Finding Text
Inadequate Internal Controls Over Eligibility
Assistance Listing: 84.047 Program Title: TRIO Cluster – Upward Bound
Federal Agency: Department of Education
Criteria
The College’s controls over student eligibility for the TRIO Upward Bound program include the following:
1. Students and parents/guardians must complete and sign an application.
2. Applications are reviewed by program staff to determine whether a student meets the proper requirements to participate in the program.
3. If such requirements are met, an acceptance letter signed by the Upward Bound Director is provided to students and their parent/guardian stating that they have been accepted into the program.
Condition
Out of 5 Upward Bound Program applications tested, one was not signed by the parent or guardian, one was not signed by the student and an incomplete application was provided for another student which prevented us from determining whether or not it was properly signed.
In addition, an acceptance letter was not available for the student for which a complete application was not provided.
Context
A similar finding was reported as 2020-003.
Effect
Ineffective controls over participant eligibility can result in ineligible participation in the federal program.
Cause
The finding appears to be the result of oversight by the prior TRIO Upward Bound staff.
Recommendation
The College should strengthen controls over the review of and maintenance of applications and acceptance letters.
Management’s Response
TRIO Upward Bound has new leadership from the Director up to the Vice President. The new Director has already implemented a new set of protocols to verify all eligibility markers are met. The Director's supervisor, the Dean of Equity and Inclusion, will conduct a spot check twice annually.