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Corrective Action Plans

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Finding 383756 (2022-001)
Material Weakness 2022
Denmark Technical College
SC
Student Financial Aid Internal Control / Segregation of Duties
The College Financial Aid Office and Business Office will implement new internal controls and procedures to ensure all student Title IV calculations are calculated correctly, reviewed in a timely manner, and ensure funds are returned promptly. Deadlines have been created to submit withdrawal documen...
The College Financial Aid Office and Business Office will implement new internal controls and procedures to ensure all student Title IV calculations are calculated correctly, reviewed in a timely manner, and ensure funds are returned promptly. Deadlines have been created to submit withdrawal documentation to the Financial Aid Department. A monthly reconciliation between the Registrar and Financial Aid Office will ensure withdrawals and correct withdrawal dates are reported to the Financial Aid Office in a timely manner.
View Audit 296794
Richland Community College
IL
Student Financial Aid Eligibility Matching / Level of Effort / Earmarking
Condition: In two of the 40 student files tested (5%), Subsidized and Unsubsidized Direct loans we not properly awarded. The College under awarded one student $2,000. Another student was over awarded $71 in Subsidized loans. Corrective Action Plan: Financial Aid staff has worked with Administrative...
Condition: In two of the 40 student files tested (5%), Subsidized and Unsubsidized Direct loans we not properly awarded. The College under awarded one student $2,000. Another student was over awarded $71 in Subsidized loans. Corrective Action Plan: Financial Aid staff has worked with Administrative Information System (AIS) staff to create daily reporting to assist with student schedule changes and increases in other aid to ensure accuracy in Federal Student loan amounts. Additionally, weekly reporting has been created to track any semester over-awards for students who have a Federal Student loan awarded and who may be over-awarded based on financial need and Cost of Attendance (COA). Responsible Party for Corrective Action Plan: Director, Financial Aid and Veteran Affairs, Financial Aid Specialists Implementation Date for Correction Action Plan: January 18, 2024 (as soon as possible)
View Audit 295850
Richland Community College
IL
Student Financial Aid Reporting
Condition: The College incorrectly reported Pell expenditures on the Fiscal Operations Report and Application to Participate (FISAP) for the 2020-2021 academic year. We consider this to be an instance of noncompliance of the Reporting compliance requirement. Statistical sampling was not used in maki...
Condition: The College incorrectly reported Pell expenditures on the Fiscal Operations Report and Application to Participate (FISAP) for the 2020-2021 academic year. We consider this to be an instance of noncompliance of the Reporting compliance requirement. Statistical sampling was not used in making sample selections. Corrective Action Plan: The Director of Financial Aid and Veteran Affairs submitted a request to correct the reported Federal Pell Grant expenditures on the 2022-2023 FISAP on January 18, 2024. The Director of Financial Aid and Veteran Affairs will thoroughly review all requested data on required reporting to ensure accuracy prior to submission. Responsible Party for Corrective Action Plan: Director, Financial Aid and Veteran Affairs Implementation Date for Correction Action Plan: January 18, 2024 (as soon as possible)
View Audit 295850
Finding 372109 (2022-008)
Significant Deficiency 2022
Carlton County, Minnesota
MN
Student Financial Aid Cash Management Reporting § 200.303
Finding Number: 2022-008 Finding Title: LCTS Reporting Program: 93.778 Medical Assistance Program Name of Contact Person Responsible for Corrective Action: Ann Ozan – Fiscal Supervisor II. Corrective Action Planned: Document the review of the public health, corrections, and school district quarterly...
Finding Number: 2022-008 Finding Title: LCTS Reporting Program: 93.778 Medical Assistance Program Name of Contact Person Responsible for Corrective Action: Ann Ozan – Fiscal Supervisor II. Corrective Action Planned: Document the review of the public health, corrections, and school district quarterly reports. Review is being done when the state report is prepared, but not currently documented. Anticipated Completion Date: December 31, 2023.
View Audit 293397
Birmingham-Southern College
AL
Student Financial Aid Matching / Level of Effort / Earmarking Special Tests & Provisions
Contact Person: Traci Veyl, Director of Financial Aid Corrective Action: The College agrees with this finding. The Financial Aid Office has updated the procedure to clearly specify a separate notice to all parents who borrow using the Parent Plus. Each borrowing parent will receive a notification ...
Contact Person: Traci Veyl, Director of Financial Aid Corrective Action: The College agrees with this finding. The Financial Aid Office has updated the procedure to clearly specify a separate notice to all parents who borrow using the Parent Plus. Each borrowing parent will receive a notification mailed to the address used on the Parent Plus application. The current financial aid procedures were updated in spring of 2022 and carried out successfully. Anticipated Completion Date: June 1, 2023
View Audit 291887
Birmingham-Southern College
AL
Student Financial Aid Reporting Matching / Level of Effort / Earmarking
Contact Person: Dr. Laura Stultz, Interim Provost Corrective Action: The College has had significant staff turnover within the last year. The Office of Academic Records was operating with one staff member at that time. It is now operating at full staff capacity and will be better able to follow up ...
Contact Person: Dr. Laura Stultz, Interim Provost Corrective Action: The College has had significant staff turnover within the last year. The Office of Academic Records was operating with one staff member at that time. It is now operating at full staff capacity and will be better able to follow up on reporting errors to make necessary corrections. The findings for students with incorrect NSLDS status reports have already been corrected. Amy Smith has corrected those errors March 2023. The College is working on a better, more comprehensive withdrawal policy in the next academic year which will assist in identifying non-returning students at an earlier date to better fit the 60- day allotted time frame. In addition, the Office of Academic Records plans to alter enrollment reporting schedules to better fit our academic calendar to meet the 60-day time frame requirement. This change should capture our Fall and Winter graduates within the allotted time requirement. Anticipated Completion Date: March 2023
View Audit 291887
Birmingham-Southern College
AL
Student Financial Aid Subrecipient Monitoring Cash Management
Contact Person: Traci Veyl, Director of Financial Aid Corrective Action: The College agrees with this finding. The Financial Aid Office has updated the transmittal procedure to include reversing a federal aid posting in the event that it cannot be reconciled within ten days of its initial creation...
Contact Person: Traci Veyl, Director of Financial Aid Corrective Action: The College agrees with this finding. The Financial Aid Office has updated the transmittal procedure to include reversing a federal aid posting in the event that it cannot be reconciled within ten days of its initial creation. The aid will be reposted once the issue is resolved and reported to COD on the day of positing. The current financial aid procedures have been updated. Anticipated Completion Date: June 1, 2023
View Audit 291887
Birmingham-Southern College
AL
Special Tests & Provisions Procurement, Suspension & Debarment Student Financial Aid
Contact Person: Traci Veyl, Director of Financial Aid Corrective Action: The loans have been purchased by Birmingham-Southern College. Anticipated Completion Date: January 10, 2024
Contact Person: Traci Veyl, Director of Financial Aid Corrective Action: The loans have been purchased by Birmingham-Southern College. Anticipated Completion Date: January 10, 2024
View Audit 291887
Finding 370263 (2022-007)
Significant Deficiency 2022
Birmingham-Southern College
AL
Student Financial Aid Subrecipient Monitoring Reporting
Contact Person: Traci Veyl, Director of Financial Aid Corrective Action: The College agrees with this finding. The Financial Aid Office has updated the rules in the SIS system to not allow payment until the NSLDS reporting has been processed. The current financial aid procedures have been updated ...
Contact Person: Traci Veyl, Director of Financial Aid Corrective Action: The College agrees with this finding. The Financial Aid Office has updated the rules in the SIS system to not allow payment until the NSLDS reporting has been processed. The current financial aid procedures have been updated and the rules are currently in place. Anticipated Completion Date: June 1, 2023
View Audit 291887
Finding 370262 (2022-004)
Significant Deficiency 2022
Birmingham-Southern College
AL
Student Financial Aid Internal Control / Segregation of Duties Matching / Level of Effort / Earmarking
Contact Person: Traci Veyl, Director of Financial Aid Corrective Action: The College agrees with this finding. The Return to Title IV calculation was off due to the denominator of total days being incorrectly counted. The Director of Financial Aid will calculate the total days for each semester to...
Contact Person: Traci Veyl, Director of Financial Aid Corrective Action: The College agrees with this finding. The Return to Title IV calculation was off due to the denominator of total days being incorrectly counted. The Director of Financial Aid will calculate the total days for each semester to be used for the calculation and publish them in the annual policy and procedure manual. The current financial aid procedures have been updated. Anticipated Completion Date: June 1, 2023
View Audit 291887
Finding 367173 (2022-057)
Material Weakness 2022
State of Nevada
NV
Reporting Student Financial Aid Subrecipient Monitoring
Program: U.S. Department of Health and Human Services Foster Care - Title IV-E, CFDA 93.658 Corrective Action Plan Finding Number: 2022-057 Finding: Required subaward information was not reported in the FFATA Subaward Reporting System (FSRS). Corrective Action Taken or To Be Taken: Internal controls...
Program: U.S. Department of Health and Human Services Foster Care - Title IV-E, CFDA 93.658 Corrective Action Plan Finding Number: 2022-057 Finding: Required subaward information was not reported in the FFATA Subaward Reporting System (FSRS). Corrective Action Taken or To Be Taken: Internal controls have been reviewed and updated to ensure subaward information is submitted in accordance with FFATA. If already taken, date of completion: Internal control updated in SFY23. If to be taken, estimated date of completion: Agency Response Does the Agency agree with this finding? The Nevada Division of Child and Family Services agrees with this finding. If no or partial, please explain reason(s) why: Additional comments: Prior year finding 2021-055 Division Responsible for Corrective Action Name, Title: Kelsey McCann-Navarro, Social Services Chief III Address: 4126 Techonology Way City, State, Zip Code: Carson City, NV 89706 Phone Number: 775-684-4431 Email: kelsey.navarro@dcfs.nv.gov Reviewed and Approved Tiffany Greenameyer, Deputy Administrator
View Audit 290300
Finding 366522 (2022-001)
Significant Deficiency 2022
State of Hawaii Department of the Attorney General
HI
Reporting Student Financial Aid Significant Deficiency § 200.512 § 200.514
Views of Responsible Officials and Planned Corrective Action
Views of Responsible Officials and Planned Corrective Action
View Audit 289361
Finding 366522 (2022-001)
Significant Deficiency 2022
State of Hawaii Department of the Attorney General
HI
Reporting Student Financial Aid Significant Deficiency § 200.512 § 200.514
The Department understands the importance of complying with the Uniform Guidance with respect to the timely submission of single audit reports and the Data Collection Form, and have established policies and procedures to ensure compliance. The late submission in the prior year was primarily due to ...
The Department understands the importance of complying with the Uniform Guidance with respect to the timely submission of single audit reports and the Data Collection Form, and have established policies and procedures to ensure compliance. The late submission in the prior year was primarily due to unforeseen circumstances delaying the completion of the 2021 audit engagement.
View Audit 289361
Finding 286694 (2022-064)
Significant Deficiency 2022
State of Colorado
CO
Matching / Level of Effort / Earmarking Student Financial Aid Reporting § 200.303
Management agrees. After the notification of the missing HEERF report in December 2021, the UCCS Controller proposed a ?cross-check? process to ensure all future reporting is in compliance and reported in a timely manner. This process is used for both the quarterly and annual reporting process. In ...
Management agrees. After the notification of the missing HEERF report in December 2021, the UCCS Controller proposed a ?cross-check? process to ensure all future reporting is in compliance and reported in a timely manner. This process is used for both the quarterly and annual reporting process. In the quarterly reporting process, the UCCS Controller completes the institutional report and emails the report to the UCCS Financial Aid office Senior Executive Director for verification of the amounts and the data submitted. The Senior Executive Director then enters the student aid portion?s information and provides this to the UCCS Controller for verification of the data. Once verified, the report is uploaded to the UCCS website and a confirmation email is sent to the UCCS Controller as well as the heerfreporting@ed.gov for verification of completion of the website posting.
View Audit 282464
Finding 286570 (2022-060)
Significant Deficiency 2022
State of Colorado
CO
Student Financial Aid Reporting Matching / Level of Effort / Earmarking
Mines was delayed in processing NSLDS files due to staffing changes and employee leave. Mines has constructed a process to ensure timely future reporting along with an agreed upon trained back-up for the primary person if they are out for an extended time. Additionally, we have changed how often we ...
Mines was delayed in processing NSLDS files due to staffing changes and employee leave. Mines has constructed a process to ensure timely future reporting along with an agreed upon trained back-up for the primary person if they are out for an extended time. Additionally, we have changed how often we report enrollment files to the Clearinghouse (NSC). We are now reporting every two weeks. The error reports generated after the files are submitted are reviewed as soon as they?re posted, a copy downloaded from NSC and reviewed for corrections which are then completed as soon as possible. Mines is working on an updating the documentation for the full process, including all of the cleanup reports that are run in COGNOS and the Banner jobs before the enrollment file is even processed.
View Audit 282464
Finding 230248 (2022-001)
Material Weakness 2022
Northeast Ohio Medical University
OH
Student Financial Aid Subrecipient Monitoring Material Weakness
Finding Number: 2022-001 Anticipated Completion Date: 07/19/2022 Responsible Contact Person: Katherine Miranda, University Registrar Kelly Burt, Assistant Registrar Records Management and Reporting Planned Corrective Action: Ensure all graduation dates are reported on enrollment reporting within ...
Finding Number: 2022-001 Anticipated Completion Date: 07/19/2022 Responsible Contact Person: Katherine Miranda, University Registrar Kelly Burt, Assistant Registrar Records Management and Reporting Planned Corrective Action: Ensure all graduation dates are reported on enrollment reporting within 30 days of the status change Due to new procedures, reporting processes and new staff, a group of our Spring 2022 graduates were not reported in a timely manner. Once we were made aware of this issue, we went into immediate action to correct the error. We worked with Clearinghouse to confirm our own misconceptions and ways to remedy the error. We updated all records individually through the Clearinghouse system. After all records were corrected, we updated our staff manual to ensure this does not occur in the future. Staff will continue to review all records to ensure accurate and timely reporting.
View Audit 252913
Buena Vista University
IA
Student Financial Aid Matching / Level of Effort / Earmarking Special Tests & Provisions
2022 Corrective Action Plan Finding Reference Number 2022-001 Contact Person - Patti Demers, Director of Financial Assistance Cause - In October 2021, Buena Vista University changed ERP/SIS software platforms. During the software conversion from the old database to the new database there was a pe...
2022 Corrective Action Plan Finding Reference Number 2022-001 Contact Person - Patti Demers, Director of Financial Assistance Cause - In October 2021, Buena Vista University changed ERP/SIS software platforms. During the software conversion from the old database to the new database there was a period of 10 days in which no new data could be entered by staff. After the new database came online there were some standard reports that were not running as expected, including one that identifies students that have withdrawn from courses and need a Return to Title IV Funds calculated. As a result, the calculation was not completed within the required time period for a small number of withdrawn students. Current Status - All reports that alert staff to course withdrawals have been corrected and are now running on a regular basis so the necessary offices are alerted to the changes in a timely manner. Views of Responsible Officials and Planned Corrective Action -The error occurred during a software transition and data freeze period. This was a unique occurrence and has been remedied through updated system reports running on an automated schedule. Anticipated Completion Date -Already completed.
View Audit 174176
Finding 204831 (2022-001)
Significant Deficiency 2022
Southeastern Illinois College
IL
Student Financial Aid Reporting Matching / Level of Effort / Earmarking
The findings from the December 5, 2022 schedule of findings and questioned costs are discussed below. The findings are numbered consistently with the numbers assigned in the schedule. FINDINGS ? STUDENT FINANCIAL AID CLUSTER Material Weaknesses: None Significant Deficiencies: 2022-001: Lack of ...
The findings from the December 5, 2022 schedule of findings and questioned costs are discussed below. The findings are numbered consistently with the numbers assigned in the schedule. FINDINGS ? STUDENT FINANCIAL AID CLUSTER Material Weaknesses: None Significant Deficiencies: 2022-001: Lack of Compliance over Enrollment Reporting Recommendation: We recommend that procedures be developed to review the roster files received from the NSLDS to ensure correct student information is being reported with each roster file. Action Taken: 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 174139
The Shaw University, Inc.
NC
Student Financial Aid Special Tests & Provisions Matching / Level of Effort / Earmarking
Name of Responsible Individual: Associate Director of Financial Aid (Dr. Ojebe Ifegwu), Director of Financial Aid (Ibrahim Bah) and Vice President of Enrollment Management and Student Success (Terrance Dixon) Corrective Action: The University concurs with the finding. The University will ensure th...
Name of Responsible Individual: Associate Director of Financial Aid (Dr. Ojebe Ifegwu), Director of Financial Aid (Ibrahim Bah) and Vice President of Enrollment Management and Student Success (Terrance Dixon) Corrective Action: The University concurs with the finding. The University will ensure that disbursement updates are made no later than 15 days after making the disbursement or becoming aware of the need to adjust a previously reported disbursement. The University will update the disbursement recorded submitted to the COD to reflect the date that funds are credited to the general ledger and/or students' account. Anticipated Completion Date: June 30, 2023
View Audit 178652
Finding 194957 (2022-001)
Significant Deficiency 2022
Vernon College
TX
Student Financial Aid Reporting Eligibility
Management has reviewed the draft Schedule of Findings and Questioned Costs for FY 2022. We agree with the finding and are actively working to improve processes to ensure student files are uploaded timely. The Vice President of Student Services has already begun training with the Assistant Registrar...
Management has reviewed the draft Schedule of Findings and Questioned Costs for FY 2022. We agree with the finding and are actively working to improve processes to ensure student files are uploaded timely. The Vice President of Student Services has already begun training with the Assistant Registrar to ensure these errors are not duplicated in future years. Additionally, we have reached out to POISE to find the source of the data collection issue. We feel certain as we move forward with a new student information system these errors will be resolved.
View Audit 178562
Finding 194829 (2022-001)
Material Weakness 2022
Miles College
AL
Questioned Costs Student Financial Aid Subrecipient Monitoring
Finding 2022-001 ? U.S. Department of Education (USDE), Title IV Student Financial Aid Programs (significant deficiency): We observed the following condition in connection with our testing of the various U. S. Department of Education, Title IV, Student Financial Assistance Programs: a. The College d...
Finding 2022-001 ? U.S. Department of Education (USDE), Title IV Student Financial Aid Programs (significant deficiency): We observed the following condition in connection with our testing of the various U. S. Department of Education, Title IV, Student Financial Assistance Programs: a. The College did not submit required supporting documentation for five (5) students not meeting Satisfactory Academic progress during fieldwork. The questioned cost is $59,488. b. Two (2) out of 60 students had conflicting award letters and student account statements. Payments from the Business Office did not match the award amounts. The questioned cost is $23,085. c. The College has variances in the following programs which do not reconcile to the general ledger or COD. ? Federal Direct Loans ? Federal Pell ? Federal Work-Study ? Federal SEOG The Center should implement corrective actions to ensure that the above findings are resolved and do not recur in future periods. Moreover, internal controls over compliance with federal program regulations should be revisited to ensure adequate supervisory controls, quality assurance reviews of compliance steps, technical training of staff, and adequate procedures are being followed for compliance purposes. Corrective Action ? (a) The College has developed a standard operating procedure to ensure Satisfactory Academic Progress is performed in compliance with the Department of Education Title IV guidelines before awarding Federal financial assistance to students. (b) The College is in the process of implementing a new ERP system that will make the readability of financial aid award letters and statements on the student's account much easier and archive in system data for better record retrieval.
View Audit 178614 Questioned Costs: $1
Finding 194806 (2022-002)
Material Weakness 2022
Southwestern Christian College
TX
Questioned Costs Student Financial Aid Material Weakness
Finding 2022-002 - U.S. Department of Education (USDE), Title IV Student Financial Aid Programs (material weakness): b) Two (2) out of 20 students tested had missing official transcripts with a questioned cost of $8,511. c) The College was unable to provide the enrollment histor...
Finding 2022-002 - U.S. Department of Education (USDE), Title IV Student Financial Aid Programs (material weakness): b) Two (2) out of 20 students tested had missing official transcripts with a questioned cost of $8,511. c) The College was unable to provide the enrollment history for withdrawals whether part-time or full-time to determine whether funds have to be returned. Recommendation - The College should implement corrective actions to ensure that the abovefindings are resolved and will not recur in future periods." Corrective Action - Management will implement procedures to ensure Federal Wark-Study students' files are reviewed and ensure that student files are properly completed and maintained, including inclusion of identification cards, official transcripts, and enrollment histories.
View Audit 178560 Questioned Costs: $1
Saint Xavier University
IL
Questioned Costs Student Financial Aid Special Tests & Provisions
Condition: The University did not accurately calculate the return of title IV funds (R2T4) and return funds for 1 of 25 students (4%) who withdrew from the University. The University entered the incorrect dates for the term the student enrolled and attended, resulting in an incorrect calculation of ...
Condition: The University did not accurately calculate the return of title IV funds (R2T4) and return funds for 1 of 25 students (4%) who withdrew from the University. The University entered the incorrect dates for the term the student enrolled and attended, resulting in an incorrect calculation of unearned aid. We consider this finding to be an instance of noncompliance in relation to Special Tests and Provisions. Questioned costs: $178. Repeat Finding: No. Corrective Action Plan: Responsible Person for Corrective Action: Susan Swisher, Executive Director Office of Financial Aid. Implementation Date for Corrective Action Plan: Action has already been completed. A manual calculation was performed to determine the number of days in the payment period and the number of days the student attended. Closed days were not removed from the calculation which created the error. The refund calculation was purged and recalculated with the correct dates. Based on the recalculation, the student completed at least 60% of the term and a return of funds was not required. The return amount was disbursed directly to the student in July when the error was identified. Management currently reviews all refund calculations to ensure accurate calculations and will continue that practice to ensure compliance.
View Audit 82969 Questioned Costs: $1
Vanderbilt University
TN
Student Financial Aid Matching / Level of Effort / Earmarking Internal Control / Segregation of Duties § 200.516
As a corrective measure, along with additional staff training, Vanderbilt will be implementing a quality control step to ensure that the notifications are properly made. This step will essentially do a sweep of students whose financial aid awards have been finalized (but prior to the actual disburs...
As a corrective measure, along with additional staff training, Vanderbilt will be implementing a quality control step to ensure that the notifications are properly made. This step will essentially do a sweep of students whose financial aid awards have been finalized (but prior to the actual disbursement of funds) but have not yet received the required financial aid notification letter. This process will be executed on a weekly basis. Vanderbilt University expects to have this process in place by November 2022. For follow-up questions and information, please contact Brent Tener, Executive Director of Student Financial Aid and Scholarships at Vanderbilt University.
View Audit 96781
Brevard College
NC
Student Financial Aid Matching / Level of Effort / Earmarking Special Tests & Provisions
Reference No. 2022-001 Explanation: The College had not reported changes of withdrawn students to the NSLDS as required under the Uniform Grant Guidance for the year ended May 31, 2022. The College had a sy...
Reference No. 2022-001 Explanation: The College had not reported changes of withdrawn students to the NSLDS as required under the Uniform Grant Guidance for the year ended May 31, 2022. The College had a system upgrade in the Fall of 2021 and did not realize there was a bug in the system that did not properly report withdrawn students on one of the standard reports produced by the system. The College did not have another monitoring mechanism in place that would have alerted them to this deficiency in the automated system reporting. Corrective Action Plan: The Registrar's Office will change their enrollment status and dates in National Student Clearinghouse to reflect accurate information and contact NSLDS to report the issue. To ensure this doesn't happen in the future, these steps will be taken: ? IT will report the bug to Jenzabar. ? Registrar will manually create a new row in the Registration Transaction table anytime a student fully withdraws from a term. ? IT will create a report that flags any inconsistencies in hours in Student Registration vs. NSC status.
View Audit 97700
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