV of the Act was made to or on behalf of a student who was enrolled or accepted for enrollment at the school, and the student has ceased to be enrolled on at least a half-time basis or failed to enroll on at least a half-time basis for the period for which the loan was intended; or (ii) A student who is enrolled at the school and who received a loan under title IV of the Act has changed his or her permanent address. Condition/context: A sample of 20 federal aid recipient students was selected from system generated reports of students who graduated, withdrew, or dropped during the 2023-2024 academic year. The enrollment information per the College’s records were compared to the information reported to the National Student Loan Data System (NSLDS) in order to determine if status changes were reported within the required timeframes. All 20 of the students selected as samples were not reported to the NSLDS within the required timeframe. Cause: Capacity constraints and turnover within the accounting department limited the College’s ability to implement proper oversight of enrollment reporting. Effect or potential effect: The NSLDS database did not include accurate information until the point at which it was corrected. This information is utilized by the Department of Education, the Direct Loan program, lenders, and other institutions to determine in-school status, deferment, and grace periods of student loans. Incorrect information could result in incorrect deferment, grace periods, billing, and repayment of student loans. Repeat Finding: This is not a repeat finding. Recommendation: We recommend that the College timely notify NSLDS of any changes of students’ status such as, graduation, address change, etc. We recommend that the College updates NSLDS for any graduations within the 30-day requirement or include in a roster file within 60 days. Corrective Action Plan: The College has accepted Moss Adams’ recommendation that the College document and implement processes to ensure timely NSLDS reporting. The College is in the process of restructuring the staffing in the financial aid office to update NSLDS for any students’ status changes. The College will address the deficiency by first reviewing and revising existing procedures and policies and then implementing and documenting new processes and policies to ensure proper controls and best practices. The College has already created a document that identifies all the reclassifications needed to produce the College’s Financial Statements. Condition/context: During the course of our audit, we noted that the College lacks digital transformation and automation on all significant accounting processes. With the absence of automation and documentation of financial reporting procedures, the College is unable to complete certain processes because it is such a manual process. Each of these internal control deficiencies on their own do not rise to the level of a significant deficiency; however, in the aggregate they were determined to represent a significant deficiency in financial close and reporting. Current year status – Fully corrected.
FINDING 2024-001 – Special Tests and Provisions – Enrollment Reporting: Significant Deficiency in Internal Control over Compliance (See table in "Schedule of Findings and Questioned Costs"). Criteria – 34 CFR section 685.309(b)(2): Unless it expects to submit its next updated enrollment report to the Secretary within the next 60 days, a school must notify the Secretary within 30 days after the date the school discovers that: (i) a loan under Title IV of the Act was made to or on behalf of a student who was enrolled or accepted for enrollment at the school, and the student has ceased to be enrolled on at least a half-time basis or failed to enroll on at least a half-time basis for the period for which the loan was intended; or (ii) A student who is enrolled at the school and who received a loan under title IV of the Act has changed his or her permanent address. Condition/context: A sample of 20 federal aid recipient students was selected from system generated reports of students who graduated, withdrew, or dropped during the 2023-2024 academic year. The enrollment information per the College’s records were compared to the information reported to the National Student Loan Data System (NSLDS) in order to determine if status changes were reported within the required timeframes. All 20 of the students selected as samples were not reported to the NSLDS within the required timeframe. Cause: Capacity constraints and turnover within the accounting department limited the College’s ability to implement proper oversight of enrollment reporting. Effect or potential effect: The NSLDS database did not include accurate information until the point at which it was corrected. This information is utilized by the Department of Education, the Direct Loan program, lenders, and other institutions to determine in-school status, deferment, and grace periods of student loans. Incorrect information could result in incorrect deferment, grace periods, billing, and repayment of student loans. Repeat Finding: This is not a repeat finding. Recommendation: We recommend that the College timely notify NSLDS of any changes of students’ status such as, graduation, address change, etc. We recommend that the College updates NSLDS for any graduations within the 30-day requirement or include in a roster file within 60 days. Corrective Action Plan: The College has accepted Moss Adams’ recommendation that the College document and implement processes to ensure timely NSLDS reporting. The College is in the process of restructuring the staffing in the financial aid office to update NSLDS for any students’ status changes. The College will address the deficiency by first reviewing and revising existing procedures and policies and then implementing and documenting new processes and policies to ensure proper controls and best practices. The College has already created a document that identifies all the reclassifications needed to produce the College’s Financial Statements. Condition/context: During the course of our audit, we noted that the College lacks digital transformation and automation on all significant accounting processes. With the absence of automation and documentation of financial reporting procedures, the College is unable to complete certain processes because it is such a manual process. Each of these internal control deficiencies on their own do not rise to the level of a significant deficiency; however, in the aggregate they were determined to represent a significant deficiency in financial close and reporting. Current year status – Fully corrected.
FINDING 2024-001 – Special Tests and Provisions – Enrollment Reporting: Significant Deficiency in Internal Control over Compliance (See table in "Schedule of Findings and Questioned Costs"). Criteria – 34 CFR section 685.309(b)(2): Unless it expects to submit its next updated enrollment report to the Secretary within the next 60 days, a school must notify the Secretary within 30 days after the date the school discovers that: (i) a loan under Title IV of the Act was made to or on behalf of a student who was enrolled or accepted for enrollment at the school, and the student has ceased to be enrolled on at least a half-time basis or failed to enroll on at least a half-time basis for the period for which the loan was intended; or (ii) A student who is enrolled at the school and who received a loan under title IV of the Act has changed his or her permanent address. Condition/context: A sample of 20 federal aid recipient students was selected from system generated reports of students who graduated, withdrew, or dropped during the 2023-2024 academic year. The enrollment information per the College’s records were compared to the information reported to the National Student Loan Data System (NSLDS) in order to determine if status changes were reported within the required timeframes. All 20 of the students selected as samples were not reported to the NSLDS within the required timeframe. Cause: Capacity constraints and turnover within the accounting department limited the College’s ability to implement proper oversight of enrollment reporting. Effect or potential effect: The NSLDS database did not include accurate information until the point at which it was corrected. This information is utilized by the Department of Education, the Direct Loan program, lenders, and other institutions to determine in-school status, deferment, and grace periods of student loans. Incorrect information could result in incorrect deferment, grace periods, billing, and repayment of student loans. Repeat Finding: This is not a repeat finding. Recommendation: We recommend that the College timely notify NSLDS of any changes of students’ status such as, graduation, address change, etc. We recommend that the College updates NSLDS for any graduations within the 30-day requirement or include in a roster file within 60 days. Corrective Action Plan: The College has accepted Moss Adams’ recommendation that the College document and implement processes to ensure timely NSLDS reporting. The College is in the process of restructuring the staffing in the financial aid office to update NSLDS for any students’ status changes. The College will address the deficiency by first reviewing and revising existing procedures and policies and then implementing and documenting new processes and policies to ensure proper controls and best practices. The College has already created a document that identifies all the reclassifications needed to produce the College’s Financial Statements. Condition/context: During the course of our audit, we noted that the College lacks digital transformation and automation on all significant accounting processes. With the absence of automation and documentation of financial reporting procedures, the College is unable to complete certain processes because it is such a manual process. Each of these internal control deficiencies on their own do not rise to the level of a significant deficiency; however, in the aggregate they were determined to represent a significant deficiency in financial close and reporting. Current year status – Fully corrected.
FINDING 2024-001 – Special Tests and Provisions – Enrollment Reporting: Significant Deficiency in Internal Control over Compliance (See table in "Schedule of Findings and Questioned Costs"). Criteria – 34 CFR section 685.309(b)(2): Unless it expects to submit its next updated enrollment report to the Secretary within the next 60 days, a school must notify the Secretary within 30 days after the date the school discovers that: (i) a loan under Title IV of the Act was made to or on behalf of a student who was enrolled or accepted for enrollment at the school, and the student has ceased to be enrolled on at least a half-time basis or failed to enroll on at least a half-time basis for the period for which the loan was intended; or (ii) A student who is enrolled at the school and who received a loan under title IV of the Act has changed his or her permanent address. Condition/context: A sample of 20 federal aid recipient students was selected from system generated reports of students who graduated, withdrew, or dropped during the 2023-2024 academic year. The enrollment information per the College’s records were compared to the information reported to the National Student Loan Data System (NSLDS) in order to determine if status changes were reported within the required timeframes. All 20 of the students selected as samples were not reported to the NSLDS within the required timeframe. Cause: Capacity constraints and turnover within the accounting department limited the College’s ability to implement proper oversight of enrollment reporting. Effect or potential effect: The NSLDS database did not include accurate information until the point at which it was corrected. This information is utilized by the Department of Education, the Direct Loan program, lenders, and other institutions to determine in-school status, deferment, and grace periods of student loans. Incorrect information could result in incorrect deferment, grace periods, billing, and repayment of student loans. Repeat Finding: This is not a repeat finding. Recommendation: We recommend that the College timely notify NSLDS of any changes of students’ status such as, graduation, address change, etc. We recommend that the College updates NSLDS for any graduations within the 30-day requirement or include in a roster file within 60 days. Corrective Action Plan: The College has accepted Moss Adams’ recommendation that the College document and implement processes to ensure timely NSLDS reporting. The College is in the process of restructuring the staffing in the financial aid office to update NSLDS for any students’ status changes. The College will address the deficiency by first reviewing and revising existing procedures and policies and then implementing and documenting new processes and policies to ensure proper controls and best practices. The College has already created a document that identifies all the reclassifications needed to produce the College’s Financial Statements. Condition/context: During the course of our audit, we noted that the College lacks digital transformation and automation on all significant accounting processes. With the absence of automation and documentation of financial reporting procedures, the College is unable to complete certain processes because it is such a manual process. Each of these internal control deficiencies on their own do not rise to the level of a significant deficiency; however, in the aggregate they were determined to represent a significant deficiency in financial close and reporting. Current year status – Fully corrected.
FINDING 2024-001 – Special Tests and Provisions – Enrollment Reporting: Significant Deficiency in Internal Control over Compliance (See table in "Schedule of Findings and Questioned Costs"). Criteria – 34 CFR section 685.309(b)(2): Unless it expects to submit its next updated enrollment report to the Secretary within the next 60 days, a school must notify the Secretary within 30 days after the date the school discovers that: (i) a loan under Title IV of the Act was made to or on behalf of a student who was enrolled or accepted for enrollment at the school, and the student has ceased to be enrolled on at least a half-time basis or failed to enroll on at least a half-time basis for the period for which the loan was intended; or (ii) A student who is enrolled at the school and who received a loan under title IV of the Act has changed his or her permanent address. Condition/context: A sample of 20 federal aid recipient students was selected from system generated reports of students who graduated, withdrew, or dropped during the 2023-2024 academic year. The enrollment information per the College’s records were compared to the information reported to the National Student Loan Data System (NSLDS) in order to determine if status changes were reported within the required timeframes. All 20 of the students selected as samples were not reported to the NSLDS within the required timeframe. Cause: Capacity constraints and turnover within the accounting department limited the College’s ability to implement proper oversight of enrollment reporting. Effect or potential effect: The NSLDS database did not include accurate information until the point at which it was corrected. This information is utilized by the Department of Education, the Direct Loan program, lenders, and other institutions to determine in-school status, deferment, and grace periods of student loans. Incorrect information could result in incorrect deferment, grace periods, billing, and repayment of student loans. Repeat Finding: This is not a repeat finding. Recommendation: We recommend that the College timely notify NSLDS of any changes of students’ status such as, graduation, address change, etc. We recommend that the College updates NSLDS for any graduations within the 30-day requirement or include in a roster file within 60 days. Corrective Action Plan: The College has accepted Moss Adams’ recommendation that the College document and implement processes to ensure timely NSLDS reporting. The College is in the process of restructuring the staffing in the financial aid office to update NSLDS for any students’ status changes. The College will address the deficiency by first reviewing and revising existing procedures and policies and then implementing and documenting new processes and policies to ensure proper controls and best practices. The College has already created a document that identifies all the reclassifications needed to produce the College’s Financial Statements. Condition/context: During the course of our audit, we noted that the College lacks digital transformation and automation on all significant accounting processes. With the absence of automation and documentation of financial reporting procedures, the College is unable to complete certain processes because it is such a manual process. Each of these internal control deficiencies on their own do not rise to the level of a significant deficiency; however, in the aggregate they were determined to represent a significant deficiency in financial close and reporting. Current year status – Fully corrected.
FINDING 2024-001 – Special Tests and Provisions – Enrollment Reporting: Significant Deficiency in Internal Control over Compliance (See table in "Schedule of Findings and Questioned Costs"). Criteria – 34 CFR section 685.309(b)(2): Unless it expects to submit its next updated enrollment report to the Secretary within the next 60 days, a school must notify the Secretary within 30 days after the date the school discovers that: (i) a loan under Title IV of the Act was made to or on behalf of a student who was enrolled or accepted for enrollment at the school, and the student has ceased to be enrolled on at least a half-time basis or failed to enroll on at least a half-time basis for the period for which the loan was intended; or (ii) A student who is enrolled at the school and who received a loan under title IV of the Act has changed his or her permanent address. Condition/context: A sample of 20 federal aid recipient students was selected from system generated reports of students who graduated, withdrew, or dropped during the 2023-2024 academic year. The enrollment information per the College’s records were compared to the information reported to the National Student Loan Data System (NSLDS) in order to determine if status changes were reported within the required timeframes. All 20 of the students selected as samples were not reported to the NSLDS within the required timeframe. Cause: Capacity constraints and turnover within the accounting department limited the College’s ability to implement proper oversight of enrollment reporting. Effect or potential effect: The NSLDS database did not include accurate information until the point at which it was corrected. This information is utilized by the Department of Education, the Direct Loan program, lenders, and other institutions to determine in-school status, deferment, and grace periods of student loans. Incorrect information could result in incorrect deferment, grace periods, billing, and repayment of student loans. Repeat Finding: This is not a repeat finding. Recommendation: We recommend that the College timely notify NSLDS of any changes of students’ status such as, graduation, address change, etc. We recommend that the College updates NSLDS for any graduations within the 30-day requirement or include in a roster file within 60 days. Corrective Action Plan: The College has accepted Moss Adams’ recommendation that the College document and implement processes to ensure timely NSLDS reporting. The College is in the process of restructuring the staffing in the financial aid office to update NSLDS for any students’ status changes. The College will address the deficiency by first reviewing and revising existing procedures and policies and then implementing and documenting new processes and policies to ensure proper controls and best practices. The College has already created a document that identifies all the reclassifications needed to produce the College’s Financial Statements. Condition/context: During the course of our audit, we noted that the College lacks digital transformation and automation on all significant accounting processes. With the absence of automation and documentation of financial reporting procedures, the College is unable to complete certain processes because it is such a manual process. Each of these internal control deficiencies on their own do not rise to the level of a significant deficiency; however, in the aggregate they were determined to represent a significant deficiency in financial close and reporting. Current year status – Fully corrected.
FINDING 2024-001 – Special Tests and Provisions – Enrollment Reporting: Significant Deficiency in Internal Control over Compliance (See table in "Schedule of Findings and Questioned Costs"). Criteria – 34 CFR section 685.309(b)(2): Unless it expects to submit its next updated enrollment report to the Secretary within the next 60 days, a school must notify the Secretary within 30 days after the date the school discovers that: (i) a loan under Title IV of the Act was made to or on behalf of a student who was enrolled or accepted for enrollment at the school, and the student has ceased to be enrolled on at least a half-time basis or failed to enroll on at least a half-time basis for the period for which the loan was intended; or (ii) A student who is enrolled at the school and who received a loan under title IV of the Act has changed his or her permanent address. Condition/context: A sample of 20 federal aid recipient students was selected from system generated reports of students who graduated, withdrew, or dropped during the 2023-2024 academic year. The enrollment information per the College’s records were compared to the information reported to the National Student Loan Data System (NSLDS) in order to determine if status changes were reported within the required timeframes. All 20 of the students selected as samples were not reported to the NSLDS within the required timeframe. Cause: Capacity constraints and turnover within the accounting department limited the College’s ability to implement proper oversight of enrollment reporting. Effect or potential effect: The NSLDS database did not include accurate information until the point at which it was corrected. This information is utilized by the Department of Education, the Direct Loan program, lenders, and other institutions to determine in-school status, deferment, and grace periods of student loans. Incorrect information could result in incorrect deferment, grace periods, billing, and repayment of student loans. Repeat Finding: This is not a repeat finding. Recommendation: We recommend that the College timely notify NSLDS of any changes of students’ status such as, graduation, address change, etc. We recommend that the College updates NSLDS for any graduations within the 30-day requirement or include in a roster file within 60 days. Corrective Action Plan: The College has accepted Moss Adams’ recommendation that the College document and implement processes to ensure timely NSLDS reporting. The College is in the process of restructuring the staffing in the financial aid office to update NSLDS for any students’ status changes. The College will address the deficiency by first reviewing and revising existing procedures and policies and then implementing and documenting new processes and policies to ensure proper controls and best practices. The College has already created a document that identifies all the reclassifications needed to produce the College’s Financial Statements. Condition/context: During the course of our audit, we noted that the College lacks digital transformation and automation on all significant accounting processes. With the absence of automation and documentation of financial reporting procedures, the College is unable to complete certain processes because it is such a manual process. Each of these internal control deficiencies on their own do not rise to the level of a significant deficiency; however, in the aggregate they were determined to represent a significant deficiency in financial close and reporting. Current year status – Fully corrected.