Corrective Action Plans

Browse how organizations respond to audit findings

Total CAPs
51,865
In database
Filtered Results
10,739
Matching current filters
Showing Page
231 of 430
25 per page

Filters

Clear
Corrective Action Plan: The University has already established a campus-wide working group to provide additional modifications to the current procedures for Enrollment Reporting. Through this collaboration, the Institution is implementing changes to the spring 2024 semester that will provide the Uni...
Corrective Action Plan: The University has already established a campus-wide working group to provide additional modifications to the current procedures for Enrollment Reporting. Through this collaboration, the Institution is implementing changes to the spring 2024 semester that will provide the University with the necessary tools to comply with the Federal Enrollment Reporting regulations. Implementation Date: May 2024 Responsible Person: Nohemi Gallarzo, Registrar & AVP for Enrollment Operations
Corrective Action Plan: The University has implemented process enhancements in this area. While the audit identified inaccurate Program Enrollment Effective Dates, the corresponding Campus Enrollment Effective Dates were accurate. To address this inconsistency, coding modifications have been created...
Corrective Action Plan: The University has implemented process enhancements in this area. While the audit identified inaccurate Program Enrollment Effective Dates, the corresponding Campus Enrollment Effective Dates were accurate. To address this inconsistency, coding modifications have been created, tested, and applied to ensure our enrollment reporting files are accurate and match on Program Enrollment Effective Date and Campus Enrollment Effective Date. Beginning with our fall 2023 subsequent of term enrollment file received by the National Student Clearinghouse (NSC) on 12/18/23, the students’ Program Enrollment Effective Dates are accurate and match the associated Campus Enrollment Effective Dates. Our documentation will be revised to include these changes. Management will conduct a second level review to ensure that the University is in compliance with the requirements. Implementation Date: December 2023 Responsible Person: Eric Poch, Associate Registrar
Corrective Action Plan: The Office of the Registrar is working with the Office of Information Technology (OIT) to review the current NSC Enrollment Reporting logic within our student information system to identify the root cause of the data inconsistencies between campus- and program-level data, and...
Corrective Action Plan: The Office of the Registrar is working with the Office of Information Technology (OIT) to review the current NSC Enrollment Reporting logic within our student information system to identify the root cause of the data inconsistencies between campus- and program-level data, and subsequently update the associated logic for future term reporting. The Office of the Registrar has also implemented monthly data validation into our business processes (as of Fall 2023), in alignment with the NSC file submission schedules, which allows for further management oversight of deadline compliance and additional data validation. Implementation Date: August 1, 2024 Responsible Persons: Kimberly Tate, University Registrar Deepika Chalemela, Chief Information Officer
Corrective Action Plan: The University has implemented significant process enhancements in this area. The policy manual has been revised to include detailed procedures. Management will conduct a second level review to ensure that the University is following the requirements. During the academic year...
Corrective Action Plan: The University has implemented significant process enhancements in this area. The policy manual has been revised to include detailed procedures. Management will conduct a second level review to ensure that the University is following the requirements. During the academic year for this audit the Office of Financial Aid staffing was reduced by two full-time employees in the R2T4 area. The University has two full time employees who completes R2T4’s daily. A secondary review and quality control will be completed by a third employee for accuracy on the R2T4 calculations and return of funds within established time frames. Reconciliations are completed monthly to ensure timeliness of R2T4s and return of funding to COD. Implementation Date: March 2024 Responsible Persons: Laurie Rosenkrantz, Associate Director Mayra Torres Gonzalez, Assistant Director Jike Wei, FA Counselor III
Corrective Action Plan: The University has implemented significant process enhancements in this area. The policy manual has been revised to include detailed procedures. Management will conduct a second level review to ensure that the University is following the requirements. After the aid year activ...
Corrective Action Plan: The University has implemented significant process enhancements in this area. The policy manual has been revised to include detailed procedures. Management will conduct a second level review to ensure that the University is following the requirements. After the aid year activation for calendars is posted by the Office of Registrar, management will review calendar dates and other components reported to COD on a monthly schedule to ensure accuracy. COD reports are sent twice a week to ensure calendar and cost of attendance is updated correctly for all federal programs. Implementation Date: March 2024 Responsible Persons: Leanne Sikora, Associate Director Laurie Rosenkrantz, Associate Director
Corrective Action Plan: We will work to reestablish access with NSLDS to ensure that all student statuses are reported correctly from NSC. We will also incorporate procedures to ensure we are capturing and reporting all students’ status changes accurately through Cognos reports and a newly developed...
Corrective Action Plan: We will work to reestablish access with NSLDS to ensure that all student statuses are reported correctly from NSC. We will also incorporate procedures to ensure we are capturing and reporting all students’ status changes accurately through Cognos reports and a newly developed enrollment reporting dashboard. Implementation Date: Summer 2024 Responsible Person: Amanda McSween, TTUHSC Registrar
Corrective Action Plan: • The University has already implemented significant process enhancements in this area. • Additional checks are now in place to ensure that campus-level and program level reporting is accurate moving forward. • Additional checks have also been put in place to ensure that dual...
Corrective Action Plan: • The University has already implemented significant process enhancements in this area. • Additional checks are now in place to ensure that campus-level and program level reporting is accurate moving forward. • Additional checks have also been put in place to ensure that dual-majors graduation statuses are reporting accurately and in a more timely manner moving forward. Implementation Date: January 2024 Responsible Persons: Kyle Phillips and Bobbie Brown
Corrective Action Plan: The University has updated its disbursement notifications to include the type of loan borrowed and the amount borrowed in the template of the notification. In addition, the University has updated the notifications to go out to student and parent borrowers separately. The proc...
Corrective Action Plan: The University has updated its disbursement notifications to include the type of loan borrowed and the amount borrowed in the template of the notification. In addition, the University has updated the notifications to go out to student and parent borrowers separately. The process has also been updated so that the notifications are sent out after any change to the student award is made on a nightly basis. Implementation Date: January, 2024 Responsible Person: Robert Hamilton
Corrective Action Plan: • The University has already implemented significant process enhancements in this area. • We have implemented an ad hoc report to identify students with canceled loans and loan fees included in their COA. The report is reviewed bi-weekly and loan fees for canceled loans are r...
Corrective Action Plan: • The University has already implemented significant process enhancements in this area. • We have implemented an ad hoc report to identify students with canceled loans and loan fees included in their COA. The report is reviewed bi-weekly and loan fees for canceled loans are removed in a timely manner. Training regarding the timely cancelation of loan fees was provided to staff responsible for the review and adjustment. • We have implemented an ad hoc report to review student’s COA budget and the student’s actual enrollment to identify discrepancies between a student’s actual enrollment charges and student’s COA budget. The report is reviewed following our census after the 20th day of classes and COA budgets are adjusted to align with actual enrollment charges. Training regarding post census review of student’s actual attendance and student’s COA budget was provided to staff responsible for the review and adjustments. • We have implemented an ad hoc report to review student’s tuition and fees budget component and the student’s academic program to identify discrepancies between the student’s tuition and fees budget component and the charges associated with their academic program. The report is reviewed monthly, and a student’s tuition and fees budget components are adjusted to align with the student’s academic program. Training regarding review of a student’s tuition and fees budget component and the student’s academic program was provided to staff responsible for the review and adjustments. Implementation Date: January 2024 Responsible Persons: Christina Montecillo and Robert Hamilton
View Audit 296491 Questioned Costs: $1
Corrective Action Plan: Texas Southern University agrees with the information that states the student’s program length was incorrectly reported to NSLDS for 10 of 60 students tested. To further enhance reporting accurate information, the Office of Student Records (formerly the Registrar’s Office) ha...
Corrective Action Plan: Texas Southern University agrees with the information that states the student’s program length was incorrectly reported to NSLDS for 10 of 60 students tested. To further enhance reporting accurate information, the Office of Student Records (formerly the Registrar’s Office) has updated our business practice regarding this matter in the following way. First, the Office of Student Records reached out to the Interim Dean of the Graduate School to provide the correct program length for Graduate Programs at TSU. Second, we gathered information regarding the total number of hours of each program offered and the total number of hours required to be considered a fulltime student at TSU. We then utilized this information to calculate the program length in years. (For example, the eMPA program at TSU is 36 hours and a full-time course load for a graduate student is 9 hours. We then divided the total hours of the program (36 hours) by the full-time load (9). This provided us with how many semesters a full-time student would take to complete the program. To finish the calculation and get the program length, we divided it into 2 to get the number of years required to complete the program. Implementation Date: January 2024 Responsible Person: Dr. Nickolaus Cioci, Dean of Student Records Corrective Action Plan: Texas Southern University also agrees with the information stating 17 of 38 student’s tested enrollment status was not reported to NSLDS in a timely manner. We agree with this information that states 13 of the students tested did not have their graduation effective date accurately reported to NSLDS in a timely manner. To combat this issue, the Office of Student Records has created a new business process to report these students to NSLDS in a timelier manner. First, the graduation coordinator has requested academic units to provide her with information regarding students whose degrees are 100% complete earlier to allow her to confer these degrees quicker. Second, the Office of Student Records has also changed their business practice and informed both the Graduation Coordinator and the Law School Registrar’s representative that all degrees must be conferred no later than 45 days after the semester ends. This will allow other staff time to turn in the graduation report to NSC in a timelier manner and review the rejected records/correct the rejected records before the 60-day deadline to help keep us in compliance. Implementation Date: January 2024 Responsible Person: Dr. Nickolaus Cioci, Dean of Student Records Corrective Action Plan: Texas Southern University also agrees with the information stating 4 students that did not have their withdrawal status or effective date of status change reported in a timely manner to NSLDS. In reviewing these records, it appears accurate attendance was not taken causing Texas Southern University to be out of compliance for reporting practices. To further enhance reporting capabilities, the Office of Student Records has created a new business process to correct this error. First, TSU no longer allows advisors to register students and students must register themselves and sign a financial acknowledgement form. Also, the Office of Student Records has collaborated with the Office of the Provost to effectively communicate with faculty the ramifications of inaccurate attendance reporting. In these communications, the faculty are also provided instructions on how to accurately report attendance using their MyTSU attendance portal. Also, the Office of Student Records worked in conjunction with the Office of Information Technology, to automate the process of dropping students for nonattendance as reported by their faculty. Furthermore, we are continuing to update our business processes, so these students are reported to NSC/NSLDS in a timely manner. Another issue involved students being reported as nonattending but attending the course. TSU’s Office of Student Records and Office of the Provost have also worked in conjunction to fix this issue as well. Several faculty members would not mark attendance causing their whole class to get dropped. We have worked in our process to inform instructors they must mark attendance for students to not create this issue in the future. Implementation Date: January 2024 Responsible Person: Dr. Nickolaus Cioci, Dean of Student Records
Corrective Action Plan: The University, with the National Student Clearinghouse (NSC), has developed an expanded enrollment reporting schedule for reporting graduated students on special “Graduates Only” files after subsequent semester enrollment reporting has begun. Previously, we relied on the Deg...
Corrective Action Plan: The University, with the National Student Clearinghouse (NSC), has developed an expanded enrollment reporting schedule for reporting graduated students on special “Graduates Only” files after subsequent semester enrollment reporting has begun. Previously, we relied on the DegreeVerify file to report Graduated status. The Graduates Only files, which will include only students with an awarded credential for the semester and are a supplement to the regular Enrollment files sent during the semester, will ensure that Graduated statuses for Doctor of Veterinary Medicine students are reported accurately and in a timely manner. The use of a supplemental Graduates Only enrollment file will also eliminate warning files that currently result from the DegreeVerify reporting process. Should there be an issue with the Graduates Only file, an enrollment reporting warning/error file will be received and processed in a timely manner, as they are during the semester when an Enrollment file generates a warning/error report. The new process will be more consistent, efficient, and complete. The Graduates Only file transmission schedule for the current semester has been updated and procedures for setting the enrollment reporting schedule each year have been updated to include the expanded Graduates Only file transmission schedule. Discussion with the NSC resulted in a clear understanding of how the Graduates Only files should be processed to ensure accurate and complete reporting of Graduated statuses. All staff members responsible for processing of the Graduates Only files have been trained in this procedure, and additional information has been included in written procedures for processing the files. Implementation Date: November 2023 Responsible Person: Venesa Heidick, Registrar
Corrective Action Plan: The Office of the Registrar will develop an action plan to evaluate the internal process changes which must occur considering the following implications: • There will be significant process changes of the reporting parameters that are run for the National Student Clearinghous...
Corrective Action Plan: The Office of the Registrar will develop an action plan to evaluate the internal process changes which must occur considering the following implications: • There will be significant process changes of the reporting parameters that are run for the National Student Clearinghouse jobs in Banner to ensure that the proper branch code is identified for each student; • Further research will be required to identify other areas which will be impacted by this change, including but not limited to IPEDS data submissions, CBM Reporting, SACSCOC notifications, etc.; • Will collaborate with College of Graduate Studies to remove degree plans that are listed as sought and are not actively being pursued by the student. This will ensure that correct degree sequencing is accounted for and reported on correctly each month to the National Student Clearinghouse; • Strengthen internal controls and communication channels to ensure consistent and accurate reporting of student statuses across all levels. Implementing additional validation checks in our reporting systems will ensure the accuracy of program begin dates before submission; • Update our standard operating procedures to indicate review of the National Student Clearinghouse EDI Rejection File to ensure all students are accurately being pulled into NSLDS; • Conduct a comprehensive review of our reporting procedures to identify the specific breakdown in the process that led to the failure to report enrollment status to NSLD; • Implement enhanced internal controls and validation checks to ensure that enrollment statuses are accurately reported to both NSC and NSLDS in a timely manner; and • The policies and procedures will be revised to include these updated procedures. Implementation Date: January 2024 Responsible Person: Erika Graham, University Registrar
Corrective Action Plan: The University has implemented corrections to this calculation when it was brought to the attention by the State Auditor’s Office. Corrective action was immediately taken by reducing the unsubsidized award for those who received the incorrect amount during the 2022-2023 award...
Corrective Action Plan: The University has implemented corrections to this calculation when it was brought to the attention by the State Auditor’s Office. Corrective action was immediately taken by reducing the unsubsidized award for those who received the incorrect amount during the 2022-2023 award year. The University also corrected awards for the 2023-2024 year and updated the awarding rules in it’s Banner system. Implementation Date: August 2023 Responsible Person: Amy Wilson, Director of Financial Aid and Scholarships
Corrective Action Plan: The University has formally documented the procedures that have been put in place. The University will address issues with National Student Clearinghouse (NSC) reporting and will attempt to fix each issue before sending to NSC, including Social Security Number, Name, and othe...
Corrective Action Plan: The University has formally documented the procedures that have been put in place. The University will address issues with National Student Clearinghouse (NSC) reporting and will attempt to fix each issue before sending to NSC, including Social Security Number, Name, and other miscellaneous issues. The procedures include three DegreeVerify files being sent that report graduates and the University will be adding three more DegreeVerify files to be sent two to three weeks after the end of the semester, part of term and end of mini to pick up remaining graduates for the term. The University will have the Information and Analysis team create a report each term of students that were enrolled in the previous semester but are not enrolled in the current semester so that they can be reported as withdrawn to NSC correctly. Implementation Date: February 2024 Responsible Person: Cheri Lewis, Enrollment Management Analyst
Corrective Action Plan: The University is in the process of assigning the remainder of their active Perkins Loans to the Department of Education. However, the University will provide additional training to staff to ensure that any active loans retired prior to assignment will result in a paid-in-ful...
Corrective Action Plan: The University is in the process of assigning the remainder of their active Perkins Loans to the Department of Education. However, the University will provide additional training to staff to ensure that any active loans retired prior to assignment will result in a paid-in-full notification being sent to the borrower and will maintain documentation of such notifications as required. Implementation Date: February 2024 Responsible Persons: Kimberley Wells, Director of Financial Aid & Scholarships John Robert, Associate Director of Financial Aid & Scholarships Beth Tolan, Associate Vice President of Financial Aid & Scholarships
Corrective Action Plan: The University has updated and implemented revised procedures. Effective December 26, 2023, the University has begun notifying the borrower in writing with the appropriate documentation when the Perkins loan has been paid in full. Effective January 1, 2024, the institution ha...
Corrective Action Plan: The University has updated and implemented revised procedures. Effective December 26, 2023, the University has begun notifying the borrower in writing with the appropriate documentation when the Perkins loan has been paid in full. Effective January 1, 2024, the institution has further incorporated reconciliation tasks into its procedures to ensure paid in full notifications have been sent as required to borrowers and will retain electronic copies of the notifications in the University’s records. Implementation Date: January 1, 2024, for improved processes and controls Responsible Persons: Yvette Martinez, Senior Director of Financial Affairs and Controller Diana Gonzalez, Director of Student Financial & Treasury Services
Corrective Action Plan: The University will retroactively mail paid-in-full notices to all students who paid their loans in full during the audit period. We have already mailed notices for loans paid in 2022 & 2023 and expect to complete 2021 by February. Relevant policies and procedures will be rev...
Corrective Action Plan: The University will retroactively mail paid-in-full notices to all students who paid their loans in full during the audit period. We have already mailed notices for loans paid in 2022 & 2023 and expect to complete 2021 by February. Relevant policies and procedures will be revised to ensure future paid accounts are handled accordingly by utilizing a monthly paid-in-full report from ECSI. Management will conduct a second level review to ensure that the University is in compliance with the requirements. Implementation Date: February 2024 Responsible Person: Blanca Garcia, Director of Financial Services
Corrective Action Plan: The University has implemented significant process enhancements in this area. The vendor has revised its services to include the paid-in-full letter process and has sent paid if full letters to all Perkins borrowers who were missed. Management will conduct a second level revi...
Corrective Action Plan: The University has implemented significant process enhancements in this area. The vendor has revised its services to include the paid-in-full letter process and has sent paid if full letters to all Perkins borrowers who were missed. Management will conduct a second level review to ensure that the University is in compliance with the requirements. Implementation Date: November 2023 Responsible Person: Lisa Davis, Director, Bursar Office
Corrective Action Plan: The University is investigating the procurement of required locked, fireproof file cabinets and is in the process of requesting a formal quote for management approval to purchase. Implementation Date: December 2024 (Tentatively) Responsible Person: Lori Peterson, Executive Di...
Corrective Action Plan: The University is investigating the procurement of required locked, fireproof file cabinets and is in the process of requesting a formal quote for management approval to purchase. Implementation Date: December 2024 (Tentatively) Responsible Person: Lori Peterson, Executive Director and Controller – Accounting and Financial Management
Corrective Action Plan: The University has implemented a review at the start of each term to ensure internal systems (Peoplesoft) are updated with the appropriate number of break days to ensure the accuracy of break days used in Return of Title IV calculations. The University is implementing an enha...
Corrective Action Plan: The University has implemented a review at the start of each term to ensure internal systems (Peoplesoft) are updated with the appropriate number of break days to ensure the accuracy of break days used in Return of Title IV calculations. The University is implementing an enhanced secondary review process for Return of Title IV determinations to ensure accurate calculations and the timely return of funds. The University will implement a process to ensure evidence of participation exists for students who attend all courses via the online platforms. Implementation Dates: Beginning January 2024 with completion May 2024 Responsible Persons: Kimberley Wells, Director of Financial Aid & Scholarships John Robert, Associate Director of Financial Aid & Scholarships Beth Tolan, Associate Vice President of Financial Aid & Scholarships
Corrective Action Plan: (1) The University will develop a process to identify all institutional charges and create a master list that will categorize the charges into allowable and non-allowable charges. The master list will be utilized to determine which institutional charges may be included in the...
Corrective Action Plan: (1) The University will develop a process to identify all institutional charges and create a master list that will categorize the charges into allowable and non-allowable charges. The master list will be utilized to determine which institutional charges may be included in the calculation of Return of Title IV. (2) The University will coordinate with the Institute of Global Engagement and Online Functional Support to obtain evidence of academic engagement utilizing the learning management software system for students in online only course and confirm active participation for study-abroad coursework. (3) The University will establish a review process to ensure consistency and accuracy in R2T4 calculations. and conduct regular internal audits of a sample of R2T4 calculations to identify errors or discrepancies. Implementation Date: March 2024 Responsible Person: Frank Gomez, Associate Director, SFA
Corrective Action Plan: The Office of Scholarships and Financial Aid will create a reconciliation process that will identify all FSEOG recipients for a given aid year. This reconciliation process will include a report/query that can be distributed weekly and on demand to identify any discrepancies t...
Corrective Action Plan: The Office of Scholarships and Financial Aid will create a reconciliation process that will identify all FSEOG recipients for a given aid year. This reconciliation process will include a report/query that can be distributed weekly and on demand to identify any discrepancies that will be worked timely. The office will also assign a staff member to conduct R2T4 quality control. The staff member will be responsible for running a query and creating a report categorizing the type of returns (i.e. – standard R2T4, Post Withdrawal, etc.) with an estimated time for completion on a weekly basis. Implementation Date: March 2024 Responsible Person: Frank Gomez, Associate Director, SFA
Corrective Action Plan: The University previously misinterpreted the regulation related to enrollment in programs offered in modules. Training has been conducted on this topic. In addition, the Registrar has been granted SIS access to update scheduled breaks of five or more days. During the calculat...
Corrective Action Plan: The University previously misinterpreted the regulation related to enrollment in programs offered in modules. Training has been conducted on this topic. In addition, the Registrar has been granted SIS access to update scheduled breaks of five or more days. During the calculation process the financial aid counselor completing the R2T4 will ensure that the days calculated are correct or, if not, will update the worksheet with the correct number of days. The University will ensure that R2T4 calculations are completed in a timely manner to ensure that funding is returned for students within the 45-day time frame. Implementation Date: 08/2023 Responsible Persons: Scott Lapinski, Assistant Vice President for Enrollment Management/Director of Financial Aid Joe Sanders Assistant Vice President for Enrollment Management/Registrar
Corrective Action Plan: The University now reviews the Cost of Attendance for students as it gets closer to the start of the semester to ensure that there is a variety of Cost of Attendances instead of just mostly full time Cost of Attendance. This will help ensure that the COA amounts are correct b...
Corrective Action Plan: The University now reviews the Cost of Attendance for students as it gets closer to the start of the semester to ensure that there is a variety of Cost of Attendances instead of just mostly full time Cost of Attendance. This will help ensure that the COA amounts are correct before disbursements are made. The University’s Financial Aid & Scholarships Office will also work with the Registrar’s Office to ensure that all online programs are input into the Cost of Attendance formulas before the start of the academic year to further ensure that Cost of Attendance calculations are correct. Implementation Date: 08/2023 Responsible Persons: Scott Lapinski, Assistant Vice President for Enrollment Management/Director of Financial Aid Joe Sanders Assistant Vice President for Enrollment Management/Registrar
Corrective Action Plan: The University has revised the procedures to include additional procedural details. Management will conduct a second level review of the R2T4 new year system set up. Additionally, a quality control review of ten percent of the R2T4 calculations will be performed throughout th...
Corrective Action Plan: The University has revised the procedures to include additional procedural details. Management will conduct a second level review of the R2T4 new year system set up. Additionally, a quality control review of ten percent of the R2T4 calculations will be performed throughout the year to ensure accuracy and compliance with the R2T4 requirements. Implementation Date: February 2024 Responsible Persons: Alejandra Gonzalez, Senior Associate Director Marcia Osman, Associate Director
View Audit 296491 Questioned Costs: $1
« 1 229 230 232 233 430 »