EIN: 350869063
UEI: UFXAYCTDNL73
Audit also covers EIN: 813913882 · unlinked EINs have no separate FAC filing
Audited by: FORVIS, LLP
Oversight agency: 84 [Department of Education]
View federal awards & risk assessment →
Data as of August 28, 2026
Management decision deadline — for entities that funded this organization
The FAC accepted this audit on November 28, 2022. Under 2 CFR 200.521(d), a pass-through entity that provided federal funds to this organization for this audit period must issue a management decision on these findings by May 28, 2023 (1189 days ago).
What is a management decision? →FAC accepted this audit on November 28, 2021 — management decision was due May 28, 2022.
FAC accepted this audit on April 14, 2021 — management decision was due October 14, 2021.
U.S. Department of Education (Department) ? Student Financial Aid Cluster Program Year 2019?2020 CFDA Number and Title: 84.063, Federal Pell Grant Program; 84.007, Federal Supplemental Educational Opportunity Grant Program; 84.033, Federal Work-Study Program; 84.038, Federal Perkins Loan Program; 84.268, Federal Direct Student Loans Criteria or specific requirement: Special Tests and Provisions ? Gramm-Leach-Bliley Act - Student Information Security ? The Gramm-Leach-Bliley Act (Public Law 106-102) requires financial institutions to explain their information sharing-practices to their customers and to safeguard sensitive data. (16 CFR 314) The Federal Trade Commission considers Title IV-eligible institutions that participate in Title IV Educational Assistance Programs as ?financial institutions? and subject to the Gramm-Leach-Bliley Act (16 CFR 313.3(k)(2)(iv)). Under an institution?s Program Participation Agreement with the Department and the Gramm-Leach-Bliley Act, institutions must protect student financial aid information, with particular attention to information provided to institutions by the Department or otherwise obtained in support of the administration of the federal financial aid programs. Institutions are required to designate an individual to coordinate the information security program and perform a 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. Condition ? The University identified the compliance requirement, designated individuals to coordinate and oversee the program, but did not fully complete the formal risk assessment process. Questioned costs ? None. Context ? During testing of the Gramm-Leach-Bliley Act and inquiry with management, it was determined the formal risk assessment had not been fully completed. Effect ? Potential risks pertaining to student informational security may not have been identified or addressed. Cause ? The individual designated to complete the risk assessment process terminated employee during the year. Identification as a repeat finding ? No. Recommendation ? We recommend the University complete the formal risk assessment process. Views of responsible officials and planned corrective actions ? The University has designated individuals responsible for coordinating the completion of the risk assessment process.
Show full finding ▾Hide full finding ▴U.S. Department of Education (Department) ? Student Financial Aid Cluster Program Year 2019?2020 CFDA Number and Title: 84.063, Federal Pell Grant Program; 84.007, Federal Supplemental Educational Opportunity Grant Program; 84.033, Federal Work-Study Program; 84.038, Federal Perkins Loan Program; 84.268, Federal Direct Student Loans Criteria or specific requirement: Special Tests and Provisions ? Gramm-Leach-Bliley Act - Student Information Security ? The Gramm-Leach-Bliley Act (Public Law 106-102) requires financial institutions to explain their information sharing-practices to their customers and to safeguard sensitive data. (16 CFR 314) The Federal Trade Commission considers Title IV-eligible institutions that participate in Title IV Educational Assistance Programs as ?financial institutions? and subject to the Gramm-Leach-Bliley Act (16 CFR 313.3(k)(2)(iv)). Under an institution?s Program Participation Agreement with the Department and the Gramm-Leach-Bliley Act, institutions must protect student financial aid information, with particular attention to information provided to institutions by the Department or otherwise obtained in support of the administration of the federal financial aid programs. Institutions are required to designate an individual to coordinate the information security program and perform a 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. Condition ? The University identified the compliance requirement, designated individuals to coordinate and oversee the program, but did not fully complete the formal risk assessment process. Questioned costs ? None. Context ? During testing of the Gramm-Leach-Bliley Act and inquiry with management, it was determined the formal risk assessment had not been fully completed. Effect ? Potential risks pertaining to student informational security may not have been identified or addressed. Cause ? The individual designated to complete the risk assessment process terminated employee during the year. Identification as a repeat finding ? No. Recommendation ? We recommend the University complete the formal risk assessment process. Views of responsible officials and planned corrective actions ? The University has designated individuals responsible for coordinating the completion of the risk assessment process.
Planned Corrective Action: The University has identified individuals to complete the documentation of the risk assessment. The individual coordinating the information security program is the Director of IT. In coordination with others responsible for implementing and maintaining GLBA associated duties, the Director of IT will ensure completion of the documentation by the anticipated completion date. The Compliance Officer will review the documentation once it is complete for accuracy and thoroughness. Anticipated Completion Date: May 31, 2021 Responsible Party(ies): Eric Murphy, Director of IT and Patricia Endicott, Compliance Officer
U.S. Department of Education ? Student Financial Aid Cluster Program Year 2019?2020 CFDA Number and Title: 84.063, Federal Pell Grant Program; 84.007, Federal Supplemental Educational Opportunity Grant Program; 84.033, Federal Work-Study Program; 84.038, Federal Perkins Loan Program; 84.268, Federal Direct Student Loans Criteria or specific requirement: Special Tests and Provisions ? Enrollment Reporting Condition ? Upon a change in a student?s enrollment status, the University is required to report enrollment information within 30 days to the National Student Loan Data Systems (NSLDS), unless a roster will be submitted within 60 days. (34 CFR 674.19 and 685.309b). Questioned Costs ? None. Context ? Out of a population of 102 students receiving Federal direct loans, Pell grants or Perkins loans, and which had a change in status, a sample of 26 students was selected for testing. For four of the 26 students tested, the University did not timely notify NSLDS of changes in student statuses. Our sampling method was not, and was not intended to be, statistically valid. Additionally, errors in the monthly batch transmission process were not being corrected within 10 days. Effect ? Student enrollment status changes exceeded the 60-day period for student enrollment changes submitted in roster files. Cause ? The University identified students with changes in status; however, these students were not reported to NSLDS within 60 days. Identification as a repeat finding ? 2019-002. Recommendation ? We recommend the University revise its procedures for identifying students with changes in status and determining the need for status change updates. Views of responsible officials and planned corrective actions ? The University has a designated enrollment transmission reporting schedule designed to report status change updates monthly. Procedures for identifying students with changes in status will be revised.
Show full finding ▾Hide full finding ▴U.S. Department of Education ? Student Financial Aid Cluster Program Year 2019?2020 CFDA Number and Title: 84.063, Federal Pell Grant Program; 84.007, Federal Supplemental Educational Opportunity Grant Program; 84.033, Federal Work-Study Program; 84.038, Federal Perkins Loan Program; 84.268, Federal Direct Student Loans Criteria or specific requirement: Special Tests and Provisions ? Enrollment Reporting Condition ? Upon a change in a student?s enrollment status, the University is required to report enrollment information within 30 days to the National Student Loan Data Systems (NSLDS), unless a roster will be submitted within 60 days. (34 CFR 674.19 and 685.309b). Questioned Costs ? None. Context ? Out of a population of 102 students receiving Federal direct loans, Pell grants or Perkins loans, and which had a change in status, a sample of 26 students was selected for testing. For four of the 26 students tested, the University did not timely notify NSLDS of changes in student statuses. Our sampling method was not, and was not intended to be, statistically valid. Additionally, errors in the monthly batch transmission process were not being corrected within 10 days. Effect ? Student enrollment status changes exceeded the 60-day period for student enrollment changes submitted in roster files. Cause ? The University identified students with changes in status; however, these students were not reported to NSLDS within 60 days. Identification as a repeat finding ? 2019-002. Recommendation ? We recommend the University revise its procedures for identifying students with changes in status and determining the need for status change updates. Views of responsible officials and planned corrective actions ? The University has a designated enrollment transmission reporting schedule designed to report status change updates monthly. Procedures for identifying students with changes in status will be revised.
Planned Corrective Action: The University will update its written procedures to properly identify students with changes in status to ensure enrollment reporting changes are completed in a timely manner. Written procedures to correct errors in monthly batch transmissions will also be revised to ensure timely completion. The University will identify and test the remaining 76 students who had a change in status. The testing will determine if timely status changes were indicated in NSLDS. This process will be completed through a financial aid internal audit. Anticipated Completion Date: May 31, 2021 Responsible Party(ies): Nicole Sharp, Director of Financial Aid
2019-002
FAC accepted this audit on November 12, 2019 — management decision was due May 12, 2020.
During the testing of students withdrawn from the University we found the following: 1. Two return of funds calculation used the incorrect number of break days which resulted in an incorrect amount being returned. Questioned Costs: 1. $8,027 Amount return per incorrect percentage calculation $8,532 Amount that should have been returned Context: A sample of 10 students who withdrew from the University were tested and we noted the following: 1. Two return of funds used an incorrect number of break days. Effect: 1. The University returned an incorrect amount of funds for two student. Cause: 1. The University calculated the wrong amount to be returned by using an incorrect number of break days. Identification as a repeat finding, if applicable: 1. This is a repeat of finding 2018-001. Recommendation: ? The University should have a second employee review the calculation and return of funds for all withdrawing students. Views of Responsible Officials: During a review of the error, it was determined that the unscheduled break days were not to be added if a student ceases attendance in the middle of a course session. Written procedures, up to that point, did not state how unscheduled break days are calculated into a withdrawal. This resulted in the reviewer incorrectly verifying unscheduled days within the payment period.
Show full finding ▾Hide full finding ▴Finding No.: 2019-001 Return of Funds Federal Program Name: Student Financial Aid Cluster CFDA Number: N/A Federal Agency: U.S. Department of Education Information on the Federal Program: ? 84.038 ? To provide low interest loans to help needy students finance the costs of postsecondary education. ? 84.063 ? To provide eligible undergraduate postsecondary students who have demonstrated financial need with grant assistance to help meet educational expenses. ? 84.033 ? To provide part-time employment to eligible postsecondary students to help meet educational expenses and encourage students receiving program assistance to participate in community service activities. ? 84.007 ? To provide need-based grant aid to eligible undergraduate postsecondary students to help meet educational expenses. ? 84.268 ? To provide low-interest loans for students and parents to help pay for the cost of postsecondary educational expenses. Criteria or Specific Requirement: The University is required to calculate the amount of federal aid to be returned to the government if a student withdraws from the University and submit the funds within the required timeframe. Condition: During the testing of students withdrawn from the University we found the following: 1. Two return of funds calculation used the incorrect number of break days which resulted in an incorrect amount being returned. Questioned Costs: 1. $8,027 Amount return per incorrect percentage calculation $8,532 Amount that should have been returned Context: A sample of 10 students who withdrew from the University were tested and we noted the following: 1. Two return of funds used an incorrect number of break days. Effect: 1. The University returned an incorrect amount of funds for two student. Cause: 1. The University calculated the wrong amount to be returned by using an incorrect number of break days. Identification as a repeat finding, if applicable: 1. This is a repeat of finding 2018-001. Recommendation: ? The University should have a second employee review the calculation and return of funds for all withdrawing students. Views of Responsible Officials: During a review of the error, it was determined that the unscheduled break days were not to be added if a student ceases attendance in the middle of a course session. Written procedures, up to that point, did not state how unscheduled break days are calculated into a withdrawal. This resulted in the reviewer incorrectly verifying unscheduled days within the payment period.
Finding No.: 2019-001 Return of Funds Federal Program Name: Student Financial Aid Cluster CFDA Number: Various Federal Agency: U.S. Department of Education Requirement: The University is required to calculate the amount of federal aid to be returned to the government if a student withdraws from the University and submit the funds within the required timeframe. Finding: During the testing of students withdrawn from the University we found two return of funds calculations used the incorrect number of break days which resulted in an incorrect amount being returned. Questioned Costs: $8,027 Amount return per incorrect percentage calculation $8,532 Amount that should have been returned Systemic or Isolated: This instance of noncompliance is systemic. Effect of Finding: The University returned an incorrect amount of funds for two students. Recommendation: The University should have a second employee review the calculation and return of funds for all withdrawing students. CFDA Number: Various Federal Agency: U.S. Department of Education Corrective Action Plan: As soon as the issue of incorrect number of unscheduled break days included in the calculation of the payment period was brought to the attention of the Director of Financial Aid, the Return to Title IV was recalculated and corrections were made. Correction were completed in COD and the Student Information System (CAMS) on August 6, 2019. These changes were immediately reflected on the student?s account and an additional $464 was returned through the G5 system. To verify that other student accounts were not impacted, a complete 100 percent Return of Funds audit was performed internally. After reviewing 95 files, it was determined that four additional student?s had incorrect unscheduled breaks. Corrections were completed immediately in COD and the Student Information System (CAMS) that same day. Written procedures have been updated to explain that unscheduled break days would not be included in the calculation of return of funds in the event of a withdrawal. The reviewer will use the print version for internal verification of accurate completion of the Return to Title IV. In addition, procedures were revised so that the reviewer uses additional documentation to verify the correct number of scheduled break days was used based on the academic calendar.
2018-001
During testing of 25 students? status changes we noted one student who withdrew but was not reported within the proper time frame to the NSLDS. Questioned Costs: N/A Effect: Noncompliance with requirements for participation in the Student Financial Aid Cluster program. Cause: The Registrar received the withdraw form from Academic Affairs after the enrollment report was sent to the clearing house. Therefore, the students? status change was not reported timely to the NSLDS. Recommendation: The University should develop a process to ensure all students who withdrew are marked accordingly immediately following withdraw. Views of Responsible Officials: On 11/16/2018 the student ceased attending classes which was the week before our Thanksgiving Break. After returning from break, the student requested to withdrawal from the university on 12/06/2018. On 12/05/2018, the Office of Financial Aid forwarded the final enrollment report to be uploaded to the National Student Clearinghouse for processing. Later we discovered that an additional subsequent report was not sent before the Fall 2018 Graduate Report, which would have reported the status change for this student. The student?s status change was later reported when we uploaded the Spring 2019 Start of Term Report on 01/28/2019 in which the student was then marked as withdrawn since they were no longer attending resulting in a late certification.
Show full finding ▾Hide full finding ▴Finding No.: 2019-002 Status Change Federal Program Name: Student Financial Aid Cluster CFDA Number: N/A Federal Agency: U.S. Department of Education Information on the Federal Program: ? 84.038 ? To provide low interest loans to help needy students finance the costs of postsecondary education. ? 84.063 ? To provide eligible undergraduate postsecondary students who have demonstrated financial need with grant assistance to help meet educational expenses. ? 84.033 ? To provide part-time employment to eligible postsecondary students to help meet educational expenses and encourage students receiving program assistance to participate in community service activities. ? 84.007 ? To provide need-based grant aid to eligible undergraduate postsecondary students to help meet educational expenses. ? 84.268 ? To provide low-interest loans for students and parents to help pay for the cost of postsecondary educational expenses. Criteria or Specific Requirement: The University is required to report status changes for students who have graduated or withdrew within 60 days to the National Student Loan Data System (NSLDS) if using a roster file or 30 days if a roster file is not used. Condition: During testing of 25 students? status changes we noted one student who withdrew but was not reported within the proper time frame to the NSLDS. Questioned Costs: N/A Effect: Noncompliance with requirements for participation in the Student Financial Aid Cluster program. Cause: The Registrar received the withdraw form from Academic Affairs after the enrollment report was sent to the clearing house. Therefore, the students? status change was not reported timely to the NSLDS. Recommendation: The University should develop a process to ensure all students who withdrew are marked accordingly immediately following withdraw. Views of Responsible Officials: On 11/16/2018 the student ceased attending classes which was the week before our Thanksgiving Break. After returning from break, the student requested to withdrawal from the university on 12/06/2018. On 12/05/2018, the Office of Financial Aid forwarded the final enrollment report to be uploaded to the National Student Clearinghouse for processing. Later we discovered that an additional subsequent report was not sent before the Fall 2018 Graduate Report, which would have reported the status change for this student. The student?s status change was later reported when we uploaded the Spring 2019 Start of Term Report on 01/28/2019 in which the student was then marked as withdrawn since they were no longer attending resulting in a late certification.
Finding No.: 2019-002 Status Change Federal Program Name: Student Financial Aid Cluster CFDA Number: Various Federal Agency: U.S. Department of Education Requirement: The University is required to report status changes for students who have graduated or withdrew within 60 days to the National Student Loan Data System (NSLDS) if using a roster file or 30 days if a roster file is not used. Finding: During the testing of 25 students? status changes we noted one student withdrew but was not reported within the proper time frame to the NSLDS. Questioned Costs: N/A Systemic or Isolated: This instance of noncompliance is isolated. Effect of Finding: Noncompliance with requirements for participation in the Student Financial Aid Cluster Program. Recommendation: The University should develop a process to ensure all students who withdraw are immediately marked as withdrawn. Corrective Action Plan: Upon notification, the Director of Financial Aid and Registrar immediately developed an Enrollment Report Transmissions Schedule to ensure that a subsequent report is scheduled to be sent at the very end of each term throughout the academic year. Written procedure for establishing Enrollment Report Transmissions Schedule for future academic years was revised and updated in the policy and procedure manual.
In a sample of 40 students tested, the Pell grant award for one student was miscalculated. Questioned Costs: $1,943 Amount of Pell grant awarded by University $1,973 Amount that should have been awarded Effect: Student was not awarded the correct amount of financial aid. Cause: The University did not correctly calculate the Pell grant award based on the amount of credit hours the student was enrolled in. Recommendation: The University should be more diligent in verifying that the aid calculated for each student agrees with the Pell Payment and Disbursement Schedules provided by the Department of Education. Recommendation: The University should develop a process to ensure all students who withdrew are marked accordingly immediately following withdraw. Views of Responsible Officials: All non-term financial aid is a manual packaging process relying on the use of Pell grant charts and subsequent data entry. This was a human error upon looking at charts with multiple figures and columns. The Oakland City University strives to comply and ensure that it satisfies federal Pell grant reporting requirements including close monitoring of Pell grant awards and monthly Pell grant reconciliations. This includes use of student information systems that are both available and submitted to the Common Origination and Disbursement System.
Show full finding ▾Hide full finding ▴Finding No.: 2019-003 Federal Pell Grant Program Federal Program Name: Federal Pell Grant Program CFDA Number: 84.063 Federal Agency: U.S. Department of Education Information on the Federal Program: ? 84.063 ? To provide eligible undergraduate postsecondary students who have demonstrated financial need with grant assistance to help meet educational expenses. Criteria or Specific Requirement: The University is required to use the Pell Payment and Disbursement Schedules provided by the Department of Education in calculating the Pell grant that is to be awarded to each student. Condition: In a sample of 40 students tested, the Pell grant award for one student was miscalculated. Questioned Costs: $1,943 Amount of Pell grant awarded by University $1,973 Amount that should have been awarded Effect: Student was not awarded the correct amount of financial aid. Cause: The University did not correctly calculate the Pell grant award based on the amount of credit hours the student was enrolled in. Recommendation: The University should be more diligent in verifying that the aid calculated for each student agrees with the Pell Payment and Disbursement Schedules provided by the Department of Education. Recommendation: The University should develop a process to ensure all students who withdrew are marked accordingly immediately following withdraw. Views of Responsible Officials: All non-term financial aid is a manual packaging process relying on the use of Pell grant charts and subsequent data entry. This was a human error upon looking at charts with multiple figures and columns. The Oakland City University strives to comply and ensure that it satisfies federal Pell grant reporting requirements including close monitoring of Pell grant awards and monthly Pell grant reconciliations. This includes use of student information systems that are both available and submitted to the Common Origination and Disbursement System.
Finding No.: 2019-003 Federal Pell Grant Program Federal Program Name: Student Financial Aid Cluster CFDA Number: Various Federal Agency: U.S. Department of Education Requirement: The University is required to use the Pell Payment and Disbursement Schedules provided by the Department of Education in calculating the Pell grant that is to be awarded to each student. Finding: In a sample of 40 students tested, the Pell Grant award for one student was miscalculated. Questioned Costs: N/A Systemic or Isolated: This instance of noncompliance is isolated. Effect of Finding: The student was not awarded the correct amount of Pell grant. Recommendation: The University should be more diligent in verifying the aid calculated for each student agrees with the Pell Payment and Disbursement Schedules provided by the Department of Education. Corrective Action Plan: The office of Financial Aid increased the student?s Pell grant payment immediately upon notice of the $30.00 shortage, within the applicable pay period that the student?s eligibility was determined. The pay period dates were: 01/07/2019 ? 06/30/2019. The shortage was noted on 05/08/2019 as noted in file by FA staff member making the adjusted disbursement. The Office of Financial Aid will continue its efforts to reduce the risk of manual errors by reminding personnel the importance of using diligence when making manual entries. The Financial Aid Office will also conduct random internal audits to verify manual entries are correct throughout the year. Options to automate the processing of non-term funds will be researched this year to determine the feasibility of implementing an automated process reducing the risk of future manual errors.
During testing of 40 expenses we noted one expense was recorded in the incorrect period and one expense was classified in an incorrect account. Questioned Costs: N/A Effect: Noncompliance with requirements for participation in the TRIO Cluster. Recommendation: The University should develop a process to ensure expenses are recorded in the proper period and expensed in the correct account. Views of Responsible Officials: Proper recording and classifying of expenses is very important to the University. The University recognizes the importance of proper accounting treatment not only for the TRIO program but also for the University as a whole. Upon notification, procedures were reviewed to determine if procedures were followed and if revision of current procedures would reduce the risk of future errors. Written procedures have been updated and will be tested periodically to ensure these procedures are operating properly.
Show full finding ▾Hide full finding ▴Finding No.: 2019-004 TRIO Federal Program Name: TRIO Cluster CFDA Number: N/A Federal Agency: U.S. Department of Education Information on the Federal Program: ? 84.042 ? To provide academic support services to low-income, first-generation, and individuals with disabilities to enable them to be retained in and graduate from institutions of higher education. ? 84.044 ? To identify qualified youth with the potential for educational success at the postsecondary level and encourages them to complete or reenter secondary school and undertake a program of postsecondary education. ? 84.047 ? To target low-income and potential first-generation college students who are enrolled in high school, or veterans seeking to prepare themselves for success in postsecondary education. The program provides opportunities for participants to succeed in pre-college performance and ultimately in higher education pursuits. Criteria or Specific Requirement: The University is required to consistently treat expenses within the federal program as compared to the nonfederal expenditures. Condition: During testing of 40 expenses we noted one expense was recorded in the incorrect period and one expense was classified in an incorrect account. Questioned Costs: N/A Effect: Noncompliance with requirements for participation in the TRIO Cluster. Recommendation: The University should develop a process to ensure expenses are recorded in the proper period and expensed in the correct account. Views of Responsible Officials: Proper recording and classifying of expenses is very important to the University. The University recognizes the importance of proper accounting treatment not only for the TRIO program but also for the University as a whole. Upon notification, procedures were reviewed to determine if procedures were followed and if revision of current procedures would reduce the risk of future errors. Written procedures have been updated and will be tested periodically to ensure these procedures are operating properly.
Finding No.: 2019-004 TRIO Federal Program Name: TRIO Cluster CFDA Number: Various Federal Agency: U.S. Department of Education Requirement: The University is required to consistently treat expenses within the federal program as compared to the nonfederal expenditures. Finding: During testing of 40 expenses we noted one expense was recorded in an incorrect period and one expense was classified in an incorrect account. Questioned Costs: N/A Systemic or Isolated: This instance of noncompliance is isolated. Effect of Finding: One expense was recorded in the incorrect period and one expense was misclassified. Recommendation: The University should develop a process to ensure expenses are recorded in the proper period and expensed in the correct account. Corrective Action Plan: Upon notification of one expense recorded in an incorrect period and one expense classified in an incorrect account, the University updated written receiving procedures. Upon delivery of the product to a University location, the item is received into the general ledger system on the delivery date. In the event that specific delivery date information is not available, the item will be received into the general ledger system in the same month as the item was delivered based on information provided by the vendor invoice. In addition, University accounts payable will be monitoring general ledger accounts monthly in order to identify and correct any account coding misclassifications.
During testing of 40 students? eligibility we noted ten students did not receive the Student Handbook. Questioned Costs: N/A Effect: Noncompliance with requirements for participation in the Student Financial Aid Cluster program. Recommendation: The University should develop a process to ensure all students receive the Student Handbook. Views of Responsible Officials: The current process to individually notify students of their access to the student handbook was successful for several years. With the transition of personnel during the summer of 2018, training was provided. However, training from the person leaving the position caused some confusion and the students registered for during the time of the summer sessions did not receive the individual email notification. When the individual responsible for the dissemination of the notification was informed of the error in May, a notification was sent to all who had been registered during that time frame since most would be returning to complete their program in June.
Show full finding ▾Hide full finding ▴Finding No.: 2019-005 Consumer Information Reporting Federal Program Name: Student Financial Aid Cluster CFDA Number: N/A Federal Agency: U.S. Department of Education Information on the Federal Program: ? 84.038 ? To provide low interest loans to help needy students finance the costs of postsecondary education. ? 84.063 ? To provide eligible undergraduate postsecondary students who have demonstrated financial need with grant assistance to help meet educational expenses. ? 84.033 ? To provide part-time employment to eligible postsecondary students to help meet educational expenses and encourage students receiving program assistance to participate in community service activities. ? 84.007 ? To provide need-based grant aid to eligible undergraduate postsecondary students to help meet educational expenses. ? 84.268 ? To provide low-interest loans for students and parents to help pay for the cost of postsecondary educational expenses. Criteria or Specific Requirement: The University is required to communicate financial aid eligibility with each student by providing them with a Student Handbook. Condition: During testing of 40 students? eligibility we noted ten students did not receive the Student Handbook. Questioned Costs: N/A Effect: Noncompliance with requirements for participation in the Student Financial Aid Cluster program. Recommendation: The University should develop a process to ensure all students receive the Student Handbook. Views of Responsible Officials: The current process to individually notify students of their access to the student handbook was successful for several years. With the transition of personnel during the summer of 2018, training was provided. However, training from the person leaving the position caused some confusion and the students registered for during the time of the summer sessions did not receive the individual email notification. When the individual responsible for the dissemination of the notification was informed of the error in May, a notification was sent to all who had been registered during that time frame since most would be returning to complete their program in June.
Finding No.: 2019-005 Consumer Information Reporting Federal Program Name: Student Financial Aid Cluster CFDA Number: Various Federal Agency: U.S. Department of Education Requirement: The University is required to communicate financial aid eligibility with each student by providing them the Student Handbook. Finding: During testing of 40 students? eligibility we noted 10 students did not receive the Student Handbook. Questioned Costs: N/A Systemic or Isolated: This instance of noncompliance is systemic. Effect of Finding: Noncompliance with requirements for participation in the Student Financial Aid Cluster program. Recommendation: The University should develop a process to ensure each student receives the Student Handbook annually. Corrective Action Plan: Written procedures were reviewed to ensure the correct timelines were included to prevent future confusion on when notices are to be sent. Each aligns with a term based census date. Beginning with the FA-19 census date and notification, the list of emails sent will be provided to the Compliance Officer. A random sampling of a minimum of 20% will be compared with a list of registered students for all programs to ensure procedural and technical errors have not occurred. In addition, the university is currently researching automated means of sending the notification either on specific dates or aligned with class attendance. If a reasonable automated process can be found, the university will switch to the automated process.
FAC accepted this audit on January 7, 2019 — management decision was due July 7, 2019.
GSA_MIGRATION
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GSA_MIGRATION
2017-001
FAC accepted this audit on November 8, 2017 — management decision was due May 8, 2018.
GSA_MIGRATION
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GSA_MIGRATION
2016-001
GSA_MIGRATION
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GSA_MIGRATION
2017-002
GSA_MIGRATION
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GSA_MIGRATION
FAC accepted this audit on October 24, 2016 — management decision was due April 24, 2017.
GSA_MIGRATION
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GSA_MIGRATION
2015-002
GSA_MIGRATION
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