Corrective Action Plans

Finding 403332 (2023-023)

Significant Deficiency 2023

DC

Eligibility Special Tests & Provisions Student Financial Aid § 200.303

The Department of Human Services (DHS) agrees with the finding in this report. These case numbers will have tickets entered and a root cause investigation will be conducted. A solution will be developed based on the results of the investigation and the solution will be implemented. Contact - Steph...

The Department of Human Services (DHS) agrees with the finding in this report. These case numbers will have tickets entered and a root cause investigation will be conducted. A solution will be developed based on the results of the investigation and the solution will be implemented. Contact - Stephanie Bloch-Newman, Deputy Administrator for Innovation & Change Management Estimated Completion Date - September 30, 2025 See Corrective Action Plan for chart/table

View Audit 310468

Finding 403031 (2023-004)

Significant Deficiency 2023

Riverside Healthcare Association, Inc.

VA

Student Financial Aid Reporting Matching / Level of Effort / Earmarking

Corrective Action: Additional training for Registrar staff is in progress to include a full review of processes and controls related to monthly Student Information System – Clearinghouse – NLSDS reconciliation. This review includes a review of how program start dates (semester and session) vs. cours...

Corrective Action: Additional training for Registrar staff is in progress to include a full review of processes and controls related to monthly Student Information System – Clearinghouse – NLSDS reconciliation. This review includes a review of how program start dates (semester and session) vs. course starts affect reporting, as well as how multiple student status changes to registration affect reporting. The College’s third-party servicer, National Student Clearinghouse, is assisting in this training to include the update of policies, processes, and controls, as well as the maintenance of evidentiary documentation. Contact Person: Lori Arnder, Registrar & Enrollment Manager Anticipated Completion Date: July 31, 2024

View Audit 310169

Finding 403030 (2023-003)

Significant Deficiency 2023

Riverside Healthcare Association, Inc.

VA

Student Financial Aid Reporting Matching / Level of Effort / Earmarking

Corrective Action: A monthly reconciliation process has been put into place to include control reporting of all status changes to ensure accuracy and timeliness of student status changes from the college’s student information system to National Student Clearinghouse to NSLDS. Contact Person: Lori Ar...

Corrective Action: A monthly reconciliation process has been put into place to include control reporting of all status changes to ensure accuracy and timeliness of student status changes from the college’s student information system to National Student Clearinghouse to NSLDS. Contact Person: Lori Arnder, Registrar & Enrollment Manager Anticipated Completion Date: July 1, 2024

View Audit 310169

Finding 403029 (2023-002)

Material Weakness 2023

Riverside Healthcare Association, Inc.

VA

Student Financial Aid

Corrective Action: Additional training is in progress for Financial Aid & Student Accounts staff to include a full review of processes and controls related to credit-balance payments within 14- days. The College’s third-party servicer, Global Financial Services, is assisting in this training to incl...

Corrective Action: Additional training is in progress for Financial Aid & Student Accounts staff to include a full review of processes and controls related to credit-balance payments within 14- days. The College’s third-party servicer, Global Financial Services, is assisting in this training to include the update of policies, processes, and controls, as well as the maintenance of evidentiary documentation. Contact Person: Michael Hamilton, Dean of Student Success Anticipated Completion Date: July 31, 2024

View Audit 310169

Finding 403021 (2023-001)

Material Weakness 2023

Word of Life Fellowship, Inc. and Subsidiary

NY

Internal Control / Segregation of Duties Student Financial Aid Material Weakness

Inaccurate and Untimely Returns of Title IV Funds (R2T4) Planned Corrective Action: In response to the identified discrepancies, we have developed a comprehensive action plan aimed at enhancing our procedures and mitigating the risk of similar issues in the future. 1. Review of Title IV Fund Retur...

Inaccurate and Untimely Returns of Title IV Funds (R2T4) Planned Corrective Action: In response to the identified discrepancies, we have developed a comprehensive action plan aimed at enhancing our procedures and mitigating the risk of similar issues in the future. 1. Review of Title IV Fund Return Processes: • Conducted a thorough review of our current Title IV fund return processes to identify the underlying causes of the discrepancies. • Assessed current procedures, documentation, and staff training protocols to pinpoint areas needing improvement. 2. Implementation of Bi-Weekly Enrollment Status Reviews: • Establish a process to review student enrollment status every two weeks to identify students who have withdrawn or stopped attending. • Designate specific team members responsible for conducting these bi-weekly reviews. • Provide comprehensive training for designated staff on the importance and procedures of Return to Title IV (R2T4) calculations. 3. Standardized Communication Process: • Develop a standardized process for promptly communicating student withdrawals to the third-party servicer after each bi-weekly review. • Ensure clear guidelines and timelines for communication to prevent delays. 4. Monitoring and Documentation: • The Financial Aid Office will document all actions taken under this corrective action plan. • Maintain detailed records of bi-weekly reviews, communications with the third-party servicer, and subsequent R2T4 calculations. 5. Compliance and Success: • By implementing this corrective action plan, the Financial Aid Office will ensure timely and accurate R2T4 calculations. • Maintain compliance with federal regulations and prevent delays through regular reviews, proper documentation, and prompt communication. Person Responsible for Corrective Action Plan: Alex Hackett, Director of Financial Aid Anticipated Date of Completion: 7/31/2024

View Audit 310166

Finding 403020 (2023-001)

Significant Deficiency 2023

Mayo Clinic

MN

Matching / Level of Effort / Earmarking Student Financial Aid Allowable Costs / Cost Principles

Federal Program Information Federal Agency: United States Department of Education Federal Cluster: Student Financial Assistance Assistance Listing No.: 84.268, Federal Direct Student Loans (Direct Loans) Award Periods: July 1, 2022 through June 30, 2023; July 1, 2023 through June 30, 2024 Correctiv...

Federal Program Information Federal Agency: United States Department of Education Federal Cluster: Student Financial Assistance Assistance Listing No.: 84.268, Federal Direct Student Loans (Direct Loans) Award Periods: July 1, 2022 through June 30, 2023; July 1, 2023 through June 30, 2024 Corrective Action Planned Annually, tests of access to Business Objects and properly authorized changes made to the logic within Business Objects specific to the disbursement report used by management will be conducted. Testing will be performed initially by Mayo Clinic’s internal audit team and in subsequent years by the Financial Aid Director and Director of Data Analytics. Persons Responsible for Corrective Action Anne Dahlen, Director of Student Financial Aid Aaron Pendl, Director of Data Analytics Target Completion Date November 30, 2024

View Audit 310163

Finding 401872 (2023-001)

Significant Deficiency 2023

American Academy McAllister Institute of Funeral Service, Inc.

NY

Special Tests & Provisions Student Financial Aid Significant Deficiency

May 7, 2024 U.S. Department of Education American Academy McAllister Institute of Funeral Services, Inc. respectfully submits the following corrective action plan for the year ended September 30, 2023. Auditors: CohnReznick 1301 Avenue of the Americas New York, NY 10019 Audit period: October 1...

May 7, 2024 U.S. Department of Education American Academy McAllister Institute of Funeral Services, Inc. respectfully submits the following corrective action plan for the year ended September 30, 2023. Auditors: CohnReznick 1301 Avenue of the Americas New York, NY 10019 Audit period: October 1, 2022 to September 30, 2023 The findings from the fiscal year 2023 schedule of findings and questioned costs are discussed below. The findings are numbered consistently with the numbers assigned in the schedule. FINDINGS-FINANCIAL STATEMENT AUDIT SIGNIFICANT DEFICIENCY 2023-001 Federal Direct Loan Program Student Recommendation: We recommended in the prior year that the Institute review and revise its procedures to put controls in place to ensure required notifications regarding Federal Direct Loan Program proceeds are provided to par-ticipating students. Action Plan: We agree with both the finding and the recommendation. In the Summer 2023 semester, a system was implemented to send out the required notifications regarding Federal Direct Loan Program proceeds that have been applied to a participating student's account. If the U.S. Department of Education has questions regarding this plan, please call Robert Graber at 732-547-9549.

View Audit 309770

Finding 401664 (2023-002)

Material Weakness 2023

Troy University

AL

Questioned Costs Student Financial Aid Eligibility

Corrective Action Plan The University will establish processes and policies to pull attendance reports after census date of each term/semester for any students who receive Title IV aid and are identified as non-attendance. We will use this information to recalculate Federal Pell Grant and Federal Di...

Corrective Action Plan The University will establish processes and policies to pull attendance reports after census date of each term/semester for any students who receive Title IV aid and are identified as non-attendance. We will use this information to recalculate Federal Pell Grant and Federal Direct Student Loan awards based on enrollment or change in enrollment status. At the end of each term/semester, the University will review F/FA grades for any student who receives Title IV aid and will adjust their aid accordingly to comply with Title 34 of the Code of Federal Regulations, Part 690.80. In addition, we are currently reviewing F/FA grades for the 2023-2024 academic year. Anticipated Completion Date: June 2024 Contact Person(s): Alicia Bookout Associate Vice Chancellor, Financial Aid

View Audit 309623 Questioned Costs: $1

Finding 401662 (2023-001)

Significant Deficiency 2023

Troy University

AL

Student Financial Aid Significant Deficiency Matching / Level of Effort / Earmarking

Corrective Action Plan The University will consistently follow established procedures used to perform Title IV refund calculations for students who withdraw after the 60 percent point that comply with Title 34 of the Code of Federal Regulations, Part 668.22. Anticipated Completion Date; June 2024 Co...

Corrective Action Plan The University will consistently follow established procedures used to perform Title IV refund calculations for students who withdraw after the 60 percent point that comply with Title 34 of the Code of Federal Regulations, Part 668.22. Anticipated Completion Date; June 2024 Contact Person(s): Alicia Bookout Associate Vice Chancellor, Financial Aid

View Audit 309623

Finding 401465 (2023-001)

Significant Deficiency 2023

Alabama State University

AL

Student Financial Aid Special Tests & Provisions Matching / Level of Effort / Earmarking

Finding 2023-001 - Special Tests and Provisions - Enrollment Reporting - Repeat Finding There were students who withdrew on 9/21/23 and 9/24/23, but at the time of the Clearinghouse Enrollment Report, which was submitted on 10/11/23, neither of the students were listed as withdrawn in PeopleSoft whe...

Finding 2023-001 - Special Tests and Provisions - Enrollment Reporting - Repeat Finding There were students who withdrew on 9/21/23 and 9/24/23, but at the time of the Clearinghouse Enrollment Report, which was submitted on 10/11/23, neither of the students were listed as withdrawn in PeopleSoft when the data was pulled for submission. The next enrollment submission was 12/4/2,3 which showed that both students were withdrawn; however, the 60 days had elapsed. In order to strengthen the policies and procedures with regard to the enrollment reporting requirements, we will hire a person that will be dedicated to ensuring that data flow between the student information system and tertiary systems is running efficiently and accurately. This person will be responsible for thorough research, analysis, and administrative efforts related to the auditing of complex data collections. In the meantime, the Office of Records & Registration will make sure that the term withdrawal forms are completed on a daily basis so that we do not miss any during the enrollment submission with NSC. Anticipated Date of Completion: September 30, 2024 Contact: Marie McNear Director of Records and Registration mmcnear@alasu.edu 334-229-4312

View Audit 309558

Finding 401412 (2023-003)

None 2023

The University of Alabama in Huntsville

AL

Student Financial Aid Reporting Eligibility

The University concurs with the auditors' finding. We are implementing measures to timely report student enrollment status changes to the National Student Loan Data System (“NSLDS”). The University of Alabama in Huntsville maintains records for each student’s enrollment status (full-time, three-quar...

The University concurs with the auditors' finding. We are implementing measures to timely report student enrollment status changes to the National Student Loan Data System (“NSLDS”). The University of Alabama in Huntsville maintains records for each student’s enrollment status (full-time, three-quarter time, etc.) within our student information system. Each month, UAH transmits a data file containing updated enrollment statuses for all students to the National Student Clearinghouse (“Clearinghouse”). The Clearinghouse then reports the updated enrollment status to “NSLDS". Retirements of key personnel within the Registrar's Office impacted the ability to maintain consistent review of enrollment reporting. A new Registrar was hired on November 13. Additionally, a comprehensive procedural guide detailing the process for reviewing Clearinghouse errors and warning reports will be developed. This documentation will enable cross-training of other personnel to maintain the review process during staff absences or vacancies, upholding standardized practices and ensuring student enrollment status changes are reported timely. The University expects to complete this corrective action plan by December 2024. For follow-up questions or if you need any additional information, please feel free to contact, contact Patrick James, Associate VP for Student Affairs, at pgj0002@uah.edu who is responsible for this corrective action.

View Audit 309538

Finding 401366 (2023-002)

None 2023

Notre Dame College

OH

Student Financial Aid Reporting Matching / Level of Effort / Earmarking

Finding 2023-002 Management acknowledges that the portions of the FISAP were not updated to reflect activity for the year ended June 20, 2023. Management will defer to the Department of Education regarding the steps required to correct the error.

View Audit 309462

Finding 401360 (2023-001)

None 2023

Notre Dame College

OH

Student Financial Aid

Finding 2023-001 Management acknowledges that the composite score for the year ended June 30, 2023 was less than 1.5. After careful consideration, management announced that in-person instruction will conclude at the end of the 2024 spring semester.

View Audit 309462

Finding 401205 (2023-003)

None 2023

The University of Alabama

AL

Student Financial Aid Eligibility Period of Performance

Finding 2023-003 – Reporting Cluster: Student Financial Assistance Federal Agency: Department of Education Assistance Listing Title and Number: 84.268 - Federal Direct Loan Program Award Year: Fiscal year 2023 Management concurs with the auditors’ finding. The academic year end date was reported i...

Finding 2023-003 – Reporting Cluster: Student Financial Assistance Federal Agency: Department of Education Assistance Listing Title and Number: 84.268 - Federal Direct Loan Program Award Year: Fiscal year 2023 Management concurs with the auditors’ finding. The academic year end date was reported incorrectly for Direct Loan borrowers enrolled in Law School. All affected records have been identified and were limited to students seeking professional degrees. All incorrectly reported dates have been corrected in the COD system as of June 13, 2024. Though the University had procedures in place to monitor the correctness of information submitted to the COD system, this error in one of our smallest student groups was overlooked during our office’s transition back to normal operations from COVID-19 procedures. To prevent a recurrence of this error, a separate review process will be added to our office workflow to annually ensure the accuracy of academic dates entered into the Banner student information system. Ronald Price, Associate Director, Student Financial Aid, Fiscal Operations and Loans of the University of Alabama (ronald.price@ua.edu), is responsible for implementing the corrective action planned. The University expects to complete this corrective action plan by July 31, 2024.

View Audit 309212

Finding 401201 (2023-002)

None 2023

The University of Alabama

AL

Student Financial Aid Reporting Eligibility

Finding 2023-002 – Timeliness of Enrollment Reporting Cluster: Student Financial Assistance Federal Agency: Department of Education Assistance Listing Title and Number: 84.268 - Federal Direct Loan Program Award Year: Fiscal year 2023 Management concurs with the auditors’ finding. The University be...

Finding 2023-002 – Timeliness of Enrollment Reporting Cluster: Student Financial Assistance Federal Agency: Department of Education Assistance Listing Title and Number: 84.268 - Federal Direct Loan Program Award Year: Fiscal year 2023 Management concurs with the auditors’ finding. The University began discussions with the National Student Clearinghouse (“Clearinghouse”) in February 2024 concerning graduation reporting, and changes have been made to the process of reporting student graduations. Per the recommendation of the Clearinghouse, a “Graduates Only” file will now be reported by the University in addition to the Clearinghouse’s “Degree Verify” files. Management has verified with the Clearinghouse that this change will eliminate the occurrence of records not being properly applied and provides easier identification and resolution of any errors. This new method of reporting was implemented on June 10, 2024, with the reporting of Spring 2024 graduates. For the remaining status change issues, management has collaborated with the Clearinghouse on the University’s schedule of future enrollment reporting submissions to prevent any further timing issues with NSLDS reporting. Daniel Strickland, Associate University Registrar (daniel@ua.edu) completed this corrective action plan on June 10, 2024.

View Audit 309212

Finding 401186 (2023-001)

None 2023

The University of Alabama

AL

Student Financial Aid Matching / Level of Effort / Earmarking Subrecipient Monitoring

Finding 2023-001 – E-Sign Act Cluster: Student Financial Assistance Federal Agency: Department of Education Assistance Listing Title and Number: 84.007 - Federal Supplemental Educational Opportunity Grants, 84.033 - Federal Work Study Program, 84.063 - Federal Pell Grant Program, 84.038 - Student F...

Finding 2023-001 – E-Sign Act Cluster: Student Financial Assistance Federal Agency: Department of Education Assistance Listing Title and Number: 84.007 - Federal Supplemental Educational Opportunity Grants, 84.033 - Federal Work Study Program, 84.063 - Federal Pell Grant Program, 84.038 - Student Financial Assistance, 84.268 - Federal Direct Loan Program, 93.264 - Nursing Faculty Loan Program Award Year: Fiscal year 2023 Management concurs with the auditors’ finding and understands the requirement to obtain student voluntary consent to participate in electronic transactions. Beginning with the 2024-25 academic year, student voluntary consent to participate in electronic transactions language will be added to the existing financial aid terms and conditions acceptance process students are required to review each year they receive federal student aid. To implement the needed changes, the following actions will take place: 1) For students who have already applied for federal aid for the 2024-25 academic year, E-Sign Terms and Conditions will be added to the student’s myBama Financial Aid Home Page with the option to accept. This will be implemented prior to fall term awarding of returning students. For entering students who have already received 2024-25 awards, each will be notified of the E-sign requirements and will be given the opportunity to voluntarily consent. 2) Those filing 2024-25 FAFSA’s after June 30, 2024 (and in future years), will be notified of the E-Sign terms, conditions, and voluntary acceptance process at the time their FAFSA application is received and will be directed to their myBama Financial Aid Home Page to complete it. In addition to the University’s existing policies of student’s consent to electronic disbursement of credit balances and notifications on receiving paper communications, these improvements will ensure full compliance with the E-sign Act. Helen Allen, Executive Director, Student Financial Aid and Scholarships of The University of Alabama (helen.allen@ua.edu), is responsible for implementing the corrective action planned. The University expects to complete this corrective action plan by July 31, 2024.

View Audit 309212

Finding 400627 (2023-006)

None 2023

Pillar College and Subsidiaries

NJ

Student Financial Aid Cash Management Matching / Level of Effort / Earmarking

Credit Balances Held Beyond Payment Period Planned Corrective Action: Per our policies, accounts are reviewed weekly and credit balances are processed within the 14-day period. Person Responsible for Corrective Action Plan: Ingrid Ortiz, Director of Financial Aid Anticipated Date of Completion: Impl...

Credit Balances Held Beyond Payment Period Planned Corrective Action: Per our policies, accounts are reviewed weekly and credit balances are processed within the 14-day period. Person Responsible for Corrective Action Plan: Ingrid Ortiz, Director of Financial Aid Anticipated Date of Completion: Implemented as of Spring 2024.

View Audit 308676

Finding 400626 (2023-005)

Significant Deficiency 2023

Pillar College and Subsidiaries

NJ

Questioned Costs Student Financial Aid Significant Deficiency

Incorrect Pell Calculations Planned Corrective Action: Per our policies we will work in conjunction with Academics to ensure timely response in updating Pell based enrollment changes. Tasks will be generated to ensure both groups are reviewing in a timely manner. Person Responsible for Corrective Ac...

Incorrect Pell Calculations Planned Corrective Action: Per our policies we will work in conjunction with Academics to ensure timely response in updating Pell based enrollment changes. Tasks will be generated to ensure both groups are reviewing in a timely manner. Person Responsible for Corrective Action Plan: Ingrid Ortiz, Director of Financial Aid Anticipated Date of Completion: Implemented as of Fall 2023.

View Audit 308676 Questioned Costs: $1

Finding 400624 (2023-004)

Significant Deficiency 2023

Pillar College and Subsidiaries

NJ

Student Financial Aid Reporting Significant Deficiency

Inaccurate and Untimely Return of Title IV Funds (R2T4) Planned Corrective Action: With new automation we have more timely notifications on when students have been dropped. The Pillar Financial Aid department has updated their policies to monitor the withdrawal calculations to ensure they are comple...

Inaccurate and Untimely Return of Title IV Funds (R2T4) Planned Corrective Action: With new automation we have more timely notifications on when students have been dropped. The Pillar Financial Aid department has updated their policies to monitor the withdrawal calculations to ensure they are completed within the allotted timeframe. Person Responsible for Corrective Action Plan: Ingrid Ortiz, Director of Financial Aid Anticipated Date of Completion: Implemented as of Spring 2024.

View Audit 308676

Finding 400622 (2023-003)

Material Weakness 2023

Pillar College and Subsidiaries

NJ

Questioned Costs Student Financial Aid Eligibility

Disbursements to Ineligible Students Planned Corrective Action: With the new automation process we have exceptions that will prevent the funding from posting if there is no LDA listed. We have also updated the Disbursement Criteria Approval to help prevent inaccurate disbursements from posting. Pers...

Disbursements to Ineligible Students Planned Corrective Action: With the new automation process we have exceptions that will prevent the funding from posting if there is no LDA listed. We have also updated the Disbursement Criteria Approval to help prevent inaccurate disbursements from posting. Person Responsible for Corrective Action Plan: Ingrid Ortiz, Director of Financial Aid Anticipated Date of Completion: Implemented as of Fall 2023.

View Audit 308676 Questioned Costs: $1

Finding 400558 (2023-002)

Material Weakness 2023

Center for Integrated Care D/b/a Seattle Institute of East Asian Medicine

WA

Special Tests & Provisions Student Financial Aid Subrecipient Monitoring

standards for safeguarding customer information to their student information security policy. We consider this finding to be a material weakness in relation to Special Tests and Provisions. Statistical sampling was not used in making sample selections. Corrective Action Plan: While the school has be...

standards for safeguarding customer information to their student information security policy. We consider this finding to be a material weakness in relation to Special Tests and Provisions. Statistical sampling was not used in making sample selections. Corrective Action Plan: While the school has been following best practices for information security, including the use of MFA for all online process, we did not have a fully articulated policy and procedures relating to the GLBA. We created the appropriate documentation for a fully articulated GLBA policy and have put into place the appropriate safeguards as specified in that document and in the GLBA. Responsible Person for Correction Action Plan: Craig Mitchell, President, in conjunction with the Academic Leadership Team of SIEAM. Implementation Date for Corrective Action Plan: The fully articulated policy was put into effect as of May 20, 2024. Because components of the policy involve ongoing training, education, and pressure testing of the systems, the implementation process will continue to occur and to eveolve over the next year.

View Audit 308594

Finding 400376 (2023-002)

Significant Deficiency 2023

Guam Community College

GU

Questioned Costs Student Financial Aid Matching / Level of Effort / Earmarking § 200.303

Finding No.: 2023-002 Views of responsible officials and planned corrective actions: We agree with the finding. The College’s internal controls did not detect errors that the Banner system withdrawal report contained incomplete data therefore causing Title IV funds to not be returned within the re...

Finding No.: 2023-002 Views of responsible officials and planned corrective actions: We agree with the finding. The College’s internal controls did not detect errors that the Banner system withdrawal report contained incomplete data therefore causing Title IV funds to not be returned within the required time frame. The College will revise existing Return to Title IV procedures to improve the collaboration between the Financial Aid and Admission Offices in identifying all students subject to Return to Title IV. On 04/25/2024, the Assistant Director of Assessment, Institutional Effectiveness & Research (AIER) began this process by instructing the Admission Office Team on the correct withdrawal codes to utilize. This change should ensure all appropriate students are identified in the withdrawal report. In addition to uniformly applying the proper withdrawal codes, additional reports will be utilized for data comparison purposes. Previously, only the withdrawal reports from our Banner system were utilized to identify students who had withdrawn from some or all of their classes. These reports were generated at the end of a term after grades were finalized. Moving forward, withdrawal reports generated from our Envisions Argos system will be used along with our Banner system reports to help ensure all students with some level of withdrawal status are identified. The Financial Aid Office is working with AIER to create a withdrawal report that contains the required data needed to identify students who have withdrawn from classes. The use of both the Banner report and Argos report will assist our office to identify students who have officially withdrawn from classes as well as those who have unofficially withdrawn from classes (i.e., students receiving all failing, technical failure, incomplete, or similar grades). The College will also strengthen their controls surrounding the timely review of student withdrawals to ensure Return of Title IV calculations are completed in a timely manner and refunds are returned to the Department of Education within the required 45-day timeframe. Records of 14 students (10 students identified in the ARGOS report from AIER together with the four students identified by FAO as official withdrawal students) have been reviewed and the Return to Title IV calculations have been completed for the eight students who did not complete 60% of the term. The process to return the funds to ED commenced the week of 05/13/24. After this process has been completed, corrections to our Award Year 2022-2023 FISAP report data will be submitted to COD. Contact Person: Gemma-Lee P. Santos, Financial Aid Coordinator Expected Completion Date: June 30, 2024

View Audit 308414 Questioned Costs: $1

Finding 400292 (2023-002)

None 2023

Auburn University

AL

Student Financial Aid Reporting Matching / Level of Effort / Earmarking

MANAGEMENT VIEWS AND CORRECTIVE ACTION PLAN REPORT ON FEDERAL AWARDS IN ACCORDANCE WITH THE OMB UNIFORM GUIDANCE SEPTEMBER 30, 2023 Finding 2023-002 Timely Student Enrollment Change Submissions to National Student Loan Data Systems (NSLDS) AUM agrees with finding 2023-002 which originated in fisca...

MANAGEMENT VIEWS AND CORRECTIVE ACTION PLAN REPORT ON FEDERAL AWARDS IN ACCORDANCE WITH THE OMB UNIFORM GUIDANCE SEPTEMBER 30, 2023 Finding 2023-002 Timely Student Enrollment Change Submissions to National Student Loan Data Systems (NSLDS) AUM agrees with finding 2023-002 which originated in fiscal year 2023. To ensure Auburn University at Montgomery is in compliance with 34 CFR 690.83(b)(2) and 34 CFR 685.309, Auburn University at Montgomery will implement the following corrective action plan: The Registrar’s Office has initiated inquiries with the National Student Clearinghouse (NSC) regarding enrollment information AUM reported in January 2023 to NSC for the student identified in this finding. This information appears to not have been reported timely by NSC to the National Student Loan Data System (NSLDS). Further, AUM will make inquiries of NSLDS to determine if the data file was in fact received by NLSDS from NSC in January 2023 and not properly updated by NSLDS. Upon completion of our inquiries, AUM will implement an appropriate review control to ensure data files submitted to NSC are timely reported to NSLDS such that all changes in student enrollment status are reported within the reporting period timelines identified in the finding. Contact: Dr. Sheila Washington Registrar Christopher White Assistant Vice Chancellor and Controller Anticipated Completion Date: July 31, 2024

View Audit 308385

Finding 400291 (2023-001)

None 2023

Auburn University

AL

Student Financial Aid Matching / Level of Effort / Earmarking

MANAGEMENT VIEWS AND CORRECTIVE ACTION PLAN REPORT ON FEDERAL AWARDS IN ACCORDANCE WITH THE OMB UNIFORM GUIDANCE SEPTEMBER 30, 2023 Finding 2023-001 Monthly Direct Loan Reconciliation AUM agrees with finding 2023-001 which originated in fiscal year 2023. To ensure Auburn University at Montgomery ...

MANAGEMENT VIEWS AND CORRECTIVE ACTION PLAN REPORT ON FEDERAL AWARDS IN ACCORDANCE WITH THE OMB UNIFORM GUIDANCE SEPTEMBER 30, 2023 Finding 2023-001 Monthly Direct Loan Reconciliation AUM agrees with finding 2023-001 which originated in fiscal year 2023. To ensure Auburn University at Montgomery is in compliance with 34 CFR 685.300(b)(5), AUM will implement the following corrective action plan: The Financial Aid Office has begun addressing this issue by drafting an updated procedure guide on the monthly Direct Loan Reconciliation in order to remain compliant with 34 CFR 685.300(b)(5). The revised procedure guide details the correct way to document any discrepancies on the face of the reconciliation to demonstrate that the Student Banner Loan Funds have been reconciled to Common Origination Disbursement (COD). The updated procedure guide also details the proper way to maintain documentation with the completed reconciliation electronically. The Director of Financial Aid will train department employees on the updated procedure guide and will ensure that the reconciliation is reconciled monthly. Additionally, Financial Services will perform a monthly review and approval on the face of the reconciliation to further document the reconciliation has been performed appropriately. The Financial Aid Office will cross-train other employees on how to properly perform the monthly Direct Loan Reconciliation in order to remain compliant with 34 CFR 685.300(b)(5). Cross-training other employees in the Financial Aid office will ensure that there are not any reconciliations missed in the event of additional employee turnover or employee absence. Additionally, Financial Aid will submit the monthly reconciliation to Financial Services for review and approval to further ensure continuity of the reconciliation during future personnel changes. Contact: Steve Smith Senior Director of Financial Aid Christopher White Assistant Vice Chancellor and Controller Anticipated Completion Date: June 30, 2024

View Audit 308385

Finding 400211 (2023-012)

Significant Deficiency 2023

State of Iowa

IA

Allowable Costs / Cost Principles Student Financial Aid

The Department will retrain staff on when an overpayment is needed, when to cancel a case and what to look for in the system when an alert is received about a child entering foster care. A reminder will be provided to all Income Maintenance staff providing the policies and procedures for duplicate ...

The Department will retrain staff on when an overpayment is needed, when to cancel a case and what to look for in the system when an alert is received about a child entering foster care. A reminder will be provided to all Income Maintenance staff providing the policies and procedures for duplicate benefits. This reminder will be emailed and also discussed at team staff meetings.

View Audit 308332

Corrective Action Plans

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