Audit 358618

Criteria: The College is required to submit the FISAP which includes information that the Department of Education has determined to be critical. Condition: Section F of Part II of the FISAP includes a column for dependent undergraduates with baccalaureate degrees. Three such students were identified but not indicated on the FISAP. Context: A finding with regard to incorrect information on the FISAP for Federal Work Study was reported as 2023-006. Effect: Insufficient internal controls over the FISAP can result in errors in the amounts reported to the Department of Education. Cause: Inadequate staffing and workload management were the direct cause of this omission. Recommendation: We recommend that the College strengthen review procedures over the FISAP to ensure accuracy. Management's Response: At the time that the last FISAP was completed, the Financial Aid office was severly under staffed. As a result, an oversight occurred in regard to reporting dependent undergraduate students with Baccalaureate degree. In this instance, the correct information was retrieved, however it was reported incorrectly. Staffing in the Financial Aid office was addressed with hiring an Advisor and Assistant Director. Moving forward, the Assistant Dean will continue to complete the FISAP. However, prior to submission, the application will be reviewed by both Assistant Directors of Financial Aid.

Criteria: The College is required to submit the FISAP which includes information that the Department of Education has determined to be critical. Condition: Section F of Part II of the FISAP includes a column for dependent undergraduates with baccalaureate degrees. Three such students were identified but not indicated on the FISAP. Context: A finding with regard to incorrect information on the FISAP for Federal Work Study was reported as 2023-006. Effect: Insufficient internal controls over the FISAP can result in errors in the amounts reported to the Department of Education. Cause: Inadequate staffing and workload management were the direct cause of this omission. Recommendation: We recommend that the College strengthen review procedures over the FISAP to ensure accuracy. Management's Response: At the time that the last FISAP was completed, the Financial Aid office was severly under staffed. As a result, an oversight occurred in regard to reporting dependent undergraduate students with Baccalaureate degree. In this instance, the correct information was retrieved, however it was reported incorrectly. Staffing in the Financial Aid office was addressed with hiring an Advisor and Assistant Director. Moving forward, the Assistant Dean will continue to complete the FISAP. However, prior to submission, the application will be reviewed by both Assistant Directors of Financial Aid.

Criteria: The College is required to submit the FISAP which includes information that the Department of Education has determined to be critical. Condition: Section F of Part II of the FISAP includes a column for dependent undergraduates with baccalaureate degrees. Three such students were identified but not indicated on the FISAP. Context: A finding with regard to incorrect information on the FISAP for Federal Work Study was reported as 2023-006. Effect: Insufficient internal controls over the FISAP can result in errors in the amounts reported to the Department of Education. Cause: Inadequate staffing and workload management were the direct cause of this omission. Recommendation: We recommend that the College strengthen review procedures over the FISAP to ensure accuracy. Management's Response: At the time that the last FISAP was completed, the Financial Aid office was severly under staffed. As a result, an oversight occurred in regard to reporting dependent undergraduate students with Baccalaureate degree. In this instance, the correct information was retrieved, however it was reported incorrectly. Staffing in the Financial Aid office was addressed with hiring an Advisor and Assistant Director. Moving forward, the Assistant Dean will continue to complete the FISAP. However, prior to submission, the application will be reviewed by both Assistant Directors of Financial Aid.

Criteria: The College is required to submit the FISAP which includes information that the Department of Education has determined to be critical. Condition: Section F of Part II of the FISAP includes a column for dependent undergraduates with baccalaureate degrees. Three such students were identified but not indicated on the FISAP. Context: A finding with regard to incorrect information on the FISAP for Federal Work Study was reported as 2023-006. Effect: Insufficient internal controls over the FISAP can result in errors in the amounts reported to the Department of Education. Cause: Inadequate staffing and workload management were the direct cause of this omission. Recommendation: We recommend that the College strengthen review procedures over the FISAP to ensure accuracy. Management's Response: At the time that the last FISAP was completed, the Financial Aid office was severly under staffed. As a result, an oversight occurred in regard to reporting dependent undergraduate students with Baccalaureate degree. In this instance, the correct information was retrieved, however it was reported incorrectly. Staffing in the Financial Aid office was addressed with hiring an Advisor and Assistant Director. Moving forward, the Assistant Dean will continue to complete the FISAP. However, prior to submission, the application will be reviewed by both Assistant Directors of Financial Aid.

Criteria: The College's controls over student eligibility for the TRIO programs include the following: 1. Students and parents/guardians must complete and sign an application. 2. Applications are reviewed by program staff to determine whether a student meets the proper requirements to participate in the program. Condition: Out of 3 Upward Bound Program applications tested, one was not signed by the student. One out of 11 Student Support Services applications tested was not signed by the Director and one was not signed by a staff member. Context: A similar finding was reported as 2023-003. Effect: Ineffective controls over participant eligibility can result in ineligible participation in the federal programs. Cause: The finding appears to be the result of oversight. Recommendation: The College should strengthen controls over the review of and maintenance of applications. Management's Response: To ensure alignment with these procedures, we will reinforce the following corrective steps within our TRIO Student Support Services processes. Application Completion: Program staff will verify that both student and parent/guardian signatures are present on all applications before they are processed. Any incomplete applications will be returned for completion prior to review. Eligibility Review: We will continue to review applications thoroughly to confirm students meet the required eligibility criteria, documenting the review process to maintain clear records of eligibility determinations. Additionally, we will implement periodic file audits to ensure ongoing compliance with these controls and address any discrepancies promptly.

Criteria: The College's controls over student eligibility for the TRIO programs include the following: 1. Students and parents/guardians must complete and sign an application. 2. Applications are reviewed by program staff to determine whether a student meets the proper requirements to participate in the program. Condition: Out of 3 Upward Bound Program applications tested, one was not signed by the student. One out of 11 Student Support Services applications tested was not signed by the Director and one was not signed by a staff member. Context: A similar finding was reported as 2023-003. Effect: Ineffective controls over participant eligibility can result in ineligible participation in the federal programs. Cause: The finding appears to be the result of oversight. Recommendation: The College should strengthen controls over the review of and maintenance of applications. Management's Response: To ensure alignment with these procedures, we will reinforce the following corrective steps within our TRIO Student Support Services processes. Application Completion: Program staff will verify that both student and parent/guardian signatures are present on all applications before they are processed. Any incomplete applications will be returned for completion prior to review. Eligibility Review: We will continue to review applications thoroughly to confirm students meet the required eligibility criteria, documenting the review process to maintain clear records of eligibility determinations. Additionally, we will implement periodic file audits to ensure ongoing compliance with these controls and address any discrepancies promptly.

Criteria: Annual Performance Reports must be submitted annually and the Compliance Supplement identifies certain line items as containing critical information. Condition: For the Upward Bound Annual Performance Report, the following was noted: 1. One out of two students sampled included a different date of last project service (5/18/2024) than what was on the contact detail (1/9/2024). Context: A finding with regards to discrepancies in the Annual Performance Reports for Student Support Services and Talent Search was reported as 2023-004. Effect: When critical information contained in annual performance reports cannot be substantiated by, or is in conflict with, supporting documentation, erroneous information could be reported to the Department of Education. Cause: As a result of turnover in program management, a cause could not be provided by the College. Recommendation: We recommend that the College review their controls over the annual reporting process related to the TRIO programs and establish improved review and verification procedures to ensure the accuracy of the reports. Management's Response: Upward Bound staff will closely review all information for program participants and ensure that details are correctly noted.

Criteria: The College is required to submit the FISAP which includes information that the Department of Education has determined to be critical. Condition: Section F of Part II of the FISAP includes a column for dependent undergraduates with baccalaureate degrees. Three such students were identified but not indicated on the FISAP. Context: A finding with regard to incorrect information on the FISAP for Federal Work Study was reported as 2023-006. Effect: Insufficient internal controls over the FISAP can result in errors in the amounts reported to the Department of Education. Cause: Inadequate staffing and workload management were the direct cause of this omission. Recommendation: We recommend that the College strengthen review procedures over the FISAP to ensure accuracy. Management's Response: At the time that the last FISAP was completed, the Financial Aid office was severly under staffed. As a result, an oversight occurred in regard to reporting dependent undergraduate students with Baccalaureate degree. In this instance, the correct information was retrieved, however it was reported incorrectly. Staffing in the Financial Aid office was addressed with hiring an Advisor and Assistant Director. Moving forward, the Assistant Dean will continue to complete the FISAP. However, prior to submission, the application will be reviewed by both Assistant Directors of Financial Aid.

Criteria: The College is required to submit the FISAP which includes information that the Department of Education has determined to be critical. Condition: Section F of Part II of the FISAP includes a column for dependent undergraduates with baccalaureate degrees. Three such students were identified but not indicated on the FISAP. Context: A finding with regard to incorrect information on the FISAP for Federal Work Study was reported as 2023-006. Effect: Insufficient internal controls over the FISAP can result in errors in the amounts reported to the Department of Education. Cause: Inadequate staffing and workload management were the direct cause of this omission. Recommendation: We recommend that the College strengthen review procedures over the FISAP to ensure accuracy. Management's Response: At the time that the last FISAP was completed, the Financial Aid office was severly under staffed. As a result, an oversight occurred in regard to reporting dependent undergraduate students with Baccalaureate degree. In this instance, the correct information was retrieved, however it was reported incorrectly. Staffing in the Financial Aid office was addressed with hiring an Advisor and Assistant Director. Moving forward, the Assistant Dean will continue to complete the FISAP. However, prior to submission, the application will be reviewed by both Assistant Directors of Financial Aid.

Criteria: The College is required to submit the FISAP which includes information that the Department of Education has determined to be critical. Condition: Section F of Part II of the FISAP includes a column for dependent undergraduates with baccalaureate degrees. Three such students were identified but not indicated on the FISAP. Context: A finding with regard to incorrect information on the FISAP for Federal Work Study was reported as 2023-006. Effect: Insufficient internal controls over the FISAP can result in errors in the amounts reported to the Department of Education. Cause: Inadequate staffing and workload management were the direct cause of this omission. Recommendation: We recommend that the College strengthen review procedures over the FISAP to ensure accuracy. Management's Response: At the time that the last FISAP was completed, the Financial Aid office was severly under staffed. As a result, an oversight occurred in regard to reporting dependent undergraduate students with Baccalaureate degree. In this instance, the correct information was retrieved, however it was reported incorrectly. Staffing in the Financial Aid office was addressed with hiring an Advisor and Assistant Director. Moving forward, the Assistant Dean will continue to complete the FISAP. However, prior to submission, the application will be reviewed by both Assistant Directors of Financial Aid.

Criteria: The College is required to submit the FISAP which includes information that the Department of Education has determined to be critical. Condition: Section F of Part II of the FISAP includes a column for dependent undergraduates with baccalaureate degrees. Three such students were identified but not indicated on the FISAP. Context: A finding with regard to incorrect information on the FISAP for Federal Work Study was reported as 2023-006. Effect: Insufficient internal controls over the FISAP can result in errors in the amounts reported to the Department of Education. Cause: Inadequate staffing and workload management were the direct cause of this omission. Recommendation: We recommend that the College strengthen review procedures over the FISAP to ensure accuracy. Management's Response: At the time that the last FISAP was completed, the Financial Aid office was severly under staffed. As a result, an oversight occurred in regard to reporting dependent undergraduate students with Baccalaureate degree. In this instance, the correct information was retrieved, however it was reported incorrectly. Staffing in the Financial Aid office was addressed with hiring an Advisor and Assistant Director. Moving forward, the Assistant Dean will continue to complete the FISAP. However, prior to submission, the application will be reviewed by both Assistant Directors of Financial Aid.

Criteria: The College's controls over student eligibility for the TRIO programs include the following: 1. Students and parents/guardians must complete and sign an application. 2. Applications are reviewed by program staff to determine whether a student meets the proper requirements to participate in the program. Condition: Out of 3 Upward Bound Program applications tested, one was not signed by the student. One out of 11 Student Support Services applications tested was not signed by the Director and one was not signed by a staff member. Context: A similar finding was reported as 2023-003. Effect: Ineffective controls over participant eligibility can result in ineligible participation in the federal programs. Cause: The finding appears to be the result of oversight. Recommendation: The College should strengthen controls over the review of and maintenance of applications. Management's Response: To ensure alignment with these procedures, we will reinforce the following corrective steps within our TRIO Student Support Services processes. Application Completion: Program staff will verify that both student and parent/guardian signatures are present on all applications before they are processed. Any incomplete applications will be returned for completion prior to review. Eligibility Review: We will continue to review applications thoroughly to confirm students meet the required eligibility criteria, documenting the review process to maintain clear records of eligibility determinations. Additionally, we will implement periodic file audits to ensure ongoing compliance with these controls and address any discrepancies promptly.

Criteria: The College's controls over student eligibility for the TRIO programs include the following: 1. Students and parents/guardians must complete and sign an application. 2. Applications are reviewed by program staff to determine whether a student meets the proper requirements to participate in the program. Condition: Out of 3 Upward Bound Program applications tested, one was not signed by the student. One out of 11 Student Support Services applications tested was not signed by the Director and one was not signed by a staff member. Context: A similar finding was reported as 2023-003. Effect: Ineffective controls over participant eligibility can result in ineligible participation in the federal programs. Cause: The finding appears to be the result of oversight. Recommendation: The College should strengthen controls over the review of and maintenance of applications. Management's Response: To ensure alignment with these procedures, we will reinforce the following corrective steps within our TRIO Student Support Services processes. Application Completion: Program staff will verify that both student and parent/guardian signatures are present on all applications before they are processed. Any incomplete applications will be returned for completion prior to review. Eligibility Review: We will continue to review applications thoroughly to confirm students meet the required eligibility criteria, documenting the review process to maintain clear records of eligibility determinations. Additionally, we will implement periodic file audits to ensure ongoing compliance with these controls and address any discrepancies promptly.

Criteria: Annual Performance Reports must be submitted annually and the Compliance Supplement identifies certain line items as containing critical information. Condition: For the Upward Bound Annual Performance Report, the following was noted: 1. One out of two students sampled included a different date of last project service (5/18/2024) than what was on the contact detail (1/9/2024). Context: A finding with regards to discrepancies in the Annual Performance Reports for Student Support Services and Talent Search was reported as 2023-004. Effect: When critical information contained in annual performance reports cannot be substantiated by, or is in conflict with, supporting documentation, erroneous information could be reported to the Department of Education. Cause: As a result of turnover in program management, a cause could not be provided by the College. Recommendation: We recommend that the College review their controls over the annual reporting process related to the TRIO programs and establish improved review and verification procedures to ensure the accuracy of the reports. Management's Response: Upward Bound staff will closely review all information for program participants and ensure that details are correctly noted.