Finding Text
Federal Agency: Department of Education
Federal Program Title: Student Financial Assistance Cluster
Assistance Listing Number: 84.268, 84.033, 84.007, 84.063
Award Period: July 1, 2023 to June 30, 2024
Type of Finding:
* Significant Deficiency in Internal Control over Compliance
* Other matter
Criteria or Specific Requirement: The Code of Federal Regulations, 34 CFR 685.309 requires that enrollment status changes for students be reported to NSLDS within 30 days or within 60 days if the student with the status change will be reported on a scheduled transmission within 60 days of the change in status. Regulations require the status include an accurate effective date. In addition, regulations require that an institution make necessary corrections and return the records within 10 days for any roster files that don’t pass the NSLDS enrollment reporting edits.
Condition: We noted that 4 out of the 40 selections did not have the correct enrollment effective date entered to NSLDS, 1 of the 40 did not have the correct status, 1 of the 40 was not updated within the required time frame, and 1 of the 40 did not have agreeing enrollment effective dates between the Campus and Program Records.
Questioned Costs: None reported
Context: There were instances of miscommunication internally at Carleton and with NSC that caused these errors.
Cause: The College’s processes and controls did not ensure that student status changes were properly and timely reported to NSLDS.
Effect: The NSLDS system is not updated with the student information which can cause the students to not properly enter the repayment period.
Repeat Finding: Yes
Recommendation: We recommend the Institute review its reporting procedures to ensure that students’ statuses are accurately and timely reported to NSLDS as required by regulations.
Federal Agency: Department of Education
Federal Program Title: Student Financial Assistance Cluster
Assistance Listing Number: 84.268, 84.033, 84.007, 84.063
Award Period: July 1, 2023 to June 30, 2024
Type of Finding:
Significant Deficiency in Internal Control over Compliance
Other matter
Criteria or Specific Requirement: The Code of Federal Regulations, 34 CFR 685.309 requires that
enrollment status changes for students be reported to NSLDS within 30 days or within 60 days if the
student with the status change will be reported on a scheduled transmission within 60 days of the
change in status. Regulations require the status include an accurate effective date. In addition,
regulations require that an institution make necessary corrections and return the records within 10 days
for any roster files that don’t pass the NSLDS enrollment reporting edits.
Condition: We noted that 4 out of the 40 selections did not have the correct enrollment effective date
entered to NSLDS, 1 of the 40 did not have the correct status, 1 of the 40 was not updated within the
required time frame, and 1 of the 40 did not have agreeing enrollment effective dates between the
Campus and Program Records.
Questioned Costs: None reported
Context: There were instances of miscommunication internally at Carleton and with NSC that caused
these errors.
Cause: The College’s processes and controls did not ensure that student status changes were properly
and timely reported to NSLDS.
Effect: The NSLDS system is not updated with the student information which can cause the students to
not properly enter the repayment period.
Repeat Finding: Yes
Recommendation: We recommend the Institute review its reporting procedures to ensure that students’ statuses are accurately and timely reported to NSLDS as required by regulations.
Views of Responsible Officials: There is no disagreement with the audit finding.