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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
University of Hawaii
HI
Student Financial Aid Reporting Matching / Level of Effort / Earmarking
Finding No. 2023-001: Financial Aid Administration – Control Deficiency Federal Agency: U.S. Department of Education AL Number and Title: 84.063P – Federal Pell Grant Program Questioned Costs: $ – Responsible Individual: Pheng Xiong, Office of the Registrar, University Registrar Nikki Chun, Div. of ...
Finding No. 2023-001: Financial Aid Administration – Control Deficiency Federal Agency: U.S. Department of Education AL Number and Title: 84.063P – Federal Pell Grant Program Questioned Costs: $ – Responsible Individual: Pheng Xiong, Office of the Registrar, University Registrar Nikki Chun, Div. of Enrollment Management, Vice Provost for Enrollment Management Date Action Taken: August 2023 The Office of the Registrar is fully aware of and takes very seriously its enrollment and degree reporting requirements and responsibilities. The finding presented in Finding No. 2023-005 happened as a result of a processing error where students in the final Spring 2023 enrollment file were not cleared out. This prevented students in the Spring 2023 degree files, submitted on June 26th and July 3rd, from having their graduation statuses updated with the National Student Clearinghouse if they were in the affected initial Summer 2023 enrollment file. The August 2nd file could not be processed because the National Student Clearinghouse was working with the office to reject the Summer enrollment and Spring 2023 degree reports. The reports had to be rejected in order for the corrected Summer 2023 file to be applied. The existing business process requires use of an SQL script. Since the script requires complicated manual steps and can lead to errors, the Office of the Registrar has been working to implement the NSC reporting functionality in the student information system. The new business process will improve enrollment and degree reporting, including the reduction of errors resulting from human error. The Office of the Registrar aims to go live with new business process with Spring 2024 enrollment reporting.
View Audit 9418
Yale University
CT
Student Financial Aid Matching / Level of Effort / Earmarking Special Tests & Provisions
Views of Responsible Officials and Corrective Action Plan The University acknowledges the need for consistent policies, procedures, and the application of these requirements and has already begun to put in place corrective actions to address these issues for the 2023-24 academic year. Outlined below...
Views of Responsible Officials and Corrective Action Plan The University acknowledges the need for consistent policies, procedures, and the application of these requirements and has already begun to put in place corrective actions to address these issues for the 2023-24 academic year. Outlined below are corrective actions and proposed changes to align Yale with the stated recommendations: • Verification – Implementation of a university-wide document posting process with an expected implementation date by the end of the fiscal year 2024. This process will auto-populate federally required documents into Yale’s financial aid system, based on FAFSA/ISIR comment codes, in a way that will prevent disbursement to a student’s account unless collected. Schools will receive training from the University Financial Aid Office (“UFAO”) in concurrence with the implementation of this new automated population regarding the collection of the new university-wide form and the proper acceptance of identity requirements. • Electronic Transactions – Beginning in June of 2023, all financial aid recipients, not just Federal Financial Aid recipients, are asked to complete E-Consent on the new Student Portal Yale Hub. Students cannot view award offers, electronic documents that must be completed online, or personal historical financial aid data until the E-Consent question is answered. • Return of Title IV – Creation and implementation of a university-wide Return to Title IV funds policy and procedure is currently in process. This implementation will begin before the end of calendar year 2023 and will include training of several additional Financial Aid staff members across the university on the updated policies and procedures to create redundancies for timely and consistent processing of R2T4’s. • NSLDS Enrollment Reporting – The University Registrar is working with ITS to correct the custom Banner NSC extract job to ensure that not just the enrollment status is updated, but also the program level status. An additional staff member in the registrar’s office will be deployed to focus on compliance and enrollment reporting. • Satisfactory Academic Progress (“SAP”) – The University Financial Aid Office has begun a school-by-school review of SAP policies. Review and implementation of updated SAP policies will be concluded by June 2024 schoolwide. UFAO will set up an SAP review process for new programs as well as an annual review for each school. University contact: David Blackmon, Director, Office of Student Financial Aid David.Blackmon@yale.edu
View Audit 9367
Finding 7073 (2023-001)
Significant Deficiency 2023
Southeastern Illinois College
IL
Student Financial Aid Reporting Matching / Level of Effort / Earmarking
Southeastern Illinois College will be implementing remediation steps to ensure that enrollment information is accurate in the National Student Loan Data System (NSLDS). The College’s Information Technology (IT) department will work with the Registrar in creating a process where graduates who are not...
Southeastern Illinois College will be implementing remediation steps to ensure that enrollment information is accurate in the National Student Loan Data System (NSLDS). The College’s Information Technology (IT) department will work with the Registrar in creating a process where graduates who are not originally reported as graduated can be updated to graduated status in National Student Clearinghouse (NSC)’s website. This may include making a graduates’ only submission to NSC to update those graduates whose degrees were conferred after the original submission. Also, the Student Affairs department will now review submission data and give approval prior to submission to NSC. To assist in this review, the IT department will develop a data validation report that lists students who have completed a certificate and/or degree and are no longer attending.
View Audit 9099
Finding 7062 (2023-004)
Significant Deficiency 2023
Barton County Community College
KS
Student Financial Aid Special Tests & Provisions Reporting
Federal Program Student Financial Assistance Cluster Compliance requirements Special Tests and Provisions – Enrollment Reporting Condition During testing, we identified that three of the fourteen students tested did not have an enrollment status change reported. Recommendation We recommend th...
Federal Program Student Financial Assistance Cluster Compliance requirements Special Tests and Provisions – Enrollment Reporting Condition During testing, we identified that three of the fourteen students tested did not have an enrollment status change reported. Recommendation We recommend that the College review its controls to ensure that accurate enrollment information is reported to NSLDS. Comments on the Finding Recommendation Due to requirements of the Kansas State Board of Regents, students that drop courses after a certain point in the semester are considered “W” students, and they did not have their enrollment status changed within the system. Because of this, any status changes that occurred after that given point in the semester, that did not result in the total withdrawal of a student, were not reported to NSLDS. Action Taken The College is testing potential methods to ensure that changes to students’ enrollment statuses are properly reported. These solutions have been tested in the Student Information System (Banner) in the test environment and were successful. This will be moved into production and the next reporting date of November 16th should have the updated information for reporting.
View Audit 9062
Finding 7059 (2023-003)
Significant Deficiency 2023
Barton County Community College
KS
Special Tests & Provisions Student Financial Aid Matching / Level of Effort / Earmarking
Federal Program Student Financial Assistance Cluster Compliance requirements Special Tests and Provisions – Return to Title IV Condition During testing, we identified that three of the sixteen students tested had an incorrect Return to Title IV calculation on file. Recommendation We recommend t...
Federal Program Student Financial Assistance Cluster Compliance requirements Special Tests and Provisions – Return to Title IV Condition During testing, we identified that three of the sixteen students tested had an incorrect Return to Title IV calculation on file. Recommendation We recommend that the College review its controls to ensure that accurate Return to Title IV calculations are completed. Comments on the Finding Recommendation The College used seven calendar break days upon the basis that the campus was only closed for seven days for both Spring Break and Thanksgiving Break. However, it was brought to the College’s attention that break days for Return to Title IV purposes are considered all days between the last scheduled day of classes, and the first day classes resume, which would be nine calendar break days for both the Fall and Spring semesters. Action Taken As of September 11, 2023, the financial aid office has recalculated the Return to Title IV calculations for all students whose calculations utilized the incorrect number of break days. Return amounts have been corrected based upon those calculations. Staff have also undergone training regarding use of the correct calendar for students.
View Audit 9062
Finding 6925 (2023-001)
Significant Deficiency 2023
Ashland University
OH
Student Financial Aid Matching / Level of Effort / Earmarking Subrecipient Monitoring
Management concurs with the finding. The Registrar’s Office and Financial Aid Office has performed a review of its policies and procedures and has revised them accordingly to ensure timely, accurate and complete submissions to the NSLDS. The determination of the review was that the enrollment effect...
Management concurs with the finding. The Registrar’s Office and Financial Aid Office has performed a review of its policies and procedures and has revised them accordingly to ensure timely, accurate and complete submissions to the NSLDS. The determination of the review was that the enrollment effective status data field required correction in the NSLDS Enrollment History system. Since the restoration of the NSLDS system in November 2022, the Registrar’s Office and Financial Aid has corrected the data which was completed on September 13, 2023.
View Audit 8911
Finding 6667 (2023-001)
Significant Deficiency 2023
The Art Institute of Chicago
IL
Student Financial Aid Matching / Level of Effort / Earmarking Internal Control / Segregation of Duties
THE ART INSTITUTE OF CHICAGO Corrective Action Plan For the Year Ended June 30, 2023 2023-001 Inadequate Control over Return of Title IV Funds- Student Financial Aid Cluster -Assistance Listing Number 84.063, 84.268, Grant Period -Year Ended June 30, 2023. Condition Found The Institution did not acc...
THE ART INSTITUTE OF CHICAGO Corrective Action Plan For the Year Ended June 30, 2023 2023-001 Inadequate Control over Return of Title IV Funds- Student Financial Aid Cluster -Assistance Listing Number 84.063, 84.268, Grant Period -Year Ended June 30, 2023. Condition Found The Institution did not accurately calculate the return of Title IV funds and return the funds in a timely manner, as required by the federal regulations. Cause The Institute did not consistently implement its internal controls to ensure that the return of Title IV funds was correctly calculated and reported in a timely manner. Corrective Action Plan The Art Institute of Chicago has updated all student accounts and returned all funds. The Student Financial Services office will implement two additional procedures to the withdrawal/R2T4 process to ensure that they are processed accurately and timely. 1. A weekly Complete Withdrawal report will be run in PeopleSoft Campus Solutions and reviewed by the Associate Director of Financial Aid Processing. The report lists all students who have fully withdrawn after the add/drop period and through the end of the semester. The Associate Director will compare the list to the R2T4s that have been completed to identify and confirm that all R2T4s have been completed timely for all withdrawn recipients of federal student aid. 2. The Director of Student Financial Services, or an appropriately trained staff person as assigned, will perform a review of all completed R2T4 forms. This review will be conducted to ensure that the calculations are correct and that the adjustments to any federal funds as determined by the R2T4 calculations have been input correctly in PeopleSoft Campus Solutions. Documentation of the review of each R2T4 from the semester will be maintained on a spreadsheet by the Director of Student Financial Services. Responsible Persons for Corrective Action Plan Patrick James, Director of Student Financial Services Sherman Lee, Associate Director of Financial Aid Processing Implementation Date of Corrective Action Plan Immediately
View Audit 8642
Converse University
SC
Student Financial Aid Subrecipient Monitoring Reporting
The finding was due in part to the lack of a process to correctly backdate administrative withdrawals when a student is awarded a grade of W after the stated date. This resulted in inconsistent dates reported to NSLDS and in the academic file. Management has met to address this issue. The Offices...
The finding was due in part to the lack of a process to correctly backdate administrative withdrawals when a student is awarded a grade of W after the stated date. This resulted in inconsistent dates reported to NSLDS and in the academic file. Management has met to address this issue. The Offices of Campus Technology, Financial Planning and Registrar have met to discuss processes in place and create new methods by which administrative withdrawals will be handled going forward. Additionally, management is working with Jenzabar to ensure the dates are consistent with the withdrawal option, specifically the awarding of W grades and the related date of last attendance. This process will assist the University in the following ways: students will be reported on the NSLDS report in the appropriate timeframe, a uniform withdrawal date will be recorded in the Offices of the Registrar and Financial Planning and students receive the appropriate grade as indicated by the official academic calendar. This action has been implemented for the final grading period ending on Monday, December 11, 2023. Management will continue to submit enrollment reports to the NSLDS on the schedule submitted annually, ensuring that any changes to student enrollment will be reported as required. The corrective action plan will be undertaken by the Office of the Registrar, under the supervision of the University Registrar and Director of Institutional Research and Effectiveness, Kendra Woodson (Kendra.woodson@converse.edu).
View Audit 8384
Finding 6373 (2023-002)
Material Weakness 2023
King's College
PA
Student Financial Aid Material Weakness Matching / Level of Effort / Earmarking
Views of Responsible Officials and Planned Corrective Actions: The College agrees with the finding. The College had internally identified the failure to send the required notifications in January 2023 and took corrective action to create new processes and made system adjustments effective for the fa...
Views of Responsible Officials and Planned Corrective Actions: The College agrees with the finding. The College had internally identified the failure to send the required notifications in January 2023 and took corrective action to create new processes and made system adjustments effective for the fall 2023 semester. All required notifications were made for fall 2023 disbursements. The College is evaluating alternate notification processes to improve efficiencies and ensure completeness. Names of Contact Persons Responsible for Corrective Action: Barbara Schmitt, Director of Financial Aid Anticipated Completion Date: Changes were effective for the fall 2023 semester
View Audit 8234
King's College
PA
Special Tests & Provisions Student Financial Aid Subrecipient Monitoring
Views of Responsible Officials and Planned Corrective Actions: The College agrees with the finding. The Associate Director of Financial Aid is responsible for calculating Return of Title IV (R2T4) refunds for all students who withdraw from the College within the first 60% of the payment period using...
Views of Responsible Officials and Planned Corrective Actions: The College agrees with the finding. The Associate Director of Financial Aid is responsible for calculating Return of Title IV (R2T4) refunds for all students who withdraw from the College within the first 60% of the payment period using the Colleague software R2T4 module for calculating refunds. The Director of Financial Aid will provide a secondary review of all calculated R2T4 refunds before funds are returned to the Common Origination and Disbursement system. Names of Contact Persons Responsible for Corrective Action: Barbara Schmitt, Director of Financial Aid Anticipated Completion Date: Changes were effective for the fall 2023 semester
View Audit 8234
Yeshiva University
NY
Student Financial Aid Eligibility Reporting
Management Views and Corrective Action Plans 2023-001 – Inaccurate Submission of Student Enrollment Change Submissions to the National Student Loan Data System (NSLDS) Point of Contact – Jennifer Spiegel Goldberg, University Registrar, (646-592-6275) Management agrees with the current year finding a...
Management Views and Corrective Action Plans 2023-001 – Inaccurate Submission of Student Enrollment Change Submissions to the National Student Loan Data System (NSLDS) Point of Contact – Jennifer Spiegel Goldberg, University Registrar, (646-592-6275) Management agrees with the current year finding and the recommendations. The Office of the Registrar has recently been reorganized to create a dedicated, Records unit to assure that limited personnel will be responsible for leaves and withdrawals and who will use internal reports available to quality control data input before external reporting. All staff have been retrained to watch for the condition that led to this error when handling requests, including reminder of University policies and procedures. This retraining took place on September 6, 2023. The NSC Roster and NSLDS will be updated by December 29, 2023. We believe this finding will be remediated in fiscal 2024.
View Audit 8211
Finding 6099 (2023-002)
Significant Deficiency 2023
Columbia International University and Subsidiaries
SC
Student Financial Aid Reporting Significant Deficiency
Inaccurate and Untimely Returns of Title IV Funds (R2T4) Planned Corrective Action: In conjunction with the Registrar’s Office, we have implemented the following corrective actions to improve our processes/timeframe for withdrawals: 1) This summer, the Financial Aid Office was added to the workfl...
Inaccurate and Untimely Returns of Title IV Funds (R2T4) Planned Corrective Action: In conjunction with the Registrar’s Office, we have implemented the following corrective actions to improve our processes/timeframe for withdrawals: 1) This summer, the Financial Aid Office was added to the workflow in Etrieve (document management system used by CIU) so that 2 of our counselors (one for UG trad and one for online) now receive notifications directly of every withdrawal received by the Registrar’s Office. This allows our office to begin the process of returning funds without the reliance of emails forwarded from the Registrar’s Office. 2) Director and Associate Directors of Financial Aid met with the Registrar and Assistant Registrar on 10/31/23 to discuss how communication and processes could improve between offices. The following are several action items the Registrar will complete on their end that can assist in accomplishing this goal. • Registrar will ask Deans to explain to their faculty that when a student completes an assignment after their module is complete, the date to be entered must be the last date of that module so that our reports will capture the date needed for the return to process correctly. • Registrar will review their current procedures for processing official withdrawals and tighten their turn around time so that the Financial Aid Office can return aid within the required 45 days. 3) CIU made the decision to convert all 5-week UG online classes to 8-week classes starting the 23-24 academic year. These modules now fall within our standard academic calendar which should greatly improve our ability to monitor and process withdrawals for this student population. Person Responsible for Corrective Action Plan: Patty Hix, Director of Financial Aid; Lynsay Shumpert, Associate Director for Online Studies; Elizabeth Haselden, Registrar Anticipated Date of Completion: A follow-up meeting has been set before the end of fall semester to discuss the progress of our action plans with the Registrar.
View Audit 7973
Simpson University
CO
Student Financial Aid
Inaccurate Pell Calculations Planned Corrective Action: The University recognized that this was an isolated concern based on the late notification from the Department of Education on Pell Grant Awards for the 2022-23 award year. System updates and 20 hours of system training have been scheduled and/...
Inaccurate Pell Calculations Planned Corrective Action: The University recognized that this was an isolated concern based on the late notification from the Department of Education on Pell Grant Awards for the 2022-23 award year. System updates and 20 hours of system training have been scheduled and/or implemented to prevent this from reoccurring. Person Responsible for Corrective Action Plan: Shondra Dickson, Director of Financial Aid Anticipated Date of Completion: April 2024
View Audit 7877
Finding 5784 (2023-002)
Significant Deficiency 2023
Simpson University
CO
Student Financial Aid Allowable Costs / Cost Principles Significant Deficiency
Need Analysis Planned Corrective Action: The University recognizes the federal regulations regarding over‐awarding and has implemented the use of a delivered report through the Student Information System to address this concern. Person Responsible for Corrective Action Plan: Shondra Dickson, Direc...
Need Analysis Planned Corrective Action: The University recognizes the federal regulations regarding over‐awarding and has implemented the use of a delivered report through the Student Information System to address this concern. Person Responsible for Corrective Action Plan: Shondra Dickson, Director of Financial Aid Anticipated Date of Completion: Implemented
View Audit 7877
Finding 5746 (2023-005)
Significant Deficiency 2023
Sterling College
KS
Student Financial Aid Matching / Level of Effort / Earmarking Internal Control / Segregation of Duties
Finding 2023-005: Reporting of disbursement dates to the Common Origination and Disbursement system Contact person responsible for correction action – Mitzi Suhler, Vice President of Enrollment Services Anticipated completion date – June 30, 2023 Corrective action Sterling College agrees with t...
Finding 2023-005: Reporting of disbursement dates to the Common Origination and Disbursement system Contact person responsible for correction action – Mitzi Suhler, Vice President of Enrollment Services Anticipated completion date – June 30, 2023 Corrective action Sterling College agrees with the finding regarding the disbursement dates of two students who were reported incorrectly to the COD system. We will provide continued training to those who are responsible for compliance of reporting accurate disbursement dates. We will review processes and internal controls and make any necessary changes to prevent and/or detect issues so that they can be corrected in a timely manner.
View Audit 7826
Finding 5745 (2023-004)
Material Weakness 2023
Sterling College
KS
Reporting Student Financial Aid Subrecipient Monitoring
Finding 2023-004: Quarterly Reporting of Emergency Financial Aid Grants to Students and Annual Reporting for COVID-19 Education Stabilization Fund Contact person responsible for correction action – Mitzi Suhler, Vice President of Enrollment Services Anticipated completion date – June 30, 2023 Co...
Finding 2023-004: Quarterly Reporting of Emergency Financial Aid Grants to Students and Annual Reporting for COVID-19 Education Stabilization Fund Contact person responsible for correction action – Mitzi Suhler, Vice President of Enrollment Services Anticipated completion date – June 30, 2023 Corrective action Sterling College agrees with the finding of not meeting the posting deadline for the quarterly reports for March 31, 2023, and June 30, 2023. The reports were posted within the required month but did not meet the ten-day limit for posting. Sterling College recognizes the importance of meeting reporting requirements for all federal programs and if any additional programs were to arise that are similar in nature, we will review the compliance requirements, and prior findings, to ensure proper processes are in place to ensure compliance in reporting are met.
View Audit 7826
Finding 5743 (2023-002)
Material Weakness 2023
Sterling College
KS
Questioned Costs Student Financial Aid Eligibility
Contact person responsible for correction action – Mitzi Suhler, Financial Aid Director Anticipated completion date – June 30, 2023 Corrective action Sterling College agrees with the finding of the under award and over award of federal aid for two students. During the 2022-2023 year we hired new ...
Contact person responsible for correction action – Mitzi Suhler, Financial Aid Director Anticipated completion date – June 30, 2023 Corrective action Sterling College agrees with the finding of the under award and over award of federal aid for two students. During the 2022-2023 year we hired new financial aid staff that required significant training in the regulations of financial aid. Although checks and balances were in place these two instances were overlooked. Continued training, along with improved checks and balances through our updated software system, will enable the financial aid office to avoid issues with under and over-awarding federal student aid. The office will perform periodic reviews of awarding through reports from the system that will flag students who have potentially been under or over awarded federal aid.
View Audit 7826 Questioned Costs: $1
Finding 5742 (2023-001)
Material Weakness 2023
Sterling College
KS
Student Financial Aid Reporting Material Weakness
Finding 2023-001: Enrollment Reporting Contact person responsible for correction action – Mitzi Suhler, Financial Aid Director Anticipated completion date – June 30, 2023 Corrective action Sterling College agrees with the finding. A review of enrollment reporting is being done at the end of each...
Finding 2023-001: Enrollment Reporting Contact person responsible for correction action – Mitzi Suhler, Financial Aid Director Anticipated completion date – June 30, 2023 Corrective action Sterling College agrees with the finding. A review of enrollment reporting is being done at the end of each semester with particular attention being paid to students who have withdrawn during the semester or graduated at the end of the term. Along with reviewing those students, a random list of students that are not a part of the withdrawal or graduation list are being chosen for review, and if no student enrollment is found to be reported inaccurate, no further review is required per our policy. We feel that there are some changes soon that will help us with our enrollment reporting. One of them is that Sterling College is implementing a new version of our software system, Jenzabar, in 2024. This system will have better checks and balances for enrollment reporting, cleaner data, and will enable the College to have more accurate reporting. There will still be a need to do a review of each semester’s enrollment reporting. The financial aid office will review all student enrollment records that are enrolled for the semester to ensure the reporting dates are correct from this point forward. Once we have confidence that the system is doing what is expected, we will adjust the review to a random list of students.
View Audit 7826
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