Finding 539401 (2024-001)

Significant Deficiency
Requirement
N
Questioned Costs
-
Year
2024
Accepted
2025-03-28
Audit: 349948
Organization: University of St. Thomas (MN)

AI Summary

  • Core Issue: The University failed to accurately report one student's enrollment status and effective date to the NSLDS, violating federal regulations.
  • Impacted Requirements: Enrollment status changes must be reported within 30 or 60 days, and corrections must be made within 10 days for any errors.
  • Recommended Follow-Up: The University should review and improve its reporting procedures to ensure compliance with NSLDS requirements.

Finding Text

2028 – 001 – National Student Loan Database System Reporting Federal Agency: United States Department of Education Federal Program Name: Student Financial Aid Assistance Listing Number: Student Financial Aid Cluster Award Period: July 1, 2023 to June 30, 2024 Type of Finding:  Significant Deficiency in Internal Control over Compliance  Other Matters 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. In addition, regulations require the status include an accurate effective date. 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: During our testing, we noted 1 of 40 students enrollment status and enrollment effective date per institution's record did not match what was reported to NSLDS. Questioned Costs: None Context: During our testing, we noted the University did not have proper procedures in place to verify the reports sent to NSLDS are accurate. Cause: The University processes and controls did not ensure that student status changes were accurately reported to NSLDS. The effective date should be the student's last date of attendance and academically-related activity. Effect: The NSLDS system is not updated with the correct student information, which can cause a student to not properly enter the repayment period. Repeat Finding: No Recommendation: We recommend the University review its reporting procedures to ensure the students' statuses are accurately reported to NSLDS as required by regulations. Views of Responsible Official: There is no disagreement with the audit finding.

Corrective Action Plan

Recommendation: CLA recommends the University review its reporting procedures to ensure the students' statuses are accurately reported to NSLDS as required by regulations. Explanation of disagreement with audit finding: There is no disagreement with the audit finding. Action taken in response to finding: By reviewing the ordering of internal processes and procedures St. Thomas determined two internal processes ran out of order causing incorrect reporting. Procedural documentation has been updated and training provided to ensure this error is not repeated. Name(s) of the contact person(s) responsible for corrective action: Yuko Kachinsky: yuko.kachinsky@stthomas.edu Planned completion date for corrective action plan: A process error was identified and corrected in August 2024.

Categories

Student Financial Aid Reporting Significant Deficiency Matching / Level of Effort / Earmarking Internal Control / Segregation of Duties

Other Findings in this Audit

  • 539402 2024-001
    Significant Deficiency
  • 539403 2024-001
    Significant Deficiency
  • 539404 2024-001
    Significant Deficiency
  • 539405 2024-001
    Significant Deficiency
  • 539406 2024-002
    Significant Deficiency
  • 539407 2024-003
    Significant Deficiency
  • 1115843 2024-001
    Significant Deficiency
  • 1115844 2024-001
    Significant Deficiency
  • 1115845 2024-001
    Significant Deficiency
  • 1115846 2024-001
    Significant Deficiency
  • 1115847 2024-001
    Significant Deficiency
  • 1115848 2024-002
    Significant Deficiency
  • 1115849 2024-003
    Significant Deficiency

Programs in Audit

ALN Program Name Expenditures
84.268 Federal Direct Student Loans $52.27M
84.063 Federal Pell Grant Program $7.30M
84.033 Federal Work-Study Program $1.03M
84.007 Federal Supplemental Educational Opportunity Grants $913,000
84.336 Teacher Quality Partnership Grants $842,000
84.038 Federal Perkins Loan Program $790,000
84.423 Supporting Effective Educator Development Program $655,000
93.732 Mental and Behavioral Health Education and Training Grants $458,000
59.037 Small Business Development Centers $273,000
84.325 Special Education - Personnel Development to Improve Services and Results for Children with Disabilities $244,000
47.076 Stem Education (formerly Education and Human Resources) $146,000
59.059 Congressional Grants $124,000
93.853 Extramural Research Programs in the Neurosciences and Neurological Disorders $76,000
12.431 Basic Scientific Research $59,000
47.074 Biological Sciences $38,000
45.024 Promotion of the Arts Grants to Organizations and Individuals $37,000
15.810 National Cooperative Geologic Mapping $19,000
43.U00 National Space Grant College and Fellowship Program Opportunities $18,000
47.041 Engineering $3,000
43.012 Space Technology $1,000