FAC Explorer

Finding 524730 (2024-001)

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Requirement
E
Questioned Costs
-
Year
2024
Accepted
2025-02-27
Audit: 344154
Organization: University of Montevallo (AL)
Auditor: Warren Averett

AI Summary

  • Core Issue: One participant in the TRIO program lacked necessary eligibility documentation.
  • Impacted Requirements: Compliance with TRIO program guidelines for documenting eligibility, including low-income and first-generation status.
  • Recommended Follow-up: Establish a strong record-keeping system, conduct regular audits, and train staff on maintaining accurate documentation.

Finding Text

2024-001 Eligibility, Non-compliance Federal Program: U.S Department of Education TRIO Cluster (84.047, 84.042, 84.217) Criteria: According to the TRIO program guidelines, all participants must have documented proof of eligibility. This includes evidence of low-income status, first-generation college student status, or other qualifying criteria as outlined in 34 CFR 642.3. Condition/Context: During our audit of the TRIO program, we noted that the client could not locate eligibility documentation for one participant out of sixty selected for testing. Cause: The missing documentation appears to be due to inadequate record-keeping practices. Effect: Without proper documentation, the client cannot demonstrate that all participants meet the eligibility requirements. Questioned Cost: None Recommendation: We recommend that the client implement a robust record-keeping system to ensure all eligibility documentation is properly maintained and easily accessible. This system should include regular audits of participant files to verify the presence of required documentation and training for staff on the importance of maintaining complete and accurate records. Views of Responsible Officials: Management agrees with the finding and the auditors’ recommendation. See Corrective Action Plan at the end of the report.

Corrective Action Plan

Memorandum TO: Warren Averette FROM: Paul G. Barnes, EdS, Director TRIO Upward Bound Programs SUBJECT: Corrective Action Plan DATE: 13 December 2024 ANTICIPATED COMPLETION DATE: December2024 CONTACT: Paul G. Barnes In order to prevent the loss or misplacement of student applications to the University of Montevallo TRIO Upward Bound Programs, the following policy has been implemented: Applications to the UM TRIO Upward Bound Programs (UMUB) are submitted in two ways: electronically or on paper. Paper applications are scanned by the Academic Coordinator and stored as described below. Electronic applications are generally scans of paper applications made by the target school counselors and emailed to us. Those files are stored in the same place as scans of paper applications. The digital copies of all applications are stored on the UMUB SharePoint site, TRIO Upward Bound Programs Staff, access to which is limited to members of the TRIO Upward Bound Program Staff and which is administered by the Director and the Technology Coordinator. Applications are stored in UB Staff > Documents > Academic component > AY XXX-XXX > Recruiting > New Student Applications > PX, where AY XXXX-XXXX is the year designation for the Academic year (e.g. AY 2024-2025) and PX is the designation for the grant that served the school that the student is applying from (e.g. P1 for UB1, and P2 for UB2). There is no P3 (UBMS), as students do not apply directly for the Upward Bound Math Science Program but are placed in there based on their application and interview. Electronically submitted applications are printed out in their entirety, and they and the applications submitted on paper go to the Academic Coordinator who evaluates them for academic need and At High Risk of Academic Failure eligibility. They are then sent to the Director who evaluates them for Low Income and First-Generation eligibility. All Eligibility criteria are marked on page 2 of the application, and pertinent information is recorded on the Applicant Information Sheet by the Technology Coordinator. The paper copies are then given to the Administrative Assistant who will store them until the student has completed the application process and a determination is made to accept the student or not. If the student is accepted, they are added to the Student Information Database (currently Empower) and the hard copy of the application is stored in a binder by anticipated graduation cohort until the sixth year after that cohort graduated (i.e. when they no longer need to be tracked.

Categories

Eligibility

Other Findings in this Audit

Programs in Audit

ALN Program Name Expenditures
84.268 Federal Direct Student Loans $12.33M
84.063 Federal Pell Grant Program $5.59M
84.334 Gaining Early Awareness and Readiness for Undergraduate Programs $4.60M
84.047 Trio Upward Bound $844,106
84.042 Trio Student Support Services $341,838
84.217 Trio McNair Post-Baccalaureate Achievement $307,642
84.007 Federal Supplemental Educational Opportunity Grants $145,277
84.033 Federal Work-Study Program $145,253
10.855 Distance Learning and Telemedicine Loans and Grants $141,184
84.425 Education Stabilization Fund $64,357
93.658 Foster Care Title IV-E $60,045
93.859 Biomedical Research and Research Training $30,520
10.558 Child and Adult Care Food Program $13,758
84.038 Federal Perkins Loan Program_federal Capital Contributions $-13,751