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Corrective Action Plans

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Finding 387210 (2023-004)
Significant Deficiency 2023
Community College District of Monroe County, Michigan
MI
Student Financial Aid Matching / Level of Effort / Earmarking
The Financial Aid Office is in the process of updating all processes and procedures to create checks and balances to ensure that all return of funds are processed appropriately.
The Financial Aid Office is in the process of updating all processes and procedures to create checks and balances to ensure that all return of funds are processed appropriately.
View Audit 299496
Finding 387209 (2023-005)
Significant Deficiency 2023
Community College District of Monroe County, Michigan
MI
Student Financial Aid Matching / Level of Effort / Earmarking
The Financial Aid Office is currently working on updating the Return of Funds procedures, that includes steps to ensure calculations are being processed properly.
The Financial Aid Office is currently working on updating the Return of Funds procedures, that includes steps to ensure calculations are being processed properly.
View Audit 299496
Finding 387207 (2023-006)
Significant Deficiency 2023
Community College District of Monroe County, Michigan
MI
Student Financial Aid Reporting Matching / Level of Effort / Earmarking
The Registrars Office and Financial Aid Office are reviewing all current processes to ensure that status changes are being reported accurately. This includes students who may have requested a Refund Exception Appeal, which could have an impact on the date of determination the withdrawal occurred.
The Registrars Office and Financial Aid Office are reviewing all current processes to ensure that status changes are being reported accurately. This includes students who may have requested a Refund Exception Appeal, which could have an impact on the date of determination the withdrawal occurred.
View Audit 299496
Finding 387194 (2023-001)
Significant Deficiency 2023
University of St. Thomas
MN
Student Financial Aid Matching / Level of Effort / Earmarking Internal Control / Segregation of Duties
Federal Perkins Loan Program – Assistance Listing No. 84.038 Recommendation: We recommend the University implement a procedure with the third party servicer to ensure that their report is completed timely so that the University can perform the necessary due diligence they need to perform. Explanatio...
Federal Perkins Loan Program – Assistance Listing No. 84.038 Recommendation: We recommend the University implement a procedure with the third party servicer to ensure that their report is completed timely so that the University can perform the necessary due diligence they need to perform. Explanation of disagreement with audit finding: There is no disagreement with the audit finding. Action taken in response to finding: Recognizing the importance of resolving this finding the University of St Thomas intends to leverage its Internal Audit function in review of its relationship with UAS and the regulations and compliance items therein. Name of the contact person responsible for corrective action: Wade Holmberg Planned completion date for corrective action plan: 6/1/2024
View Audit 299468
Fresno Pacific University and Subsidiaries
CA
Student Financial Aid Cash Management Matching / Level of Effort / Earmarking
Cash Management Planned Corrective Action: The SFS office will provide the Business Office the types and amounts of funds disbursed. The Business Office will drawdown those amounts from the G5 system. The SFS Office will maintain a roster of the disbursements to validate the amount of funds request...
Cash Management Planned Corrective Action: The SFS office will provide the Business Office the types and amounts of funds disbursed. The Business Office will drawdown those amounts from the G5 system. The SFS Office will maintain a roster of the disbursements to validate the amount of funds requested. Person Responsible for Corrective Action Plan: Bryan Taylor, Associate Director of SFS Processing Anticipated Date of Completion: April 2024
View Audit 299440
Fresno Pacific University and Subsidiaries
CA
Questioned Costs Student Financial Aid Matching / Level of Effort / Earmarking
Aggregate Federal Direct Loan Limits Planned Corrective Action: Staff training and new reports to identify situations where comment codes related to aggregate limits are identified and reviewed to prevent over awarded funds. Person Responsible for Corrective Action Plan: Bryan Taylor, Associate Di...
Aggregate Federal Direct Loan Limits Planned Corrective Action: Staff training and new reports to identify situations where comment codes related to aggregate limits are identified and reviewed to prevent over awarded funds. Person Responsible for Corrective Action Plan: Bryan Taylor, Associate Director of SFS Processing Anticipated Date of Completion: February 2024
View Audit 299440 Questioned Costs: $1
Fresno Pacific University and Subsidiaries
CA
Student Financial Aid Matching / Level of Effort / Earmarking
Federal Direct Loan (FOL) Monthly Reconciliations Planned Corrective Action: Additional oversight and accountability measures have been put in place to ensure reconciliation is conducted monthly and timely. Person Responsible for Corrective Action Plan: Bryan Taylor, Associate Director of SFS Proc...
Federal Direct Loan (FOL) Monthly Reconciliations Planned Corrective Action: Additional oversight and accountability measures have been put in place to ensure reconciliation is conducted monthly and timely. Person Responsible for Corrective Action Plan: Bryan Taylor, Associate Director of SFS Processing Anticipated Date of Completion: January 2024
View Audit 299440
Finding 387168 (2023-005)
Significant Deficiency 2023
Fresno Pacific University and Subsidiaries
CA
Questioned Costs Student Financial Aid Eligibility
Ineligible Programs Planned Corrective Action: Additional training regarding program eligibility has been conducted with the Processing Team. Previously unknown functionality to designate a program as being ineligible for Title IV aid in the Colleague administrative system was identified and implem...
Ineligible Programs Planned Corrective Action: Additional training regarding program eligibility has been conducted with the Processing Team. Previously unknown functionality to designate a program as being ineligible for Title IV aid in the Colleague administrative system was identified and implemented. Title IV funds can no longer be disbursed for programs marked as ineligible. Person Responsible for Corrective Action Plan: Bryan Taylor, Associate Director of SFS Processing Anticipated Date of Completion: February 2024
View Audit 299440 Questioned Costs: $1
Finding 387162 (2023-003)
Material Weakness 2023
Fresno Pacific University and Subsidiaries
CA
Student Financial Aid Subrecipient Monitoring Material Weakness
Inaccurate and Untimely Returns of Title IV Funds (R2T4) Planned Corrective Action: The university outsourced the R2T4 calculation process in October 2022 to provide timely processing of returns. Additionally, to reduce the overall amount of withdrawal calculations, the university moved from an Ins...
Inaccurate and Untimely Returns of Title IV Funds (R2T4) Planned Corrective Action: The university outsourced the R2T4 calculation process in October 2022 to provide timely processing of returns. Additionally, to reduce the overall amount of withdrawal calculations, the university moved from an Institution Required to Take Attendance to an Institution Not Required to Attendance in May 2023. Additional reports were created to accommodate this change and identify withdrawals. Staff attended the NASFAA R2T4 training course. Person Responsible for Corrective Action Plan: Bryan Taylor, Associate Director of SFS Processing Anticipated Date of Completion: November 2023
View Audit 299440
Finding 387156 (2023-002)
Material Weakness 2023
Fresno Pacific University and Subsidiaries
CA
Student Financial Aid Material Weakness
Lack of Administrative Capability Planned Corrective Action: The university added and filled vacant positions in the financial aid office which provided additional capacity for processing and compliance. New levels of oversight and accountability were established and are being followed. Previously ...
Lack of Administrative Capability Planned Corrective Action: The university added and filled vacant positions in the financial aid office which provided additional capacity for processing and compliance. New levels of oversight and accountability were established and are being followed. Previously unknown functionality in the Colleague system was identified and implemented preventing the awarding of aid to ineligible programs. Person Responsible for Corrective Action Plan: David Richards, Director of Student Financial Services Anticipated Date of Completion: February 2024
View Audit 299440
Finding 387142 (2023-005)
Significant Deficiency 2023
Tabor College, Inc.
KS
Student Financial Aid Significant Deficiency Internal Control / Segregation of Duties
Fiscal Operations and Application to Participate (FISAP) Award Period: July 1, 2022 to June 30, 2023 Type of Finding: Significant Deficiency in Internal Control over Compliance; Other Matters Recommendation: We recommend the College review their procedures to implement a review process in place befo...
Fiscal Operations and Application to Participate (FISAP) Award Period: July 1, 2022 to June 30, 2023 Type of Finding: Significant Deficiency in Internal Control over Compliance; Other Matters Recommendation: We recommend the College review their procedures to implement a review process in place before the FISAP is submitted to the Department of Education. Explanation of disagreement with audit finding: There is no disagreement with the audit finding. Action taken in response to finding: Tabor College will ensure that procedures are in place to ensure the FISAP data has a review by a second person prior to submission. The hiring of the Director of Financial Aid will greatly assist in ensuring accuracy of reporting. Name(s) of the contact person(s) responsible for corrective action: Erica Clark, Director of Financial Aid Planned completion date for corrective action plan: September 2024 filing.
View Audit 299430
Finding 387136 (2023-004)
Significant Deficiency 2023
Tabor College, Inc.
KS
Student Financial Aid Significant Deficiency Internal Control / Segregation of Duties
Gramm-Leach-Bliley Act Award Period: July 1, 2022 to June 30, 2023 Type of Finding: Significant Deficiency in Internal Control over Compliance; Other Matters Recommendation: We recommend the College review their documentation and ensure that the written information security program includes the requ...
Gramm-Leach-Bliley Act Award Period: July 1, 2022 to June 30, 2023 Type of Finding: Significant Deficiency in Internal Control over Compliance; Other Matters Recommendation: We recommend the College review their documentation and ensure that the written information security program includes the required elements. We also recommend reviewing the changes in the Gramm-Leach-Bliley Act regulations that were required to be implemented as of June 9, 2023. Explanation of disagreement with audit finding: There is no disagreement with the audit finding. Action taken in response to finding: Tabor College appointed an Information Technology Point of Contact in 2023. Tabor College contracted with Tenfold Security to assist with the requirements of the Gramm-Leach-Bliley Act (GLBA). A Risk Assessment was performed in April 2023 and the final report issued in May 2023. Penetration testing has been completed on a regular basis beginning March 27, 2023. Multi-factor Authentication (MFA) implementation began in June with full implementation with the return of students in August 2024. MFA has been fully implemented for all employees, students, and Board members. The significant undertaking of establishing required Policies and Procedures began in June 2023. A GLBA Committee has been recently been formed to help ensure compliance with all of the established policies and procedures. Tabor continues to work with Tenfold to ensure compliance with the GLBA requirements as of June 9, 2023. Name(s) of the contact person(s) responsible for corrective action: Cathy Castle, Vice President for Business and Finance Planned completion date for corrective action plan: 2024 and ongoing. If the Department of Education has questions regarding this plan, please call Cathy Castle at 620-947-3121 x 1056.
View Audit 299430
Finding 387130 (2023-003)
Significant Deficiency 2023
Tabor College, Inc.
KS
Student Financial Aid Reporting Significant Deficiency
National Student Loan Data System (NSLDS) Award Period: July 1, 2022 to June 30, 2023 Type of Finding: Significant Deficiency in Internal Control over Compliance; Other Matters Recommendation: We recommend the College review its reporting procedures to ensure the students' statuses are accurately re...
National Student Loan Data System (NSLDS) Award Period: July 1, 2022 to June 30, 2023 Type of Finding: Significant Deficiency in Internal Control over Compliance; Other Matters Recommendation: We recommend the College review its reporting procedures to ensure the students' statuses are accurately reported to NSLDS as required by regulations. Explanation of disagreement with audit finding: There is no disagreement with the audit finding. Action taken in response to finding: Tabor College utilizes a clearing house for submitting student statuses. Enrollment is submitted on a monthly basis, at the beginning of the term, each month and then when the term has ended. Graduate students are reported at the end of the term. Tabor will ensure that all students statuses are filed accurately and timely. A Director of Financial Aid has been hired. This position had been filled by an interim person. Name(s) of the contact person(s) responsible for corrective action: Erica Clark, Director of Financial Aid Planned completion date for corrective action plan: April 2024
View Audit 299430
Finding 387124 (2023-002)
Significant Deficiency 2023
Tabor College, Inc.
KS
Student Financial Aid Reporting Significant Deficiency
Eligibility and Certification Approval Report (ECAR) Award Period: July 1, 2022 to June 30, 2023 Type of Finding: Significant Deficiency in Internal Control over Compliance; Other Matters Recommendation: We recommend the College review its reporting procedures surrounding updating the ECAR to ensure...
Eligibility and Certification Approval Report (ECAR) Award Period: July 1, 2022 to June 30, 2023 Type of Finding: Significant Deficiency in Internal Control over Compliance; Other Matters Recommendation: We recommend the College review its reporting procedures surrounding updating the ECAR to ensure reporting is accurate and completed. Explanation of disagreement with audit finding: There is no disagreement with the audit finding. Action taken in response to finding: Tabor College will ensure that ECAR is updated in a timely manner when there is a change in a position of an official for the institution. The two third-party collection agencies for Perkins were added to ECAR on October 31, 2023. Name(s) of the contact person(s) responsible for corrective action: Erica Clark, Director of Financial Aid Planned completion date for corrective action plan: March, 2024
View Audit 299430
Eureka College
IL
Student Financial Aid Eligibility Matching / Level of Effort / Earmarking
2023-004 – Student Financial Aid Cluster – (a) Federal Pell Grant (b) Federal Supplemental Educational Opportunity Grant (c) Federal Work Study Grant (d) Federal Perkins Loan Program (e) Federal Direct Student Loans (f) Teacher education Assistance for College and Higher Education ALN No. (a) 84.063...
2023-004 – Student Financial Aid Cluster – (a) Federal Pell Grant (b) Federal Supplemental Educational Opportunity Grant (c) Federal Work Study Grant (d) Federal Perkins Loan Program (e) Federal Direct Student Loans (f) Teacher education Assistance for College and Higher Education ALN No. (a) 84.063 (b) 84.007 (c) 84.033 (d) 84.038 (e) 84.268 (f) 84.379 – Year Ended June 30, 2023 Condition: We examined 40 student files and we noted one student was not properly awarded their Pell grant. We consider this condition to be an instance of noncompliance relating to the Eligibility compliance requirement. Management Response: This was a student transferring from a college that had closed (Lincoln College) the Financial Aid staff did not calculate new PELL eligibility with the Eureka College COA and awarded Pell from the wrong matrix on the Pell payment chart. Corrective Action Plan: All pell awards are now being offered based on correct COA and Pell Grant matrix with the Eureka costs. Responsible Person: Tim Marten, Director of Financial Aid Implementation Date: Spring 2024
View Audit 299424
Eureka College
IL
Questioned Costs Student Financial Aid Cash Management
2023-003 – Student Financial Aid Cluster – (a) Federal Pell Grant (b) Federal Supplemental Educational Opportunity Grant (c) Federal Work Study Grant (d) Federal Perkins Loan Program (e) Federal Direct Student Loans (f) Teacher education Assistance for College and Higher Education ALN No. (a) 84.063...
2023-003 – Student Financial Aid Cluster – (a) Federal Pell Grant (b) Federal Supplemental Educational Opportunity Grant (c) Federal Work Study Grant (d) Federal Perkins Loan Program (e) Federal Direct Student Loans (f) Teacher education Assistance for College and Higher Education ALN No. (a) 84.063 (b) 84.007 (c) 84.033 (d) 84.038 (e) 84.268 (f) 84.379 – Year Ended June 30, 2023 Condition: We examined 40 student files and we noted 3 out of 40 students were not properly awarded Direct Loans. One of these students was improperly awarded subsidized loans and instead should have received unsubsidized loans. Additionally, the College did not report actual loan disbursement dates to the Common Origination and Disbursement (COD) system for 1 of the 40 students in the sample (2.5%). We consider these conditions to be instances of noncompliance in internal control over compliance relating to the Eligibility compliance requirement. Management Response: Cost of Attendance (COA) calculations were not updated to ensure ratio of subsidized versus unsubsidized loans were correct. It looks like awards were not being recalculated as additional need based aid was added to awards for these students. Corrective Action Plan: New financial aid software (JFA) was implemented for the 2023-2024 academic year. A component of this software is a compliance check for COA and other issues. The compliance check for over awards should catch instances of the wrong sub/unsub ratio in the future. Responsible Person: Tim Marten, Director of Financial Aid Implementation Date: Fall 2023
View Audit 299424 Questioned Costs: $1
Finding 387116 (2023-002)
Significant Deficiency 2023
Eureka College
IL
Student Financial Aid Reporting Special Tests & Provisions
2023-002 – Student Financial Aid Cluster – (a) Federal Pell Grant (b) Federal Supplemental Educational Opportunity Grant (c) Federal Work Study Grant (d) Federal Perkins Loan Program (e) Federal Direct Student Loans (f) Teacher education Assistance for College and Higher Education ALN No. (a) 84.063...
2023-002 – Student Financial Aid Cluster – (a) Federal Pell Grant (b) Federal Supplemental Educational Opportunity Grant (c) Federal Work Study Grant (d) Federal Perkins Loan Program (e) Federal Direct Student Loans (f) Teacher education Assistance for College and Higher Education ALN No. (a) 84.063 (b) 84.007 (c) 84.033 (d) 84.038 (e) 84.268 (f) 84.379 – Year Ended June 30, 2023 Condition: The College did not report graduate status changes within 60 days for ten out of twenty students (50%) tested. We consider this condition to be a significant deficiency of internal control over compliance relating to the Special Tests and Provisions compliance. Management response: From October 2022 to August 2023, the Registrar's Office was short staffed (we only had one employee in the office). We also switched email service providers in the second half of May 2023. The degree file reminder email from the National Student Clearinghouse was missed by the Registrar in the email transition period and because of the change in calendar systems, it was also missed on the Registrar's calendar. When the email migration was complete, the Registrar had thousands emails that were showing as unread. By the time the email cleanup was complete, and the Registrar realized she had not submitted the May 2023 degree file, the 60 day window had passed. The file was submitted in late July as soon as it was discovered that it hadn't gotten submitted (15 days past the 60 day window) Corrective Action Plan: The Summer 2023 and Fall 2023 degree files were submitted on time. The Registrar's office is once again fully staffed and our email and calendar systems are stable again as well. Responsible Person: Kendi Onnen, Registrar Implementation Date: 7/27/2023
View Audit 299424
Finding 387115 (2023-001)
Significant Deficiency 2023
Eureka College
IL
Questioned Costs Student Financial Aid Significant Deficiency
2023-001 – Student Financial Aid Cluster – (a) Federal Pell Grant (b) Federal Supplemental Educational Opportunity Grant (c) Federal Work Study Grant (d) Federal Perkins Loan Program (e) Federal Direct Student Loans (f) Teacher education Assistance for College and Higher Education ALN No. (a) 84.063...
2023-001 – Student Financial Aid Cluster – (a) Federal Pell Grant (b) Federal Supplemental Educational Opportunity Grant (c) Federal Work Study Grant (d) Federal Perkins Loan Program (e) Federal Direct Student Loans (f) Teacher education Assistance for College and Higher Education ALN No. (a) 84.063 (b) 84.007 (c) 84.033 (d) 84.038 (e) 84.268 (f) 84.379 – Year Ended June 30, 2023 Condition: During our testing of forty individuals receiving federal work study, we noted 26 individuals (65%) that had timecards for hours worked that were not approved by a supervisor. We consider this condition to be a significant deficiency relating to the Activities Allowed or Unallowed compliance requirement. Management response: Timecard approval was completed by email notification. During 2022/23, a new email system was installed, and many emails related to timecards were lost. Corrective Action Plan: Starting in August 2023 all timecard approvals were documented in the payroll system (Paycor). HR prior to processing payroll requires all timecards be system documented as approved. Responsible Person: Kathleen Hermacinski, Human Resources Coordinator Implementation Date: August 2023
View Audit 299424 Questioned Costs: $1
Finding 387112 (2023-004)
Significant Deficiency 2023
Rutgers, the State University of New Jersey
NJ
Student Financial Aid Reporting Significant Deficiency
2023-004 Special Tests (Enrollment Reporting) Federal Agency: Student Financial Assistance Cluster - U.S. Department of Education Program Titles and ALN: Federal Pell Grant Program (ALN 84.063) and Federal Direct Student Loans (ALN 84.268) Federal Grant Numbers: E-P063P130272 (7/1/2022 - 6/30/2023...
2023-004 Special Tests (Enrollment Reporting) Federal Agency: Student Financial Assistance Cluster - U.S. Department of Education Program Titles and ALN: Federal Pell Grant Program (ALN 84.063) and Federal Direct Student Loans (ALN 84.268) Federal Grant Numbers: E-P063P130272 (7/1/2022 - 6/30/2023), P268K130272 (7/1/2022 - 6/30/2023) Contact Person: Jean McDonald Rash, AVP Enrollment Services, 848-932-2605 Corrective Action: The University Registrar will send a memorandum to all degree certifying officers at the University reminding them that degree certification must be completed by the appropriate date to be certain all students are included on the file that updates NSLDS with the graduation date. The Chancellor Unit registrars will be asked to send out reminders in the weeks leading up to the required submission date and to track the completion of degree certifications. A process will be developed to allow for the proper reporting of graduation information on the Program-Level Record to NSLDS even when the student remains currently enrolled at the University and is being reported as such on the Campus-Level Record. Anticipated Completion Date: The anticipated completion date for degree certifications is June 2024. The anticipated completion date for dual enrollment reporting statuses is January 2025.
View Audit 299417
Finding 387110 (2023-003)
Material Weakness 2023
Rutgers, the State University of New Jersey
NJ
Student Financial Aid Subrecipient Monitoring Cash Management
2023-003 Reporting (Financial) Federal Agency: Student Financial Assistance Cluster - U.S. Department of Education Program Titles and ALN: Federal Pell Grant Program (ALN 84.063) and Federal Direct Student Loans (ALN 84.268) Federal Grant Numbers: E-P063P130272 (7/1/2022 - 6/30/2023), P268K130272 ...
2023-003 Reporting (Financial) Federal Agency: Student Financial Assistance Cluster - U.S. Department of Education Program Titles and ALN: Federal Pell Grant Program (ALN 84.063) and Federal Direct Student Loans (ALN 84.268) Federal Grant Numbers: E-P063P130272 (7/1/2022 - 6/30/2023), P268K130272 (7/1/2022 - 6/30/2023) Contact Person: Jean McDonald Rash, AVP Enrollment Services, 848-932-2605 Corrective Action: OSFP was notified of the error in reporting the correct cost of attendance to the Common Origination and Disbursement (COD) system and the code was changed to prevent the error from reoccurring. The correct cost of attendances are now being reported to COD. A testing plan has been developed that includes confirmation that all system start and end dates align with the University’s published academic calendar. Anticipated Completion Date: Completed
View Audit 299417
Finding 387108 (2023-002)
Material Weakness 2023
Rutgers, the State University of New Jersey
NJ
Questioned Costs Student Financial Aid Matching / Level of Effort / Earmarking
2023-002 Eligibility Federal Agency: Student Financial Assistance Cluster - U.S. Department of Education Program Titles and ALN: Federal Pell Grant Program (ALN 84.063) and Federal Direct Student Loans (ALN 84.268) Federal Grant Numbers: E-P063P130272 (7/1/2022 - 6/30/2023), P268K130272 (7/1/2022 ...
2023-002 Eligibility Federal Agency: Student Financial Assistance Cluster - U.S. Department of Education Program Titles and ALN: Federal Pell Grant Program (ALN 84.063) and Federal Direct Student Loans (ALN 84.268) Federal Grant Numbers: E-P063P130272 (7/1/2022 - 6/30/2023), P268K130272 (7/1/2022 - 6/30/2023) Contact Person: Jean McDonald Rash, AVP Enrollment Services, 848-932-2605 Corrective Action: In order to correct the issue of students being awarded in excess of their cost of attendance, a weekly report has been developed to capture any student whose financial aid, from any source, exceeds the assigned cost of attendance. The Financial Aid Processing team in University Enrollment Services receives and resolves the issues in the report weekly to ensure that students are not awarded in excess of their assigned cost of attendance. In order to correct the issue of the incorrect calculation of the cost of attendance components, a testing plan has been developed that includes manually checking each program cost of attendance prior to signing off for production aid packaging. The script that caused the cost of attendance components to be doubled was corrected prior to the 2023-2024 aid year. Anticipated Completion Date: Completed
View Audit 299417 Questioned Costs: $1
Finding 387100 (2023-001)
Material Weakness 2023
Rutgers, the State University of New Jersey
NJ
Internal Control / Segregation of Duties Student Financial Aid
2023-001 Eligibility, Reporting (Financial) and Special Tests (Disbursements to or on Behalf of Students) Federal Agency: Student Financial Assistance Cluster - U.S. Department of Education and U.S. Department of Health and Human Services (DHHS), DHHS Health Resources and Services Administration Pr...
2023-001 Eligibility, Reporting (Financial) and Special Tests (Disbursements to or on Behalf of Students) Federal Agency: Student Financial Assistance Cluster - U.S. Department of Education and U.S. Department of Health and Human Services (DHHS), DHHS Health Resources and Services Administration Program Titles and Assistance Listing Numbers (ALN): Federal Supplemental Educational Opportunity Grants (ALN 84.007), Federal Work-Study Program (ALN 84.033), Federal Perkins Loans (ALN 84.038), Federal Pell Grant Program (ALN 84.063), Federal Direct Student Loans (ALN 84.268), Nurse Faculty Loan Program (ALN 93.264) and Scholarships for Health Professions Students from Disadvantaged Backgrounds (ALN 93.925) Federal Grant Numbers: E-P007A132602 (7/1/2022 - 6/30/2023), E-P033A132602 (7/1/2022 - 6/30/2023), E-P038A132602 (7/1/2022 - 6/30/2023), E-P063P130272 (7/1/2022 - 6/30/2023), P268K130272 (7/1/2022 - 6/30/2023), E-01HP28821-02-02, E36HP26092, E36HP25751, E26HP25748, E11HP27284 (7/1/2022 - 6/30/2023), 1T08HP393200100 (7/1/2022 - 6/30/2023), 5 T08HP39320-03-00 (7/1/2022 - 6/30/2023) Contact Person: Ellen Law, AVP OIT Enterprise Application Services, 848-445-5064 Corrective Action: Management has documented and implemented system release management practices for the OSFP system. All system change requests, updates and approvals are being tracked in a project tracking software. A dedicated Oracle Student Financial Planning (OSFP) administrator has been onboarded, to segregate duties within the technical team, with the capability of deploying changes to production. A new access role was implemented which limited some of the permissions, and the majority of the 35 users were moved to this more limited role. A recertification process was developed and the recertification was performed in July 2023. In the future, recertifications will be completed annually. Anticipated Completion Date: Completed
View Audit 299417
Finding 387003 (2023-004)
Significant Deficiency 2023
Lindenwood University
MO
Internal Control / Segregation of Duties Special Tests & Provisions Student Financial Aid
Finding 2023-004 Personnel Responsible for Corrective Action: Senior Vice President, Student Experience – Joseph Sallustio Anticipated Completion Date: March 2024 Corrective Action Plan: The University has completed its implementation of Anthology, a student information system, during the 2023-...
Finding 2023-004 Personnel Responsible for Corrective Action: Senior Vice President, Student Experience – Joseph Sallustio Anticipated Completion Date: March 2024 Corrective Action Plan: The University has completed its implementation of Anthology, a student information system, during the 2023-2024 fiscal year. The new system has several built in features that are supplemented with internal controls to ensure that exit interviews are completed with students in a timely fashion. There was also a transition in leadership during this time. The new leader did not realize the exits were being sent manually. The system has since been configured to send out exits upon graduation and an exit is triggered for when the student graduates, withdraws or drops to less than half-time.
View Audit 299379
Finding 387001 (2023-003)
Significant Deficiency 2023
Lindenwood University
MO
Student Financial Aid Special Tests & Provisions Matching / Level of Effort / Earmarking
Finding 2023-003 Personnel Responsible for Corrective Action: Senior Vice President, Student Experience – Joseph Sallustio Anticipated Completion Date: March 2024 Corrective Action Plan: The University has completed its implementation of Anthology, a student information system, during the 202...
Finding 2023-003 Personnel Responsible for Corrective Action: Senior Vice President, Student Experience – Joseph Sallustio Anticipated Completion Date: March 2024 Corrective Action Plan: The University has completed its implementation of Anthology, a student information system, during the 2023-2024 fiscal year. During the go-live in Spring 2023, the University experienced critical system reporting issues which were addressed a quickly as possible. The new system has several built in features that are supplemented with internal controls to ensure enrollment reporting requirements are completed in a timely fashion. In Spring 2024, Anthology provided the University with a audit tool to review data before uploading to promote efficiency and accuracy.
View Audit 299379
Finding 386999 (2023-002)
Significant Deficiency 2023
Lindenwood University
MO
Student Financial Aid Special Tests & Provisions Matching / Level of Effort / Earmarking
Finding 2023-002 Personnel Responsible for Corrective Action: Senior Vice President, Student Experience – Joseph Sallustio Anticipated Completion Date: March 2024 Corrective Action Plan: The University has completed its implementation of Anthology, a student information system, during the 2023-...
Finding 2023-002 Personnel Responsible for Corrective Action: Senior Vice President, Student Experience – Joseph Sallustio Anticipated Completion Date: March 2024 Corrective Action Plan: The University has completed its implementation of Anthology, a student information system, during the 2023-2024 fiscal year. The new system has several built in features that are supplemented with internal controls to ensure that changes in students enrollment status that trigger a return of title IV funds are completed within the required 45 day time period. During the transition of systems the report used to look at students who might need to be a withdrawal and have a R2T4 calculation performed needed to be rebuilt for the new system. During this process the report did not always work correctly. Those flaws have been fixed the report is being worked on a weekly basis.
View Audit 299379
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