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Corrective Action Plans

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Finding 1731 (2023-001)
Significant Deficiency 2023
St. Mary's University of San Antonio, Texas
TX
Matching / Level of Effort / Earmarking Special Tests & Provisions Student Financial Aid § 200.303
To correct this error and ensure all disbursement notifications are sent, the following corrective actions have been implemented. 1. Modified the FA_RZLNDSB_Loan_Process_to_BDM script (weekly job that emails students with loan disbursements within the last 7 days) by removing the logic that used aid...
To correct this error and ensure all disbursement notifications are sent, the following corrective actions have been implemented. 1. Modified the FA_RZLNDSB_Loan_Process_to_BDM script (weekly job that emails students with loan disbursements within the last 7 days) by removing the logic that used aid year to identify which year to use when pulling disbursement records and instead allows all disbursed loans that occurred within the last 7 days, regardless of aid year, to be pulled for notification. 2 Created a new FA_RZLNDSB_Loan_Process_to_BDM_Weekly Error script, that identifies students that do not have an email entry on RUAMAIL form (GURMAIL table) for disbursed loans. This script then generates the email and PDF to be sent to the student.
View Audit 3005
Finding 1728 (2023-002)
Significant Deficiency 2023
St. Mary's University of San Antonio, Texas
TX
Reporting Matching / Level of Effort / Earmarking Internal Control / Segregation of Duties § 200.303
To eliminate student data input errors, the following corrective actions will be implemented: 1. For TRiO SSS program, the University will automate student data information migration from the existing ERP Banner system into the program database.  This database automation/migration will minimize stud...
To eliminate student data input errors, the following corrective actions will be implemented: 1. For TRiO SSS program, the University will automate student data information migration from the existing ERP Banner system into the program database.  This database automation/migration will minimize student data entry points that are currently keyed in manually. Each of the TRIO programs will perform additional reviews on the student data.  The following procedures will be implemented: For all data entered manually into a program’s database, the data will be reviewed by the person who keyed in the data or a separate individual based on staffing availability. The individual will review the data input for accuracy and sign off indicating the data has been reviewed and is correct. Every month each program’s PD will pull a random sample of 25 student records for error verification.  If a single data error is found in a program, then the random sample will be expanded by another 25 student records.  If an additional data error is found, all the remaining new student records entered that month will be verified by the PD. All errors identified will be corrected before submission of the APR. For all programs, error message reports and subsequent data revisions will be printed, saved, and reviewed by the PDs to verify accuracy of corrections.
View Audit 3005
East Texas Baptist University
TX
Allowable Costs / Cost Principles Eligibility Matching / Level of Effort / Earmarking
Need Analysis Planned Corrective Action: ETBU financial aid staff have used a Jenzabar PX product for over 20 years. Within that product, there is no built-in compliance to assist with awarding and managing Federal Direct Loan awarding amounts based on need. The initial Federal Direct Loans were aw...
Need Analysis Planned Corrective Action: ETBU financial aid staff have used a Jenzabar PX product for over 20 years. Within that product, there is no built-in compliance to assist with awarding and managing Federal Direct Loan awarding amounts based on need. The initial Federal Direct Loans were awarded correctly based on student need eligibility. However, when scholarships were added/removed or aid was adjusted based on enrollment status after origination, manual adjustments to loans are required. As a result of previous finding, ETBU implemented processes where Direct Subsidized Loans were over awarded when scholarships were added after initial packaging and eliminated all finding related to Need Analysis in 2022-2023. However, the quality assurance checks were not written to check for reduction of scholarships that might result in an under award of Direct Subsidized Loans. ETBU has a log file to document that the student elected to reduce their subsidized loan which was determined to be a finding. After further review of regulations, ETBU financial aid was only honoring the student request. ETBU financial aid office added this quality assurance check to their procedures and has conducted a 100% check for all Federal Direct Student loans for the 2022- 23 award year for over awards as well as under awarding of all Direct Loans. ETBU financial aid has implemented a new administrative software, Jenzabar Financial Aid (JFA) for the 2023-24 financial aid year. JFA has built in Federal Direct Loan packaging that checks need at the time of awarding, as well as, evaluating need when awards are changed. Additionally, quality assurance processes have been written in the new software to double check Federal Direct Loan award amounts after any funding movement on student accounts. These processes are completed before any loan disbursements to assure that compliance is maintained. Person Responsible for Corrective Action Plan: Linda Slawson, Director Financial Aid Anticipated Date of Completion: Completed
View Audit 2989
Missouri Housing Development Commission
MO
Questioned Costs Allowable Costs / Cost Principles Matching / Level of Effort / Earmarking § 200.400 § 200.401
Finding 2023-003 – Allowable Costs and Activities, Eligibility – Compliance Federal Award. No. 21.026 Homeowner Assistance Fund – COVID 19 Corrective Action Plan: The Commission was made aware of the sophisticated fraudulent entity through its contacts with the National Council of State Housing Agen...
Finding 2023-003 – Allowable Costs and Activities, Eligibility – Compliance Federal Award. No. 21.026 Homeowner Assistance Fund – COVID 19 Corrective Action Plan: The Commission was made aware of the sophisticated fraudulent entity through its contacts with the National Council of State Housing Agencies (NCSHA). Staff remains active in those groups, participating in weekly and monthly calls and will adopt further preventative measures that have been shown to be effective in other states. Staff has implemented a more rigorous servicer onboarding process, whereby questionable items or documentation deemed to be suspicious or potentially altered will be presented to the program director, finance staff, compliance staff, or other internal staff for further investigation. Staff does not anticipate further issues with falsified information with the enhanced onboarding procedures implemented. In addition, balances owed are verified by loan servicers, and funds are paid directly to the servicer and never to individual homeowners. Completion Date: The Commission implemented additional compliance review procedures during fiscal year 2023 and completed its investigation of the identified case. Contact Person: Steve Whitson, Director of Community Programs
View Audit 2908 Questioned Costs: $1
Finding 1672 (2023-002)
Material Weakness 2023
Missouri Housing Development Commission
MO
Questioned Costs Allowable Costs / Cost Principles Eligibility § 200.400 § 200.401
Finding 2023-002 – Allowable Costs and Activities, Eligibility – Compliance and Control Finding Federal Award No. 21.023 Emergency Rental Assistance Program – COVID 19 Corrective Action Plan: The Commission administered direct assistance according to the program rules and regulations. The Commission...
Finding 2023-002 – Allowable Costs and Activities, Eligibility – Compliance and Control Finding Federal Award No. 21.023 Emergency Rental Assistance Program – COVID 19 Corrective Action Plan: The Commission administered direct assistance according to the program rules and regulations. The Commission collected the required information and documentation to review and approve applications. Applicants submitted certified applications meeting the requirements of the program. However, the Commission staff discovered through its noncompliance review and identification processes that some program applicants provided false information and fraudulent documentation that continues to be investigated and reported to the proper authorities. Internal controls have been enhanced to mitigate and help prevent further exposure to noncompliance. Past and ongoing measures implemented to ensure eligibility of all funds disbursed include: the adoption of a formal fraud, waste, and abuse policy in July 2021 as well as providing additional training to employees and third parties that were responsible for reviewing and approving applications in order to better detect invalid applicants to prevent funding these applicants. In May 2021, the Commission hired an Internal Compliance Manager and created an Internal Compliance Department who has engaged a third party law firm and a consulting group to provide consultative assistance to improve processes and to assist in investigating applications deemed to be questionable. Further, internal staffing capacity was expanded with the creation of the Community Programs Processes Department in fall 2021 and the Data and Analytics Department in early 2022. Additional investigative techniques such as “mass denial metrics” and tiered level reviews were implemented into weekly application processing. Commission staff set regular internal coordination meetings to improve communication and aid in the identification of new indicators. Internal compliance staff actively participates in national groups administering similar programs, and explores and adopts new preventative or other review measures demonstrated to be effective in other states. As program funds for direct rental and utility assistance have been expended and direct assistance applications no longer accepted, additional internal metrics and compliance review processes are being developed to apply a consistent process for examining any outstanding questioned costs and to make a final determination regarding the eligibility of disbursed funds. Completion Date: The Commission implemented additional compliance review procedures during fiscal years 2021 and 2022 and expects to conclude its investigation of the fiscal year identified cases during calendar year 2024. Contact Person: Steve Whitson, Director of Community Programs
View Audit 2908 Questioned Costs: $1
Finding 1670 (2023-001)
Material Weakness 2023
Missouri Housing Development Commission
MO
Questioned Costs Allowable Costs / Cost Principles Subrecipient Monitoring § 200.400 § 200.401
Finding 2023-001 – Allowable Costs and Activities – Compliance and Control Finding Federal Award No. 14.231 Emergency Solutions Grant Program – COVID 19 Corrective Action Plan: The Commission administered direct assistance according to the program rules and regulations. The Commission collected the ...
Finding 2023-001 – Allowable Costs and Activities – Compliance and Control Finding Federal Award No. 14.231 Emergency Solutions Grant Program – COVID 19 Corrective Action Plan: The Commission administered direct assistance according to the program rules and regulations. The Commission collected the required information and documentation to review and approve applications. Applicants submitted certified applications meeting the requirements of the program. However, the Commission staff discovered through its noncompliance review and identification processes that some program applicants provided false information and fraudulent documentation that continues to be investigated and reported to the proper authorities. Internal controls have been enhanced to mitigate and identify instances of potential noncompliance. The use of program funds for direct rental assistance under this program was concluded and the final disbursements made in early May 2021. Past and ongoing measures implemented to ensure eligibility of all funds disbursed include: The Commission hiring an Internal Compliance Manager and establishing an internal compliance department in May 2021 who engaged a third party law firm and a consulting group to provide consultative assistance to improve processes and to assist in investigating applications deemed to be questionable. A formal fraud, waste and abuse policy was adopted in July 2021. During fiscal year 2022, the Commission undertook extensive efforts to detect instances of ineligible applicants and documentation irregularities, which resulted in identification of these instances of applicant noncompliance. As program funds for direct rental assistance have been expended, additional internal metrics and compliance review processes are being developed to apply a consistent process for examining any outstanding questioned costs and to make a final determination regarding the eligibility of disbursed funds. Completion Date: The Commission implemented additional compliance review procedures during fiscal years 2021 and 2022, reviewed applications to identify potentially fraudulent applications during fiscal years 2022 and 2023 and expects to conclude its investigation of identified cases during fiscal year 2024. Contact Person: Steve Whitson, Director of Community Programs
View Audit 2908 Questioned Costs: $1
Saint Xavier University
IL
Questioned Costs Special Tests & Provisions Student Financial Aid
2023-001: Improper Return of Title IV Financial Aid - Student Financial Aid Cluster Assistance Listing #s 84.007, 84.033, 84.038, 84.063, 84.268, 84.379, 93.264 - Grant Period - Year Ended June 30, 2023 Condition Found: During our Return of Title IV Fund testing, we noted that the University did not...
2023-001: Improper Return of Title IV Financial Aid - Student Financial Aid Cluster Assistance Listing #s 84.007, 84.033, 84.038, 84.063, 84.268, 84.379, 93.264 - Grant Period - Year Ended June 30, 2023 Condition Found: During our Return of Title IV Fund testing, we noted that the University did not calculate properly or return Title IV Student Financial Aid in the required time frame for two out of twenty-five students we tested. We consider the untimely returns and incorrect calculations of the Return of Title IV to be an instance of noncompliance to the Special Tests and Provisions Compliance Requirement. This is also a repeat finding reported in Section IV Prior Year Financial Statement and Federal Award findings as 2022-001. Corrective Action Plan Action has already been completed. In both cases, the calculation was complete timely, but there were errors in the calculation. When the errors were identified, both calculations were purged and recalculated and the correct funds were returned. Manager currently reviews all refund calculations to ensure accurate calculations and will continue that practice to ensure compliance. Responsible Person for Corrective Action Plan Susan Swisher, Executive Director Office of Financial Aid. Implementation Date of Corrective Action Plan
View Audit 2826 Questioned Costs: $1
North Greenville University
SC
Allowable Costs / Cost Principles Eligibility Matching / Level of Effort / Earmarking
Need Analysis Planned Corrective Action: The financial aid staff has reporting available within PowerFAIDS to monitor and check for oversights related to need analysis. The team will review the reports to ensure that they are set up properly to identify such issues created by human error, as well a...
Need Analysis Planned Corrective Action: The financial aid staff has reporting available within PowerFAIDS to monitor and check for oversights related to need analysis. The team will review the reports to ensure that they are set up properly to identify such issues created by human error, as well as ensuring that these reports are being monitored more regularly. The team is also investigating what additional information can be added to the PowerFAIDS student financial aid portal to help students better understand the benefits of accepting a subsidized loan over an unsubsidized loan. Person Responsible for Corrective Action Plan: Cindi Patterson, Director for Financial Aid Anticipated Date of Completion: December 2023
View Audit 2823
Finding 1582 (2023-001)
Significant Deficiency 2023
North Greenville University
SC
Questioned Costs Student Financial Aid Matching / Level of Effort / Earmarking
Inaccurate and Untimely Return of Title IV Funds (R2T4) Planned Corrective Action: Context: The financial aid staff will continue to take advantage of the training resources provided by the National Association of Student Financial Aid Administrators (NASFAA) to ensure understanding of the newer re...
Inaccurate and Untimely Return of Title IV Funds (R2T4) Planned Corrective Action: Context: The financial aid staff will continue to take advantage of the training resources provided by the National Association of Student Financial Aid Administrators (NASFAA) to ensure understanding of the newer regulations related to R2T4 calculations for modular-based programs. They will also ensure that our internal R2T4 procedure document is accurate and that it is followed as a guide when completing calculations for these programs. And lastly, the team will have two trained aid administrators review R2T4 calculations, specifically for the modular-based programs (online and graduate students), to monitor for accuracy. Person Responsible for Corrective Action Plan: Cindi Patterson, Director for Financial Aid Anticipated Date of Completion: October 2023
View Audit 2823 Questioned Costs: $1
Finding 1579 (2023-001)
Significant Deficiency 2023
Anderson University and Subsidiary
SC
Questioned Costs Student Financial Aid Eligibility
Disbursements to Ineligible Students Planned Corrective Action: While the Office of Financial Aid sought to replicate controls that were in place within the legacy system, the noted disbursements to ineligible students were a direct result of the system conversion to Workday. The following measures ...
Disbursements to Ineligible Students Planned Corrective Action: While the Office of Financial Aid sought to replicate controls that were in place within the legacy system, the noted disbursements to ineligible students were a direct result of the system conversion to Workday. The following measures have been or will be taken to prevent such disbursements in the future. Transfer credit evaluation (prior degree and TEACH grant) To ensure students with prior bachelor’s degrees are not awarded incorrectly, the office will coordinate with the Registrar’s Office to ensure that all undergraduate students with a prior degree are flagged immediately after transcript evaluation. The transfer credit coordinator will notify the Office of Financial Aid. If the student’s ISIR does not reflect they have earned a prior bachelor’s degree the student will be notified and the ISIR will be corrected. Existing award programming prevents students with ISIRs indicating a prior degree from being awarded aid for which they are ineligible. To ensure transfer students with GPAs that do not meet the requirements to receive TEACH grant are not awarded incorrectly, the office will conduct a review of all transfer students awarded TEACH grant once all their transcripts have been received to ensure they meet transfer GPA eligibility requirements. Loans in excess of limits To ensure students are not awarded loans in excess of their aggregate limits, the financial aid operations department has begun to proactively review NSLDS data for any student that is seen to be approaching loan limits. When an ISIR indicates an eligibility amount that is less than a single year’s maximum award, the operations department reviews NSLDS and overrides aggregate totals as needed to ensure students are not awarded over their limits. We are going to work with our post-implementation consulting partner, Alchemy, to determine other best practices within Workday. Pell Grant awarded for courses that do not apply to student’s program of study To ensure students are not awarded Pell grant for courses that do not apply to their program of study, the office developed reports to compare the financial aid load used to calculate the award with the financial aid loan within the student’s program of study. While these reports were in use during the 2022-2023 award year, there were some academic programs that had to be updated because of issues with their initial setup. Those changes have abated in this second academic year, but the financial aid technician will conduct a final check in the last week of the 7A and 7B terms so any changes to program of study load status can be reevaluated. Person Responsible for Corrective Action Plan: Michael Sapienza, Associate Vice President of Enrollment Services Anticipated Date of Completion: Necessary reports and calculations will be developed prior to December 1, 2023. Review will continue on a continuous basis.
View Audit 2820 Questioned Costs: $1
Lake Forest College
IL
Matching / Level of Effort / Earmarking Student Financial Aid § 200.303
Finding 2023-001: Perkins Loan Recordkeeping and Retention Finding: Lake Forest College had two instances where the original promissory could not be located for a student who received a Federal Perkins Loan. Cause: Attributing to human error, the College was unsuccessful in finding the original p...
Finding 2023-001: Perkins Loan Recordkeeping and Retention Finding: Lake Forest College had two instances where the original promissory could not be located for a student who received a Federal Perkins Loan. Cause: Attributing to human error, the College was unsuccessful in finding the original promissory notes. Over the course of the past 20 years numerous staff changes, along with transitioning from physical paper MPN’s to electronic copies has resulted in the potential misplacement of these two MPN’s. Corrective Actions Taken or Planned: In 2018 the College transitioned from keeping physical paper copies of MPN’s, to a digital/electronically managed system, hosted through ECSI, a third-party that specializes in managing Perkins loans. The College believes this migration has and will continue to aid the maintenance of Perkins Loan records. Additionally, the College will self-audit its Perkins Loans files to identify which records are maintained onsite vs. electronically through ECSI and determine if there are any other paper records that have been misplaced. Contact Person Responsible: AJ Rodino, Controller arodino@lakeforest.edu Anticipated Completion Date: May 2024
View Audit 2597
Finding 1375 (2023-003)
Material Weakness 2023
McMurry University
TX
Student Financial Aid Material Weakness Matching / Level of Effort / Earmarking
Finding 2023-003 Federal Agency Name: U.S. Department of Education Program Name: Student Financial Assistance Cluster ALN: 84.268 Finding Summary: Late or missing loan disbursement notification: The University was required to give notification of Title IV loan disbursements within 30 days before ...
Finding 2023-003 Federal Agency Name: U.S. Department of Education Program Name: Student Financial Assistance Cluster ALN: 84.268 Finding Summary: Late or missing loan disbursement notification: The University was required to give notification of Title IV loan disbursements within 30 days before or 7 days after the date of a loan disbursement. Thirty-nine students were found with missing or late loan disbursement notifications. Responsible Individuals: Tim Sechrist, Director of Financial Aid Corrective Action Plan: We agree with the auditors’ findings and recommendations. Training will be completed with staff that disburse federal student loans. Additionally, a report has been created to identify students that have not been sent a disbursement notification. This report will be run weekly to ensure students are notified within 7 days of any disbursement. Anticipated Completion Date: December 22, 2023.
View Audit 2584
Finding 1370 (2023-002)
Material Weakness 2023
McMurry University
TX
Special Tests & Provisions Student Financial Aid Material Weakness
Finding 2023-002 Federal Agency Name: U.S. Department of Education Program Name: Student Financial Assistance Cluster ALN: 84.268 and 84.063 Finding Summary: Errors in return to Title IV calculations: Calculations for five students included various errors. Errors included one late determination ...
Finding 2023-002 Federal Agency Name: U.S. Department of Education Program Name: Student Financial Assistance Cluster ALN: 84.268 and 84.063 Finding Summary: Errors in return to Title IV calculations: Calculations for five students included various errors. Errors included one late determination of withdrawal date (more than 30 days after the end of the period of enrollment), three returns completed more than 45 days after the withdrawal date, two incorrect percentage of aid earned calculations, and one overpayment of $9 to the Department of Education. Responsible Individuals: Tim Sechrist, Director of Financial Aid Corrective Action Plan: We agree with the auditors’ findings and recommendations. Training will be completed with all staff that complete and review R2T4 calculations (Tim Sechrist, Johnna Bolden, Dora Caffey). Additionally, the process of calculations will be updated to include an additional staff member. Dora Caffey will review all incoming withdrawals and begin the process of the calculation. This additional person will ensure timely and accurate calculations. Anticipated Completion Date: December 22, 2023.
View Audit 2584
Finding 1312 (2023-003)
Significant Deficiency 2023
Union College
NE
Questioned Costs Student Financial Aid Significant Deficiency
College Work Study – Assistance Listing No. 84.033 Recommendation: We recommend the College implement policies to review all student award packages at the start of the academic year to ensure no overawards exist. View of responsible officials: There is no disagreement with the audit finding. Action ...
College Work Study – Assistance Listing No. 84.033 Recommendation: We recommend the College implement policies to review all student award packages at the start of the academic year to ensure no overawards exist. View of responsible officials: There is no disagreement with the audit finding. Action taken in response to finding: The Federal Work Study (FWS) earnings are tracked in the payroll department and reported to Student Financial Services (SFS) on a monthly basis. In November 2022, Union College hired a new Payroll Accountant who failed to provide FWS earnings to SFS after her hire date. Had SFS been notified of the actual amount the student earned, the department would have increased the award. The Controller in the Accounting office is aware of the lack of competence in this position, and took steps to ensure this finding does not come up in future years. A new Payroll Accountant was hired in October 2023. The new employee has many years of higher-education experience, including work with financial award packages. The Controller believes this will be a positive change for the Accounting office, and believes this finding will be eliminated in FY24. Name(s) of the contact person(s) responsible for corrective action: Steve Trana, VP for Financial Administration Planned completion date for corrective action plan: October 31, 2023
View Audit 2445 Questioned Costs: $1
Finding 1310 (2023-002)
Significant Deficiency 2023
Union College
NE
Student Financial Aid Significant Deficiency Matching / Level of Effort / Earmarking
Perkins Promissory Notes – Assistance Listing No. 84.038 Recommendation: We recommend that the College put a procedure in place to ensure that all students have a promissory note prior to disbursing of funds. Also recommend a procedure be put in place to ensure proper record retention documenting th...
Perkins Promissory Notes – Assistance Listing No. 84.038 Recommendation: We recommend that the College put a procedure in place to ensure that all students have a promissory note prior to disbursing of funds. Also recommend a procedure be put in place to ensure proper record retention documenting the completion of promissory note. View of responsible officials: There is no disagreement with the audit finding. Action taken in response to finding: The process Union College follows to ensure promissory notes are signed is coordinated through Student Financial Services (SFS). SFS determines eligibility of awards and adds them to the student financial package. Once a loan has been accepted SFS has the student sign the promissory note. The loan is disbursed once the paperwork has been completed and reviewed. Perkins loans followed this procedure in the time they were available. The Perkins program is no longer active so there are no new promissory notes going forward. Student accounts is currently reviewing student files to ensure promissory notes, or documentation deemed appropriate by the Department of Education, are available for the Perkins loans that will be assigned to the Department of Education. Unfortunately, previous employees did not keep accurate records; this was brought to light when a new employee took over student accounts in August 2021. While the new employee has worked hard to track down all MPNs, we know that there are some that will never be found. As a result, this will likely be a repeat finding until all Perkins Loans are assigned or liquidated. It is our hope that this process will be completed by May 31, 2025. Promissory notes or documentation will be retained until the loans are either assigned or liquidated. Name(s) of the contact person(s) responsible for corrective action: Steve Trana, VP for Financial Administration Planned completion date for corrective action plan: We hope to assign or liquidate all Perkins loans by May 31, 2025. Until then, it is likely that this will be a recurring item on our corrective action report.
View Audit 2445
Calvary University
MO
Student Financial Aid Matching / Level of Effort / Earmarking
Corrective Action Plan: Federal Direct Loan exit interview information was sent to the students in question in August 2023. Procedures will be improved to ensure Federal Direct Loan exit interviews are completed or information is sent to students when they cease enrollment at the University. Antici...
Corrective Action Plan: Federal Direct Loan exit interview information was sent to the students in question in August 2023. Procedures will be improved to ensure Federal Direct Loan exit interviews are completed or information is sent to students when they cease enrollment at the University. Anticipated Completion Date: The corrective action was completed in August 2023. Contact Person: Tasha Young, Staff Accountant 816-425-6151
View Audit 2416
Finding 1228 (2023-001)
Significant Deficiency 2023
Husson University
ME
Student Financial Aid Matching / Level of Effort / Earmarking
Finding 2023-001 The University found the disbursement notifications that were scheduled to be made during a 45 day period, using our automated process, failed to transmit and therefore some borrowers did not receive the required notifications for Direct Loan funds. Response The University subseq...
Finding 2023-001 The University found the disbursement notifications that were scheduled to be made during a 45 day period, using our automated process, failed to transmit and therefore some borrowers did not receive the required notifications for Direct Loan funds. Response The University subsequently notified these students or parents following the identification of the error on November 16, 2022. As a result of the error in the automated process, a population of borrowers did not receive timely written notice of their right to cancel their Direct Loans until after the 30 day notification requirement ended. Corrective Action The disbursement notification process is run manually after each disbursement file is transmitted to the Student Accounts Office. Staff continue to work with the IT department to work towards making this an automated process. Status Corrected, November 16, 2022 Responsible Official Anne Tabor, Executive Director of Financial Aid
View Audit 2293
Rose-Hulman Institute of Technology
IN
Special Tests & Provisions Student Financial Aid Matching / Level of Effort / Earmarking
The Institute agrees with the comment and has developed a plan to correct the finding. The Institute has examined the documented destruction date on the other student related files related to federal compliance requirements to ensure accuracy of the documented destruction date.
The Institute agrees with the comment and has developed a plan to correct the finding. The Institute has examined the documented destruction date on the other student related files related to federal compliance requirements to ensure accuracy of the documented destruction date.
View Audit 2275
Finding 1163 (2023-002)
Significant Deficiency 2023
Jamesville-Dewitt Central School District
NY
Matching / Level of Effort / Earmarking Eligibility
Views of Responsible Official and Planned Corrective Actions: The District agrees with this recommendation. Brian Bartlett, School Business Administrator, will be responsible for ensuring the maintenance of effort (MOE) calculation is completed within the required timeline provided by NYSED. The MOE...
Views of Responsible Official and Planned Corrective Actions: The District agrees with this recommendation. Brian Bartlett, School Business Administrator, will be responsible for ensuring the maintenance of effort (MOE) calculation is completed within the required timeline provided by NYSED. The MOE calculation for 2022-23 was submitted to NYSED and evidenced that the District was in compliance with the grant regulations. This will be corrected by June 30, 2024.
View Audit 2233
Albany College of Pharmacy and Health Sciences
NY
Student Financial Aid Matching / Level of Effort / Earmarking
Finding Number: 2023-001 Federal Assistance Listing Number: 84.038 Federal Perkins Loan Program Year Ended: June 30, 2023 Responsible Individual: Christine Banewicz Director of Student Accounts Management’s Response and Corrective Action Plan: The College agrees with the finding and recommendati...
Finding Number: 2023-001 Federal Assistance Listing Number: 84.038 Federal Perkins Loan Program Year Ended: June 30, 2023 Responsible Individual: Christine Banewicz Director of Student Accounts Management’s Response and Corrective Action Plan: The College agrees with the finding and recommendation. For students whose Perkins loans were paid off, the College did not return the original or a true and exact copy of the note to the borrower, or otherwise notify the borrower in writing that the loan was paid in full. The College will take corrective action with their third party service provider, University Accounting Services (UAS) to send the required communications to students with loans that have been paid in full. The College also plans to contract with UAS to send these communications to borrowers as the loans are paid off going forward. The above procedures have already been implemented.
View Audit 2202
Housing Authority of City of Covington
LA
HUD Housing Programs Reporting Matching / Level of Effort / Earmarking
Condition: The Section 8 program ended the year with a negative unrestricted equity of $6,810. A negative unrestricted equity balance is an indication that Housing Assistance Payments (HAP) funds are being spent on administration costs. Recommendation: The negative unrestricted equity balance should...
Condition: The Section 8 program ended the year with a negative unrestricted equity of $6,810. A negative unrestricted equity balance is an indication that Housing Assistance Payments (HAP) funds are being spent on administration costs. Recommendation: The negative unrestricted equity balance should be brought to a positive equity balance as soon as possible. Client Response and Corrective Action: The Executive Director will have the negative unrestricted equity balance corrected. Contact Person: Tammy Groover. Anticipated Date: March 31, 2024
View Audit 1935
Finding 965 (2023-002)
Significant Deficiency 2023
Mt. Auburn Housing, Inc.
OH
Questioned Costs HUD Housing Programs Matching / Level of Effort / Earmarking
S3800-090 Auditor's Summary of the Auditee's Comments on the Finding and Recommendations The Corporation concurs that they did not pay the debt in full at maturity. S3800-130 Response Indicator Agree S3800-140 Completion Date April 30, 2023 S3800-150 Response The Corporation is working with HUD and ...
S3800-090 Auditor's Summary of the Auditee's Comments on the Finding and Recommendations The Corporation concurs that they did not pay the debt in full at maturity. S3800-130 Response Indicator Agree S3800-140 Completion Date April 30, 2023 S3800-150 Response The Corporation is working with HUD and a local developer to resolve the outstanding loan balance. S3800-160 Contact Person First Name Amin S3800-180 Contact Person Last Name Akbar
View Audit 1800 Questioned Costs: $1
Finding 964 (2023-001)
Significant Deficiency 2023
Mt. Auburn Housing, Inc.
OH
Questioned Costs HUD Housing Programs Matching / Level of Effort / Earmarking
S3800-090 Auditor's Summary of the Auditee's Comments on the Finding and Recommendations The Corporation concurs that they did not pay the debt in full at maturity. S3800-130 Response Indicator Agree S3800-140 Completion Date April 30, 2023 S3800-150 Response The Corporation is working with HUD and ...
S3800-090 Auditor's Summary of the Auditee's Comments on the Finding and Recommendations The Corporation concurs that they did not pay the debt in full at maturity. S3800-130 Response Indicator Agree S3800-140 Completion Date April 30, 2023 S3800-150 Response The Corporation is working with HUD and a local developer to resolve the outstanding loan balance. S3800-160 Contact Person First Name Amin S3800-180 Contact Person Last Name Akbar
View Audit 1800 Questioned Costs: $1
Finding 907 (2023-001)
Significant Deficiency 2023
John Brown University and Affiliates
AR
Student Financial Aid Internal Control / Segregation of Duties Matching / Level of Effort / Earmarking
Inaccurate and Untimely Return of Title IV Funds (R2T4) Planned Corrective Action: A new administrative withdrawal procedure has been created to ensure that Title IV is both timely and accurately returned to the Federal Government in the case of an official / unofficial withdrawal from the universit...
Inaccurate and Untimely Return of Title IV Funds (R2T4) Planned Corrective Action: A new administrative withdrawal procedure has been created to ensure that Title IV is both timely and accurately returned to the Federal Government in the case of an official / unofficial withdrawal from the university. A shared Office365 document was created to track the number of days in each segment of the withdrawal process. The Student Financial Services (SFS) Representative initiates the process upon notification of withdrawal from the Registrar. Appropriate documentation is gathered at the time of withdrawal to establish the correct timeline for the potential return of Title IV funds. The SFS Representative then determines if an R2T4 calculation is required. If an R2T4 calculation is required, the SFS Representative will assign the task to the Student Loan Processor or the Director of Student Financial Services. The Student Loan Processor and Director of Student Financial Services will use Microsoft Outlook, as prompted by the shared Office365 document, to assign “due dates” for both the R2T4 calculation as well as the return of funds to COD to ensure compliance. The Director of Student Financial Services and the Chief Student Finance Officer will perform a weekly review of the shared Office365 document to confirm the accuracy of R2T4 calculations and the required timeline of the return of Title IV funds. A secondary review by a financial aid representative with the appropriate level of experience will ensure that internal controls over such processes can operate effectively and achieve compliance. Person Responsible for Corrective Action Plan: David Burney, Chief Student Finance Officer Anticipated Date of Completion: Implemented August 21, 2023
View Audit 1692
Finding 904 (2023-003)
Significant Deficiency 2023
Win-E-Mac Isd #2609
MN
Matching / Level of Effort / Earmarking Internal Control / Segregation of Duties
1. Correcting Plan School District personnel will implement procedures to ensure the contractor submits to the District weekly, the certified payrolls for each week in which any contract work is performed. The District will review the certified payrolls to ensure they are in compliance with the Wage...
1. Correcting Plan School District personnel will implement procedures to ensure the contractor submits to the District weekly, the certified payrolls for each week in which any contract work is performed. The District will review the certified payrolls to ensure they are in compliance with the Wage Rate Requirements. 2. Explanation of Disagreement with the Audit Findings There is essentially no disagreement with the finding. 3. Official Responsible for Insuring CAP The Superintendent, Randy Bruer, is responsible for carrying out the corrective action plan. 4. Planned Completion Date for CAP Immediately 5. Plan to Monitor Completion of CAP The Superintendent will monitor completion of the CAP, with reports to the Board of Education, on an annual basis.
View Audit 1681
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