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Corrective Action Plans

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Georgian Court University
NJ
Student Financial Aid Reporting Matching / Level of Effort / Earmarking
Contact Person: Carla Maria Ratico, Registrar Corrective Action: With regards to Error #2023-007, some of the findings were related to incorrect reporting of graduation status, graduation date, and program begin date. We identified that some dates had not been correctly entered. We are working with ...
Contact Person: Carla Maria Ratico, Registrar Corrective Action: With regards to Error #2023-007, some of the findings were related to incorrect reporting of graduation status, graduation date, and program begin date. We identified that some dates had not been correctly entered. We are working with our student information system software consultants and National Student Clearinghouse personnel to ensure that all staff understand reporting requirements, and we have taken steps to correct errors before we submit reports. Another finding was that error records were not corrected within the required timeframe. There has been a change in staffing in the office since the time periods of the audit findings, so a different person is now correcting error records. That individual has been made aware of the audit findings and has committed to work with office personnel and National Student Clearinghouse on correcting reported errors promptly. Anticipated Completion Date: October 1, 2024
View Audit 299541
Georgian Court University
NJ
Student Financial Aid Special Tests & Provisions Matching / Level of Effort / Earmarking
Contact Person: Cynthia McCarthy, Director of Financial Aid Corrective Action: The issue has been addressed and reviewed. Going forward the Director of Financial Aid will set up and review all periods of enrollment and dates in the return of funds calculation on COD prior to the start of the academi...
Contact Person: Cynthia McCarthy, Director of Financial Aid Corrective Action: The issue has been addressed and reviewed. Going forward the Director of Financial Aid will set up and review all periods of enrollment and dates in the return of funds calculation on COD prior to the start of the academic year. Anticipated Completion Date: January 3, 2024
View Audit 299541
Georgian Court University
NJ
Student Financial Aid Reporting
Contact Person: Cynthia McCarthy, Director of Financial Aid Corrective Action: Corrections to the FISAP were made prior to the correction submission deadline date. A review in the Detail Reporting process in Powerfaids was conducted and determined that the process in Powerfaids initially reported th...
Contact Person: Cynthia McCarthy, Director of Financial Aid Corrective Action: Corrections to the FISAP were made prior to the correction submission deadline date. A review in the Detail Reporting process in Powerfaids was conducted and determined that the process in Powerfaids initially reported that students who should have been included as full time were reverted to part time status if the last period of enrollment was less than fulltime. We have worked with Powerfaids to resolve this issue. Corrections were made to all Part V errors prior to the correction submission date. Payroll has been apprised that only ten percent of the JDL administrator salary can be attributed to and or drawn down from Federal Work Study funds. Anticipated Completion Date: December 1, 2023
View Audit 299541
Finding 387359 (2023-004)
Significant Deficiency 2023
Georgian Court University
NJ
Student Financial Aid Internal Control / Segregation of Duties Matching / Level of Effort / Earmarking
Contact Person: Cynthia McCarthy, Director of Financial Aid Corrective Action: Corrective action has been taken to ensure that when students have a spring start date in the prior academic year, the enrollment start date is updated to the correct enrollment start date. A cross check with a selection ...
Contact Person: Cynthia McCarthy, Director of Financial Aid Corrective Action: Corrective action has been taken to ensure that when students have a spring start date in the prior academic year, the enrollment start date is updated to the correct enrollment start date. A cross check with a selection set has been added to capture any incorrect records and adjust accordingly. Anticipated Completion Date: January 3, 2024
View Audit 299541
Finding 387355 (2023-003)
Significant Deficiency 2023
Georgian Court University
NJ
Student Financial Aid Matching / Level of Effort / Earmarking Eligibility
Contact Person: Cynthia McCarthy, Director of Financial Aid Corrective Action: For the 2023-2024 academic year Cost of Attendance Budgets were reviewed and tested to correct any miscalculations and omissions. Pell Budgets were updated to correctly differentiate program tuition and fees. Testing for ...
Contact Person: Cynthia McCarthy, Director of Financial Aid Corrective Action: For the 2023-2024 academic year Cost of Attendance Budgets were reviewed and tested to correct any miscalculations and omissions. Pell Budgets were updated to correctly differentiate program tuition and fees. Testing for 2024-2025 academic year has been updated and reviewed to accurately calculate Cost of Attendance Budgets. In some of the findings it was later found that due to changes made in the student’s record, the record should have run through the dynamic redetermination process to update the budget. The staff has been retrained in this process. The process for summer periods of enrollment has been reviewed and revised to flag students who initially applied and or registered for summer classes and subsequently did not register or dropped the classes during the add/drop period and the summer period of enrollment remained thereby calculating a Cost of Attendance for summer. Anticipated Completion Date: January 3, 2024
View Audit 299541
Georgian Court University
NJ
Cash Management Student Financial Aid
Contact Person: Tina Paccione, Director of Student Accounts Corrective Action: A turnover in personnel led to inconsistent refund processing for the Summer 2023 semester. There are multiple terms within the summer semester and the new personnel did not run refund files during the first term but ran ...
Contact Person: Tina Paccione, Director of Student Accounts Corrective Action: A turnover in personnel led to inconsistent refund processing for the Summer 2023 semester. There are multiple terms within the summer semester and the new personnel did not run refund files during the first term but ran them during the 2nd term. This is when the loan disbursement was realized and returned. Policies have been set in place outlining disbursement dates that coincide with refund processing dates. Anticipated Completion Date: February 29, 2024
View Audit 299541
Finding 387349 (2023-003)
Material Weakness 2023
The Pennsylvania State University
PA
Questioned Costs Student Financial Aid Subrecipient Monitoring
Condition: The University did not return all Title IV funds in a timely manner due to a lack of communication and review. Planned Corrective Action: Management has implemented the following corrective actions: -Beginning with the spring 2024 semester, an internal peer review process was implemented ...
Condition: The University did not return all Title IV funds in a timely manner due to a lack of communication and review. Planned Corrective Action: Management has implemented the following corrective actions: -Beginning with the spring 2024 semester, an internal peer review process was implemented to verify that Title IV funds are returned within the required timeframe. This involves segregation of duties between the completion of each of the following: 1) official and unofficial withdrawal review, 2) verification of this review, and 3) return of the Title IV funding. -Beginning in February 2024, the process team leader within the Office of Student Aid is monitoring system reports on a periodic basis (weekly for official withdrawals, within 45 days of date of determination for unofficial withdrawals) to ensure procedures are being followed. -Beginning in February 2024 for the fall 2023 semester, quality control reviews are being conducted by the Office of Student Aid’s Compliance and Training Team in which withdrawn students are sampled to monitor compliance. These reviews will be conducted at the end of each semester going forward. -Management will update its Return to Title IV (“R2T4”) procedures to reflect these additional controls. Additionally, job aids related to R2T4 have been reviewed and updated where appropriate and ongoing training has been occurring with the R2T4 specialists. Contact person responsible for corrective action: Melissa J. Kunes, Assistant Vice President for Enrollment Management and Executive Director for Student Aid Anticipated Completion Date: 03/31/2024
View Audit 299535 Questioned Costs: $1
Finding 387347 (2023-002)
Significant Deficiency 2023
The Pennsylvania State University
PA
Student Financial Aid Reporting Significant Deficiency
Condition: The University did not report certain students' status changes timely to the National Student Loan Data System (NSLDS). Planned Corrective Action: Management has implemented a change in the reporting timeline to ensure that there is adequate time between reporting to National Student Clea...
Condition: The University did not report certain students' status changes timely to the National Student Loan Data System (NSLDS). Planned Corrective Action: Management has implemented a change in the reporting timeline to ensure that there is adequate time between reporting to National Student Clearinghouse and their reporting to NSLDS. In addition, University management will monitor reporting of status changes to NSLDS. Contact person responsible for corrective action: Robert Kubat, Assistant Vice President of Enrollment Management and University Registrar Anticipated Completion Date: 06/30/2024
View Audit 299535
Finding 387327 (2023-005)
Significant Deficiency 2023
Southwestern Illinois College Community College District #522
IL
Student Financial Aid Matching / Level of Effort / Earmarking Special Tests & Provisions § 200.303
2023-005 Student Financial Assistance Cluster – ALN. 84.007; 84.033, 84.063, 84.268 Recommendation: We recommend the College review current processes for reporting to NSLDS and implement procedures to ensure submissions are reported timely. Explanation of disagreement with audit finding: The colleg...
2023-005 Student Financial Assistance Cluster – ALN. 84.007; 84.033, 84.063, 84.268 Recommendation: We recommend the College review current processes for reporting to NSLDS and implement procedures to ensure submissions are reported timely. Explanation of disagreement with audit finding: The college disagrees with this finding, related to the reporting of five graduate files to NSLDS. The finding states the five files were reported 12 days late of the 60-day reporting requirement. Per section 4.4.2 of the NSLDS Reporting Guide, it is not required that an update be received by NSLDS within two months of the Enrollment Status Effective Date, but rather in the next scheduled enrollment submission. Evidence the graduation status was reported in the next scheduled enrollment submission was provided to the auditors. Action taken in response to finding: The College will continue to closely monitor NSC/ NSLDS reporting schedule and check for transmission errors to ensure compliance with reporting requirements. Name(s) of the contact person(s) responsible for corrective action: Katelyn Dawson Planned completion date for corrective action plan: 6/30/24
View Audit 299518
Finding 387321 (2023-004)
Significant Deficiency 2023
Southwestern Illinois College Community College District #522
IL
Special Tests & Provisions Student Financial Aid Significant Deficiency § 200.303
2023-004 Student Financial Assistance Cluster – ALN. 84.007; 84.033, 84.063, 84.268 Recommendation: We recommend the College implement policies and procedures to identify these requirements and timely report to the appropriate regulators. Explanation of disagreement with audit finding: There is no d...
2023-004 Student Financial Assistance Cluster – ALN. 84.007; 84.033, 84.063, 84.268 Recommendation: We recommend the College implement policies and procedures to identify these requirements and timely report to the appropriate regulators. Explanation of disagreement with audit finding: There is no disagreement with the audit finding. Action taken in response to finding: The college will monitor Dear Colleague Letters and the Federal Student Aid Handbook to ensure compliance with disclosures and reporting requirements. Name(s) of the contact person(s) responsible for corrective action: Jacob Wheeler Planned completion date for corrective action plan: 6/30/24
View Audit 299518
Finding 387315 (2023-003)
Significant Deficiency 2023
Southwestern Illinois College Community College District #522
IL
Student Financial Aid Special Tests & Provisions Matching / Level of Effort / Earmarking § 200.303
2023-003 Student Financial Assistance Cluster – ALN. 84.007; 84.033, 84.063, 84.268 Recommendation: We recommend that the student financial aid department develop a process to identify all credit balances are paid timely. Explanation of disagreement with audit finding: There is no disagreement with ...
2023-003 Student Financial Assistance Cluster – ALN. 84.007; 84.033, 84.063, 84.268 Recommendation: We recommend that the student financial aid department develop a process to identify all credit balances are paid timely. Explanation of disagreement with audit finding: There is no disagreement with the audit finding. Action taken in response to finding: The College will conduct a manual review of all refund holds to ensure they are removed to allow timely pay of Title IV credit balances. Name(s) of the contact person(s) responsible for corrective action: Katelyn Dawson Planned completion date for corrective action plan: 6/30/24
View Audit 299518
Finding 387309 (2023-002)
Significant Deficiency 2023
Southwestern Illinois College Community College District #522
IL
Student Financial Aid Matching / Level of Effort / Earmarking Special Tests & Provisions § 200.303
2023-002 Student Financial Assistance Cluster – ALN. 84.007; 84.033, 84.063, 84.268 Recommendation: We recommend that the student financial aid department work to ensure disbursements are reported to COD within 15 days of the disbursement date. Explanation of disagreement with audit finding: There i...
2023-002 Student Financial Assistance Cluster – ALN. 84.007; 84.033, 84.063, 84.268 Recommendation: We recommend that the student financial aid department work to ensure disbursements are reported to COD within 15 days of the disbursement date. Explanation of disagreement with audit finding: There is no disagreement with the audit finding. Action taken in response to finding: The College will closely monitor submission dates and work quickly to resolve technology or other discrepancies that result in delays in file transfer to COD within 15 days of the disbursement date. Name(s) of the contact person(s) responsible for corrective action: Katelyn Dawson Planned completion date for corrective action plan: 6/30/24
View Audit 299518
Finding 387210 (2023-004)
Significant Deficiency 2023
Community College District of Monroe County, Michigan
MI
Student Financial Aid Matching / Level of Effort / Earmarking
The Financial Aid Office is in the process of updating all processes and procedures to create checks and balances to ensure that all return of funds are processed appropriately.
The Financial Aid Office is in the process of updating all processes and procedures to create checks and balances to ensure that all return of funds are processed appropriately.
View Audit 299496
Finding 387209 (2023-005)
Significant Deficiency 2023
Community College District of Monroe County, Michigan
MI
Student Financial Aid Matching / Level of Effort / Earmarking
The Financial Aid Office is currently working on updating the Return of Funds procedures, that includes steps to ensure calculations are being processed properly.
The Financial Aid Office is currently working on updating the Return of Funds procedures, that includes steps to ensure calculations are being processed properly.
View Audit 299496
Finding 387207 (2023-006)
Significant Deficiency 2023
Community College District of Monroe County, Michigan
MI
Student Financial Aid Reporting Matching / Level of Effort / Earmarking
The Registrars Office and Financial Aid Office are reviewing all current processes to ensure that status changes are being reported accurately. This includes students who may have requested a Refund Exception Appeal, which could have an impact on the date of determination the withdrawal occurred.
The Registrars Office and Financial Aid Office are reviewing all current processes to ensure that status changes are being reported accurately. This includes students who may have requested a Refund Exception Appeal, which could have an impact on the date of determination the withdrawal occurred.
View Audit 299496
Finding 387194 (2023-001)
Significant Deficiency 2023
University of St. Thomas
MN
Student Financial Aid Matching / Level of Effort / Earmarking Internal Control / Segregation of Duties
Federal Perkins Loan Program – Assistance Listing No. 84.038 Recommendation: We recommend the University implement a procedure with the third party servicer to ensure that their report is completed timely so that the University can perform the necessary due diligence they need to perform. Explanatio...
Federal Perkins Loan Program – Assistance Listing No. 84.038 Recommendation: We recommend the University implement a procedure with the third party servicer to ensure that their report is completed timely so that the University can perform the necessary due diligence they need to perform. Explanation of disagreement with audit finding: There is no disagreement with the audit finding. Action taken in response to finding: Recognizing the importance of resolving this finding the University of St Thomas intends to leverage its Internal Audit function in review of its relationship with UAS and the regulations and compliance items therein. Name of the contact person responsible for corrective action: Wade Holmberg Planned completion date for corrective action plan: 6/1/2024
View Audit 299468
Fresno Pacific University and Subsidiaries
CA
Student Financial Aid Cash Management Matching / Level of Effort / Earmarking
Cash Management Planned Corrective Action: The SFS office will provide the Business Office the types and amounts of funds disbursed. The Business Office will drawdown those amounts from the G5 system. The SFS Office will maintain a roster of the disbursements to validate the amount of funds request...
Cash Management Planned Corrective Action: The SFS office will provide the Business Office the types and amounts of funds disbursed. The Business Office will drawdown those amounts from the G5 system. The SFS Office will maintain a roster of the disbursements to validate the amount of funds requested. Person Responsible for Corrective Action Plan: Bryan Taylor, Associate Director of SFS Processing Anticipated Date of Completion: April 2024
View Audit 299440
Fresno Pacific University and Subsidiaries
CA
Questioned Costs Student Financial Aid Matching / Level of Effort / Earmarking
Aggregate Federal Direct Loan Limits Planned Corrective Action: Staff training and new reports to identify situations where comment codes related to aggregate limits are identified and reviewed to prevent over awarded funds. Person Responsible for Corrective Action Plan: Bryan Taylor, Associate Di...
Aggregate Federal Direct Loan Limits Planned Corrective Action: Staff training and new reports to identify situations where comment codes related to aggregate limits are identified and reviewed to prevent over awarded funds. Person Responsible for Corrective Action Plan: Bryan Taylor, Associate Director of SFS Processing Anticipated Date of Completion: February 2024
View Audit 299440 Questioned Costs: $1
Fresno Pacific University and Subsidiaries
CA
Student Financial Aid Matching / Level of Effort / Earmarking
Federal Direct Loan (FOL) Monthly Reconciliations Planned Corrective Action: Additional oversight and accountability measures have been put in place to ensure reconciliation is conducted monthly and timely. Person Responsible for Corrective Action Plan: Bryan Taylor, Associate Director of SFS Proc...
Federal Direct Loan (FOL) Monthly Reconciliations Planned Corrective Action: Additional oversight and accountability measures have been put in place to ensure reconciliation is conducted monthly and timely. Person Responsible for Corrective Action Plan: Bryan Taylor, Associate Director of SFS Processing Anticipated Date of Completion: January 2024
View Audit 299440
Finding 387168 (2023-005)
Significant Deficiency 2023
Fresno Pacific University and Subsidiaries
CA
Questioned Costs Student Financial Aid Eligibility
Ineligible Programs Planned Corrective Action: Additional training regarding program eligibility has been conducted with the Processing Team. Previously unknown functionality to designate a program as being ineligible for Title IV aid in the Colleague administrative system was identified and implem...
Ineligible Programs Planned Corrective Action: Additional training regarding program eligibility has been conducted with the Processing Team. Previously unknown functionality to designate a program as being ineligible for Title IV aid in the Colleague administrative system was identified and implemented. Title IV funds can no longer be disbursed for programs marked as ineligible. Person Responsible for Corrective Action Plan: Bryan Taylor, Associate Director of SFS Processing Anticipated Date of Completion: February 2024
View Audit 299440 Questioned Costs: $1
Finding 387162 (2023-003)
Material Weakness 2023
Fresno Pacific University and Subsidiaries
CA
Student Financial Aid Subrecipient Monitoring Material Weakness
Inaccurate and Untimely Returns of Title IV Funds (R2T4) Planned Corrective Action: The university outsourced the R2T4 calculation process in October 2022 to provide timely processing of returns. Additionally, to reduce the overall amount of withdrawal calculations, the university moved from an Ins...
Inaccurate and Untimely Returns of Title IV Funds (R2T4) Planned Corrective Action: The university outsourced the R2T4 calculation process in October 2022 to provide timely processing of returns. Additionally, to reduce the overall amount of withdrawal calculations, the university moved from an Institution Required to Take Attendance to an Institution Not Required to Attendance in May 2023. Additional reports were created to accommodate this change and identify withdrawals. Staff attended the NASFAA R2T4 training course. Person Responsible for Corrective Action Plan: Bryan Taylor, Associate Director of SFS Processing Anticipated Date of Completion: November 2023
View Audit 299440
Finding 387156 (2023-002)
Material Weakness 2023
Fresno Pacific University and Subsidiaries
CA
Student Financial Aid Material Weakness
Lack of Administrative Capability Planned Corrective Action: The university added and filled vacant positions in the financial aid office which provided additional capacity for processing and compliance. New levels of oversight and accountability were established and are being followed. Previously ...
Lack of Administrative Capability Planned Corrective Action: The university added and filled vacant positions in the financial aid office which provided additional capacity for processing and compliance. New levels of oversight and accountability were established and are being followed. Previously unknown functionality in the Colleague system was identified and implemented preventing the awarding of aid to ineligible programs. Person Responsible for Corrective Action Plan: David Richards, Director of Student Financial Services Anticipated Date of Completion: February 2024
View Audit 299440
Finding 387142 (2023-005)
Significant Deficiency 2023
Tabor College, Inc.
KS
Student Financial Aid Significant Deficiency Internal Control / Segregation of Duties
Fiscal Operations and Application to Participate (FISAP) Award Period: July 1, 2022 to June 30, 2023 Type of Finding: Significant Deficiency in Internal Control over Compliance; Other Matters Recommendation: We recommend the College review their procedures to implement a review process in place befo...
Fiscal Operations and Application to Participate (FISAP) Award Period: July 1, 2022 to June 30, 2023 Type of Finding: Significant Deficiency in Internal Control over Compliance; Other Matters Recommendation: We recommend the College review their procedures to implement a review process in place before the FISAP is submitted to the Department of Education. Explanation of disagreement with audit finding: There is no disagreement with the audit finding. Action taken in response to finding: Tabor College will ensure that procedures are in place to ensure the FISAP data has a review by a second person prior to submission. The hiring of the Director of Financial Aid will greatly assist in ensuring accuracy of reporting. Name(s) of the contact person(s) responsible for corrective action: Erica Clark, Director of Financial Aid Planned completion date for corrective action plan: September 2024 filing.
View Audit 299430
Finding 387136 (2023-004)
Significant Deficiency 2023
Tabor College, Inc.
KS
Student Financial Aid Significant Deficiency Internal Control / Segregation of Duties
Gramm-Leach-Bliley Act Award Period: July 1, 2022 to June 30, 2023 Type of Finding: Significant Deficiency in Internal Control over Compliance; Other Matters Recommendation: We recommend the College review their documentation and ensure that the written information security program includes the requ...
Gramm-Leach-Bliley Act Award Period: July 1, 2022 to June 30, 2023 Type of Finding: Significant Deficiency in Internal Control over Compliance; Other Matters Recommendation: We recommend the College review their documentation and ensure that the written information security program includes the required elements. We also recommend reviewing the changes in the Gramm-Leach-Bliley Act regulations that were required to be implemented as of June 9, 2023. Explanation of disagreement with audit finding: There is no disagreement with the audit finding. Action taken in response to finding: Tabor College appointed an Information Technology Point of Contact in 2023. Tabor College contracted with Tenfold Security to assist with the requirements of the Gramm-Leach-Bliley Act (GLBA). A Risk Assessment was performed in April 2023 and the final report issued in May 2023. Penetration testing has been completed on a regular basis beginning March 27, 2023. Multi-factor Authentication (MFA) implementation began in June with full implementation with the return of students in August 2024. MFA has been fully implemented for all employees, students, and Board members. The significant undertaking of establishing required Policies and Procedures began in June 2023. A GLBA Committee has been recently been formed to help ensure compliance with all of the established policies and procedures. Tabor continues to work with Tenfold to ensure compliance with the GLBA requirements as of June 9, 2023. Name(s) of the contact person(s) responsible for corrective action: Cathy Castle, Vice President for Business and Finance Planned completion date for corrective action plan: 2024 and ongoing. If the Department of Education has questions regarding this plan, please call Cathy Castle at 620-947-3121 x 1056.
View Audit 299430
Finding 387130 (2023-003)
Significant Deficiency 2023
Tabor College, Inc.
KS
Student Financial Aid Reporting Significant Deficiency
National Student Loan Data System (NSLDS) Award Period: July 1, 2022 to June 30, 2023 Type of Finding: Significant Deficiency in Internal Control over Compliance; Other Matters Recommendation: We recommend the College review its reporting procedures to ensure the students' statuses are accurately re...
National Student Loan Data System (NSLDS) Award Period: July 1, 2022 to June 30, 2023 Type of Finding: Significant Deficiency in Internal Control over Compliance; Other Matters Recommendation: We recommend the College 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: Tabor College utilizes a clearing house for submitting student statuses. Enrollment is submitted on a monthly basis, at the beginning of the term, each month and then when the term has ended. Graduate students are reported at the end of the term. Tabor will ensure that all students statuses are filed accurately and timely. A Director of Financial Aid has been hired. This position had been filled by an interim person. Name(s) of the contact person(s) responsible for corrective action: Erica Clark, Director of Financial Aid Planned completion date for corrective action plan: April 2024
View Audit 299430
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