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Finding 51289 (2022-001)
Material Weakness 2022
Aliquippa School District
PA
Student Financial Aid Reporting Internal Control / Segregation of Duties
VIEW OF RESPONSIBLE OFFICIALS (CORRECTIVE ACTION PLAN): The School District concurs with the above noted finding. The School District has employed a new Business Manager whose responsibilities include the oversight and preparation of all required financial reports related to PDE federal grant progr...
VIEW OF RESPONSIBLE OFFICIALS (CORRECTIVE ACTION PLAN): The School District concurs with the above noted finding. The School District has employed a new Business Manager whose responsibilities include the oversight and preparation of all required financial reports related to PDE federal grant programs in a timely manner, and to ensure that the information reported to PDE is supported by the underlying documentation contained in the District?s general ledger.
View Audit 48168
Finding 51253 (2022-033)
Material Weakness 2022
State of Delaware
DE
Student Financial Aid Material Weakness Reporting § 200.303
Reference Number: 2022-033 Prior Year Finding: 2021-008 Federal Agency: U.S. Department of Education State Department Name: Delaware Technical Community College Federal Program: COVID-19 ? HEERF Student Aid Portion, COVID-19 ? HEERF Institutional Portion Assistance Listing Number: 84.425E, F Award N...
Reference Number: 2022-033 Prior Year Finding: 2021-008 Federal Agency: U.S. Department of Education State Department Name: Delaware Technical Community College Federal Program: COVID-19 ? HEERF Student Aid Portion, COVID-19 ? HEERF Institutional Portion Assistance Listing Number: 84.425E, F Award Number and Year: P425E204740 (5/24/2020 ? 6/30/2023) P425F204690 (8/18/2020 ? 6/30/2023) Compliance Requirement: Reporting ? Special Reporting Type of Finding: Material Weakness in Internal Control Over Compliance, Material Noncompliance Recommendation: The College should review and enhance internal controls and procedures to ensure that it maintains documentation supporting the Annual Report and the quarterly student aid portion reports and that this documentation is available for audit. Explanation of disagreement with audit finding: There is no disagreement with the audit finding. Action taken in response to finding: The College?s 2021 Year 2 Annual HEERF-Student Aid report table (Page 3 Table 8a Row 2) was corrected March 24, 2023 and in agreement with Delaware Tech?s student ledger detail (Banner student accounting system extract) when the federal reporting system was open for limited system data entry time. The Year 2 report was corrected and resubmitted as 2022 Year 3 Annual HEERF report filed. Filing is saved for audit review per federal system acceptance communicated. Additional Fiscal Accounting staff have trained to assist the Financial Aid Office with Quarterly HEERF Student Aid Reporting, report posting within 10 days post quarter end, and grant records management for immediate availability. The college continues to review and enhance our HEERF reporting internal controls with reports compiled and confirmed by a team ensuring multiple layers of reconciliation and final system report filing confirmation. Improved data summaries from system extracts with use of website tracking and snapshots at a single point-in-time are in place to support timely reporting and audit verification with the College?s quarterly and cumulative student award disbursement ledger detail. All website update requests will occur via use of the College?s Web Request ticketing system ending with a copy of the site update each quarter. Name(s) of the contact person(s) responsible for corrective action: Carol Rhodes, Assistant Vice President for Finance Planned completion date for corrective action plan: March 2023
View Audit 43524
Finding 51207 (2022-032)
Significant Deficiency 2022
State of Delaware
DE
Student Financial Aid Eligibility Matching / Level of Effort / Earmarking § 200.303
No Reference Number: 2022-032 Prior Year Finding: No Federal Agency: U.S. Department of Education State Department Name: Delaware Technical Community College Federal Program: Student Financial Assistance Cluster Assistance Listing Number: 84.007, 84.033, 84.063, 84.268 Award Period: July 1, 2021 to ...
No Reference Number: 2022-032 Prior Year Finding: No Federal Agency: U.S. Department of Education State Department Name: Delaware Technical Community College Federal Program: Student Financial Assistance Cluster Assistance Listing Number: 84.007, 84.033, 84.063, 84.268 Award Period: July 1, 2021 to June 30, 2022 Compliance Requirement: Eligibility Type of Finding: Significant Deficiency in Internal Control Over Compliance, Other Matters Recommendation: We recommend that DTCC review procedures and controls pertaining to the eligibility of students for financial aid regarding the SAP 150% credit threshold. We further recommend that DTCC reviews the eligibility of other students enrolled during the 2022 and 2023 academic years and properly adjusts student accounts as necessary. Explanation of disagreement with audit finding: There is no disagreement with the audit finding. Action taken in response to finding: The financial aid office worked with members of our IT Applications and Web Services department to discover a failure in the script being run within Banner to identify the full student population related to the maximum credits allowed within a program of study. A system patch to the processing script is currently being developed and we anticipate this process to be in good working order April 2023 after testing. In order to remedy the error, the financial aid office audited all Fiscal Year 2022 activity. Of the 13,333 students enrolled Title IV aid eligible programs during the 2021-22 academic year, five students (.0003%) received federal aid erroneously without the opportunity to submit an appeal. The amount of Pell and Direct Loans disbursed for these students totaled $15,725, which reflects .0004% of the total Pell and Direct loan funds disbursed during the 2021-22 academic year by the college. We are currently taking corrective action on each student identified and will be returning all funds disbursed in error to the U.S. Dept. of Education. In addition, we are currently reassessing all Fiscal Year 2023 student records to identify and correct any student accounts not recognized in our reporting. Name(s) of the contact person(s) responsible for corrective action: Brian Keister, Collegewide Director of Financial Aid Brandi Niezgoda, Applications Manager ? IT Applications and Web Services Michael Rasberry, Senior Applications Development Specialist ? IT Applications and Web Services Planned completion date for corrective action plan: April 2023
View Audit 43524
Finding 51206 (2022-031)
Significant Deficiency 2022
State of Delaware
DE
Student Financial Aid Special Tests & Provisions Reporting § 200.303
Reference Number: 2022-031 Prior Year Finding: No Federal Agency: U.S. Department of Education State Department Name: Delaware Technical Community College Federal Program: Student Financial Assistance Cluster Assistance Listing Number: 84.007, 84.033, 84.063, 84.268 Award Period: July 1, 2021 to Jun...
Reference Number: 2022-031 Prior Year Finding: No Federal Agency: U.S. Department of Education State Department Name: Delaware Technical Community College Federal Program: Student Financial Assistance Cluster Assistance Listing Number: 84.007, 84.033, 84.063, 84.268 Award Period: July 1, 2021 to June 30, 2022 Compliance Requirement: Special Tests and Provisions: Enrollment Reporting Type of Finding: Significant Deficiency in Internal Control Over Compliance, Other Matters Recommendation: We recommend that DTCC review procedures and controls pertaining to the reporting of enrollment status, particularly when a student?s status changes retroactively, to ensure that enrollment status is accurately reported. Explanation of disagreement with audit finding: There is no disagreement with the audit finding. Action taken in response to finding: The college will implement the below corrective action plan and quality control measures. These measures include: 1. Having a single Registrar (or Registrar?s Office staff member) responsible for degree reporting. This person will be responsible for coordinating efforts and ensuring degree reporting is done correctly and in compliance. 2. The degree verify report will be completed at the end of each semester and during the middle of each subsequent semester to identify any late degree awards from the previous semester. 3. Monthly audits will run to identify any students who are missed during the two planned submissions. These students will be reported to the appointed Registrar who will manually enter them into the NSCH and NSLDS, if necessary. Name(s) of the contact person(s) responsible for corrective action: Amanda Thompson, Owens Campus Registrar Planned completion date for corrective action plan: March 2023 (immediately)
View Audit 43524
Finding 51205 (2022-030)
Significant Deficiency 2022
State of Delaware
DE
Student Financial Aid Matching / Level of Effort / Earmarking Special Tests & Provisions § 200.303
Reference Number: 2022-030 Prior Year Finding: No Federal Agency: U.S. Department of Education State Department Name: Delaware Technical Community College Federal Program: Student Financial Assistance Cluster Assistance Listing Number: 84.007, 84.033, 84.063, 84.268 Award Period: July 1, 2021 to Jun...
Reference Number: 2022-030 Prior Year Finding: No Federal Agency: U.S. Department of Education State Department Name: Delaware Technical Community College Federal Program: Student Financial Assistance Cluster Assistance Listing Number: 84.007, 84.033, 84.063, 84.268 Award Period: July 1, 2021 to June 30, 2022 Compliance Requirement: Special Tests and Provisions: Return of Title IV Funds Type of Finding: Significant Deficiency in Internal Control Over Compliance, Other Matters Recommendation: We recommend that DTCC review its procedures and controls pertaining to the return of Title IV funds to ensure that refunds are properly calculated on a timely basis. Explanation of disagreement with audit finding: There is no disagreement with the audit finding. Action taken in response to finding: Please note there is no monetary value related to this finding. The above-mentioned finding is a result of DTCC not completing an R2T4 calculation for one student that had their academic record updated after the semester in question had ended through a hardship withdrawal process. Our spring 2022 semester ended on May 14, 2022. On June, 21, 2022, the student was granted a hardship withdrawal for all courses registered and the student record was backdated to update the college?s decision. While there are no changes to a student?s federal aid eligibility in these instances, we are aware a calculation should have been completed to acknowledge the update within the student academic record. In response to the finding, DTCC will extend the time period for when reports are ran that identify adjustments. In addition, the member of the college?s hardship withdrawal committee representing the financial aid office will notify individuals responsible for R2T4 calculations when committee approvals are decided. Name(s) of the contact person(s) responsible for corrective action: Brian Keister, Collegewide Director of Financial Aid Veronica Oney, Financial Aid Officer Planned completion date for corrective action plan: March 2023 (immediately)
View Audit 43524
Finding 51112 (2022-001)
Significant Deficiency 2022
Olivet Nazarene University
IL
Student Financial Aid Matching / Level of Effort / Earmarking Eligibility § 200.303
The University understands the importance of accurate verification. It was missed by the verification specialist, and not a matter of process. The specialist simply missed the line on the tax document that listed the education credits. This caused the student to receive $200 less Pell funding than t...
The University understands the importance of accurate verification. It was missed by the verification specialist, and not a matter of process. The specialist simply missed the line on the tax document that listed the education credits. This caused the student to receive $200 less Pell funding than the eligibility. The student should have received $200 in additional Pell Grant funds, so the school contacted the student and applied $200 in university funding to offset that loss. On November 21st, Tim Schultz (verification specialist) was instructed about this important process. The Executive Director of Student Finance, Tiffany McCann, will help monitor those verification materials and process, which should reduce the chances of a repeat mistake and ensure compliance.
View Audit 42623
Delaware Valley University
PA
Student Financial Aid Matching / Level of Effort / Earmarking Reporting
Name of Responsible Individual: James Slizewski, Registrar & Director of Institutional Research Corrective Action: The Registrar?s Office has discussed both findings with our servicer, National Student Clearinghouse, to determine the best corrective action. We have updated our procedures to ensu...
Name of Responsible Individual: James Slizewski, Registrar & Director of Institutional Research Corrective Action: The Registrar?s Office has discussed both findings with our servicer, National Student Clearinghouse, to determine the best corrective action. We have updated our procedures to ensure a graduation file is submitted in the summer to pick up late graduates and transmit them. We have also updated our procedures to ensure that students reported to our servicer as graduates are submitted to NSLDS. Anticipated Completion Date: June 16, 2023
View Audit 43337
Delaware Valley University
PA
Student Financial Aid Special Tests & Provisions Matching / Level of Effort / Earmarking
Name of Responsible Individual: Melissa Walsh, Director of Financial Aid Corrective Action: The University will establish additional internal controls to ensure FSA funds do not disburse within 7 days of the date a student is assigned to NSLDS Transfer Student Monitoring. Specifically, a transmitt...
Name of Responsible Individual: Melissa Walsh, Director of Financial Aid Corrective Action: The University will establish additional internal controls to ensure FSA funds do not disburse within 7 days of the date a student is assigned to NSLDS Transfer Student Monitoring. Specifically, a transmittal rule will be added that will check the date a student was added to Transfer Student Monitoring and will prevent any disbursements that are less than 7 days from the date a student was added. If a manual disbursement is made, then a copy of the student?s NSLDS record will be printed and put in the student?s file as documentation that it was reviewed prior to disbursement. Anticipated Completion Date: June 30, 2023
View Audit 43337
Finding 50697 (2022-011)
Significant Deficiency 2022
Bevill State Community College
AL
Special Tests & Provisions Student Financial Aid Significant Deficiency
Finding 2022-011 ? Special Tests and Provisions: Withdrawal Testing (Significant Deficiency and Noncompliance) Information on the Federal Program: U.S. Department of Education, Student Financial Aid Cluster Criteria: 34 CFR Part 668 establishes rules governing the student withdrawal process includin...
Finding 2022-011 ? Special Tests and Provisions: Withdrawal Testing (Significant Deficiency and Noncompliance) Information on the Federal Program: U.S. Department of Education, Student Financial Aid Cluster Criteria: 34 CFR Part 668 establishes rules governing the student withdrawal process including the determination of withdrawal date, calculation of earned Title IV assistance and return of unearned Title IV aid within 45 days. Condition: We selected a sample of 12 students who withdrew and were receiving financial aid. Of the 12 students tested, there were two instances in which the College incorrectly calculated the percentage of aid earned. Management?s View: The issue occurred due to a timing difference of the date drop forms being submitted to Student Services and the effective drop date entered into Banner. In this instance, the drop forms were submitted on a Friday when the College operates on a half-day schedule. The form was entered the following Monday, and the entry should have been backdated to Friday. This caused Financial Aid?s Title IV return calculation to be off by two days. Corrective Action Plan: Management is in process of updating Policies and Procedures to incorporate Financial Aid into the student drop process. Financial Aid will receive emailed copies of student drop forms as they are submitted to Student Services. Financial Aid will review the dates in Banner prior to finalizing Title IV return calculations to ensure that the dates the forms were submitted match the date the drop was recorded as in Banner. This will take effect immediately as the policies are formally updated. Anticipated Completion Date: September 30, 2023
View Audit 42964
Finding 50692 (2022-001)
Significant Deficiency 2022
Centra Health, Inc.
VA
Student Financial Aid Subrecipient Monitoring Matching / Level of Effort / Earmarking
Regarding FY2022 Section III Federal Award Findings: 2022-001 ? Special tests and provisions: To assure compliance with GLBA requirements, Centra has conducted a third-party assessment and roadmap for GLBA compliance and has designated an individual responsible for coordinating the information secur...
Regarding FY2022 Section III Federal Award Findings: 2022-001 ? Special tests and provisions: To assure compliance with GLBA requirements, Centra has conducted a third-party assessment and roadmap for GLBA compliance and has designated an individual responsible for coordinating the information security program going forward. Centra will conduct an annual risk assessment that addresses the three required areas noted in 16 CFR 314.4 (b) and will document safeguards for any identified risks.
View Audit 41715
Finding 50630 (2022-002)
Material Weakness 2022
Los Angeles Chapter National Tooling & MacHining Association Training Centers Trust
CA
Student Financial Aid Material Weakness Reporting
2022-002 - Material Weakness Specific steps to be taken to correct the situation (including a timetable for performance of the CAP) or reason why corrective action is not necessary (including disagreement with the finding): As noted in the findings under ?Cause?, not going back into the EdExpress sy...
2022-002 - Material Weakness Specific steps to be taken to correct the situation (including a timetable for performance of the CAP) or reason why corrective action is not necessary (including disagreement with the finding): As noted in the findings under ?Cause?, not going back into the EdExpress system to update the disbursement dates in COD was a training error/oversight that has been corrected. Jenzabar Financial Aid, NTMA Training Center?s new SMS, enacts group processing and direct data imports from the DoE, manages funds to and from the COD system. Flexibility to award using federal and institutional methodologies, automates COA calculations etc.. Jenzabar is a Financial Aid System built by financial aid people. It was set up in manner that is meant to be more compliant and more robust streamline process. It has automated the entire financial aid process.
View Audit 51547
Los Angeles Chapter National Tooling & MacHining Association Training Centers Trust
CA
Student Financial Aid Matching / Level of Effort / Earmarking
2022-005 - Audit Finding Title: Right to Cancel Notices Not Provided Within Designated Time Frame - NTMA does not agree with this finding. We have been and will continue to mail the EFT notices to parents directly, keeping a copy in the student file. However, what we will do is update the cover lett...
2022-005 - Audit Finding Title: Right to Cancel Notices Not Provided Within Designated Time Frame - NTMA does not agree with this finding. We have been and will continue to mail the EFT notices to parents directly, keeping a copy in the student file. However, what we will do is update the cover letter to include the notice of right to cancel on that form as well although it is clearly outlined on the 2nd page that has all the disbursement, included the Plus Disbursements listed with the right to cancel verbiage immediately thereafter. Statement of Condition as stated by Auditors: In four (4) of four (4) files tested with Parent Plus Loans, the Institution addressed and sent the notification of disbursement and the borrower?s right to cancel to the students, instead of notifying parents directly. Facts as NTMA Sees Them: The notices are 2 pages and ARE addressed and sent to the PARENT; the back-up documentation which was provided to the auditing team. The 2nd page, not a letter, but a notice does have the student?s name, but it also outlines all disbursements right to cancel time frame included the parent disbursement. The title of this finding suggests that NTMA did not send it on time or to the parent. Neither is true and again, supporting documents have been provided to support this fact.
View Audit 51547
Los Angeles Chapter National Tooling & MacHining Association Training Centers Trust
CA
Student Financial Aid
2022-003 - Audit Finding Title: Non-compliance Specific steps to be taken to correct the situation (including a timetable for performance of the CAP) or reason why corrective action is not necessary (including disagreement with the finding): NTMA has recently adopted a new student financial manageme...
2022-003 - Audit Finding Title: Non-compliance Specific steps to be taken to correct the situation (including a timetable for performance of the CAP) or reason why corrective action is not necessary (including disagreement with the finding): NTMA has recently adopted a new student financial management system that will assist in determining correct calculated awards and is a State of the art financial aid packing system. We are retiring Transcripts, a very antiquated system that was not set up to provide the error free outcomes required. Jenzabar Financial Aid, our new SMS, enacts group processing and direct data imports from the DoE, manages funds to and from the COD system. Flexibility to award using federal and institutional methodologies, automates COA calculations etc.. Jenzabar is a Financial Aid System built by financial aid people. It was set up in manner that is meant to be more compliant and more robust streamline process. It has automated the entire financial aid process. In addition, we are also considering the use of a servicer and requiring financial aid staff to take an additional continuing education and they will be attending virtual workshops that the DoE offers each year.
View Audit 51547
Williams College
MA
Student Financial Aid Reporting Eligibility
Management's View and Corrective Action Plan Finding 2022-001 - Non-Compliance with Timely and Accurate Student Enrollment Change Submissions to the National Student Loan Data System (NSLDS): Grantor: U.S. Department of Education Program Name: Student Financial Assistance Cluster Award Names: Federa...
Management's View and Corrective Action Plan Finding 2022-001 - Non-Compliance with Timely and Accurate Student Enrollment Change Submissions to the National Student Loan Data System (NSLDS): Grantor: U.S. Department of Education Program Name: Student Financial Assistance Cluster Award Names: Federal Pell Grant Program and Federal Direct Loan Program Award Year: 7/1/2021 - 6/30/2022 Assistance Listing Numbers: 84.063 and 84.268 Management agrees with the finding and in concurrence with the recommendations has developed the following corrective action plan: The Registrar?s Office will manually reconcile enrollment status after each submission to the National Student Clearinghouse (?NSC?) submission to ensure student enrollment changes are submitted completely and timely. Alan Hatton, the Senior Associate Registrar, is responsible and has implemented this corrective action plan in February of 2023. Signed and Acknowledged, Kath Dunlop, Registrar
View Audit 41300
Finding 50138 (2022-002)
Significant Deficiency 2022
Wheaton College
MA
Student Financial Aid Matching / Level of Effort / Earmarking
2022-002 Federal Perkins Loans Recordkeeping and Record Retention Finding: Based on inspection of 25 student files, it was noted that there were 2 files that did not contain original loan documents. Corrective Action Taken or Planned: The identified loans without corresponding loan documentation ori...
2022-002 Federal Perkins Loans Recordkeeping and Record Retention Finding: Based on inspection of 25 student files, it was noted that there were 2 files that did not contain original loan documents. Corrective Action Taken or Planned: The identified loans without corresponding loan documentation originated nearly twenty years ago. At this point in time much of activity in the Office of Student Financial Services was conducted via paper, which left the loan agreements vulnerable to misplacement during office location and staffing changes. In conjunction with the Controller?s office, the Office of Student Financial Services intends to review the Perkins portfolio to identify any additional missing documents and work to locate originals. In cases where this search is unsuccessful, the College will review and potentially remove these agreements from the Perkins portfolio. In addition, the College has recognized a need for additional staffing for continued monitoring in the Office of Student Financial Services and has hired someone for the position of Director of Financial Aid to support the Senior Director for Student Financial Services. Anticipated Completion Date: September 2023 Person(s) Responsible for Corrective Actions: Carla Minchello - Director of Financial Aid
View Audit 43391
Finding 50062 (2022-007)
Significant Deficiency 2022
State of North Carolina
NC
Student Financial Aid Subrecipient Monitoring Reporting
Enrollment Status Reporting Errors Department Name: Western Piedmont Community College Contact Name / Telephone Number of Person Responsible for CAP: Dr. Tou Vang - (828) 448-3178 The Enrollment Reporting schedule in the College registrar?s office has been updated to ensure that reporting of student...
Enrollment Status Reporting Errors Department Name: Western Piedmont Community College Contact Name / Telephone Number of Person Responsible for CAP: Dr. Tou Vang - (828) 448-3178 The Enrollment Reporting schedule in the College registrar?s office has been updated to ensure that reporting of student enrollment information occurs every month. Enrollment Reports will be shared with the Financial Aid Office to confirm monthly updates in NSLDS. This procedure will ensure that the College submits all student status changes on a monthly basis. Corrective action was completed on: November 7, 2022.
View Audit 53638
Finding 50061 (2022-006)
Significant Deficiency 2022
State of North Carolina
NC
Student Financial Aid Matching / Level of Effort / Earmarking Subrecipient Monitoring
Enrollment Status Reporting Errors Department Name: Lenoir Community College Contact Name / Telephone Number of Person Responsible for CAP: Shelia Wiggins, Director of Financial Aid - (252) 527-6223 To correct the enrollment status reporting issues, Lenoir Community College has implemented the foll...
Enrollment Status Reporting Errors Department Name: Lenoir Community College Contact Name / Telephone Number of Person Responsible for CAP: Shelia Wiggins, Director of Financial Aid - (252) 527-6223 To correct the enrollment status reporting issues, Lenoir Community College has implemented the following corrective actions: ? The Registrar's and Financial Aid Office will develop a process to ensure that information is reported to the NSLDS through the National Student Clearinghouse on time. ? The Registrar has been given access to the NSLDS to review enrollment information and status changes reported to NSLDS through the National Student Clearinghouse for the accuracy of records. ? The Registrar has received further training on the correct workflow for updating students' withdrawal statuses. ? The Registrar and Director of Financial Aid will work cohesively to ensure that the corrective actions are effective by pulling a sample of students' changes from NSLDS and reviewing them for accuracy. ? Steps will be taken to ensure continued training and education of the Registrar's and Financial Aid Offices staff on enrollment status reporting. The steps above will allow the College to monitor compliance as it relates to Enrollment Status reporting. Anticipated Completion Date: June 30, 2023.
View Audit 53638
Finding 50060 (2022-005)
Significant Deficiency 2022
State of North Carolina
NC
Student Financial Aid Matching / Level of Effort / Earmarking Subrecipient Monitoring
Enrollment Status Reporting Errors Department Name: Central Piedmont Community College Contact Name / Telephone Number of Person Responsible for CAP: Richard Pucine - (704) 330-6247 On September 2, 2022, the College Registrar?s Office corrected the enrollment status for the three students identified...
Enrollment Status Reporting Errors Department Name: Central Piedmont Community College Contact Name / Telephone Number of Person Responsible for CAP: Richard Pucine - (704) 330-6247 On September 2, 2022, the College Registrar?s Office corrected the enrollment status for the three students identified during the audit with an incorrect status change. The College?s Senior Registrar is implementing an internal audit process in November to ensure all students with enrollment status changes are accurately reported to the National Student Loan Data System (NSLDS). Anticipated Completion Date: Corrective Action was partially completed on September 2, 2022. Full completion is expected in November 2022 with the implementation of the internal audit process.
View Audit 53638
Finding 50019 (2022-001)
Significant Deficiency 2022
Mary Baldwin University
VA
Student Financial Aid
The University is modifying the withdrawal procedure to provide more specific rules and instructions related to R2T4 requirements and timeliness. Included in those procedures will be earlier recognition of COVID events which may allow the student to decline or keep Title IV funds if deemed COVID rel...
The University is modifying the withdrawal procedure to provide more specific rules and instructions related to R2T4 requirements and timeliness. Included in those procedures will be earlier recognition of COVID events which may allow the student to decline or keep Title IV funds if deemed COVID related. Those temporary requirements at times have caused MBU to exceed the 45-day window.
View Audit 49718
Finding 50012 (2022-001)
Significant Deficiency 2022
Chestnut Hill College
PA
Student Financial Aid Subrecipient Monitoring Eligibility
FINDING 2022-001: 84.007 Federal Supplemental Education Opportunity Grant, 84.033 Federal Work Study Program, 84.038 Federal Perkins Loans, 84.063 Federal Pell Grant Program, 84.268 Federal Direct Loan Program, 84.379 Teacher Education Assistance for College and Higher Education Grants Recommendatio...
FINDING 2022-001: 84.007 Federal Supplemental Education Opportunity Grant, 84.033 Federal Work Study Program, 84.038 Federal Perkins Loans, 84.063 Federal Pell Grant Program, 84.268 Federal Direct Loan Program, 84.379 Teacher Education Assistance for College and Higher Education Grants Recommendation: The College should perform and document an annual risk assessment to determine the College's specific risks relevant to protecting consumer nonpublic personal information. At a minimum, the College 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 College 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 To Be Taken: The College will complete a GLBA risk assessment that addresses (1) employee training and management; (2) information systems, including network and software design, as well as information processing, storage, transmission and disposal; and (3) detecting, preventing and responding to attacks, intrusions, or other systems failures and document safeguards for identified risks. The College will complete the assessment in accordance with the December 9, 2021 Federal Trade Commission (FTC) issued final regulations to amend the Standards for Safeguarding Customer Information, including ensuring the College?s written information security program includes the nine elements included in the FTC?s regulations. Responsible Individual for Corrective Action: Scott Seidman, Director of IT Services Anticipated Completion Date: June 15, 2023
View Audit 48720
Finding 49942 (2022-002)
Significant Deficiency 2022
San Juan College
NM
Student Financial Aid Special Tests & Provisions Matching / Level of Effort / Earmarking
Management agrees with this finding to meet compliance with the 45 day return of Title IV funds. ? Financial Aid is running a weekly report to capture all students that have dropped/withdrawn from classes. At the end of the semester (fall, spring or summer), a report is run to identify withdrawals, ...
Management agrees with this finding to meet compliance with the 45 day return of Title IV funds. ? Financial Aid is running a weekly report to capture all students that have dropped/withdrawn from classes. At the end of the semester (fall, spring or summer), a report is run to identify withdrawals, failed, or incomplete grades to determine if a return of funds calculation is warranted. This became important with the impact of COVID-19 on students which caused disruptions and difficulty in managing course loads. Financial Aid processes had a built in assumption that failed grades were unearned but, in reviewing and updating our processes most failed grades are actually earned. The return of funds has traditionally been calculated with the assumption the student did not earn the failed grade so the mid-point of the term was used for last date of attendance. Financial Aid is updating processes based on actuals and will continue working with Learning on the most efficient methodology to determine if a student has earned a failed grade or has stopped attending during the semester. ? Financial Aid will generate a weekly report to identify student withdrawals utilizing a new reporting tool being implemented late 2021. With the enhanced reporting tool and changes in methodology and process?s, we fully anticipate the return of funds will be calculated and remitted to the Department of Education within the required time. ? The Financial Aid Office has communicated with the Vice-President of Learning about the necessity for proper reporting by faculty with regards to non-attendance reporting and last date of attendance. ? Timeline: Management has already implemented the corrective actions. ? Mindi Schrum, Sr. Director and/or Greg Gallegos, Assistant Director will oversee the implementation of these.
View Audit 43710
Cowley County Community College
KS
Questioned Costs Student Financial Aid
2022-001 RETURN OF FUNDS Condition: There were two students in our sample of return of funds that were not completed timely. The Department of Education requires that all determinations of a potential return of funds be completed within 30 days of the withdrawal date. Criteria: The Department o...
2022-001 RETURN OF FUNDS Condition: There were two students in our sample of return of funds that were not completed timely. The Department of Education requires that all determinations of a potential return of funds be completed within 30 days of the withdrawal date. Criteria: The Department of Education requires that all determinations of a potential return of funds be completed within 30 days of the withdrawal date. Cause: There was confusion on implementing the new 49% rule. These students were determined initially to meet this new rule, but later were determined to still be under the old rules, causing a late calculation. Effect: Amounts were not remitted back to the Department of Education timely. Perspective: Staff had not yet received adequate training on new 49% rule. Once training was received staff went back and corrected return of fund calculations. Recommendation: We recommend that all students who withdraw from all classes that were awarded Title IV funds, be completed within 30 days of withdrawal date. Views of Responsible Officials and Planned Corrective Actions: The College agrees with this finding. Staff have attended webinars for the rules regarding return of funds and now have a more accurate understanding of when the calculation is required.
View Audit 42100 Questioned Costs: $1
Finding 49756 (2022-005)
Significant Deficiency 2022
Hennepin County Minnesota
MN
Allowable Costs / Cost Principles Eligibility Student Financial Aid § 200.303
Subject: Hennepin County?s 2022 Corrective Action Plan Finding# 2020-005?Eligibility Program: Foster Care Title IV-E (ALN 93.658) Type of Finding: Significant Deficiency in Internal Control over Compliance Condition: While we were able to test manual compensating controls over activities allowed ...
Subject: Hennepin County?s 2022 Corrective Action Plan Finding# 2020-005?Eligibility Program: Foster Care Title IV-E (ALN 93.658) Type of Finding: Significant Deficiency in Internal Control over Compliance Condition: While we were able to test manual compensating controls over activities allowed or unallowed, allowable costs/cost principles and eligibility, we were not able to review and test the automated application controls and the related ITGCs within the MAXIS and SSIS systems that reside within the State of Minnesota, but are utilized by the County, to determine whether the system controls are adequately designed and implemented and operating effectively. Hennepin County?s Corrective Action Planned in Response to Finding: Hennepin County will encourage the State to provide an independent audit of the design and implementation of MAXIS and SSIS system controls for the benefit of all counties. Hennepin County Employee Responsible for the CAP: Andra Roethler Planned Completion Date for CAP: December 31, 2023
View Audit 51481
Finding 49745 (2022-005)
Significant Deficiency 2022
Delaware State University
DE
Student Financial Aid Significant Deficiency Matching / Level of Effort / Earmarking
2022-005 Student Financial Aid Cluster ? CFDA No. 84.268 ? Need Base Calculation Recommendation: We recommend that the University review the inputs of the calculation of need to ensure the non-need-based financial assistance is not included in need-based amounts. Explanation of disagreement with aud...
2022-005 Student Financial Aid Cluster ? CFDA No. 84.268 ? Need Base Calculation Recommendation: We recommend that the University review the inputs of the calculation of need to ensure the non-need-based financial assistance is not included in need-based amounts. Explanation of disagreement with audit finding: There is no disagreement with the audit finding. Action taken in response to finding: The Office of Financial Aid (OFA) has updated the packaging parameters for all scholarships in Ellucian Banner. For FY23 and forward, the full awards will be counted as estimated financial assistance and will not replace the EFC in students? need calculation. OFA will run reports throughout the awarding cycle, to identify students who are over awarded or overbudgeted; students? Federal and/or institutional resources will be adjusted accordingly. Name(s) of the contact person(s) responsible for corrective action: Executive Director of Financial Aid, Dorothy Fultz Planned completion date for corrective action plan: February 2023
View Audit 49440
Finding 49741 (2022-006)
Significant Deficiency 2022
Delaware State University
DE
Student Financial Aid Reporting Significant Deficiency
2022-006 Student Financial Assistance Cluster ? CFDA Nos. 84.063 and 84.268 ? Enrollment Reporting Recommendation: We recommend the University evaluate its procedures and review policies in overseeing submissions to the NSLDS completed by the third-party servicer. Additionally, we recommend the Univ...
2022-006 Student Financial Assistance Cluster ? CFDA Nos. 84.063 and 84.268 ? Enrollment Reporting Recommendation: We recommend the University evaluate its procedures and review policies in overseeing submissions to the NSLDS completed by the third-party servicer. Additionally, we recommend the University review its policies and procedures on reporting enrollment information to the NSLDS to ensure that all relevant information is being captured and reported timely in accordance with applicable regulations. Explanation of disagreement with audit finding: There is no disagreement with the audit finding. Action taken in response to finding: The Registrar?s Office will update policies, procedures and reporting practices to ensure timely submission to both the National Student Clearinghouse and the National Student Loan Database. Name(s) of the contact person(s) responsible for corrective action: Registrar, Jackie K. Brockington, Jr. Planned completion date for corrective action plan: July 2023
View Audit 49440
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