Finding Text
Inaccurate or Unsupported Information on Annual Performance Reports
Assistance Listing: 84.042, 84.044 and 84.047 Program Title: TRIO Cluster
Federal Agency: Department of Education
Criteria
Annual Performance Reports must be submitted annually and the Compliance Supplement identifies certain line items as containing critical information.
Condition
For the Student Support Services Annual Performance Report, the following were noted:
1. One out of five students sampled included a different program admittance date (5/1/2019) than what was on the applicant review form (10/1/2019).
2. One out of five students sampled included a different College grade level than what was indicated on the applicant review form.
For the Talent Search Annual Performance Report, the following were noted:
1. For 3 out of 17 students sampled, the College was unable to obtain transcripts to verify the requirement that the students received regular secondary school diplomas within the standard number of years but did not complete a rigorous program of study.
2. For 4 out of 17 students sampled, the College was unable to verify that the student enrolled in post-secondary education or notified of deferred enrollment.
3. For one of 17 students sampled, the student’s grade level upon entering the program did not match that on the application.
For one out of 3 students tested for the Talent Search Annual Performance Report, the date of first project service differed from the application and the student was indicated as a new participant but should have been reported as a continuing participant.
Context
A similar finding with regards to Upward Bound was reported as 2020-004.
Effect
When critical information contained in annual performance reports cannot be substantiated by, or is in conflict with, supporting documentation, erroneous information could be reported to the Department of Education.
Cause
For the instances where information conflicted with the application documentation, the cause was data entry errors. For the instances where there was no verification of secondary school diplomas or post-secondary school enrollment, the College indicated that attempts to obtain the information were unsuccessful.
Recommendation
We recommend that the College review their controls over the annual reporting process related to the TRIO programs and establish improved review and verification procedures to ensure the accuracy of the reports.
Management’s Response
The Director of TRIO SSS and TRIO ETS supervisor, the Dean of Equity and Inclusion, will conduct a spot check twice annually. Additionally, before submission of Annual Performance Report, the direct supervisor for all TRIO programs will review and spot check submissions.