Finding 401465 (2023-001)

Significant Deficiency Repeat Finding
Requirement
N
Questioned Costs
-
Year
2023
Accepted
2024-06-21
Audit: 309558
Organization: Alabama State University (AL)

AI Summary

  • Core Issue: The University failed to report changes in student enrollment status for two out of ten tested cases within the required 60 days.
  • Impacted Requirements: Compliance with federal regulations for timely updates to the Enrollment Reporting Roster under Pell grant and loan programs.
  • Recommended Follow-up: Enhance policies and procedures for enrollment reporting to ensure timely and accurate submissions.

Finding Text

Finding 2023-001 – Special Tests and Provisions – Enrollment Reporting – Repeat Finding Information on the Federal Program: U.S. Department of Education Student Financial Aid Cluster Criteria: Under the Pell grant and loan programs, institutions must update the Enrollment Reporting Roster for changes in student status, report the date the enrollment status was effective, enter the new anticipated completion date and submit the changes electronically through the batch method or the National Student Loan Data System (NSLDS) website. Institutions are responsible for timely reporting, whether they report directly or via a third-party servicer. These changes include reductions or increases in attendance levels, withdrawals, graduations or approved leaves-ofabsence. Condition: We tested a sample of 10 withdrawn students. In two instances, the change in status was not reported within the required 60-day time frame. Cause: The Enrollment Reporting Roster file is not being submitted timely or accurately to report changes in student enrollment status. Effect: The University did not comply with special tests and provisions compliance requirements related to enrollment reporting. Recommendation: We recommend the University strengthen its policies and procedures related to enrollment reporting requirements to comply with the regulations. Views of Responsible Officials: Management agrees with this finding. See Corrective Action Plan included at the end of the report.

Corrective Action Plan

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time of the Clearinghouse Enrollment Report, which was submitted on 10/11/23, neither of the students were listed as withdrawn in PeopleSoft when the data was pulled for submission.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

Categories

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

Other Findings in this Audit

  • 401466 2023-001
    Significant Deficiency Repeat
  • 977907 2023-001
    Significant Deficiency Repeat
  • 977908 2023-001
    Significant Deficiency Repeat

Programs in Audit

ALN Program Name Expenditures
84.268 Federal Direct Student Loans $31.66M
84.063 Federal Pell Grant Program $11.77M
84.031 Higher Education_institutional Aid $7.69M
84.425 Education Stabilization Fund $5.00M
84.334 Gaining Early Awareness and Readiness for Undergraduate Programs $2.75M
84.033 Federal Work-Study Program $1.39M
84.047 Trio_upward Bound $667,089
11.028 Connecting Minority Communities Pilot Program $403,149
84.044 Trio_talent Search $385,464
84.184 Safe and Drug-Free Schools and Communities_national Programs $344,759
84.007 Federal Supplemental Educational Opportunity Grants $318,922
16.839 Stop School Violence $271,125
93.859 Biomedical Research and Research Training $246,675
84.042 Trio_student Support Services $229,572
93.866 Aging Research $202,761
93.268 Immunization Cooperative Agreements $202,080
47.074 Biological Sciences $195,392
84.120 Minority Science and Engineering Improvement $109,815
81.123 National Nuclear Security Administration (nnsa) Minority Serving Institutions (msi) Program $90,830
93.310 Trans-Nih Research Support $75,402
84.153 Business and International Education Projects $53,639
12.002 Procurement Technical Assistance for Business Firms $51,735
59.037 Small Business Development Centers $45,896
93.658 Foster Care_title IV-E $42,204
47.083 Integrative Activities $36,011
84.038 Federal Perkins Loan Program $30,195
47.041 Engineering $26,864
93.433 Acl National Institute on Disability, Independent Living, and Rehabilitation Research $24,401
47.076 Education and Human Resources $13,760
10.707 Research Joint Venture and Cost Reimbursable Agreements $10,714
43.008 Education $8,711
12.330 Science, Technology, Engineering & Mathematics (stem) Education, Outreach and Workforce Program $7,013
12.630 Basic, Applied, and Advanced Research in Science and Engineering $4,796
45.024 Promotion of the Arts_grants to Organizations and Individuals $3,510
15.932 Preservation of Historic Structures on the Campuses of Historically Black Colleges and Universities (hbcus). $825
12.431 Basic Scientific Research $420