Audit 63485

FY End
2022-06-30
Total Expended
$144.35M
Findings
12
Programs
131
Organization: William Marsh Rice University (TX)
Year: 2022 Accepted: 2023-03-30

Organization Exclusion Status:

Checking exclusion status...

Findings

ID Ref Severity Repeat Requirement
72324 2022-001 - - N
72325 2022-001 - - N
72326 2022-001 - - N
72327 2022-001 - - N
72328 2022-001 - - N
72329 2022-001 - - N
648766 2022-001 - - N
648767 2022-001 - - N
648768 2022-001 - - N
648769 2022-001 - - N
648770 2022-001 - - N
648771 2022-001 - - N

Programs

ALN Program Spent Major Findings
84.268 Federal Direct Student Loans $28.08M Yes 1
84.425E Covid-19 Higher Education Emergency Relief Fund (heerf) Student Portion $5.82M Yes 0
12.300 Office of Naval Research $4.86M Yes 0
12.RD Office of Naval Research $3.78M Yes 0
84.063 Federal Pell Grant Program $3.70M Yes 1
12.431 Army Research Laboratory $2.71M Yes 0
84.038 Federal Perkins Loan Program_outstanding Loans As of July 1, 2021 $2.19M Yes 1
12.910 Defense Advanced Research Projects Agency $2.03M Yes 0
12.800 Air Force Office of Scientific Research $1.92M Yes 0
12.630 Basic, Applied, and Advanced Research in Science and Engineering $1.69M Yes 0
47.075 Social, Behavioral, and Economic Sciences $1.06M Yes 0
81.RD Oak Ridge National Laboratory $774,517 Yes 0
12.910 Research and Technology Development $765,029 Yes 0
12.431 Army Research Office $685,316 Yes 0
84.116 Fund for the Improvement of Postsecondary Education $598,512 - 0
84.425F Covid-19 Higher Education Emergency Relief Fund (heerf) Institutional Portion $596,366 Yes 0
14.218 Community Development Block Grants/entitlement Grants $554,567 Yes 0
11.802 Minority Business Resource Development $539,598 - 0
93.838 Lung Diseases Research $509,908 Yes 0
93.286 Discovery and Applied Research for Technological Innovations to Improve Human Health $445,975 Yes 0
11.609 Measurement and Engineering Research and Standards $443,646 Yes 0
93.575 Covid-19 Child Care and Development Block Grant $420,700 Yes 0
43.012 Space Technology $388,900 Yes 0
93.172 Human Genome Research $350,928 Yes 0
81.087 Renewable Energy Research and Development $345,775 Yes 0
98.RD U.s. Agency for International Development $324,523 Yes 0
84.007 Federal Supplemental Educational Opportunity Grants $319,621 Yes 1
47.074 Biological Sciences $308,999 Yes 0
93.RD National Institutes of Health $307,813 Yes 0
11.020 Cluster Grants $297,684 - 0
84.324 Research in Special Education $295,124 Yes 0
81.041 Lawrence Livermore National Laboratory $294,470 Yes 0
93.143 Niehs Superfund Hazardous Substances_basic Research and Education $292,187 Yes 0
12.420 Military Medical Research and Development $274,888 Yes 0
81.089 Fossil Energy Research and Development $268,508 Yes 0
12.420 US Army Medical Research Acquisition Activity $259,381 Yes 0
12.RD Defense Advanced Research Projects Agency $205,382 Yes 0
12.RD Air Force Research Laboratory $180,527 Yes 0
12.351 Basic Scientific Research - Combating Weapons of Mass Destruction $173,821 Yes 0
43.RD NASA Shared Services Center (nssc) $167,108 Yes 0
47.050 Geosciences $163,571 Yes 0
47.078 Polar Programs $154,492 Yes 0
93.103 Food and Drug Administration_research $154,432 Yes 0
93.242 Mental Health Research Grants $148,742 Yes 0
84.033 Federal Work-Study Program $126,005 Yes 1
81.112 Stewardship Science Grant Program $125,955 Yes 0
81.RD Argonne National Laboratory $125,384 Yes 0
93.866 Aging Research $119,956 Yes 0
93.398 Cancer Research Manpower $118,734 Yes 0
81.049 Los Alamos National Laboratory $115,256 Yes 0
10.219 Biotechnology Risk Assessment Research $111,089 Yes 0
45.024 Promotion of the Arts Grants to Organizations and Individuals $105,674 Yes 0
93.121 Oral Diseases and Disorders Research $105,100 Yes 0
47.070 Computer and Information Science and Engineering $101,976 Yes 0
93.226 Research on Healthcare Costs, Quality and Outcomes $101,610 Yes 0
12.RD Department of Defense $97,224 Yes 0
93.396 Cancer Biology Research $97,085 Yes 0
93.837 Cardiovascular Diseases Research $89,524 Yes 0
10.212 Small Business Innovation Research $86,941 Yes 0
11.431 Climate and Atmospheric Research $86,585 Yes 0
93.847 Diabetes, Digestive, and Kidney Diseases Extramural Research $82,111 Yes 0
81.U01 National Renewable Energy Laboratory $77,530 - 0
81.086 Conservation Research and Development $76,252 Yes 0
81.RD Ut Battelle- LLC $72,334 Yes 0
93.839 Blood Diseases and Resources Research $72,042 Yes 0
43.001 NASA Shared Services Center (nssc) $70,906 Yes 0
93.867 Vision Research $68,842 Yes 0
12.RD US Army Medical Research Acquisition Activity $60,329 Yes 0
21.015 Resources and Ecosystems Sustainability, Tourist Opportunities, and Revived Economies of the Gulf Coast States $55,316 Yes 0
93.350 National Center for Advancing Translational Sciences $54,932 Yes 0
47.049 Covid-19 Mathematical and Physical Sciences $52,209 Yes 0
81.123 Lawrence Livermore National Laboratory $51,767 Yes 0
81.041 University of California Ernest Orlando Lawrence Berkeley National Laboratory $50,153 Yes 0
12.431 Basic Scientific Research $49,140 Yes 0
93.846 Arthritis, Musculoskeletal and Skin Diseases Research $45,803 Yes 0
93.397 Cancer Centers Support Grants $36,476 Yes 0
47.075 Covid-19 Social, Behavioral, and Economic Sciences $35,516 Yes 0
10.682 National Forest Foundation $34,224 Yes 0
47.076 Education and Human Resources $32,614 Yes 0
81.135 Advanced Research Projects Agency - Energy $31,747 Yes 0
43.009 Cross Agency Support $30,629 Yes 0
47.074 Covid-19 Biological Sciences $30,479 Yes 0
93.354 Public Health Emergency Response: Cooperative Agreement for Emergency Response: Public Health Crisis Response $29,244 Yes 0
15.441 Safety and Environmental Enforcement Research and Data Collection for Offshore Energy and Mineral Activities $29,077 Yes 0
81.049 Office of Science Financial Assistance Program $28,863 Yes 0
12.RD Air Force Office of Scientific Research $28,763 Yes 0
47.083 Integrative Activities $28,592 Yes 0
12.431 Office of Naval Research $27,269 Yes 0
93.865 Child Health and Human Development Extramural Research $25,795 Yes 0
84.305 Education Research, Development and Dissemination $24,982 Yes 0
93.879 Medical Library Assistance $19,934 Yes 0
81.RD Sandia National Laboratories $19,526 Yes 0
12.RD Small Business Innovation Research $19,500 Yes 0
10.RD United Soybean Board $18,555 Yes 0
47.RD National Science Foundation $17,742 Yes 0
81.RD Fermi National Accelerator Lab $15,780 Yes 0
43.003 Exploration $15,428 Yes 0
84.022 Overseas Programs - Doctoral Dissertation Research Abroad $14,092 Yes 0
12.300 Basic and Applied Scientific Research $12,834 Yes 0
93.859 Biomedical Research and Research Training $11,880 Yes 0
12.800 Air Force Defense Research Sciences Program $10,683 Yes 0
47.041 Engineering $10,220 Yes 0
47.041 Covid-19 Engineering $8,605 Yes 0
93.310 Trans-Nih Research Support $8,237 Yes 0
81.RD University of California Ernest Orlando Lawrence Berkeley National Laboratory $7,679 Yes 0
93.853 Extramural Research Programs in the Neurosciences and Neurological Disorders $7,094 Yes 0
43.001 Science $7,020 Yes 0
15.506 Water Desalination Research and Development Program $4,865 Yes 0
93.393 Cancer Cause and Prevention Research $4,700 Yes 0
93.113 Environmental Health $4,304 Yes 0
98.001 Usaid Foreign Assistance for Programs Overseas $3,871 Yes 0
10.310 Agriculture and Food Research Initiative (afri) $2,658 Yes 0
93.395 Cancer Treatment Research $2,205 Yes 0
93.855 Allergy, Immunology and Transplantation Research $2,037 Yes 0
47.084 Nsf Technology, Innovation, and Partnerships $1,745 Yes 0
12.RD US Army $1,657 Yes 0
10.664 Cooperative Forestry Assistance $1,652 - 0
43.RD National Aeronautics and Space Administration: Goddard $1,570 Yes 0
11.482 Coral Reef Conservation Program $1,552 Yes 0
45.025 Promotion of the Arts Partnership Agreements $1,400 - 0
12.RD US Army Combat Capabilities Development Command-Armament $1,078 Yes 0
47.049 Mathematical and Physical Sciences $1,000 Yes 0
93.173 Research Related to Deafness and Communication Disorders $732 Yes 0
81.RD Brookhaven National Laboratory $504 Yes 0
45.161 Promotion of the Humanities Research $477 Yes 0
47.079 Office of International Science and Engineering $289 Yes 0
45.129 Promotion of the Humanities Federal/state Partnership $16 Yes 0
84.038 Federal Perkins Loan Program_new Loans Issued During 2022 $0 Yes 1
93.394 Cancer Detection and Diagnosis Research $-34 Yes 0
93.307 Minority Health and Health Disparities Research $-547 Yes 0
84.425C Covid-19 Governors Emergency Education Relief (geer) Fund $-52,517 Yes 0

Contacts

Name Title Type
K51LECU1G8N3 Bradley W. Fralic Auditee
7133484927 Stephen Parker Auditor
No contacts on file

Notes to SEFA

Title: Loan/loan guarantee outstanding balances Accounting Policies: 1.Basis of Presentation The purpose of the Schedule of Expenditures of Federal Awards (the Schedule) is to present a summary of the activities of the University for the year ended June 30, 2022, which have been financed by the U.S. Government. The Schedule is presented on the accrual basis of accounting and in accordance with the requirements of Title 2 U.S. Code of Regulations Part 200, Uniform Administrative Requirements, Cost Principles and Audit Requirements for Federal Awards (Uniform Guidance). For the purposes of the Schedule, federal awards have been classified into two types: ?Direct federal awards consisting of federal assistance and federal student financial aid, and ?Pass-through funds received from nonfederal organizations made under federally sponsored programs conducted by those organizations. Because the Schedule presents only a selected portion of the activities of the University, it is not intended to and does not present either the financial position or the activities of the University. Negative numbers in the Schedule represent adjustments to amounts previously reported in the normal course of business. Full Assistance Listing Numbers (ALN) and pass-through numbers are included in the Schedule when available. Federal programs are presented by federal department and, where applicable, the funding agency within the department. Federal pass-through programs include the entity through which the University received the pass-through federal awards funding. Total expenditures, expenditures which were passed to subrecipients and lost revenues are included. De Minimis Rate Used: N Rate Explanation: For the year ended June 30, 2022, the University has an approved predetermined indirect cost rate agreement. The approved rates for the year ended June 30, 2022 are 55.5% for on-campus instruction, 56.5% for organized research, 34% for on-campus other sponsored activities and 26% for off-campus activities. As such, the 10% de minimis cost rate, as described in Section 200.414 of the Uniform Guidance, is not applicable. The Federal Perkins Loan Program, ALN 84.038, is administered by a third party service provider, with balances and transactions relating to this program included in the University's financial statements. For the year ended June 30, 2022, federal expenditures presented in the Schedule include loans outstanding at the beginning of the year. Due to the cessation of the Perkins Loan Program, no new loans were made during the year. The balance of loans outstanding at June 30, 2022 was $1,605,735.

Finding Details

Section III?Federal Award Findings and Questioned Costs Finding 2022-001 ? E-sign Act Cluster: Student Financial Assistance Cluster Federal Awarding Agency: Department of Education Award Name: Federal Work Study Program, Federal Pell Grant Program, Federal Supplemental Education Opportunity Grants, Federal Perkins Loan, Federal Direct Student Loans Award Numbers: Not applicable Award Year: July 1, 2021 ? June 30, 2022 Assistance Listing Title: Federal Supplemental Educational Opportunity Grants, Federal Work-Study Program, Federal Perkins Loans, Federal Pell Grant Program and Federal Direct Student Loans Assistance Listing Number: 84.007, 84.033, 84.038, 84.063 and 84.268 Pass-through Entities: Not applicable Criteria The Electronic Signatures in Global and National Commerce Act (?E-Sign Act?) states that a school must obtain a student?s voluntary consent to participate in electronic transactions. Condition In examining 25 student records, we noted that the University requires each student annually agree to certain terms and conditions before they accept federal student assistance, however, a statement prompting the student to voluntarily consent to participate in electronic transactions was not included in the list of terms and conditions. Cause The University inadvertently omitted the statement prompting the student to voluntarily consent to participate in electronic transactions from the list of terms and conditions each student is required to accept. Effect A lack of student consent to participate in electronic transactions may result in the transactions being denied legal effect, validity, or enforceability solely because it is in electronic form or because an electronic signature or electronic record was used in its formation. Questioned Costs None noted. Recommendation We recommend the University add a statement that the student voluntarily consents to participating in electronic transactions to the list of terms and conditions annually agreed to by students receiving federal student financial assistance. Management?s View and Corrective Action Plan Management?s views and corrective action plan are included at the end of this report after the summary of status of prior audit findings.
Section III?Federal Award Findings and Questioned Costs Finding 2022-001 ? E-sign Act Cluster: Student Financial Assistance Cluster Federal Awarding Agency: Department of Education Award Name: Federal Work Study Program, Federal Pell Grant Program, Federal Supplemental Education Opportunity Grants, Federal Perkins Loan, Federal Direct Student Loans Award Numbers: Not applicable Award Year: July 1, 2021 ? June 30, 2022 Assistance Listing Title: Federal Supplemental Educational Opportunity Grants, Federal Work-Study Program, Federal Perkins Loans, Federal Pell Grant Program and Federal Direct Student Loans Assistance Listing Number: 84.007, 84.033, 84.038, 84.063 and 84.268 Pass-through Entities: Not applicable Criteria The Electronic Signatures in Global and National Commerce Act (?E-Sign Act?) states that a school must obtain a student?s voluntary consent to participate in electronic transactions. Condition In examining 25 student records, we noted that the University requires each student annually agree to certain terms and conditions before they accept federal student assistance, however, a statement prompting the student to voluntarily consent to participate in electronic transactions was not included in the list of terms and conditions. Cause The University inadvertently omitted the statement prompting the student to voluntarily consent to participate in electronic transactions from the list of terms and conditions each student is required to accept. Effect A lack of student consent to participate in electronic transactions may result in the transactions being denied legal effect, validity, or enforceability solely because it is in electronic form or because an electronic signature or electronic record was used in its formation. Questioned Costs None noted. Recommendation We recommend the University add a statement that the student voluntarily consents to participating in electronic transactions to the list of terms and conditions annually agreed to by students receiving federal student financial assistance. Management?s View and Corrective Action Plan Management?s views and corrective action plan are included at the end of this report after the summary of status of prior audit findings.
Section III?Federal Award Findings and Questioned Costs Finding 2022-001 ? E-sign Act Cluster: Student Financial Assistance Cluster Federal Awarding Agency: Department of Education Award Name: Federal Work Study Program, Federal Pell Grant Program, Federal Supplemental Education Opportunity Grants, Federal Perkins Loan, Federal Direct Student Loans Award Numbers: Not applicable Award Year: July 1, 2021 ? June 30, 2022 Assistance Listing Title: Federal Supplemental Educational Opportunity Grants, Federal Work-Study Program, Federal Perkins Loans, Federal Pell Grant Program and Federal Direct Student Loans Assistance Listing Number: 84.007, 84.033, 84.038, 84.063 and 84.268 Pass-through Entities: Not applicable Criteria The Electronic Signatures in Global and National Commerce Act (?E-Sign Act?) states that a school must obtain a student?s voluntary consent to participate in electronic transactions. Condition In examining 25 student records, we noted that the University requires each student annually agree to certain terms and conditions before they accept federal student assistance, however, a statement prompting the student to voluntarily consent to participate in electronic transactions was not included in the list of terms and conditions. Cause The University inadvertently omitted the statement prompting the student to voluntarily consent to participate in electronic transactions from the list of terms and conditions each student is required to accept. Effect A lack of student consent to participate in electronic transactions may result in the transactions being denied legal effect, validity, or enforceability solely because it is in electronic form or because an electronic signature or electronic record was used in its formation. Questioned Costs None noted. Recommendation We recommend the University add a statement that the student voluntarily consents to participating in electronic transactions to the list of terms and conditions annually agreed to by students receiving federal student financial assistance. Management?s View and Corrective Action Plan Management?s views and corrective action plan are included at the end of this report after the summary of status of prior audit findings.
Section III?Federal Award Findings and Questioned Costs Finding 2022-001 ? E-sign Act Cluster: Student Financial Assistance Cluster Federal Awarding Agency: Department of Education Award Name: Federal Work Study Program, Federal Pell Grant Program, Federal Supplemental Education Opportunity Grants, Federal Perkins Loan, Federal Direct Student Loans Award Numbers: Not applicable Award Year: July 1, 2021 ? June 30, 2022 Assistance Listing Title: Federal Supplemental Educational Opportunity Grants, Federal Work-Study Program, Federal Perkins Loans, Federal Pell Grant Program and Federal Direct Student Loans Assistance Listing Number: 84.007, 84.033, 84.038, 84.063 and 84.268 Pass-through Entities: Not applicable Criteria The Electronic Signatures in Global and National Commerce Act (?E-Sign Act?) states that a school must obtain a student?s voluntary consent to participate in electronic transactions. Condition In examining 25 student records, we noted that the University requires each student annually agree to certain terms and conditions before they accept federal student assistance, however, a statement prompting the student to voluntarily consent to participate in electronic transactions was not included in the list of terms and conditions. Cause The University inadvertently omitted the statement prompting the student to voluntarily consent to participate in electronic transactions from the list of terms and conditions each student is required to accept. Effect A lack of student consent to participate in electronic transactions may result in the transactions being denied legal effect, validity, or enforceability solely because it is in electronic form or because an electronic signature or electronic record was used in its formation. Questioned Costs None noted. Recommendation We recommend the University add a statement that the student voluntarily consents to participating in electronic transactions to the list of terms and conditions annually agreed to by students receiving federal student financial assistance. Management?s View and Corrective Action Plan Management?s views and corrective action plan are included at the end of this report after the summary of status of prior audit findings.
Section III?Federal Award Findings and Questioned Costs Finding 2022-001 ? E-sign Act Cluster: Student Financial Assistance Cluster Federal Awarding Agency: Department of Education Award Name: Federal Work Study Program, Federal Pell Grant Program, Federal Supplemental Education Opportunity Grants, Federal Perkins Loan, Federal Direct Student Loans Award Numbers: Not applicable Award Year: July 1, 2021 ? June 30, 2022 Assistance Listing Title: Federal Supplemental Educational Opportunity Grants, Federal Work-Study Program, Federal Perkins Loans, Federal Pell Grant Program and Federal Direct Student Loans Assistance Listing Number: 84.007, 84.033, 84.038, 84.063 and 84.268 Pass-through Entities: Not applicable Criteria The Electronic Signatures in Global and National Commerce Act (?E-Sign Act?) states that a school must obtain a student?s voluntary consent to participate in electronic transactions. Condition In examining 25 student records, we noted that the University requires each student annually agree to certain terms and conditions before they accept federal student assistance, however, a statement prompting the student to voluntarily consent to participate in electronic transactions was not included in the list of terms and conditions. Cause The University inadvertently omitted the statement prompting the student to voluntarily consent to participate in electronic transactions from the list of terms and conditions each student is required to accept. Effect A lack of student consent to participate in electronic transactions may result in the transactions being denied legal effect, validity, or enforceability solely because it is in electronic form or because an electronic signature or electronic record was used in its formation. Questioned Costs None noted. Recommendation We recommend the University add a statement that the student voluntarily consents to participating in electronic transactions to the list of terms and conditions annually agreed to by students receiving federal student financial assistance. Management?s View and Corrective Action Plan Management?s views and corrective action plan are included at the end of this report after the summary of status of prior audit findings.
Section III?Federal Award Findings and Questioned Costs Finding 2022-001 ? E-sign Act Cluster: Student Financial Assistance Cluster Federal Awarding Agency: Department of Education Award Name: Federal Work Study Program, Federal Pell Grant Program, Federal Supplemental Education Opportunity Grants, Federal Perkins Loan, Federal Direct Student Loans Award Numbers: Not applicable Award Year: July 1, 2021 ? June 30, 2022 Assistance Listing Title: Federal Supplemental Educational Opportunity Grants, Federal Work-Study Program, Federal Perkins Loans, Federal Pell Grant Program and Federal Direct Student Loans Assistance Listing Number: 84.007, 84.033, 84.038, 84.063 and 84.268 Pass-through Entities: Not applicable Criteria The Electronic Signatures in Global and National Commerce Act (?E-Sign Act?) states that a school must obtain a student?s voluntary consent to participate in electronic transactions. Condition In examining 25 student records, we noted that the University requires each student annually agree to certain terms and conditions before they accept federal student assistance, however, a statement prompting the student to voluntarily consent to participate in electronic transactions was not included in the list of terms and conditions. Cause The University inadvertently omitted the statement prompting the student to voluntarily consent to participate in electronic transactions from the list of terms and conditions each student is required to accept. Effect A lack of student consent to participate in electronic transactions may result in the transactions being denied legal effect, validity, or enforceability solely because it is in electronic form or because an electronic signature or electronic record was used in its formation. Questioned Costs None noted. Recommendation We recommend the University add a statement that the student voluntarily consents to participating in electronic transactions to the list of terms and conditions annually agreed to by students receiving federal student financial assistance. Management?s View and Corrective Action Plan Management?s views and corrective action plan are included at the end of this report after the summary of status of prior audit findings.
Section III?Federal Award Findings and Questioned Costs Finding 2022-001 ? E-sign Act Cluster: Student Financial Assistance Cluster Federal Awarding Agency: Department of Education Award Name: Federal Work Study Program, Federal Pell Grant Program, Federal Supplemental Education Opportunity Grants, Federal Perkins Loan, Federal Direct Student Loans Award Numbers: Not applicable Award Year: July 1, 2021 ? June 30, 2022 Assistance Listing Title: Federal Supplemental Educational Opportunity Grants, Federal Work-Study Program, Federal Perkins Loans, Federal Pell Grant Program and Federal Direct Student Loans Assistance Listing Number: 84.007, 84.033, 84.038, 84.063 and 84.268 Pass-through Entities: Not applicable Criteria The Electronic Signatures in Global and National Commerce Act (?E-Sign Act?) states that a school must obtain a student?s voluntary consent to participate in electronic transactions. Condition In examining 25 student records, we noted that the University requires each student annually agree to certain terms and conditions before they accept federal student assistance, however, a statement prompting the student to voluntarily consent to participate in electronic transactions was not included in the list of terms and conditions. Cause The University inadvertently omitted the statement prompting the student to voluntarily consent to participate in electronic transactions from the list of terms and conditions each student is required to accept. Effect A lack of student consent to participate in electronic transactions may result in the transactions being denied legal effect, validity, or enforceability solely because it is in electronic form or because an electronic signature or electronic record was used in its formation. Questioned Costs None noted. Recommendation We recommend the University add a statement that the student voluntarily consents to participating in electronic transactions to the list of terms and conditions annually agreed to by students receiving federal student financial assistance. Management?s View and Corrective Action Plan Management?s views and corrective action plan are included at the end of this report after the summary of status of prior audit findings.
Section III?Federal Award Findings and Questioned Costs Finding 2022-001 ? E-sign Act Cluster: Student Financial Assistance Cluster Federal Awarding Agency: Department of Education Award Name: Federal Work Study Program, Federal Pell Grant Program, Federal Supplemental Education Opportunity Grants, Federal Perkins Loan, Federal Direct Student Loans Award Numbers: Not applicable Award Year: July 1, 2021 ? June 30, 2022 Assistance Listing Title: Federal Supplemental Educational Opportunity Grants, Federal Work-Study Program, Federal Perkins Loans, Federal Pell Grant Program and Federal Direct Student Loans Assistance Listing Number: 84.007, 84.033, 84.038, 84.063 and 84.268 Pass-through Entities: Not applicable Criteria The Electronic Signatures in Global and National Commerce Act (?E-Sign Act?) states that a school must obtain a student?s voluntary consent to participate in electronic transactions. Condition In examining 25 student records, we noted that the University requires each student annually agree to certain terms and conditions before they accept federal student assistance, however, a statement prompting the student to voluntarily consent to participate in electronic transactions was not included in the list of terms and conditions. Cause The University inadvertently omitted the statement prompting the student to voluntarily consent to participate in electronic transactions from the list of terms and conditions each student is required to accept. Effect A lack of student consent to participate in electronic transactions may result in the transactions being denied legal effect, validity, or enforceability solely because it is in electronic form or because an electronic signature or electronic record was used in its formation. Questioned Costs None noted. Recommendation We recommend the University add a statement that the student voluntarily consents to participating in electronic transactions to the list of terms and conditions annually agreed to by students receiving federal student financial assistance. Management?s View and Corrective Action Plan Management?s views and corrective action plan are included at the end of this report after the summary of status of prior audit findings.
Section III?Federal Award Findings and Questioned Costs Finding 2022-001 ? E-sign Act Cluster: Student Financial Assistance Cluster Federal Awarding Agency: Department of Education Award Name: Federal Work Study Program, Federal Pell Grant Program, Federal Supplemental Education Opportunity Grants, Federal Perkins Loan, Federal Direct Student Loans Award Numbers: Not applicable Award Year: July 1, 2021 ? June 30, 2022 Assistance Listing Title: Federal Supplemental Educational Opportunity Grants, Federal Work-Study Program, Federal Perkins Loans, Federal Pell Grant Program and Federal Direct Student Loans Assistance Listing Number: 84.007, 84.033, 84.038, 84.063 and 84.268 Pass-through Entities: Not applicable Criteria The Electronic Signatures in Global and National Commerce Act (?E-Sign Act?) states that a school must obtain a student?s voluntary consent to participate in electronic transactions. Condition In examining 25 student records, we noted that the University requires each student annually agree to certain terms and conditions before they accept federal student assistance, however, a statement prompting the student to voluntarily consent to participate in electronic transactions was not included in the list of terms and conditions. Cause The University inadvertently omitted the statement prompting the student to voluntarily consent to participate in electronic transactions from the list of terms and conditions each student is required to accept. Effect A lack of student consent to participate in electronic transactions may result in the transactions being denied legal effect, validity, or enforceability solely because it is in electronic form or because an electronic signature or electronic record was used in its formation. Questioned Costs None noted. Recommendation We recommend the University add a statement that the student voluntarily consents to participating in electronic transactions to the list of terms and conditions annually agreed to by students receiving federal student financial assistance. Management?s View and Corrective Action Plan Management?s views and corrective action plan are included at the end of this report after the summary of status of prior audit findings.
Section III?Federal Award Findings and Questioned Costs Finding 2022-001 ? E-sign Act Cluster: Student Financial Assistance Cluster Federal Awarding Agency: Department of Education Award Name: Federal Work Study Program, Federal Pell Grant Program, Federal Supplemental Education Opportunity Grants, Federal Perkins Loan, Federal Direct Student Loans Award Numbers: Not applicable Award Year: July 1, 2021 ? June 30, 2022 Assistance Listing Title: Federal Supplemental Educational Opportunity Grants, Federal Work-Study Program, Federal Perkins Loans, Federal Pell Grant Program and Federal Direct Student Loans Assistance Listing Number: 84.007, 84.033, 84.038, 84.063 and 84.268 Pass-through Entities: Not applicable Criteria The Electronic Signatures in Global and National Commerce Act (?E-Sign Act?) states that a school must obtain a student?s voluntary consent to participate in electronic transactions. Condition In examining 25 student records, we noted that the University requires each student annually agree to certain terms and conditions before they accept federal student assistance, however, a statement prompting the student to voluntarily consent to participate in electronic transactions was not included in the list of terms and conditions. Cause The University inadvertently omitted the statement prompting the student to voluntarily consent to participate in electronic transactions from the list of terms and conditions each student is required to accept. Effect A lack of student consent to participate in electronic transactions may result in the transactions being denied legal effect, validity, or enforceability solely because it is in electronic form or because an electronic signature or electronic record was used in its formation. Questioned Costs None noted. Recommendation We recommend the University add a statement that the student voluntarily consents to participating in electronic transactions to the list of terms and conditions annually agreed to by students receiving federal student financial assistance. Management?s View and Corrective Action Plan Management?s views and corrective action plan are included at the end of this report after the summary of status of prior audit findings.
Section III?Federal Award Findings and Questioned Costs Finding 2022-001 ? E-sign Act Cluster: Student Financial Assistance Cluster Federal Awarding Agency: Department of Education Award Name: Federal Work Study Program, Federal Pell Grant Program, Federal Supplemental Education Opportunity Grants, Federal Perkins Loan, Federal Direct Student Loans Award Numbers: Not applicable Award Year: July 1, 2021 ? June 30, 2022 Assistance Listing Title: Federal Supplemental Educational Opportunity Grants, Federal Work-Study Program, Federal Perkins Loans, Federal Pell Grant Program and Federal Direct Student Loans Assistance Listing Number: 84.007, 84.033, 84.038, 84.063 and 84.268 Pass-through Entities: Not applicable Criteria The Electronic Signatures in Global and National Commerce Act (?E-Sign Act?) states that a school must obtain a student?s voluntary consent to participate in electronic transactions. Condition In examining 25 student records, we noted that the University requires each student annually agree to certain terms and conditions before they accept federal student assistance, however, a statement prompting the student to voluntarily consent to participate in electronic transactions was not included in the list of terms and conditions. Cause The University inadvertently omitted the statement prompting the student to voluntarily consent to participate in electronic transactions from the list of terms and conditions each student is required to accept. Effect A lack of student consent to participate in electronic transactions may result in the transactions being denied legal effect, validity, or enforceability solely because it is in electronic form or because an electronic signature or electronic record was used in its formation. Questioned Costs None noted. Recommendation We recommend the University add a statement that the student voluntarily consents to participating in electronic transactions to the list of terms and conditions annually agreed to by students receiving federal student financial assistance. Management?s View and Corrective Action Plan Management?s views and corrective action plan are included at the end of this report after the summary of status of prior audit findings.
Section III?Federal Award Findings and Questioned Costs Finding 2022-001 ? E-sign Act Cluster: Student Financial Assistance Cluster Federal Awarding Agency: Department of Education Award Name: Federal Work Study Program, Federal Pell Grant Program, Federal Supplemental Education Opportunity Grants, Federal Perkins Loan, Federal Direct Student Loans Award Numbers: Not applicable Award Year: July 1, 2021 ? June 30, 2022 Assistance Listing Title: Federal Supplemental Educational Opportunity Grants, Federal Work-Study Program, Federal Perkins Loans, Federal Pell Grant Program and Federal Direct Student Loans Assistance Listing Number: 84.007, 84.033, 84.038, 84.063 and 84.268 Pass-through Entities: Not applicable Criteria The Electronic Signatures in Global and National Commerce Act (?E-Sign Act?) states that a school must obtain a student?s voluntary consent to participate in electronic transactions. Condition In examining 25 student records, we noted that the University requires each student annually agree to certain terms and conditions before they accept federal student assistance, however, a statement prompting the student to voluntarily consent to participate in electronic transactions was not included in the list of terms and conditions. Cause The University inadvertently omitted the statement prompting the student to voluntarily consent to participate in electronic transactions from the list of terms and conditions each student is required to accept. Effect A lack of student consent to participate in electronic transactions may result in the transactions being denied legal effect, validity, or enforceability solely because it is in electronic form or because an electronic signature or electronic record was used in its formation. Questioned Costs None noted. Recommendation We recommend the University add a statement that the student voluntarily consents to participating in electronic transactions to the list of terms and conditions annually agreed to by students receiving federal student financial assistance. Management?s View and Corrective Action Plan Management?s views and corrective action plan are included at the end of this report after the summary of status of prior audit findings.