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Corrective Action Plans

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Goodwin University, Inc. and Subsidiaries
CT
Student Financial Aid Special Tests & Provisions Matching / Level of Effort / Earmarking
RE: Finding 2022-001 Disbursements to or on Behalf of Students Corrective Action Plan: Based on the finding, we implemented a new process to ensure email addresses are populated in the financial aid system, PowerFaids, prior to disbursement. In addition, we incorporate a mix of manual reviews of fil...
RE: Finding 2022-001 Disbursements to or on Behalf of Students Corrective Action Plan: Based on the finding, we implemented a new process to ensure email addresses are populated in the financial aid system, PowerFaids, prior to disbursement. In addition, we incorporate a mix of manual reviews of files as well as an exception report that we run immediately after any disbursements to ensure all notifications have been processed. In addition, our new processes aim to notify students the following business day, but will now always ensure notification within the 7 days allowed under the regulations. Person Responsible for Corrective Action Plan: Name: Bonnie Soltz-Knowlton Title: Assistant Vice President of Financial Aid Anticipated Completion Date: January 11, 2023
View Audit 52264
Bethany Fellowship, Inc.
CO
Student Financial Aid Reporting Matching / Level of Effort / Earmarking
2022-002 COD Dates Not Reflecting Actual Disbursement Dates Planned Corrective Action: All 21-22 batch disbursement dates will be checked within COD. Any dates that do not match will be updated to match with the date the funds were disbursed as recorded in Populi. To prevent this in the future whe...
2022-002 COD Dates Not Reflecting Actual Disbursement Dates Planned Corrective Action: All 21-22 batch disbursement dates will be checked within COD. Any dates that do not match will be updated to match with the date the funds were disbursed as recorded in Populi. To prevent this in the future when the finance office receives funds and posts them on student accounts in Populi the financial aid office will manually mark each disbursement in Populi to sync and send them to COD. This will cause the disbursements COD status to change to pending in Populi while it processes, when the status changes back to accepted the Populi and COD disbursement data will align. Once updates process with COD each disbursement will again show as accepted a PDF of the disbursement batch will be saved in our files which displays that the awards are synced with COD. We will perform a spot check of the disbursements within each batch by looking up individuals in COD and verifying that the disbursement date updated in the sync from Populi. Person Responsible for Corrective Action Plan: Anna Bergh, Financial Aid Director Anticipated Date of Completion: January 1, 2023
View Audit 55566
Four Oaks Family and Children's Services and Combined Entities
IA
Allowable Costs / Cost Principles Student Financial Aid
Identifying number: 2022-002 Finding: There are allowable costs such as a benefit allocation and supplies in which there was no formal approval of the cost. Corrective actions taken or planned: Additional levels of review will be added to verify the allowable cost have been approved. Contact ...
Identifying number: 2022-002 Finding: There are allowable costs such as a benefit allocation and supplies in which there was no formal approval of the cost. Corrective actions taken or planned: Additional levels of review will be added to verify the allowable cost have been approved. Contact person: Steve Schuring, CFO Date of completion: June 2023
View Audit 50476
Four Oaks Family and Children's Services and Combined Entities
IA
Student Financial Aid
Identifying Number: 2022-001 Finding: There were two individuals that did not have a service planning conference within 5 business days of the individual admission date. Corrective Actions Taken or Planned: Additional levels of review and monitoring over compliance with the contract will be put ...
Identifying Number: 2022-001 Finding: There were two individuals that did not have a service planning conference within 5 business days of the individual admission date. Corrective Actions Taken or Planned: Additional levels of review and monitoring over compliance with the contract will be put in place. Contact person: Steve Schuring, CFO Date of completion: June 2023
View Audit 50476
Finding 60545 (2022-001)
Material Weakness 2022
Lake Michigan College
MI
Student Financial Aid Subrecipient Monitoring Material Weakness
Finding Number: 2022-001 ALN, Federal Agency, and Program Name - Student Financial Assistance Cluster-Federal Direct Student Loan Program ALN 84.268 Condition: The College was not sending notifications meeting the required criteria during the year. Planned Corrective Action: The College has updated...
Finding Number: 2022-001 ALN, Federal Agency, and Program Name - Student Financial Assistance Cluster-Federal Direct Student Loan Program ALN 84.268 Condition: The College was not sending notifications meeting the required criteria during the year. Planned Corrective Action: The College has updated notifications to include the required elements beginning in the Fall 2022 semester. Contact person responsible for corrective action: Nicole Hatter Anticipated Completion Date: 11/22/2022
View Audit 56183
College of the Ozarks
MO
Student Financial Aid Matching / Level of Effort / Earmarking Subrecipient Monitoring
View of Responsible Officials: Management concurred with the finding and has implemented procedures to review the information shared between College of the Ozarks and the NSLDS.
View of Responsible Officials: Management concurred with the finding and has implemented procedures to review the information shared between College of the Ozarks and the NSLDS.
View Audit 56310
The Citadel the Military College of South Carolina
SC
Student Financial Aid Reporting Special Tests & Provisions
Corrective Action for Audit Finding Background: We tested a sample of 25 students, 13 graduates and 12 withdrawals, for proper compliance with enrollment reporting requirements. We found that the enrollment reporting for the change in status of the 12 withdrawal students were completed within the ap...
Corrective Action for Audit Finding Background: We tested a sample of 25 students, 13 graduates and 12 withdrawals, for proper compliance with enrollment reporting requirements. We found that the enrollment reporting for the change in status of the 12 withdrawal students were completed within the appropriate timeframe and the withdrawal date per the NSLDS enrollment detail matched the withdrawal date per the student?s academic file. Of the 13 graduates tested, 11 of the students had completed their required courses as of their respective graduation dates and their status change dates were properly reported to the NSLDS. Of the 13 graduates tested, 2 of the students had not completed their required courses as of their standard graduation date; and although they had subsequently completed their test/work and were marked as graduated in the student?s academic file, the change in their statuses was not reported to the NSLDS within the 60-day timeframe. Audit Finding: The Citadel failed to timely report the students? status change in its reporting submission to the NSLDS. Corrective Actions: The Registrar's Office will submit degree files to the Clearinghouse every 30 days for 3 months after the end of the term to help ensure we are able to update the graduation status of student?s whose degrees are awarded after the graduation date. Members of the Registrar's Office will update the Clearinghouse for individuals by hand those students whose graduation takes place after the 3-month period. Keith Gauvin Registrar (843)953-6964 kgauvin@citadel.edu
View Audit 56259
Finding 60412 (2022-001)
Significant Deficiency 2022
Bunker Hill Community College
MA
Student Financial Aid Reporting Matching / Level of Effort / Earmarking
Finding number: 2022-001 Federal agency: U.S. Department of Education Program: Student Financial Assistance Cluster AL #?s: 84.063, 84.268 Award year: 2022 Corrective Action Plan: Management concurs with audit finding 2022-001 and are planning the follow: 1. Four of the student statuses ...
Finding number: 2022-001 Federal agency: U.S. Department of Education Program: Student Financial Assistance Cluster AL #?s: 84.063, 84.268 Award year: 2022 Corrective Action Plan: Management concurs with audit finding 2022-001 and are planning the follow: 1. Four of the student statuses were linked to students with no earned credit in the Fall 2022 or Spring 2023 semester. Bunker Hill is re-evaluating the walk-away reporting process. In addition, the College will specifically monitor students in NSLDS who are viewed as a walk-away. 2. The one graduated student not reported was due to the student having a second active program. Students with double majors will now be reviewed separately during reporting. This will ensure students graduating from just one of their two majors are reported correctly. Timeline for Implementation of Corrective Action Plan: Effective immediately Contact Person Susan Martin, Registrar, Academic Records Jake Deehan, Business Analyst Melissa Holster, Executive Director of Student Financial Services
View Audit 55691
Finding 60333 (2022-001)
Significant Deficiency 2022
Saint Francis University
PA
Student Financial Aid Matching / Level of Effort / Earmarking Subrecipient Monitoring
Finding 2022-001: Return of Title IV Funds Federal Program: Student Financial Assistance Cluster, Federal Direct Student Loan Program, Federal Pell Grant Program Federal Agency: U.S. Department of Education Pass-Through Entity: Not Applicable Assistance Listing Number: 84.268, 84.063 Federal Award ...
Finding 2022-001: Return of Title IV Funds Federal Program: Student Financial Assistance Cluster, Federal Direct Student Loan Program, Federal Pell Grant Program Federal Agency: U.S. Department of Education Pass-Through Entity: Not Applicable Assistance Listing Number: 84.268, 84.063 Federal Award Year: June 30, 2022 Corrective Action Taken The University?s Interim Financial Aid Director, Stephanie Schrift, has required all Student Financial Services staff to attend virtual trainings on the return of Title IV funds process in April 2023. In addition, Stephanie Schrift (Interim Director) will process all R2T4s via COD's calculator and Elizabeth Susick (Assistant Director) will verify and sign off on the calculations once complete. This will provide a two-step validation procedure for all R2T4 returns.
View Audit 54570
Finding 60108 (2022-002)
Significant Deficiency 2022
Piedmont University
GA
Reporting Student Financial Aid Significant Deficiency
2022-002 Enrollment Status Reporting Recommendation: We recommend that the University review their enrollment reporting policies and procedures to ensure accurate reporting. Explanation of disagreement with audit finding: There is no disagreement with the audit finding. Reason for finding: Turnover ...
2022-002 Enrollment Status Reporting Recommendation: We recommend that the University review their enrollment reporting policies and procedures to ensure accurate reporting. Explanation of disagreement with audit finding: There is no disagreement with the audit finding. Reason for finding: Turnover with key personnel within the Registrar office. Action taken in response to finding: After significant turnover of the Registrar and staff, Piedmont University has a new experienced Registrar starting on November 14, 2022. The University is also in the process of filling the other vacancies within the department. Once the Registrar is in place, the National Student Clearinghouse data origination file will be reviewed to ensure that the correct program start and end dates are collected and reported to the NSC. A process for communicating program changes with effective dates will be implemented in collaboration with the financial aid office to ensure the consistency of reported dates to NSLDS Name(s) of the contact person(s) responsible for corrective action: Whitney Merinar Planned completion date for corrective action plan: June 30, 2023 If the U.S. Department of Education has questions regarding this plan, please call Brant Wright at 706-778-8500 ext.1457.
View Audit 54606
Finding 60107 (2022-001)
Significant Deficiency 2022
Piedmont University
GA
Reporting Student Financial Aid Significant Deficiency
2022-001 Enrollment Roster Reporting Recommendation: We recommend that the University review their policies and procedures to ensure accurate reporting and responding to enrollment rosters disbursed to the University. Explanation of disagreement with audit finding: There is no disagreement with t...
2022-001 Enrollment Roster Reporting Recommendation: We recommend that the University review their policies and procedures to ensure accurate reporting and responding to enrollment rosters disbursed to the University. Explanation of disagreement with audit finding: There is no disagreement with the audit finding. Reason for finding: Turnover with key personnel within the Registrar office Action taken in response to finding: After significant turnover of the Registrar and staff, Piedmont University has a new experienced Registrar starting on November 14, 2022. The University is also in the process of filling the other vacancies within the department. Once the Registrar is in place, she will work in collaboration with the offices of student accounts and financial aid, in crafting written procedures that determine consistent and appropriate changes in registration status and a procedure for determining the appropriate effective dates for changes in status. Further steps will be taken to confirm that registration status fields and effective dates entered in the SIS by the registrar's office align with the financial aid office's NSLDS report fields for affected students. Name(s) of the contact person(s) responsible for corrective action: Whitney Merinar Planned completion date for corrective action plan: June 30, 2023
View Audit 54606
Finding 60076 (2022-001)
Significant Deficiency 2022
University of the Cumberlands, Inc.
KY
Student Financial Aid Reporting Significant Deficiency
Corrective Action Plan Year Ended June 30, 2022 Findings from the 2021-2022 Audit The Auditor's Report on Compliance for Each Major Program and on Internal Control over Compliance required by the Uniform Guidance noted one finding from the 2021-2022 audit: Finding 2022-001. 2022-001 Significant Defi...
Corrective Action Plan Year Ended June 30, 2022 Findings from the 2021-2022 Audit The Auditor's Report on Compliance for Each Major Program and on Internal Control over Compliance required by the Uniform Guidance noted one finding from the 2021-2022 audit: Finding 2022-001. 2022-001 Significant Deficiency: National Student Loan Data System (NSLDS) Report (U.S. Department of Education, William D. Ford Direct Loan Program, CFDA #84.268 and Federal Pell Grant Program, CFDA #84.063). The University reported the incorrect date to NSLDS for the withdrawal date. Name of Contact Person Management agrees with finding 2022-001. We acknowledge that the internal control over the details, procedures, communication, and language used in processing unofficial withdrawals needs to be strengthened to reduce the risk of errors. Kimberly Noe of Financial Aid, and Kathryn McCune, Registrar, are the responsible parties for the corrective action. Corrective Action Plan The prior corrective action plan was implemented and shown to be beneficial in reducing the number of errors in the enrollment reporting process. The plan proved to be effective in addressing the previous clerical errors surrounding official withdrawal dates. However, the University acknowledges the need to strengthen our procedures regarding unofficial withdrawal date reporting at the conclusion of each semester. The Registrar's Office and Financial Aid Office have determined the need for a supplemental enrollment reporting file after the end of each semester to automate the reporting of unofficial withdrawals. This additional file will lessen the number of manual corrections to withdrawal dates in NSLDS, thus increasing the level of accuracy in reporting. The date the supplemental enrollment reporting file should be processed after the conclusion of each term is by the 15th of the following month. The Financial Aid and Registrar's offices have identified additional reporting resources that will assist in the timely secondary review of the NSLDS data entered each semester to ensure compliance. The University of the Cumberlands will document the monthly secondary review of withdrawals and maintain our reconciliation records. The reconciliation process will be completed within 30 days of NSLDS certifying the submitted enrollment file. Anticipated Completion Date All records with errors noted during the 2021-2022 audit findings were corrected by October 13, 2022. The current Corrective Action Plan is anticipated to be fully implemented by January 31, 2023.
View Audit 55895
Baptist Bible College
MO
Questioned Costs Student Financial Aid Eligibility
FINDING 2022-002 ? R2T4 Calculation Program Name: Federal Pell Grant ALN and Program Expenditures: 84.063 ($729,843) Award Number: P063P213629 Federal Award Year: July 1, 2021 to June 30, 2022 Questioned Costs: $1,988 Condition Found: The R2T4 calculation was completed incorrectly for thre...
FINDING 2022-002 ? R2T4 Calculation Program Name: Federal Pell Grant ALN and Program Expenditures: 84.063 ($729,843) Award Number: P063P213629 Federal Award Year: July 1, 2021 to June 30, 2022 Questioned Costs: $1,988 Condition Found: The R2T4 calculation was completed incorrectly for three of the five students in our R2T4 testing sample. The Federal Pell Grant funds disbursed were not adjusted for module courses that the students did not begin. In addition, the incorrect semester start date was used for two of the three students. Corrective Action Plan: Management agrees with the auditors? finding and their recommendation. The Financial Aid Director recalculated the R2T4s for the students in question. The Financial Aid Director determined that $1,988 of Federal Pell Grant funds should be returned for these students. On September 12, 2022 these funds were returned to the Department of Education. The remaining R2T4 calculations completed by the College were reviewed and there were no additional errors. The Financial Aid Director has improved R2T4 calculation procedures to ensure that the Federal Pell Grant is adjusted for module courses that a student does not begin attendance in before completing the R2T4 calculation. Anticipated Completion Date: The corrective action was completed on September 12, 2022. Contact Person (for both findings): Brian Rains, Director of Financial Aid 417-268-6045
View Audit 55228 Questioned Costs: $1
Baptist Bible College
MO
Questioned Costs Student Financial Aid Eligibility
FINDING 2022-001 ? Verification Program Name: Federal Pell Grant ALN and Program Expenditures: 84.063 ($729,843) Award Number: P063P213629 Federal Award Year: July 1, 2021 to June 30, 2022 Questioned Costs: $1,000 Condition Found: The adjusted gross income was not updated to the amount rep...
FINDING 2022-001 ? Verification Program Name: Federal Pell Grant ALN and Program Expenditures: 84.063 ($729,843) Award Number: P063P213629 Federal Award Year: July 1, 2021 to June 30, 2022 Questioned Costs: $1,000 Condition Found: The adjusted gross income was not updated to the amount reported on the tax return during the verification process for one of the forty students in our sample. Corrective Action Plan: Management agrees with the auditors? finding and their recommendation. The Financial Aid Director updated the adjusted gross income and recalculated the EFC and Federal Pell Grant award for the student in question. The Financial Aid Director determined that $1,000 of Federal Pell Grant funds should be returned for this student. On September 12, 2022, $1,000 of Federal Pell Grant funds was returned to the Department of Education. Anticipated Completion Date: The corrective action was completed on September 12, 2022.
View Audit 55228 Questioned Costs: $1
Toccoa Falls College, Inc.
GA
Student Financial Aid Reporting Matching / Level of Effort / Earmarking
Finding Number: 2022-1 Enrollment Reporting to NSLDS Planned Corrective Action: An existing report has been tweaked to include all potential SSN issues, and the Registrar?s Office will be retrained on how to use this report. Eac...
Finding Number: 2022-1 Enrollment Reporting to NSLDS Planned Corrective Action: An existing report has been tweaked to include all potential SSN issues, and the Registrar?s Office will be retrained on how to use this report. Each time an enrollment report is submitted, this report will be reviewed to verify that no issues exist. Person Responsible for Corrective Action Plan: Kelly Vickers (Registrar) Anticipated Date of Completion: October 1, 2022
View Audit 55892
Finding 60060 (2022-001)
Material Weakness 2022
Toccoa Falls College, Inc.
GA
Questioned Costs Student Financial Aid Material Weakness
Finding Number: 2022-1 Untimely and Inaccurate Returns of Title IV Funds (R2T4) Planned Corrective Action: Timeliness: Upon the completion of the Fall 2021 term, the Director of Financial Aid became aware of a deficiency reg...
Finding Number: 2022-1 Untimely and Inaccurate Returns of Title IV Funds (R2T4) Planned Corrective Action: Timeliness: Upon the completion of the Fall 2021 term, the Director of Financial Aid became aware of a deficiency regarding the tracking of attendance for students enrolled in online courses due to the higher than usual number of students will All F grades due to non-attendance. Prior to the start of the Spring 2022 semester, the Director of Financial Aid, Registrar, and Dean of Distance Education met to discuss the issue and developed a plan to require all professors of online courses to report the names of students who were not submitting assignments in their courses. The Dean of Distance Education sends multiple email reminders to professors throughout the term, and members of the Distance Education Office perform periodic spot-checks of course data to ensure that professors are performing required duties. Accuracy: All financial aid staff are encouraged to participate in as many R2T4 training events as possible but are required to participate in at least three training events (one led by NASFAA, one led by ED, and one internal training event). Additionally, performing R2T4s will become the responsibility of the entire team beginning with the Fall 2022 semester. With more staff members calculating and reviewing the data, it is believed that the potential for human error will decrease. Person Responsible for Corrective Action Plan: Timeliness: Donovan Smith (Director of Financial Aid) Accuracy: Donovan Smith (Director of Financial Aid) Anticipated Date of Completion: Timeliness: Implemented prior to Spring 2022 semester and resulted in no findings of this nature for Spring 2022 Accuracy: Implemented beginning with the Fall 2022 semester and will be completed by the end of the Spring 2023 semester
View Audit 55892 Questioned Costs: $1
Finding 59911 (2022-001)
Significant Deficiency 2022
University of St. Francis
IL
Special Tests & Provisions Student Financial Aid Significant Deficiency
2022-001: Errors Relating to Return of Title IV Financial Aid - Student Financial Aid Cluster Assistance Listing Number 84.007, 84.033, 84.038, 84.063, 84.268, 84.379 Grant Period - Year Ended May 31, 2022 ...
2022-001: Errors Relating to Return of Title IV Financial Aid - Student Financial Aid Cluster Assistance Listing Number 84.007, 84.033, 84.038, 84.063, 84.268, 84.379 Grant Period - Year Ended May 31, 2022 Condition Found: During our return of Title IV Fund testing we noted that the College did not calculate or return Title IV for students who ceased attendance correctly for three students out of ten. The College used the incorrect number of days for the total days in the period of enrollment when calculating the return of Title IV. We consider this to be a significant deficiency relating to the Special Tests and Provisions Compliance Requirement. Corrective Action Plan: It was discovered during the audit that the term break dates for Spring 2021 had been entered incorrectly, this caused certain R2T4's performed to be incorrect. All the affected records were corrected and rather than increasing the students' loans, USF funds were used to fill the void created by the incorrect calculations. This mistake was completely human error and great care will be taken to ensure the break dates are correct in the beginning of performed R2T4 calculations for the beginning of Fall 2022 and beyond. Responsible Perform for Corrective Action Plan: Bruce Foote, Director of Financial Aid, University of St. Francis, Joliet, IL 60435 Implementation Data of Corrective Action Plan: The Corrective Action Plan has been implemented immediately.
View Audit 55269
Oakton Community College District Number 535
IL
Student Financial Aid Eligibility Internal Control / Segregation of Duties
2022-001 Incorrect Pell Disbursement - Student Financial Aid Cluster Assistance Listing Number 84.007, 84.033, 84.063, 84.268, Grant Period - Year Ended June 30, 2022 Condition Found: During ou...
2022-001 Incorrect Pell Disbursement - Student Financial Aid Cluster Assistance Listing Number 84.007, 84.033, 84.063, 84.268, Grant Period - Year Ended June 30, 2022 Condition Found: During our student file testing we noted one student out of forty had was not disbursed the correct Pell Grant award. Based on the student?s enrollment status and need, the College under awarded the student by $680. We consider this to be an instance of noncompliance relating to the Eligibility Compliance Requirement. Corrective Action Plan: In response to this finding, Oakton Community College had already updated the student's federal Pell grant award, disbursed the additional Pell to the student, and reported the subsequent adjustment to COD on May 4, 2022. The Financial Aid Manager also met with the financial aid advisors to share the finding. Responsible Person for Corrective Action Plan: Jamie Peterson, Manager of Student Financial Assistance Dr. Cheryl Warmann, Registrar/Director of Student Financial Support Implementation Date of Corrective Action Plan: May 4, 2022- Student Record Adjustment June 14, 2022 - Internal training with financial aid advisors
View Audit 55252
Finding 59717 (2022-002)
Significant Deficiency 2022
Gwynedd Mercy University
PA
Student Financial Aid Reporting Matching / Level of Effort / Earmarking
Finding 2022-02 ? Enrollment Reporting Recommendation: The University should revise its procedures to ensure accurate enrollment information is sent to the NSLDS within the required timeframe for all students and that notifications between departments are communicated timely. Action Taken: As of the...
Finding 2022-02 ? Enrollment Reporting Recommendation: The University should revise its procedures to ensure accurate enrollment information is sent to the NSLDS within the required timeframe for all students and that notifications between departments are communicated timely. Action Taken: As of the date that this student withdrew, the Registrar's office was working with the Information Technology (IT) department to implement a process of receiving automatic email notifications when a student has been determined as withdrawn in the student management system (Colleague). At the beginning of calendar year 2022, these notifications were implemented and are now sent to the Registrar?s Office, Student Billing Office, Residence Life Office, and the Financial Aid Office, notifying them when a student is withdrawn from all of their courses. These notifications will now help mitigate the risk of untimely reporting. Additionally, the University has created a weekly report that is pulled by the Registrar?s Office to find students who are active but not enrolled or listed as on Leave Of Absence (LOA) but are not enrolled in a future class. Responsible Individual for Corrective Action: Registrar ? Joanna Raudenbush Anticipated Completion Date: June 30, 2022
View Audit 50213
Finding 59716 (2022-001)
Significant Deficiency 2022
Gwynedd Mercy University
PA
Student Financial Aid Subrecipient Monitoring Eligibility
Finding 2022-001: Gramm-Leach Bliley Act (GLBA) Recommendation: The University should perform and document an annual risk assessment to determine the University's specific risks relevant to protecting consumer nonpublic personal information. At a minimum, the University should have at least one risk...
Finding 2022-001: Gramm-Leach Bliley Act (GLBA) Recommendation: The University should perform and document an annual risk assessment to determine the University's specific risks relevant to protecting consumer nonpublic personal information. At a minimum, the University should have at least one risk statement aligned or referenced to each of the three required areas noted in the GLBA law at 16 CFR 314.4 (b). Finally, the University should identify and document at least one safeguard (i.e., control) for each of the risks identified and document in the risk assessment. Each control should be aligned or referenced to the risk(s) to which the safeguard applies. Action Taken: The University has taken the following steps to address the risks identified during the audit: 1. Employee Training and Management a. The University deployed the Knowbe4 Security Awareness Program to all full time staff. The program provides training for managing user data and email messages. To date the University has distributed two campaigns to combat email phishing attempts. 2. Information systems, including network and software design, as well as information processing, storage, transmission and disposal a. The University has formulated a digital transformation strategy to reduce on premises systems and applications. All the critical business systems are hosted at a colocation or are SaaS solutions. b. The University performs backups of all on premises systems using technology that creates immutable storage. c. The University leverages the cybersecurity experience of resellers and manufacturers to ensure all core network technology is installed and configured to minimize any attack surface. 3. Detecting, preventing, and responding to attacks, intrusions, or other systems failures and document safeguards for identified risks as required by the Gramm-Leach Bliley Act (GLBA). a. The University has deployed a redundant pair of Fortinet Advanced Firewalls to monitor and block traffic with suspicious payloads. b. The University has updated to the latest version of Microsoft Advanced Threat Defender to serve as optimal end point protection for managing email traffic. c. The University contracted with the Cybersecurity and Infrastructure Security Agency (CISA) to perform vulnerability scans and penetration testing. The IT department evaluates the weekly reports and remediates highlighted deficiencies. d. The University has removed all admin rights from school managed computers, eliminating the ability to install local software. e. The University has deployed an updated VPN client to all school managed computers providing a secure tunnel for access network services. f. The University manages web browsers of all school managed computers. The University will take the results of the security assessment that was completed and draft the GLBA policy in conformity with the DOE requirements by June 2023. Responsible Individual for Corrective Action: Chief Information Officer ? Gregg Chottiner Anticipated Completion Date: June 30, 2023
View Audit 50213
Finding 59533 (2022-003)
Significant Deficiency 2022
La Roche University
PA
Student Financial Aid Matching / Level of Effort / Earmarking Significant Deficiency
Finding 2022-003 Issue: The University utilizes an automated notification system to send an email message to students when federal loans are disbursed. The message includes (1) the date and amount of the disbursement; (2) the student's right, or parent's right, to cancel all or a portion of that...
Finding 2022-003 Issue: The University utilizes an automated notification system to send an email message to students when federal loans are disbursed. The message includes (1) the date and amount of the disbursement; (2) the student's right, or parent's right, to cancel all or a portion of that loan or loan disbursement and have the loan proceeds returned; and (3) the procedure and time by which the student or parent must notify the institution that he or she wishes to cancel the loan. However, as a result of a technical issue the automated notification system stopped working in September, 2021. Corrective Action: As of March 10, 2023, the University corrected the technical system scripts that failed approximately 19 months ago; as a result, students are once again receiving automated email notifications when federal aid is posted to their accounts. Responsibility: Director, Student Accounts Contact: Dayna Tinkey, Director, Student Accounts
View Audit 54887
La Roche University
PA
Student Financial Aid Matching / Level of Effort / Earmarking
Finding 2022-002 Issue: The University completed a Return to Title IV (R2T4) worksheet and returned more unearned aid than the school was responsible for per the calculation. The R2T4 calculation and return of funds was completed in a timely fashion but the amount of unearned Direct PLUS Loan fund...
Finding 2022-002 Issue: The University completed a Return to Title IV (R2T4) worksheet and returned more unearned aid than the school was responsible for per the calculation. The R2T4 calculation and return of funds was completed in a timely fashion but the amount of unearned Direct PLUS Loan funds was not properly scheduled by the counselor. Program closeout for the year has been completed and no adjustment can be made to reclaim funds at this time. While no financial liability has fallen upon the student or parent borrower the Financial Aid Office agrees with the finding of inaccuracy. Corrective Action: The University began implementation of an enhanced procedure for Return to Title IV calculations beginning with Fall 2022 semester and includes a detailed review of all calculations to ensure compliance & accuracy. Responsibility: Identification & evaluation of students will be completed by office staff and reviewed by the Director of Financial Aid. Contact: Robert Clemens, Director of Financial Aid
View Audit 54887
Finding 59531 (2022-001)
Significant Deficiency 2022
La Roche University
PA
Student Financial Aid Matching / Level of Effort / Earmarking Reporting
Finding 2022-001 Issue: The University did not notify the National Student Loan Data System (NSLDS) in a timely manner for 1 student with status changes of Graduated. The student in question graduated in December 2021. Per the assistant registrar, the degree verify files for both undergraduate a...
Finding 2022-001 Issue: The University did not notify the National Student Loan Data System (NSLDS) in a timely manner for 1 student with status changes of Graduated. The student in question graduated in December 2021. Per the assistant registrar, the degree verify files for both undergraduate and graduate students for December 2021 graduates were uploaded to the National Student Clearinghouse on 1/7/2022. It appears that the undergraduate file was processed by the graduate student file was not. We receive processing confirmations from the Clearinghouse, but when files are submitted in multiples, only one confirmation is received for all files, not separate confirmation. Corrective Action: The assistant registrar has been in communication with the National Student Clearinghouse regarding the missed file. The upload has been resolved. Going forward, the assistant registrar will submit each file separately to receive separate confirmations, and personally verify posting. Responsibility: Degree Verify reporting is uploaded by the Assistant Registrar. Contact: Katie Elverson, Registrar Issue: The University did not notify the National Student Loan Data System (NSLDS) in a timely manner for 2 students that changed enrollment status mid-semester. The students in question enrolled in fall 2021 classes full-time and was reported as full-time in the initial enrollment report They withdrew from all classes on 9/15/2023 and 10/21/2021, respectively. In the enrollment reports following their withdrawal, the students were reported as less-than half-time, rather than withdrawn. Students were reported as withdrawn following the end of the term. These reports with statuses are pulled by the student information system, so this seems to have been an issue with the SIS; they are spot checked, but all rows cannot be manually checked and verified before submission. Corrective Action: Upon notification of this issue, I began to investigate the original data report that was pulled out of CX (our SIS) to determine where the error was coming from Upon viewing the Fall 2021 data for the students, I saw that after their withdrawal they were reported as enrolled in zero credits, however they were also being classified in the report from CX as 'less than half time.' I immediately contacted Jenzabar (our SIS vendor) to inquire as to why the system would be calculating a zero-credit enrollment as 'less than half time.' They quickly responded and showed me how to adjust tables within CX that determine how student statuses are completed. Information in the tables was incomplete regarding students who withdraw midsemester. Bringing this to our attention enabled us to implement a corrective solution. Unfortunately, this solution will not be seen on enrollment reports until March 2023. Responsibility: Enrollment reporting is uploaded by the Registrar. Contact: Katie Elverson, Registrar
View Audit 54887
Knox College
IL
Student Financial Aid Eligibility Matching / Level of Effort / Earmarking
2022-001 - Student Financial Aid Cluster - (a) Federal Supplemental Educational Opportunity Grants (b) Federal Work Study Program (c) Federal Perkins Loan Program - Federal Capital Contributions (d) Federal Pell Grant Program (e) Federal Direct Student Loans (f) Teacher Education Assistance for Coll...
2022-001 - Student Financial Aid Cluster - (a) Federal Supplemental Educational Opportunity Grants (b) Federal Work Study Program (c) Federal Perkins Loan Program - Federal Capital Contributions (d) Federal Pell Grant Program (e) Federal Direct Student Loans (f) Teacher Education Assistance for College and Higher Education (TEACH), Assistance Listing No. (a) 84.007 (b) 84.033 (c) 84.038 (d) 84.063 (e) 84.268 (f) 84.379 - Year Ended June 30, 2022. Condition: We tested 40 files, 18 of which were Pell Grant recipients, and 2 students did not receive the full amount of their allowed Pell grants. The students were eligible for $65,480, but received $64,930. For one student, this condition was caused by using the 20-21 Pell Award Chart for a 21-22 Pell Award. For the other student, this condition was caused by using the College's institutional EFC instead of the student's EFC noted on their FAFSA. Management Response: We accept this finding and immediately filed a correction with the Federal Pell Grant Program when the discrepancy was discovered during fieldwork. The affected students had no adverse impact with this issue as the incorrect Pell award was initially offset by increased Knox College aid. Corrective Action Plan: The college will devote additional attention to awarding the Federal Pell Grants. Prior to disbursement, a report of all Title IV recipients will be reviewed with the amount of Federal Pell grant the recipient receiving. A manual review will occur to ensure that the accurate Federal Pell Grant amount is correct based on the Expected Family Contribution and Cost of Attendance. Responsible Person: Alexander Guroff, CFO Implementation Date: January 23, 2023
View Audit 54885
Morehouse School of Medicine, Inc., Subsidiary and Affiliate
GA
Student Financial Aid Matching / Level of Effort / Earmarking Reporting
Name of Responsible Individual: Cinnamon Bradley, Associate Dean of Student Affairs Corrective Action: We concur. We understand that student status changes must be reported to our third-party servicer NSLDS within 30 days of the student?s enrollment change. In some cases, the student?s status cha...
Name of Responsible Individual: Cinnamon Bradley, Associate Dean of Student Affairs Corrective Action: We concur. We understand that student status changes must be reported to our third-party servicer NSLDS within 30 days of the student?s enrollment change. In some cases, the student?s status change did not occur timely. We will review our system parameters and reporting to ensure timely notification of the student enrollment status changes. Additionally, we will automate manual processes related to enrollment change notifications to ensure timely notification of the student?s status change to the Registrar?s Office. Anticipated Completion Date: January 31, 2023
View Audit 56656
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