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Finding 2025-001 Federal program: Federal Direct Student Loans Federal Agency: U.S. Department of Education ALN #: 84.268 Award Year: 2024/2025 Type of finding: Deficiency and Noncompliance Compliance requirement: Reporting – Title IV Programs Criteria: Under 34 CFR 690.83, Institutions must report to the Common Origination and Disbursement (“COD”) system student disbursement data within 15 calendar days after the institution makes a disbursement or becomes aware of the need to make an adjustment to previously reported student disbursement data. Condition: Of forty students judgmentally selected for Title IV testing, one student was reported to the COD system beyond the 15 calendar days required under 34 CFR 690.83. Cause and Effect: The above finding resulted from a cancellation of student aid by the University in its financial aid management system. Due to the studen…

Corrective action: Federal and State Financial Assistance Programs Year Ended May 31, 2025 CORRECTIVE ACTION PLAN Audit Finding Reference: 2025-001 Planned Corrective Action: The University conducted a full review of the population of cancellations for the fiscal year ending May 31, 2025, comprising of 53 students. The review identified seven instances of late reporting, all of which were previously corrected through the University’s monthly disbursement reconciliation processes, but beyond the 15 calendar day reporting requirement. Each of the identified instances resulted from a system defect which caused canceled BBAY Direct Loans reduced to zero (“0”) to receive an automatic null attendance cost. D…

Finding: 2021-001 Federal Agency: U.S. Department of Education Federal Program: Direct Loan CFDA: 84.268 Federal Award Number: Not Applicable Award Year: 2020/2021 Type of Finding: Noncompliance - Special Tests and Provisions Compliance Requirement: Special Tests and Provisions ? Enrollment Reporting Criteria: Under 34 CFR 682.610, the University is required to report to the Secretary of the Department of Education when a student, who has received a loan, ceases to be enrolled on at least a half-time basis. Unless the University expects to submit the next enrollment report to the Secretary within sixty days, a school must notify the Secretary within thirty days. The method for this reporting is the National Student Loan Data System (NSLDS). Condition: The effective enrollment status change date was not appropriately reported to NSLDS for two out of forty judgmentally selected students. H…

Corrective action: Federal and State Financial Assistance Programs Year Ended May 31, 2021 CORRECTIVE ACTION PLAN Audit Finding Reference: 2021-001 Planned Corrective Action: The University agrees to continue monitoring updated controls implemented in Spring 2021 to verify they are operating as intended to ensure that all required reporting is performed accurately. Prior to the audit, and as part of on-going internal verifications and efforts to improve processes and procedures, the University implemented enhancements to enrollment reporting and monitoring controls, effective Spring 2021. Improvements included enhanced monitoring controls to ensure NSLDS is accurately updated with an effective enrollment statu…

Finding: 2020-001 Federal Agency: U.S. Department of Education Federal Program: Direct Loan and Federal Pell Grant Program CFDA: 84.268 and 84.063 Award Year: 2019/2020 Type of Finding: Material Weakness and Noncompliance ? Special Tests and Provisions Compliance Requirement: Special Tests and Provisions ? Return of Title IV Funding Criteria: When a recipient of Title IV grant or loan assistance withdraws during a payment period or period of enrollment in which the recipient began attendance, the institution must determine the amount of Title IV assistance earned by the student as of the withdrawal date. If the total amount of Title IV assistance earned is less than the amount disbursed as of the withdrawal date determined by the institution, the University must return the difference to the Title IV programs within forty-five days and no additional disbursements may be…

Corrective action: Baylor University Federal and State Financial Assistance Programs Year Ended May 31, 2020 CORRECTIVE ACTION PLAN Audit Finding Reference: 2020-001 Planned Corrective Action: In response to the above findings, the University chose to review all withdrawn students with Title IV aid in spring and fall terms, including select modular programs (209 students) for return of Title IV funding testing. The University made returns and appropriate aid adjustments to student awards for questioned costs totaling $46,693 to the Department of Education. To improve internal controls over compliance requirements, the University has conducted additional training for those responsible for compliance, clari…

Finding: 2020-002 Federal Agency: U.S. Department of Education Federal Program: Direct Loan CFDA: 84.268 Federal Award Number: Not Applicable Award Year: 2019/2020 Type of Finding: Material Weakness and Noncompliance - Special Tests and Provisions Compliance Requirement: Special Tests and Provisions ? Enrollment Reporting Criteria: Under 34 CFR 682.610, the University is required to report to the Secretary of the Department of Education when a student, who has received a loan, ceases to be enrolled on at least a half-time basis. Unless the University expects to submit the next enrollment report to the Secretary within sixty days, a school must notify the Secretary within thirty days. The method for this reporting is the National Student Loan Data System (NSLDS). Condition: Twenty-five students were selected for enrollment reporting testing. During our testing of thi…

Corrective action: Baylor University Federal and State Financial Assistance Programs Year Ended May 31, 2020 CORRECTIVE ACTION PLAN Audit Finding Reference: 2020-002 Planned Corrective Action: In response to the above findings, the University chose to review all withdrawn students with Title IV aid for fall and spring terms (181 students) for enrollment reporting testing. To improve internal controls over compliance requirements, the University has conducted additional training for those responsible for compliance, clarified roles and responsibilities, and established cross-functional compliance teams in developing and implementing additional oversight and monitoring processes. Throughout the 2021 year, …

Finding: 2019-001Federal Agency: U.S. Department of EducationFederal Program: Direct Loan and Federal Pell Grant Program (tested as part of Student Financial Assistance Cluster)CFDA: 84.268 and 84.063Award Year: 2018-2019Type of Finding: Significant Deficiency and Noncompliance - Special Tests and ProvisionsCompliance Requirement: Special Tests and Provisions ? Enrollment ReportingCriteria: Under 34 CFR 682.610, the University is required to report to the Secretary of the Department of Education when a student, who has received a loan, ceases to be enrolled on at least a half-time basis. The method for this reporting is the National Student Loan Data System (NSLDS). Per the NSLDS Enrollment Reporting Guide, students who withdraw from all courses or graduate are to be reported to NSLDS within sixty days of the withdraw or graduation date or the last date that attendance can be verified.Co…

Corrective action: Baylor UniversityFederal and State Financial Assistance ProgramsYear Ended May 31, 2019CORRECTIVE ACTION PLANAudit Finding Reference: 2019-001Planned Corrective Action:The Office of the Registrar obtained an exception report of all students who were reported but not processed by the National Student Clearinghouse (Clearinghouse). Students? statuses and graduation dates to the National Student Loan Data System (NSLDS) were updated to reflect graduated status and the appropriate graduation dates. Improvements were implemented in Spring 2019 to the processes as follows:? Review exception reports upon each file transmission to the Clearinghouse and update enrollment statuses, manually, for app…

Finding: 2019-002Federal Agency: U.S. Department of EducationFederal Program: Direct Loan and Federal Pell Grant Program (tested as part of Student Financial Assistance Cluster)CFDA: 84.268 and 84.063Award Year: 2018-2019Type of Finding: Significant Deficiency and Noncompliance - Special Tests and ProvisionsCompliance Requirement: Special Tests and Provisions ? Return of Title IV FundsCriteria: When a recipient of Title IV grant or loan assistance withdraws during a payment period or period of enrollment in which the recipient began attendance, the institution must determine the amount of Title IV assistance earned by the student as of the student?s withdrawal date. If the total amount of Title IV assistance earned by the student is less than the amount disbursed as of the date the student withdrew as determined by the institution, the difference must be returned to the Title IV programs…

Corrective action: Baylor UniversityFederal and State Financial Assistance ProgramsYear Ended May 31, 2019CORRECTIVE ACTION PLANAudit Finding Reference: 2019-002Planned Corrective Action:The University identified errors related to the return of Title IV funds calculations and has corrected each error within Banner, the University?s software product used in maintaining student information. The errors were limited to students enrolled in online programs that operate on a different term calendar than standard semester programs. Improvements were implemented as follows:? To ensure programs outside of the standard two semester calendar terms reflect the correct enrollment start dates, end dates, and applicable br…