Audit 36823

FY End
2022-06-30
Total Expended
$550.21M
Findings
6
Programs
111
Organization: Thomas Jefferson University (PA)
Year: 2022 Accepted: 2023-03-30

Organization Exclusion Status:

Checking exclusion status...

Findings

ID Ref Severity Repeat Requirement
35877 2022-003 - - N
35878 2022-001 - - L
35879 2022-002 - - N
612319 2022-003 - - N
612320 2022-001 - - L
612321 2022-002 - - N

Programs

ALN Program Spent Major Findings
93.498 Provider Relief Fund $135.01M Yes 0
84.268 Federal Direct Student Loans $118.28M Yes 1
97.036 Disaster Grants - Public Assistance (presidentially Declared Disasters) $16.48M Yes 0
84.063 Federal Pell Grant Program $5.49M Yes 0
84.425 Covid-19 - Education Stabilization Fund $4.13M Yes 0
10.561 State Administrative Matching Grants for the Supplemental Nutrition Assistance Program $3.29M - 0
84.038 Federal Perkins Loans - Outstanding Loans As of July 1, 2021 $2.30M Yes 1
93.364 Nursing Student Loans - Outstanding Loans As of July 1, 2021 $2.01M Yes 0
93.461 Covid-19 Testing for the Uninsured $1.13M Yes 0
93.926 Healthy Start Initiative $1.03M - 0
84.007 Federal Supplemental Educational Opportunity Grants $964,336 Yes 0
84.033 Federal Work-Study Program $949,545 Yes 0
93.342 Health Professions Student Loans, Including Primary Care Loans/loans for Disadvantaged Students - Outstanding Loans As of July 1, 2021 $815,196 Yes 0
93.268 Immunization Cooperative Agreements $732,105 - 0
93.364 Nursing Student Loans - New Loans Issued During 2022 $607,083 Yes 0
93.918 Grants to Provide Outpatient Early Intervention Services with Respect to Hiv Disease $415,065 - 0
93.847 Diabetes, Digestive, and Kidney Diseases Extramural Research $405,178 - 0
93.867 Vision Research $377,193 - 0
93.839 Blood Diseases and Resources Research $371,342 - 0
21.019 Coronavirus Relief Fund $326,408 - 0
93.860 Emerging Infections Sentinel Networks $317,860 - 0
93.884 Grants for Primary Care Training and Enhancement $313,157 - 0
93.186 National Research Service Award in Primary Care Medicine $312,222 - 0
93.958 Block Grants for Community Mental Health Services $271,502 - 0
93.323 Epidemiology and Laboratory Capacity for Infectious Diseases (elc) $267,846 - 0
93.889 National Bioterrorism Hospital Preparedness Program $246,366 - 0
93.732 Mental and Behavioral Health Education and Training Grants $244,620 - 0
93.113 Environmental Health $229,845 - 0
93.788 Opioid Str $227,529 - 0
93.976 Primary Care Medicine and Dentistry Clinician Educator Career Development Awards $222,338 - 0
93.846 Arthritis, Musculoskeletal and Skin Diseases Research $206,450 - 0
93.855 Allergy, Immunology and Transplantation Research $199,962 - 0
93.136 Injury Prevention and Control Research and State and Community Based Programs $177,172 - 0
81.086 Conservation Research and Development $176,464 - 0
93.665 Emergency Grants to Address Mental and Substance Use Disorders During Covid-19 $158,301 - 0
93.226 Research on Healthcare Costs, Quality and Outcomes $146,656 - 0
93.153 Coordinated Services and Access to Research for Women, Infants, Children, and Youth $142,807 - 0
93.865 Child Health and Human Development Extramural Research $133,660 - 0
93.870 Maternal, Infant and Early Childhood Home Visiting Grant $129,776 - 0
93.396 Cancer Biology Research $123,617 - 0
93.173 Research Related to Deafness and Communication Disorders $117,319 - 0
93.342 Health Professions Student Loans, Including Primary Care Loans/loans for Disadvantaged Students - New Loans Issued During 2022 $85,000 Yes 0
43.003 Exploration $84,901 - 0
93.435 Innovative State and Local Public Health Strategies to Prevent and Manage Diabetes and Heart Disease and Stroke- $81,402 - 0
93.395 Cancer Treatment Research $81,016 - 0
93.994 Maternal and Child Health Services Block Grant to the States $77,053 - 0
93.250 Geriatric Academic Career Awards Department of Health and Human Services (b) $72,235 - 0
93.273 Alcohol Research Programs $67,622 - 0
93.172 Human Genome Research $60,555 - 0
93.243 Substance Abuse and Mental Health Services_projects of Regional and National Significance $59,688 - 0
93.837 Cardiovascular Diseases Research $55,971 - 0
93.279 Drug Abuse and Addiction Research Programs $54,914 - 0
93.185 Immunization Research, Demonstration, Public Information and Education_training and Clinical Skills Improvement Projects $53,461 - 0
93.242 Mental Health Research Grants $51,607 - 0
93.398 Cancer Research Manpower $51,232 - 0
93.307 Minority Health and Health Disparities Research $49,455 - 0
93.124 Nurse Anesthetist Traineeships $41,712 - 0
12.340 Naval Medical Research and Development $40,358 - 0
93.853 Extramural Research Programs in the Neurosciences and Neurological Disorders $38,696 - 0
93.914 Hiv Emergency Relief Project Grants $34,490 - 0
93.217 Family Planning_services $31,728 - 0
93.686 Ending the Hiv Epidemic: A Plan for America Ryan White Hiv/aids Program Parts A and B (b) $31,652 - 0
93.838 Lung Diseases Research $23,497 - 0
93.399 Cancer Control $22,819 - 0
93.324 State Health Insurance Assistance Program $19,105 - 0
93.650 Accountable Health Communities $18,468 - 0
93.353 21st Century Cures Act - Beau Biden Cancer Moonshot $18,384 - 0
93.137 Community Programs to Improve Minority Health Grant Program $17,972 - 0
47.049 Mathematical and Physical Sciences $17,145 - 0
93.310 Trans-Nih Research Support $15,592 - 0
93.397 Cancer Centers Support Grants $15,470 - 0
93.859 Biomedical Research and Research Training $15,260 - 0
93.110 Maternal and Child Health Federal Consolidated Programs $14,606 - 0
93.755 Surveillance for Diseases Among Immigrants and Refugees Financed in Part by Prevention and Public Health Funds (pphf) $10,821 - 0
93.071 Medicare Enrollment Assistance Program $10,353 - 0
93.184 Disabilities Prevention $10,326 - 0
93.394 Cancer Detection and Diagnosis Research $10,199 - 0
45.162 Promotion of the Humanities_teaching and Learning Resources and Curriculum Development $10,000 - 0
93.433 Acl National Institute on Disability, Independent Living, and Rehabilitation Research $9,395 - 0
10.310 Agriculture and Food Research Initiative (afri) $7,779 - 0
93.RD Advanced Development of Multivalent Vaccine Candidate for Filovirus and Lassa Fever $7,740 - 0
93.898 Cancer Prevention and Control Programs for State, Territorial and Tribal Organizations $6,383 - 0
15.654 Visitor Facility Enhancements - Refuges and Wildlife $6,076 - 0
93.758 Preventive Health and Health Services Block Grant Funded Solely with Prevention and Public Health Funds (pphf) $6,046 - 0
93.361 Nursing Research $4,648 - 0
17.280 Workforce Investment Act (wia) Dislocated Worker National Reserve Demonstration Grants $3,430 - 0
12.420 Military Medical Research and Development $2,269 - 0
93.351 Research Infrastructure Programs $1,896 - 0
93.145 Aids Education and Training Centers $1,896 - 0
11.307 Economic Adjustment Assistance $1,866 - 0
93.286 Discovery and Applied Research for Technological Innovations to Improve Human Health $1,588 - 0
93.157 Centers of Excellence $1,364 - 0
93.325 Paralysis Resource Center $551 - 0
93.940 Hiv Prevention Activities_health Department Based $485 - 0
93.866 Aging Research $403 - 0
93.393 Cancer Cause and Prevention Research $339 - 0
93.959 Block Grants for Prevention and Treatment of Substance Abuse $292 - 0
12.U01 Military Medical Research and Development $27 - 0
84.038 Federal Perkins Loans - New Loans Issued During 2022 $0 Yes 0
93.103 Food and Drug Administration_research $0 - 0
93.817 Hospital Preparedness Program (hpp) Ebola Preparedness and Response Activities $0 - 0
20.200 Highway Research and Development Program $0 - 0
17.258 Wia Adult Program $0 - 0
98.001 Usaid Foreign Assistance for Programs Overseas $0 - 0
93.121 Oral Diseases and Disorders Research $-141 - 0
93.558 Temporary Assistance for Needy Families $-266 - 0
93.928 Special Projects of National Significance $-968 - 0
93.283 Centers for Disease Control and Prevention_investigations and Technical Assistance $-1,589 - 0
93.989 International Research and Research Training $-2,682 - 0
12.300 Basic and Applied Scientific Research $-8,833 - 0
32.006 Covid-19 Telehealth Program $-20,821 - 0

Contacts

Name Title Type
R8JEVL4ULGV7 Ronald Keller Auditee
2155038344 Robert C. Fell Auditor
No contacts on file

Notes to SEFA

Title: Federal Direct Loan Program (FDLP) Accounting Policies: Expenditures reported in the Schedule are reported on the accrual basis of accounting. Expenditures include a portion of costs associated with general university activities which are allocated to awards under negotiated formulas commonly referred to as facilities and administrative cost rates.Expenditures for certain non-student financial aid awards include indirect costs. Thomas Jefferson university generally applies its predetermined approved facilities and administrative rate when charging indirect costs to federal awards rather than the 10% de minimis cost rate as described in Section 200.414 of the Uniform Guidance. Expenditures for federal student financial aid programs are recognized as incurred and include Federal Pell program grants to students, the federal share of students FSEOG program grants, Federal Work-Study program earnings, loans to students under federally guaranteed programs and certain other federal financial assistance grants for students and administrative cost allowances, where applicable. Expenditures for other federal awards of Thomas Jefferson University are determined using the cost accounting principles and procedures set forth in the Uniform Guidance. Under these cost principles, certain expenditures are not allowable or are limited as to reimbursement. De Minimis Rate Used: N Rate Explanation: Expenditures for certain non-student financial aid awards include indirect costs. Thomas Jefferson University generally applies its predetermined approved facilities and administrative rate when charging indirect costs to federal awards rather than the 10% de minimis cost rate as described in Section 200.414 of the Uniform Guidance. During the fiscal year ended June 30, 2022 Thomas Jefferson University processed new loans to students under the Direct Student Loan Program ASSISTANCE LISTING # 84.268, which includes subsidized and unsubsidized Stafford Loans and Supplemental Loans for Students. Thomas Jefferson University is responsible only for the performance of certain administrative duties with respect to the FDLP and, accordingly, these loans are not included in Thomas Jefferson University's basic consolidated financial statements. Loans made during the year are included in the federal expenditures presented in the Schedule. It is not practical to determine the balance of loans outstanding under these programs at June 30, 2022
Title: Reporting Entity Accounting Policies: Expenditures reported in the Schedule are reported on the accrual basis of accounting. Expenditures include a portion of costs associated with general university activities which are allocated to awards under negotiated formulas commonly referred to as facilities and administrative cost rates.Expenditures for certain non-student financial aid awards include indirect costs. Thomas Jefferson university generally applies its predetermined approved facilities and administrative rate when charging indirect costs to federal awards rather than the 10% de minimis cost rate as described in Section 200.414 of the Uniform Guidance. Expenditures for federal student financial aid programs are recognized as incurred and include Federal Pell program grants to students, the federal share of students FSEOG program grants, Federal Work-Study program earnings, loans to students under federally guaranteed programs and certain other federal financial assistance grants for students and administrative cost allowances, where applicable. Expenditures for other federal awards of Thomas Jefferson University are determined using the cost accounting principles and procedures set forth in the Uniform Guidance. Under these cost principles, certain expenditures are not allowable or are limited as to reimbursement. De Minimis Rate Used: N Rate Explanation: Expenditures for certain non-student financial aid awards include indirect costs. Thomas Jefferson University generally applies its predetermined approved facilities and administrative rate when charging indirect costs to federal awards rather than the 10% de minimis cost rate as described in Section 200.414 of the Uniform Guidance. Thomas Jefferson University (Jefferson or the University) is an independent, non-profit corporation organized under the laws of the Commonwealth of Pennsylvania and recognized as a tax-exempt organization pursuant to Section 501(c)(3) of the Internal Revenue Code. The University has a tripartite mission of education, research, and patient care. The University conducts research and offers undergraduate and graduate instruction through the Sidney Kimmel Medical College, the Jefferson College of Nursing, the Jefferson College of Pharmacy, the Jefferson College of Health Professions, the Jefferson College of Population Health, the Jefferson College of Biomedical Sciences, and the Kanbar College of Design, Engineering and Commerce, the School of Continuing and Professional Studies, the College of Architecture and the Built Environment, and the College of Science, Health, and Liberal Arts. The combined institution has approximately 6,800 students and is located in Philadelphia, Pennsylvania, with additional campus locations in the Greater Philadelphia Region and Atlantic City, New Jersey. For the year ended June 30, 2022, the integrated healthcare organization included TJUH System (TJUHS), Abington Health (Abington), Jefferson Health Northeast System (JHNES), Kennedy Health System (Kennedy), Magee Rehabilitation Hospital (Magee), and Albert Einstein Health Network (AEHN). The integrated healthcare organization provides inpatient, outpatient, and emergency care services through acute care, ambulatory care, rehabilitation care, physician and other primary care services for residents of the Greater Philadelphia Region. Federal Identification Numbers for reporting entities included in this report are 23-1352651 for TJU, 23- 2829095 for Thomas Jefferson University Hospital, 23-1352152 for Abington Memorial Hospital, 23-0596940 for Aria Health System, 22-1773439 for Kennedy University Hospital, Inc., and 23-1396794 for Albert Einstein Medical Center.
Title: Basis of Presentation Accounting Policies: Expenditures reported in the Schedule are reported on the accrual basis of accounting. Expenditures include a portion of costs associated with general university activities which are allocated to awards under negotiated formulas commonly referred to as facilities and administrative cost rates.Expenditures for certain non-student financial aid awards include indirect costs. Thomas Jefferson university generally applies its predetermined approved facilities and administrative rate when charging indirect costs to federal awards rather than the 10% de minimis cost rate as described in Section 200.414 of the Uniform Guidance. Expenditures for federal student financial aid programs are recognized as incurred and include Federal Pell program grants to students, the federal share of students FSEOG program grants, Federal Work-Study program earnings, loans to students under federally guaranteed programs and certain other federal financial assistance grants for students and administrative cost allowances, where applicable. Expenditures for other federal awards of Thomas Jefferson University are determined using the cost accounting principles and procedures set forth in the Uniform Guidance. Under these cost principles, certain expenditures are not allowable or are limited as to reimbursement. De Minimis Rate Used: N Rate Explanation: Expenditures for certain non-student financial aid awards include indirect costs. Thomas Jefferson University generally applies its predetermined approved facilities and administrative rate when charging indirect costs to federal awards rather than the 10% de minimis cost rate as described in Section 200.414 of the Uniform Guidance. The accompanying Schedule of Expenditures of Federal Awards (the Schedule) presents a summary of certain activities of Thomas Jefferson University for the year ended June 30, 2022. Negative amounts represent current year adjustments of amounts reported in prior years. ASSISTANCE LISTING and pass-through entity numbers are included when available. The information in the schedule is presented in accordance with the Title 2 U.S. Code of Federal Regulations Part 200, Uniform Administrative Requirements, Cost Principles, and Audit Requirements for Federal Awards (the Uniform Guidance). Therefore, some amounts presented in thea schedule may differ from amounts presented in, or used in the preparation of, the basic consolidated financial statements of Thomas Jefferson University. For purposes of the Schedule, federal awards include all grants, contracts, and similar agreements entered into directly by Thomas Jefferson University with agencies and departments of the federal government and all sub awards to Thomas Jefferson University by nonfederal organizations pursuant to federal grants, contracts, and similar agreements.
Title: Student Loan Programs Accounting Policies: Expenditures reported in the Schedule are reported on the accrual basis of accounting. Expenditures include a portion of costs associated with general university activities which are allocated to awards under negotiated formulas commonly referred to as facilities and administrative cost rates.Expenditures for certain non-student financial aid awards include indirect costs. Thomas Jefferson university generally applies its predetermined approved facilities and administrative rate when charging indirect costs to federal awards rather than the 10% de minimis cost rate as described in Section 200.414 of the Uniform Guidance. Expenditures for federal student financial aid programs are recognized as incurred and include Federal Pell program grants to students, the federal share of students FSEOG program grants, Federal Work-Study program earnings, loans to students under federally guaranteed programs and certain other federal financial assistance grants for students and administrative cost allowances, where applicable. Expenditures for other federal awards of Thomas Jefferson University are determined using the cost accounting principles and procedures set forth in the Uniform Guidance. Under these cost principles, certain expenditures are not allowable or are limited as to reimbursement. De Minimis Rate Used: N Rate Explanation: Expenditures for certain non-student financial aid awards include indirect costs. Thomas Jefferson University generally applies its predetermined approved facilities and administrative rate when charging indirect costs to federal awards rather than the 10% de minimis cost rate as described in Section 200.414 of the Uniform Guidance. The Federal student loan programs listed below are administered directly by the University and balances and transactions relating to these programs are included in the Universitys consolidated financial statements. Loans outstanding at the beginning of the year, the administrative cost allowance and loans made during the year are included in the federal expenditures presented in the Schedule. The balance of loans outstanding at June 30, 2022 consists of:Assistance Listing #Loan BalanceHealth Professions Student Loans, Including Primary Care Loans/Loans for Disadvantaged Students93.342$ 900,196Nursing Student Loans93.3642,622,049Perkins Loan Programs84.0382,303,152
Title: Department of Health and Human Service Provider Relief Funds Accounting Policies: Expenditures reported in the Schedule are reported on the accrual basis of accounting. Expenditures include a portion of costs associated with general university activities which are allocated to awards under negotiated formulas commonly referred to as facilities and administrative cost rates.Expenditures for certain non-student financial aid awards include indirect costs. Thomas Jefferson university generally applies its predetermined approved facilities and administrative rate when charging indirect costs to federal awards rather than the 10% de minimis cost rate as described in Section 200.414 of the Uniform Guidance. Expenditures for federal student financial aid programs are recognized as incurred and include Federal Pell program grants to students, the federal share of students FSEOG program grants, Federal Work-Study program earnings, loans to students under federally guaranteed programs and certain other federal financial assistance grants for students and administrative cost allowances, where applicable. Expenditures for other federal awards of Thomas Jefferson University are determined using the cost accounting principles and procedures set forth in the Uniform Guidance. Under these cost principles, certain expenditures are not allowable or are limited as to reimbursement. De Minimis Rate Used: N Rate Explanation: Expenditures for certain non-student financial aid awards include indirect costs. Thomas Jefferson University generally applies its predetermined approved facilities and administrative rate when charging indirect costs to federal awards rather than the 10% de minimis cost rate as described in Section 200.414 of the Uniform Guidance. The Schedule includes grant activity related to the Department of Health and Human Services ("HHS") Coronavirus Aid Relief and Economic Security (CARES) Act Assistance Listing Number 93.498. As required based on guidance in the 2022 OMB Compliance Supplement, the Schedule includes all Period 2 and 3 funds received between July 1, 2020 and June 30, 2021, and expended by June 30, 2022 as reported to HRSA via the PRF Reporting Portal. The Schedule thus includes $116.7M of direct expenditures and $164.7M in lost revenue.
Title: FEMA Accounting Policies: Expenditures reported in the Schedule are reported on the accrual basis of accounting. Expenditures include a portion of costs associated with general university activities which are allocated to awards under negotiated formulas commonly referred to as facilities and administrative cost rates.Expenditures for certain non-student financial aid awards include indirect costs. Thomas Jefferson university generally applies its predetermined approved facilities and administrative rate when charging indirect costs to federal awards rather than the 10% de minimis cost rate as described in Section 200.414 of the Uniform Guidance. Expenditures for federal student financial aid programs are recognized as incurred and include Federal Pell program grants to students, the federal share of students FSEOG program grants, Federal Work-Study program earnings, loans to students under federally guaranteed programs and certain other federal financial assistance grants for students and administrative cost allowances, where applicable. Expenditures for other federal awards of Thomas Jefferson University are determined using the cost accounting principles and procedures set forth in the Uniform Guidance. Under these cost principles, certain expenditures are not allowable or are limited as to reimbursement. De Minimis Rate Used: N Rate Explanation: Expenditures for certain non-student financial aid awards include indirect costs. Thomas Jefferson University generally applies its predetermined approved facilities and administrative rate when charging indirect costs to federal awards rather than the 10% de minimis cost rate as described in Section 200.414 of the Uniform Guidance. As of June 30, 2022, the University received approval for $16.5M of claims submitted to FEMA during fiscal year 2022 under Assistance Listing Number 97.036. The claims submitted represented incurred expenses attributed to the Universitys response to COVID-19. The fiscal year 2022 Schedule of Expenditures of Federal Awards includes expenses of $16.5M which were incurred in a prior year.

Finding Details

Finding 2022-003 Enrollment Reporting Grantor(s): Department of Education Program: Student Financial Aid Cluster Assistance Listing#(s): Various Title: Student Financial Aid Cluster Award Year: 7/2021 ? 6/2022 Award #: N/A Pass-through Number: N/A Criteria Per the 2022 OMB Compliance Supplement, institutions are required to certify enrollment, including changes in students? enrollment status, at a minimum of every 60 days. Institutions are responsible for timely reporting, whether they report directly or via a third-party servicer. Condition Through testing a sample of 25 students for enrollment reporting of Pell and Direct Loans, we noted 3 students were reported to the NSLDS outside of the required 60-day window. Each of these 3 students were reported 66 days after their status change. Additionally, for 3 other students in our sample of 25, there was no evidence to support their ?graduated? status or date of the status change within the NSLDS. Cause The cause of the delay in reporting to the NSLDS for the first 3 students mentioned above is due to timing with graduation and resource constraints at the University. For the second 3 students, the cause was due to the fact that these students had multiple status changes in a small period of time. The students were ?full-time? until 12/31/2021 when they graduated the undergraduate program, then began the graduate program as full-time students in February 2022. The quick change in status was the cause of the NSLDS enrollment status not being supported for these students. Effect NSLDS was not updated timely for the first 3 students mentioned above. For the second 3 students, their enrollment status could potentially be inaccurate in the NSLDS system if their graduation was not processed. Questioned Costs None. Recommendation Management should enhance their resources within the office of the registrar to be able to accommodate status changes during the graduation period and ensure timely status change submission to the NSLDS. Management?s View and Corrective Action Plan Management?s response is included in ?Management?s Views and Corrective Action Plan? included in this report.
Finding 2022-001 Reporting Grantor(s): Department of Education Program: Federal Perkins Loan Assistance Listing#: 84.038; Student Financial Aid Cluster Title: Federal Perkins Loans; Student Financial Aid Cluster Award Year: 7/2021 ? 6/2022 Award #: N/A Pass-through Number: N/A Criteria Per the 2022 OMB Compliance Supplement, an institution is required to maintain program and fiscal records for all transactions that occurred after the most recent Fiscal Operations Report and Application to Participate (FISAP) was filed. As part of its procedures, the program should ensure that overall cash-on-hand or excess cash amounts are reconciled. Condition Through testing the Student Financial Assistance cluster in the 2022 Uniform Guidance audit, we noted that there were two line-items on the FISAP that did not agree to supporting documentation with reportable differences larger than $25,000. Within the Federal Perkins Loan section, field item 1.1 ?Cash on hand and in depository as of 6/30/2022? was understated by $378,201, while field item 1.2 ?Cash on hand and in depository as of 10/31/2022? was overstated by $113,754. Cause The cause of this finding was due to insufficient review of the FISAP prior to submission. Effect The FISAP was submitted with two fields in the Federal Perkins Loan section that were misstated. Questioned Costs None. Recommendation Management should enhance the control in place to review each line item and ensure agreement to underlying support on the FISAP prior to submission. Management?s View and Corrective Action Plan Management?s response is included in ?Management?s Views and Corrective Action Plan? included in this report.
Finding 2022-002 Special Tests and Provisions ? Disbursements to or on behalf of students Grantor(s): Department of Education Program: Student Financial Aid Cluster Assistance Listing#(s): Various Title: Student Financial Aid Cluster Award Year: 7/2021 ? 6/2022 Award #: N/A Pass-through number: N/A Criteria Per the 2022 OMB Compliance Supplement, where disbursements created a credit balance in the student account and the student or parent did not provide an authorization for the institution to retain funds, the institution is required to provide the credit balance to the student within 14 days of the date the balance was created. Condition Through testing disbursements to or on behalf of students enrolled at the East Falls campus, it was noted that 1 student of a sample of 25 had a credit balance that was not refunded within the required 14-day period. For this particular student, the credit balance was created on 10/18/2021 and refunded to the student on 11/15/2021, which is 28 days later. Cause The cause of the finding is due to a lapse in control operation to ensure that the student was refunded in a timely manner. Effect The student received their refund later than the deadline required by the regulations. Questioned Costs None. Recommendation Management should enhance the control in place to ensure that when credit balances are created in student accounts that funds are returned to the student within the 14-day window. Management should consider implementing controls to notify them when there is a credit balance, or consider automating the process for refunds. Management?s View and Corrective Action Plan Management?s response is included in ?Management?s Views and Corrective Action Plan? included in this report.
Finding 2022-003 Enrollment Reporting Grantor(s): Department of Education Program: Student Financial Aid Cluster Assistance Listing#(s): Various Title: Student Financial Aid Cluster Award Year: 7/2021 ? 6/2022 Award #: N/A Pass-through Number: N/A Criteria Per the 2022 OMB Compliance Supplement, institutions are required to certify enrollment, including changes in students? enrollment status, at a minimum of every 60 days. Institutions are responsible for timely reporting, whether they report directly or via a third-party servicer. Condition Through testing a sample of 25 students for enrollment reporting of Pell and Direct Loans, we noted 3 students were reported to the NSLDS outside of the required 60-day window. Each of these 3 students were reported 66 days after their status change. Additionally, for 3 other students in our sample of 25, there was no evidence to support their ?graduated? status or date of the status change within the NSLDS. Cause The cause of the delay in reporting to the NSLDS for the first 3 students mentioned above is due to timing with graduation and resource constraints at the University. For the second 3 students, the cause was due to the fact that these students had multiple status changes in a small period of time. The students were ?full-time? until 12/31/2021 when they graduated the undergraduate program, then began the graduate program as full-time students in February 2022. The quick change in status was the cause of the NSLDS enrollment status not being supported for these students. Effect NSLDS was not updated timely for the first 3 students mentioned above. For the second 3 students, their enrollment status could potentially be inaccurate in the NSLDS system if their graduation was not processed. Questioned Costs None. Recommendation Management should enhance their resources within the office of the registrar to be able to accommodate status changes during the graduation period and ensure timely status change submission to the NSLDS. Management?s View and Corrective Action Plan Management?s response is included in ?Management?s Views and Corrective Action Plan? included in this report.
Finding 2022-001 Reporting Grantor(s): Department of Education Program: Federal Perkins Loan Assistance Listing#: 84.038; Student Financial Aid Cluster Title: Federal Perkins Loans; Student Financial Aid Cluster Award Year: 7/2021 ? 6/2022 Award #: N/A Pass-through Number: N/A Criteria Per the 2022 OMB Compliance Supplement, an institution is required to maintain program and fiscal records for all transactions that occurred after the most recent Fiscal Operations Report and Application to Participate (FISAP) was filed. As part of its procedures, the program should ensure that overall cash-on-hand or excess cash amounts are reconciled. Condition Through testing the Student Financial Assistance cluster in the 2022 Uniform Guidance audit, we noted that there were two line-items on the FISAP that did not agree to supporting documentation with reportable differences larger than $25,000. Within the Federal Perkins Loan section, field item 1.1 ?Cash on hand and in depository as of 6/30/2022? was understated by $378,201, while field item 1.2 ?Cash on hand and in depository as of 10/31/2022? was overstated by $113,754. Cause The cause of this finding was due to insufficient review of the FISAP prior to submission. Effect The FISAP was submitted with two fields in the Federal Perkins Loan section that were misstated. Questioned Costs None. Recommendation Management should enhance the control in place to review each line item and ensure agreement to underlying support on the FISAP prior to submission. Management?s View and Corrective Action Plan Management?s response is included in ?Management?s Views and Corrective Action Plan? included in this report.
Finding 2022-002 Special Tests and Provisions ? Disbursements to or on behalf of students Grantor(s): Department of Education Program: Student Financial Aid Cluster Assistance Listing#(s): Various Title: Student Financial Aid Cluster Award Year: 7/2021 ? 6/2022 Award #: N/A Pass-through number: N/A Criteria Per the 2022 OMB Compliance Supplement, where disbursements created a credit balance in the student account and the student or parent did not provide an authorization for the institution to retain funds, the institution is required to provide the credit balance to the student within 14 days of the date the balance was created. Condition Through testing disbursements to or on behalf of students enrolled at the East Falls campus, it was noted that 1 student of a sample of 25 had a credit balance that was not refunded within the required 14-day period. For this particular student, the credit balance was created on 10/18/2021 and refunded to the student on 11/15/2021, which is 28 days later. Cause The cause of the finding is due to a lapse in control operation to ensure that the student was refunded in a timely manner. Effect The student received their refund later than the deadline required by the regulations. Questioned Costs None. Recommendation Management should enhance the control in place to ensure that when credit balances are created in student accounts that funds are returned to the student within the 14-day window. Management should consider implementing controls to notify them when there is a credit balance, or consider automating the process for refunds. Management?s View and Corrective Action Plan Management?s response is included in ?Management?s Views and Corrective Action Plan? included in this report.