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Corrective Action Plans

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Finding 8162 (2023-006)
Significant Deficiency 2023
Johnson University
TN
Student Financial Aid Matching / Level of Effort / Earmarking Procurement, Suspension & Debarment
Finding Reference Number: 2023-006 Initial Fiscal Year: 2023 Summary of Finding: Significant Deficiency: Exit Counseling (U.S. Department of Education, William D. Ford Direct Loan Program, ALN #84.268) Entity’s Corrective Action Plan Corrective Action Plan Summary: Once IT was made aware of the issu...
Finding Reference Number: 2023-006 Initial Fiscal Year: 2023 Summary of Finding: Significant Deficiency: Exit Counseling (U.S. Department of Education, William D. Ford Direct Loan Program, ALN #84.268) Entity’s Corrective Action Plan Corrective Action Plan Summary: Once IT was made aware of the issues, we implemented changes to the process. The action code was discontinued, and our database administrator developed a custom database table used only for tracking Financial Aid communications. This custom table tracks the student’s organizational ID number, email address, communication code (EXIT for exit counseling emails), date/time the email was processed, and the status returned by the process used to send emails. Please note that this status only checks whether the process succeeded, it does not check whether the email was successfully sent. The Financial Aid Department is still copied in all emails sent at their main email address (currently FinancialAidTN@Johnsonu.edu). The Financial Aid Department has the responsibility to alert the IT Department if they are not receiving emails as expected. Once the IT Department has been alerted of an issue, the IT Department can start working to resolve the issue. For long-term reliability of communications, Johnson University has purchased and is implementing a new Financial Aid software platform. This will give us an opportunity to work towards reliable communications, not just reliable logging of process failures or successes. Anticipated Completion Date: September 21, 2023 Explanation: The corrective action plan was taken to resolve the prior year finding, helping to ensure that future dates are accurate. Name and Title of Responsible Person: Luke Edwards, Director of IT.
View Audit 10714
Finding 8161 (2023-005)
Significant Deficiency 2023
Johnson University
TN
Procurement, Suspension & Debarment Student Financial Aid Significant Deficiency
Finding Reference Number: 2023-005 Initial Fiscal Year: 2023 Summary of Finding: Significant Deficiency: Disbursement Notifications (U.S. Department of Education, William D. Ford Direct Loan Program, ALN #84.268) Entity’s Corrective Action Plan Corrective Action Plan Summary: Once IT was made aware ...
Finding Reference Number: 2023-005 Initial Fiscal Year: 2023 Summary of Finding: Significant Deficiency: Disbursement Notifications (U.S. Department of Education, William D. Ford Direct Loan Program, ALN #84.268) Entity’s Corrective Action Plan Corrective Action Plan Summary: Once IT was made aware of the issues, we implemented changes to the process. The action code was discontinued, and our database administrator developed a custom database table used only for tracking Financial Aid communications. This custom table tracks the student’s organizational ID number, email address, communication code (MAND for mandatory loan emails), date/time the email was processed, and the status returned by the process used to send emails. Please note that this status only checks whether the process succeeded, it does not check whether the email was successfully sent. The Financial Aid Department is still copied in all emails sent at their main email address (currently FinancialAidTN@Johnsonu.edu). The Financial Aid Department has the responsibility to alert the IT Department if they are not receiving emails as expected. Once the IT Department has been alerted of an issue, the IT Department can start working to resolve the issue. For long-term reliability of communications, Johnson University has purchased and is implementing a new Financial Aid software platform. This will give us an opportunity to work towards reliable communications, not just reliable logging of process failures or successes. Anticipated Completion Date: September 21, 2023 Explanation: The corrective action plan was taken to resolve the prior year finding, helping to ensure that future dates are accurate. Name and Title of Responsible Person: Luke Edwards, Director of IT.
View Audit 10714
Finding 8157 (2023-004)
Significant Deficiency 2023
Johnson University
TN
Questioned Costs Student Financial Aid Reporting
Finding Reference Number: 2023-004 Initial Fiscal Year: 2023 Summary of Finding: Significant Deficiency: The University Did Not Timely Complete Return to Title IV Funds (U.S. Department of Education, William D. Ford Direct Loan Program, ALN #84.268, Federal Pell Grant Program, ALN #84.063) Entity’s ...
Finding Reference Number: 2023-004 Initial Fiscal Year: 2023 Summary of Finding: Significant Deficiency: The University Did Not Timely Complete Return to Title IV Funds (U.S. Department of Education, William D. Ford Direct Loan Program, ALN #84.268, Federal Pell Grant Program, ALN #84.063) Entity’s Corrective Action Plan Corrective Action Plan Summary: When processing the R2T4s for these three students the Director looked at the current date on the form and processed them according to the current date and not the date of withdrawal. For these students due to the date difference went from being in the greater than 60% category where a R2T4 was not necessary to now needing one processed. The university has implemented an audit process where by the date entered can be more easily verified to ensure accuracy. This date and the withdrawal date or LDA are now added to a withdrawal form that is shared between departments so that any variance will be easily identified. Anticipated Completion Date: September 21, 2023 Explanation: The corrective action plan was taken to resolve the prior year finding, helping to ensure that future dates are accurate. Name and Title of Responsible Person: Rocky Christensen, Director of Financial Aid.
View Audit 10714 Questioned Costs: $1
Finding 8156 (2023-003)
Significant Deficiency 2023
Johnson University
TN
Questioned Costs Student Financial Aid Significant Deficiency
Finding Reference Number: 2023-003 Initial Fiscal Year: 2023 Summary of Finding: Significant Deficiency: Return to Title IV Funds (U.S. Department of Education, William D. Ford Direct Loan Program, ALN #84.268; Federal Pell Grant Program, ALN #84.063) Entity’s Corrective Action Plan Corrective Actio...
Finding Reference Number: 2023-003 Initial Fiscal Year: 2023 Summary of Finding: Significant Deficiency: Return to Title IV Funds (U.S. Department of Education, William D. Ford Direct Loan Program, ALN #84.268; Federal Pell Grant Program, ALN #84.063) Entity’s Corrective Action Plan Corrective Action Plan Summary: When setting the R2T4 dates in the system we had failed to count the Saturday and Sunday preceding the break period of five days or more. The university has addressed the issue for the future POE periods and implemented a three step verification process moving forward. The three step verification involves two additional staff verifying the dates in the system to ensure accuracy. Anticipated Completion Date: September 21, 2023 Explanation: The corrective action plan was taken to resolve the prior year finding, helping to ensure that future dates are accurate. Name and Title of Responsible Person: Rocky Christensen, Director of Financial Aid.
View Audit 10714 Questioned Costs: $1
Finding 8155 (2023-002)
Significant Deficiency 2023
Johnson University
TN
Questioned Costs Student Financial Aid Matching / Level of Effort / Earmarking
Finding Reference Number: 2023-002 Initial Fiscal Year: 2023 Summary of Finding: Significant Deficiency: Documentation Regarding Offer of a Post- Withdrawal Disbursement (U.S. Department of Education, William D. Ford Direct Loan Program, ALN #84.268; Federal Pell Grant Program, ALN #84.063) Entity’s...
Finding Reference Number: 2023-002 Initial Fiscal Year: 2023 Summary of Finding: Significant Deficiency: Documentation Regarding Offer of a Post- Withdrawal Disbursement (U.S. Department of Education, William D. Ford Direct Loan Program, ALN #84.268; Federal Pell Grant Program, ALN #84.063) Entity’s Corrective Action Plan Corrective Action Plan Summary: The university was not documenting the PWD notification that happens with students as part of our exit process. While the university was completing this the lack of documentation has been addressed. The university now has the student verify receipt of this information on the withdrawal form. Anticipated Completion Date: September 21, 2023 Name and Title of Responsible Person: Rocky Christensen, Director of Financial Aid.
View Audit 10714 Questioned Costs: $1
Finding 7983 (2023-001)
Significant Deficiency 2023
Providence College
RI
Student Financial Aid Matching / Level of Effort / Earmarking Reporting § 200.303
The Office of the Registrar recognizes the importance of both timely and accurate reporting of enrollment status changes for lenders and servicers of student loans to determine in-school status, deferments, grace periods, and repayment schedules, as well as the federal government’s payment of intere...
The Office of the Registrar recognizes the importance of both timely and accurate reporting of enrollment status changes for lenders and servicers of student loans to determine in-school status, deferments, grace periods, and repayment schedules, as well as the federal government’s payment of interest subsidies. Through our own data reporting and, in conjunction with the NSC, we are working to identify the affected students to correct their enrollment record statuses to graduated. We expect to make these corrections no later than January 12, 2024. Individuals with reporting responsibilities will engage in training through the NSC. An office audit will be conducted to assess areas for improvement. These actions will be completed by March 1, 2024. The College recently instituted additional conferral dates where graduated students will be submitted to NSC as batch files, thereby, substantially lessening the need to report as individual online updates.
View Audit 10432
Finding 7954 (2023-001)
Significant Deficiency 2023
Hampshire College
MA
Student Financial Aid Subrecipient Monitoring Significant Deficiency
U.S. Department of Education 2023-001 Student Financial Assistance Cluster – Assistance Listing Number: 84.007, 84.003, 84.038, 84.063, 84.268, 93.364 Recommendation: We recommend the College designate an individual to oversee the information security function and work to update the College’s writte...
U.S. Department of Education 2023-001 Student Financial Assistance Cluster – Assistance Listing Number: 84.007, 84.003, 84.038, 84.063, 84.268, 93.364 Recommendation: We recommend the College designate an individual to oversee the information security function and work to update the College’s written security program to ensure compliance with all standards. Explanation of disagreement with audit finding: There is no disagreement with the audit finding. Action taken in response to finding: The College recognized the need to improve their security program and data governance, and this was a catalyst in their decision to outsource the management of their Information Technology functional area. On July 15, 2023, The College engaged Ellucian as its Information Technology partner. Ellucian will be working, along with management, to develop a security program for the College. The College will be establishing appropriate data governance and security protocols and controls as part of the overall security program. The College anticipates having a security program written, approved, and employed by June 30, 2024. Name(s) of the contact person(s) responsible for corrective action: Tana Boone, Vice President of Finance and Administration Planned completion date for corrective action plan: June 2024
View Audit 10363
Finding 7932 (2023-001)
Material Weakness 2023
Cuyahoga Community College
OH
Student Financial Aid Matching / Level of Effort / Earmarking Material Weakness
College Response: In November 2023, in conjunction with the College’s annual external audit, errors were identified in Cuyahoga Community College’s timely Return to Title IV funds. After careful internal review of the student records, all applicable corrections to student records were made to ensure...
College Response: In November 2023, in conjunction with the College’s annual external audit, errors were identified in Cuyahoga Community College’s timely Return to Title IV funds. After careful internal review of the student records, all applicable corrections to student records were made to ensure compliance with federal regulations. All financial aid funds related to Return of Title IV funds had been returned to the U.S. Department of Education. In December 2023, the college completed a review of internal procedures and processes to mitigate untimely Return of Title IV funds in the future. Mitigation Strategy: The following process and procedural changes for the review of the Return of Title IV funds have been put in place to resolve the issue of late returns of funds as identified in the 2022-2023 external audit: 1. Retrained staff responsible for the Return of Title IV processing, including updates and revisions to the policies and procedure manual for this financial aid function to strengthen the internal quality check for manual review of the accuracy of returns 2. Identified and cross-train additional financial aid employees to support the high-volume financial aid process, including two team members to check and validate the timely processing and accuracy of the return of funds 3. Developed an enhanced report to compare completed calculations of the return of funds in Banner to the processed with the COD-generated report to verify the timely return of funds 4. Automated reports for Return of Title IV report to be delivered bi-weekly to the central mailbox, which will enable multiple employees to have access to the Return of Title IV reports and ensure more than one trained team member to timely process the return of funds to meet the 45-day federal requirement 5. Conduct a quality check of the Return of Title IV funds to assess the accuracy of the calculation and timely return of funds by conducting an internal Financial Aid Team review of 5-10% of the return of funds assessment every 60 days Anticipated Completion Date: 12/19/2023 Responsible Contact Person: Angela Johnson –VP of Enrollment Management
View Audit 10341
Morehouse School of Medicine, Inc., Subsidiary and Affiliate
GA
Student Financial Aid Subrecipient Monitoring Reporting
Finding 2023-002 Name of Responsible Individual: Cinnamon Bradley, Associate Dean of Student Affairs Corrective Action: We agree. We understand that status changes must be submitted, and errors must be corrected in the National Student Clearinghouse and NSLDS in a timely manner. We will review ...
Finding 2023-002 Name of Responsible Individual: Cinnamon Bradley, Associate Dean of Student Affairs Corrective Action: We agree. We understand that status changes must be submitted, and errors must be corrected in the National Student Clearinghouse and NSLDS in a timely manner. We will review our procedures to ensure proper recording of these changes by NSLDS based on our submission to the National Student Clearinghouse. Additionally, we will implement the following processes: • An automated monitoring notification system that will alert us within the established timeframe of status changes to ensure accuracy in both third-party systems. • Change in our submission process to the National Student Clearinghouse from 30 days to occur weekly to ensure timely reporting to NSLDS. Additionally, all student records contained in the NSLDS for the Academic Term will be reviewed every month and the student roster will be reviewed weekly for accuracy in both third-party systems. Anticipated Completion Date: March 1, 2024
View Audit 10337
Finding 7878 (2023-001)
Significant Deficiency 2023
West Shore Community College
MI
Student Financial Aid Allowable Costs / Cost Principles Eligibility
2023-001 – Pell Grant Calculation. Auditor Description of Condition and Effect. The Uniform Guidance states that the College must determine the maximum scheduled award a student would receive based on their Expected Family Contribution (EFC) and Cost of Attendance (COA) using the payment schedule pr...
2023-001 – Pell Grant Calculation. Auditor Description of Condition and Effect. The Uniform Guidance states that the College must determine the maximum scheduled award a student would receive based on their Expected Family Contribution (EFC) and Cost of Attendance (COA) using the payment schedule provided by the U.S. Department of Education. Students must be awarded on the basis of a COA comprised of allowable costs assessed to all students carrying the same academic workload. COA must be prorated for students who are attending less than an academic year, or who are less than full-time in a term-based program. As a result of this condition, the College was exposed to an increased risk that incorrect information would be used to determine students' Pell Grant award amounts. Auditor Recommendation. We recommend the College implement procedures to ensure the COA and EFC used to calculate each student's Pell Grant is updated for each academic year and reviewed by an independent official. Corrective Action. In the spring of each year, the College Financial Aid Department will establish the Cost of Attendance (COA) necessary for Pell student eligibility, in addition to the Educational Financial Contribution (EFC) for the following fiscal year. Once these are calculated and established, the head of the Business Office will review the calculations, discuss, and approve. Once they have been approved, the appropriate information will be entered into the Financial Aid software system. Responsible Party. Director of Financial Aid and Head of the Business Office. Anticipated Completion Date. June 30, 2024.
View Audit 10258
The Cleveland Institute of Art and Subsidaries
OH
Student Financial Aid Internal Control / Segregation of Duties
Management acknowledges that there was an error in the amount of Pell awarded to the student. Cleveland Institute of Art is in the process of calculating the number of students affected by the issue and reconciling any differences. The College is also reconfiguring the systems to ensure that this is...
Management acknowledges that there was an error in the amount of Pell awarded to the student. Cleveland Institute of Art is in the process of calculating the number of students affected by the issue and reconciling any differences. The College is also reconfiguring the systems to ensure that this issue does not continue. The financial aid office will import on a regular basis the credit hour update/create student update into Powerfaids using the data integration from J1 table to load credit hours onto the student record until the Pell recalculation/census date. The financial aid office will continue to share with the Registrar’s office the Financial Aid credit hours update report that shows hours not contributing to the program so they can correct the coding on specific coursework into the appropriate “trees.” Powerfaids only imports hours contributing to the program. At the beginning of the semester, and prior to disbursing aid, the financial aid office will look for enrollment discrepancies and reconcile hours in their system with a registration report from the Registrar’s office. On the census date, which is defined as day 15 of the term, the financial aid office will lock down the enrollment hours on the student record after reconciling the hours on the student record with the hours on the Registrar’s census report.
View Audit 10206
Finding 7782 (2023-001)
Significant Deficiency 2023
Vernon College
TX
Student Financial Aid Reporting
Management has reviewed the draft Schedule of Findings and Questioned Costs for FY 2023. We agree with the finding and are actively working to improve processes to ensure student files are uploaded timely and accurately. The Vice Presidents of Administrative and Student Services have discussed the i...
Management has reviewed the draft Schedule of Findings and Questioned Costs for FY 2023. We agree with the finding and are actively working to improve processes to ensure student files are uploaded timely and accurately. The Vice Presidents of Administrative and Student Services have discussed the issue with the Director of Enrollment Management and the Assistant Registrar. We have reached out to the Clearinghouse for resolution help and have already received data from them. Vernon College will follow the recommended procedures of the Clearinghouse moving forward to ensure the accuracy of data reported to the NSLDS.
View Audit 10120
Finding 7706 (2023-003)
Significant Deficiency 2023
Moore County, North Carolina
NC
Reporting Student Financial Aid Cash Management
Name of Contact Person: David Richmond, Interim Director Corrective Action/Management's Response: In response regarding the above mentioned finding for Moore County Social Services, please see the corrective action plan below: Training: • Accounting will develop and implement annual training for ...
Name of Contact Person: David Richmond, Interim Director Corrective Action/Management's Response: In response regarding the above mentioned finding for Moore County Social Services, please see the corrective action plan below: Training: • Accounting will develop and implement annual training for applicable DSS staff in conjunction with State required day sheet training. • This training will also be given to all new applicable staff in the orientation process. • DSS Accounting will maintain a record of all staff completing the training. Internal Reviews/Auditing by Unit Supervisors: • Each biweekly payroll is currently approved by supervisors prior to processing. • After each payroll the day sheets for that biweekly period will be reviewed by the supervisor to ensure proper coding and matching time to the payroll reports for each employee in their unit. • When this process is complete, they will send a report to DSS Accounting with their findings. Internal Reviews/Auditing by DSS Administration • DSS Accounting will monitor each reporting period to ensure each supervisor has submitted their bi-weekly report. • DSS Accounting will maintain files with these reports for additional follow-up as needed. • DSS Accounting and Payroll staff will work with necessary staff that have discrepancies to ensure corrections are completed. • In addition, at the end of each month (prior to submission of the 1571 State reimbursement report) DSS Accounting will spot check 3 random Services records for accuracy. Findings will be reported, and corrections completed/processed by the 15th of the month of review. Proposed Completion Date: The expected completion date to have corrective action implemented is December 15, 2023.
View Audit 10069
Rochester Institute of Technology
NY
Student Financial Aid Reporting Eligibility
Management Response and Corrective Action Plan OMB Uniform Guidance Audit for the fiscal year ended June 30, 2023 Finding 2023-001 - Non-Compliance with Timely Student Enrollment Change Submissions to the National Student Loan Data System (NSLDS) Management agrees with the finding and in concurren...
Management Response and Corrective Action Plan OMB Uniform Guidance Audit for the fiscal year ended June 30, 2023 Finding 2023-001 - Non-Compliance with Timely Student Enrollment Change Submissions to the National Student Loan Data System (NSLDS) Management agrees with the finding and in concurrence with the recommendations has developed and is implementing the following corrective action plans: 1. RIT will implement a process for students who are not expected to return in the fall semester and were enrolled in spring to update the enrollment status with the NSC, the third party that reports to the NSLDS for the University. The manual update to the NSC will be completed within 30 days from the date that RIT is notified that the student is confirmed to no longer be expected to return in the upcoming fall semester. This process will be implemented for the start of summer term 2024. 2. As of November 1, 2023, RIT has enhanced its degree certification process for late certifications to include the two steps which are now required by the NSC. RIT has also added to this process an additional verification to validate that the degree record is subsequently and correctly updated with the NSLDS. 3. The University has communicated with the helpdesk at the NSLDS to determine the reasons why the two identified records for which the student status changes were timely reported to the NSC; however, the data was not correctly captured by the NSLDS. The NSLDS has not been able to identify the root cause of the issue and are continuing to research the problem. They indicate that there is nothing that RIT can do to update these records at this time. Management concurs with the recommendation and will implement a periodic reconciliation processes between the NSLDS and the NSC to verify that the NSLDS timely and completely received communication of student changes. This will include a confirmation process for manual transactions with the NSC to ensure they were received by the NSLDS, which will begin January 2024. Responsible Individual: Joseph Loffredo, Associate Vice President for Academic Affairs & Registrar
View Audit 9841
Finding 7471 (2023-006)
Significant Deficiency 2023
Harris-Stowe State University
MO
Student Financial Aid Matching / Level of Effort / Earmarking Subrecipient Monitoring
Finding 2023-006 Personnel Responsible for Corrective Action: Registrar – Yolanda Kenton Anticipated Completion Date: December 2023 Corrective Action Plan: The University filled the Registrar position which had been vacant for 6 months. In addition, the Registrar’s Office implemented a control...
Finding 2023-006 Personnel Responsible for Corrective Action: Registrar – Yolanda Kenton Anticipated Completion Date: December 2023 Corrective Action Plan: The University filled the Registrar position which had been vacant for 6 months. In addition, the Registrar’s Office implemented a control that includes running a monthly enrollment status report allowing for changes to be reported within the 60 day window. The current Registrar has also done Registrar training with the American Association of Collegiate Registrars and Admissions Officers (AACRAO).
View Audit 9669
Los Angeles Chapter National Tooling & MacHining Association Training Centers Trust
CA
Student Financial Aid Reporting Special Tests & Provisions
The Institution will now automate this process with the introduction of the new student financial aid system as of March 2024. The Institution will begin to evaluate and improve its existing process related to the return of Title IV funds to include the automation of the notification and return due ...
The Institution will now automate this process with the introduction of the new student financial aid system as of March 2024. The Institution will begin to evaluate and improve its existing process related to the return of Title IV funds to include the automation of the notification and return due date obligations. Personnel Responsible for Implementation: Danielle Skinner Position of Responsible Personnel: President Expected Date of Implementation: March 2024
View Audit 9586
Los Angeles Chapter National Tooling & MacHining Association Training Centers Trust
CA
Student Financial Aid Reporting Special Tests & Provisions
The Institution does not agree with this finding. The Institution believes that it does not have the capability of changing this number on any of the open fields it has access to on the NSLDS site. The Institution made inquiries with the Department of Education and it was explained to the Institutio...
The Institution does not agree with this finding. The Institution believes that it does not have the capability of changing this number on any of the open fields it has access to on the NSLDS site. The Institution made inquiries with the Department of Education and it was explained to the Institution in the transcripts of the call with the NSLDS help desk that this field cannot be changed by the Institution. It is the Institution’s conclusion, along with the preliminary opinions of the ED and NDLDS, that this is not a finding as the Institution has no control of these populated fields.
View Audit 9586
Los Angeles Chapter National Tooling & MacHining Association Training Centers Trust
CA
Reporting Student Financial Aid Matching / Level of Effort / Earmarking
The Institution understands the importance of this process and the finding associated with this oversight is valid. The Institution will improve internal practices for promptly reviewing and responding to the NSLDS enrollment roster within the stipulated 15-day timeframe. The institution will establ...
The Institution understands the importance of this process and the finding associated with this oversight is valid. The Institution will improve internal practices for promptly reviewing and responding to the NSLDS enrollment roster within the stipulated 15-day timeframe. The institution will establish clear protocols for addressing errors on the NSLDS enrollment roster within the mandated 10-day period to ensure accurate and timely modifications. Personnel Responsible for Implementation: Danielle Skinner Position of Responsible Personnel: President Expected Date of Implementation: Immediate
View Audit 9586
Finding 7410 (2023-003)
Significant Deficiency 2023
Thomas More University
KY
Student Financial Aid Subrecipient Monitoring Significant Deficiency
Prior to the student information system transition, regular monitoring of the return of funds took place for Direct Loans, specifically for the returns associated with R2T4 calculations. During the transition, this process was not immediately replaced. It was noted during the audit cycle that issues...
Prior to the student information system transition, regular monitoring of the return of funds took place for Direct Loans, specifically for the returns associated with R2T4 calculations. During the transition, this process was not immediately replaced. It was noted during the audit cycle that issues existed within the new system related to returning funds and tickets were submitted to Jenzabar about the issues, specifically raising concerns about the timing of returns. Not all returns were being picked up by the process that collects the returns and sends them in batches to COD. Adjustments have been made to the system and testing has shown that all of the returns are being picked up now. The Financial Aid Office is also regularly monitoring returns again, similar to the process prior to the transition, and we are now monitoring both Direct Loan and Pell grant returns. This process is managed by an Excel spreadsheet of all Direct Loan and Pell grant returns that have been made in JFA. Any time a return of a Direct Loan or Pell grant is made in JFA, the return is added to the spreadsheet. A Financial Aid Counselor has a regular reminder on their calendar once per week to monitor each return to ensure that the full return process has taken place through COD and that the funds have been returned timely. Anticipated Completion Date: October 1, 2023
View Audit 9556
Finding 7408 (2023-002)
Significant Deficiency 2023
Thomas More University
KY
Student Financial Aid Reporting Significant Deficiency
The Office of the Registrar submits the enrollment reports to the National Student Clearinghouse. Over the course of this past year, the office struggled with a new student information system and staff changes. To prevent reports being submitted late, everyone in the current staff has been trained o...
The Office of the Registrar submits the enrollment reports to the National Student Clearinghouse. Over the course of this past year, the office struggled with a new student information system and staff changes. To prevent reports being submitted late, everyone in the current staff has been trained on how to submit reports. The office has worked with representatives of the National Student Clearinghouse to assist with error reports. In addition, the due dates for submitting the reports have been updated to a more consistent timeframe each month. Each staff member in the Office of the Registrar has the list of dates when the reports are due. Furthermore, the staff hopes to schedule more training from the provider of the student information system to help process reports more accurately. Anticipated Completion Date: November 1, 2023
View Audit 9556
Finding 7407 (2023-001)
Significant Deficiency 2023
Thomas More University
KY
Student Financial Aid Matching / Level of Effort / Earmarking Significant Deficiency
During the transition from Jenzabar CX to Jenzabar JFA software, the process to notify students of their loan and TEACH grant disbursements and rights to cancel needed to be rebuilt. The process in CX was fully automated, while the process in JFA was not fully automated for the 2022-23 audit cycle. ...
During the transition from Jenzabar CX to Jenzabar JFA software, the process to notify students of their loan and TEACH grant disbursements and rights to cancel needed to be rebuilt. The process in CX was fully automated, while the process in JFA was not fully automated for the 2022-23 audit cycle. As a result, there were some students in October of 2022 that did not receive their required notification. For the 2023-24 cycle, the Director of Financial Aid has worked with Jenzabar to establish a more automated process for these notifications. Two separate queries have been established to identify loan disbursements and TEACH recipients. Each query looks for disbursements that occurred that day and collects them in a batch. An automated “scheduler” then runs each group through a notification process where each student will receive an email to their Thomas More email account notifying them that they received the disbursement that day. The scheduler runs this process and sends notifications out at 8pm each evening. Any loan disbursements occur during normal business hours, and even if delayed, would not disburse past 6pm, so each disbursement that occurred that day will be caught by the scheduler by 8pm. Anticipated Completion Date: October 15, 2023
View Audit 9556
University of Hawaii
HI
Student Financial Aid Internal Control / Segregation of Duties
Finding No. 2023-005: Return of Title IV Funds – Control Deficiency Federal Agency: U.S. Department of Education AL Number and Title: 84.063P – Federal Pell Grant Program Questioned Costs: $ – Responsible Individual: Heather Florendo, Financial Aid Manager, Honolulu Community College Date Action Tak...
Finding No. 2023-005: Return of Title IV Funds – Control Deficiency Federal Agency: U.S. Department of Education AL Number and Title: 84.063P – Federal Pell Grant Program Questioned Costs: $ – Responsible Individual: Heather Florendo, Financial Aid Manager, Honolulu Community College Date Action Taken: 2023–24 Academic Year Return of Title IV Funds Calculations The date of determination (“DOD”) used to determine applicable deadlines in determining R2T4s was based on the date the financial aid specialist pulled the withdrawal report from ReportServer. Methodology used to determine DOD: • DOD used: 11/16/22 (Date report pulled) • 30th day: 12/16/22 • 45th day: 12/31/22 • R2T4 calculation and return completed: 12/15/22 • R2T4 Pell Grant returned: $389 Based on finding: • DOD used: 10/29/22 (date student withdrew per SFAREGF) • 30th day: 11/28/22 • 45th day: 12/13/22 • R2T4 return outside of 45-day window (2 days) Return of Title IV Funds Timing of Calculations Currently, we have one staff member assigned to process all Return of Title IV calculations. The office is in the process of hiring additional staff to assist with the workload created by the Return of Title IV calculation process. For the 2023–24 Academic year, withdrawal reports are pulled weekly. The financial aid specialist tracks the withdrawal date and determines the applicable deadline based on each individual student’s withdrawal date rather than the date the report is pulled.
View Audit 9418
University of Hawaii
HI
Questioned Costs Student Financial Aid Matching / Level of Effort / Earmarking
Finding No. 2023-004: Financial Aid Administration – Control Deficiency Federal Agency: U.S. Department of Education AL Number and Title: 84.063P – Federal Pell Grant Program 84.268 – Federal Direct Student Loans Questioned Costs: $25 Responsible Individual: Calvin Black, Financial Aid Manager, Hawa...
Finding No. 2023-004: Financial Aid Administration – Control Deficiency Federal Agency: U.S. Department of Education AL Number and Title: 84.063P – Federal Pell Grant Program 84.268 – Federal Direct Student Loans Questioned Costs: $25 Responsible Individual: Calvin Black, Financial Aid Manager, Hawaiʿi Community College Date Action Taken: On-going Return of Title IV Funds R2T4 was calculated incorrectly due to inadequate staffing and lack of personnel training. R2T4 has been recalculated for the identified student, and Hawaiʿi CC is working to hire vacant positions and resolve ongoing staffing issues. The UH Community College Central Financial Aid Office is also working to develop/finalize written R2T4 procedures. Enrollment Reporting Exit materials were sent late due to inadequate staffing and ongoing staff absences. Hawaiʿi CC is working to hire vacant positions and resolve ongoing staffing issues.
View Audit 9418 Questioned Costs: $1
University of Hawaii
HI
Student Financial Aid Reporting Internal Control / Segregation of Duties
Finding No. 2023-003: Return of Title IV Funds – Control Deficiency Federal Agency: U.S. Department of Education AL Number and Title: 84.063P – Federal Pell Grant Program Questioned Costs: $ – Responsible Individual: Davileigh Naeole, Financial Aid Director, University of Hawai‘i Maui College Date A...
Finding No. 2023-003: Return of Title IV Funds – Control Deficiency Federal Agency: U.S. Department of Education AL Number and Title: 84.063P – Federal Pell Grant Program Questioned Costs: $ – Responsible Individual: Davileigh Naeole, Financial Aid Director, University of Hawai‘i Maui College Date Action Taken: October 30, 2023 Noting the recommendations of the auditor, we will ensure the timely determination of withdrawal dates for students who unofficially withdraw within 30 days after the end of the enrollment period. We recently hired a permanent staff member and are training them in R2T4 calculations. In addition, to expedite the determination of withdrawal dates we have set a maximum response time for our last date of attendance emails to instructors. They will be required to respond within 12–14 days of receiving the initial LDA request. This will help to ensure that withdrawal dates are established and documented more quickly. Again, noting the recommendations of the auditor, we will ensure the timely remittance of the institutional portion of unearned aid to the appropriate Title IV program within the required 45-day time period. We expect that the timelier determination of LDA dates will expedite the overall process and we will meet the 45-day remit deadline.
View Audit 9418
University of Hawaii
HI
Student Financial Aid Matching / Level of Effort / Earmarking Internal Control / Segregation of Duties
Finding No. 2023-002: Return of Title IV Funds – Control Deficiency Federal Agency: U.S. Department of Education AL Number and Title: 84.063P – Federal Pell Grant Program 84.268 – Federal Direct Student Loans Questioned Costs: $ – Responsible Individual: Sherrie Padilla, Director of Financial Aid, U...
Finding No. 2023-002: Return of Title IV Funds – Control Deficiency Federal Agency: U.S. Department of Education AL Number and Title: 84.063P – Federal Pell Grant Program 84.268 – Federal Direct Student Loans Questioned Costs: $ – Responsible Individual: Sherrie Padilla, Director of Financial Aid, University of Hawaiʿi at Hilo Date Action Taken: Immediately A miscalculation counting the 45-day requirement occurred with the 4 students in question resulting in the funds being returned on the 46th day. Procedures have been adjusted to return funds on the 30th day giving ample time to meet the 45-day requirement.
View Audit 9418
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