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Corrective Action Plans

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Finding 63664 (2022-001)
Significant Deficiency 2022
Foothill - De Anza Community College District
CA
Student Financial Aid Matching / Level of Effort / Earmarking Internal Control / Segregation of Duties
2022-001 Student Financial Aid Cluster ? Enrollment Reporting ? Various Recommendation: We recommend that each College review their existing procedures and controls and identify necessary changes needed to ensure timely reporting of student status changes to NSLDS as required by regulations. Foothil...
2022-001 Student Financial Aid Cluster ? Enrollment Reporting ? Various Recommendation: We recommend that each College review their existing procedures and controls and identify necessary changes needed to ensure timely reporting of student status changes to NSLDS as required by regulations. Foothill College Response Explanation of disagreement with finding: There is no disagreement with the finding and the Foothill College will resolve it. Action taken in response to finding: Using the samples from the findings as an example, the Dean of Enrollment Services will contact with National Student Clearinghouse Audit support and request a review of the data received from the College by 3/1/2023. If the issue is with our data, the College with work our technical support team and request a specialist from Ellucian ? Banner that supports the enrollment reporting process. If the issue is merely additional training needed on how to handle the error report file, then additional training will be requested for appropriate Admissions & Records staff for one-on-one training with the National Student Clearinghouse. Name of the contact person responsible for corrective action: Anthony Cervantes, Dean of Enrollment Services Planned completion date for corrective action plan: April 1, 2023. De Anza College Response Explanation of disagreement with finding: De Anza College has reported all five students in question within 30 days of their status change to the National Clearing House. However, the NCH failed to report to the NSLDS the change of status within 30 days after we correctly reported the change in enrollment. The College has provided proof of our reporting to the NCH, but because the students were not reported by the NCH in a timely manner, we are responsible to take actions to correct this process and make sure that the NCH is reporting on time and with right reports. Action taken in response to finding: The College can see some improvement in numbers of unreported or misreported student records from the NCH to the NSLDS. The Dean of Enrollment Services will continue working with the National Clearing House on the reporting process to avoid discrepancies and delays in the future. Name of the contact person responsible for corrective action: Nazy Galoyan, Dean of Enrollment Services Planned completion date for corrective action plan: June 2023.
View Audit 68659
Finding 63278 (2022-001)
Significant Deficiency 2022
City of Gardena
CA
Allowable Costs / Cost Principles Matching / Level of Effort / Earmarking
2022-001 Allowable Costs/Cost Principles ? Internal Control and Compliance over Payroll Expenditures City?s Corrective Action Plan: City will incorporate the Uniform Guidance requirements into its existing grant policies and procedures to ensure the City is in compliance with the Uniform Guidance. R...
2022-001 Allowable Costs/Cost Principles ? Internal Control and Compliance over Payroll Expenditures City?s Corrective Action Plan: City will incorporate the Uniform Guidance requirements into its existing grant policies and procedures to ensure the City is in compliance with the Uniform Guidance. Responsible Person: Ray Beeman, Director of Administrative Services Expected Implementation Date: July 1, 2023
View Audit 69837
Finding 62644 (2022-002)
Material Weakness 2022
Nationwide Children's Hospital
OH
Questioned Costs Allowable Costs / Cost Principles Reporting § 200.303
Finding 2022-002 Grantor: Department of Health and Human Services Federal Program: Teenage Pregnancy Prevention Program Allergy And Infectious Diseases Research Assistance Listing #: 93.267 93.855 Pass-through Grantor Pass-Through Award Number Pass-through Award Period None None Various ...
Finding 2022-002 Grantor: Department of Health and Human Services Federal Program: Teenage Pregnancy Prevention Program Allergy And Infectious Diseases Research Assistance Listing #: 93.267 93.855 Pass-through Grantor Pass-Through Award Number Pass-through Award Period None None Various Award Year: Fiscal year 2022 1/1/2022 ? 12/31/2022 Award Number: 5 TP1AH000212-02 5R01AI126890-05 5U01AI131386-05 5R01AI146581-02 Management agrees with the recommendation. Management will implement the following changes to Time and Effort practices. Corrective Action Plan and Anticipated Completion Date Management?s corrective action plan includes: ? Review and revise Time and Effort internal policy to include more robust internal controls. ? Develop escalation procedures for delayed certification. ? Outstanding time and efforts to be certified. Responsible person: Aaron Ufferman, Director, Sponsored Projects Completion Date: December 31, 2023.
View Audit 54476 Questioned Costs: $1
Finding 62571 (2022-001)
Significant Deficiency 2022
Boise State University
ID
Student Financial Aid Matching / Level of Effort / Earmarking
Federal Program Title: Student Financial Assistance Cluster ALN: 84.007, 84.038, 84.063, 84.268, 84.379 Recommendation: We recommend the University update their R2T4 calculation process to eliminate the students that completed 49% of the payment period days in their modular classes. We also recomm...
Federal Program Title: Student Financial Assistance Cluster ALN: 84.007, 84.038, 84.063, 84.268, 84.379 Recommendation: We recommend the University update their R2T4 calculation process to eliminate the students that completed 49% of the payment period days in their modular classes. We also recommend the University review the calculation for automatic last date of attendance overrides. Explanation of disagreement with audit finding: There is no disagreement with the audit finding. Action planned/taken in response to finding: The Financial Aid and Scholarships office has created the following workflow queries to systematically review R2T4 calculations for accuracy: 1) BFA_R2T4_MOD_ONLY_AUDIT_1 -- module-only students who have earned more that 49% and have an R2T4 calculation. 2) BFA_R2T4_MOD_ONLY_AUDIT_2 -- the percent earned on the Return TIV Session does not match the Pct. TIV Aid Earned on the Worksheet. 3) BFA_R2T4_MOD_ONLY_AUDIT_3 -- if there are two withdrawal dates, the latest is used in the worksheet. These queries will become part of the monthly workflows and alert management for additional review. Name(s) of the contact person(s) responsible for corrective action: Kelley Christianson, Director of Financial Aid and Scholarships: kelleychristianson@boisestate.edu Planned completion date for corrective action plan: March 31, 2023
View Audit 54662
Finding 62417 (2022-005)
Significant Deficiency 2022
Morgan County Hospital Authority
GA
Reporting Matching / Level of Effort / Earmarking
Significant Deficiency (2022-005) Recommendation: The Authority should continue to improve its understanding of the reporting requirements as specified in the applicable loan document and create a process to ensure reports are submitted in a timely manner. Planned Corrective Action: The Authority wi...
Significant Deficiency (2022-005) Recommendation: The Authority should continue to improve its understanding of the reporting requirements as specified in the applicable loan document and create a process to ensure reports are submitted in a timely manner. Planned Corrective Action: The Authority will create a process to send the Annual Budget, Projected Cashflow and quarterly Internal Financial Statements to the USDA. This will be included as a part of our month end close process and reports will be sent to the USDA by our Finance Department and confirmed by the CFO.
View Audit 54105
Finding 62268 (2022-003)
Material Weakness 2022
Bethany Lutheran Home for the Aged, Inc.
SD
Special Tests & Provisions Subrecipient Monitoring Material Weakness § 200.303
2022-003 Department of Agriculture Federal Financial Assistance Listing/CFDA #10.766 Communities Facilities and Loans Grants Cluster Special Tests & Provisions Material Weakness in Internal Control over Compliance Condition: Management did not have access to the relevant documents and was unaware...
2022-003 Department of Agriculture Federal Financial Assistance Listing/CFDA #10.766 Communities Facilities and Loans Grants Cluster Special Tests & Provisions Material Weakness in Internal Control over Compliance Condition: Management did not have access to the relevant documents and was unaware of the USDA reserve requirement until further discussion with USDA. The Organization had cash balances on hand exceeding the required reserve amount; however, the funds were not segregated in a separate bookkeeping account or bank account. Responsible Party: Dalton Huber, CFO Corrective Action Plan: Management is presently working with First Interstate Bank to set up an FDIC insured savings account for this reserve requirement. This account will be maintained going forward. The required balance will be presented to the board monthly in comparison to the actual balance in the account. Anticipated Completion Date: January 31, 2023.
View Audit 54088
Finding 62157 (2022-002)
Material Weakness 2022
Union School Corporation
IN
Internal Control / Segregation of Duties Allowable Costs / Cost Principles Material Weakness § 200.303
Finding 2022-002 ? Special Education Cluster - Activities Allowed or Unallowed, Allowable Costs/Cost Principles Contact Person Responsible for Corrective Action: Abigail Lindsey Contact Phone Number: 765-853-5464 Views of Responsible Official: We concur with the finding. Description of Correc...
Finding 2022-002 ? Special Education Cluster - Activities Allowed or Unallowed, Allowable Costs/Cost Principles Contact Person Responsible for Corrective Action: Abigail Lindsey Contact Phone Number: 765-853-5464 Views of Responsible Official: We concur with the finding. Description of Corrective Action Plan: INDLS will provide Abigail with a digital copy of all invoices related to sub contracted services. Abigail will review the invoices to insure purchases were permissible prior to asking for reimbursement. Anticipated Completion Date: 06/01/2023
View Audit 58369
Finding 62154 (2022-001)
Significant Deficiency 2022
Matchbook Learning Schools of Indiana, Inc.
IN
Reporting Significant Deficiency Matching / Level of Effort / Earmarking § 200.329
FINDING 2022-001 REPORTING SIGNIFICANT DEFICIENCY Federal Program: Education Stabilization Fund Assistance Listing Number: 84.4250 The school did not report activity related to the use of Elementary and Secondary Emergency Relief Fund in line with actual activity. The school did not have controls in...
FINDING 2022-001 REPORTING SIGNIFICANT DEFICIENCY Federal Program: Education Stabilization Fund Assistance Listing Number: 84.4250 The school did not report activity related to the use of Elementary and Secondary Emergency Relief Fund in line with actual activity. The school did not have controls in place to ensure accurate reporting. The school will ensure that the ESSER data collection report reflects actual expenditures for the next period. Will use the grant tracking system to ensure dollar amounts are accurate on the report. Responsible Individual: Don Stewart, Director of Finance
View Audit 57314
Finding 62143 (2022-003)
Significant Deficiency 2022
Marymount Manhattan College
NY
Student Financial Aid Special Tests & Provisions Eligibility
Name of contact person: Chris Pesotski Corrective action: With respect to the finding relating to program length issues, the College agrees with this finding and will make appropriate changes to ensure that the NSLDS records for program length are based on years, correcting the earlier issue of bas...
Name of contact person: Chris Pesotski Corrective action: With respect to the finding relating to program length issues, the College agrees with this finding and will make appropriate changes to ensure that the NSLDS records for program length are based on years, correcting the earlier issue of basing program length by weeks. With respect to the program change date record retention issue, the College agrees with this finding and will take appropriate actions to correct this issue. These actions will include retraining of staff to reinforce the necessity of retaining the records, providing adequate secure storage facilities for paper records and conducting regular quality control exercises to ensure that this issue does not re-occur. Proposed completion date: 6/30/2023
View Audit 57169
Finding 62132 (2022-001)
Material Weakness 2022
Carrollton Exempted Village School District
OH
Procurement, Suspension & Debarment Subrecipient Monitoring Matching / Level of Effort / Earmarking § 200.515
Carrollton Exempted Village School District Carroll County, Ohio Corrective Action Plan 2 CFR Section 200.511(c) For the Fiscal Year Ended June 30, 2022 Finding Number Planned Corrective Action Anticipated Completion Date Responsible Contact Person 2022-001 The School District will implement inter...
Carrollton Exempted Village School District Carroll County, Ohio Corrective Action Plan 2 CFR Section 200.511(c) For the Fiscal Year Ended June 30, 2022 Finding Number Planned Corrective Action Anticipated Completion Date Responsible Contact Person 2022-001 The School District will implement internal controls to ensure that all contractors working on federally funded projects for which wage rate requirements apply, are notified and the School District will obtain necessary documentation to verify compliance. In addition, the School District will implement internal controls to ensure the necessary language is included in all future solicitations for quotes or bids for which prevailing wage requirements apply. Additionally, the issue has been addressed in current ESSER Building contract language for Wellness Clinic project. Financial ? Amy Spears, Treasurer Buildings & Grounds ? Andy Reeves, Asst Supt.
View Audit 57075
Finding 62131 (2022-001)
Significant Deficiency 2022
Owensboro Health, Inc.
KY
Reporting Matching / Level of Effort / Earmarking Internal Control / Segregation of Duties
Finding Name: 2022-001-Reporting Federal Program: COVID-19 Provider Relief Fund ALN: 93.498 Owensboro Health, Inc. (OHI)?s System CFO and VP of Accounting has reviewed the COVID-19 Provider Relief Fund findings from KPMG relating to the Uniform Guidance. We understand the recommendation set forth ...
Finding Name: 2022-001-Reporting Federal Program: COVID-19 Provider Relief Fund ALN: 93.498 Owensboro Health, Inc. (OHI)?s System CFO and VP of Accounting has reviewed the COVID-19 Provider Relief Fund findings from KPMG relating to the Uniform Guidance. We understand the recommendation set forth by KPMG and will revamp our controls and processes to include additional review of the quarterly grant reports entered in the US Department of Health Human Services portal before and after submission. OHI?s corrective action plan: 1. Going forward, OHI will have a formal agenda to discuss and approve the grant reports prior to the submission to the US Department of Health and Human Services portal. 2. The quarterly Cares Act (PRF) reporting will be reviewed, approved and attested by the System CFO, VP of Accounting, Manager of Revenue and Regulatory Analysis and Manager of Decision Support. Contact person/s responsible for the correction action: Ruby Jacildo and Jeremy Stewart Anticipated Date: March 31, 2023
View Audit 56996
Finding 62124 (2022-005)
Significant Deficiency 2022
Southern Illinois University
IL
Internal Control / Segregation of Duties Eligibility Matching / Level of Effort / Earmarking § 200.303
2022-005. Finding: Inadequate Procedures for Ensuring Retention of Eligibility Documentation for the Upward Bound Program ? Edwardsville Campus Response: We agree we did not have adequate procedures to ensure the required documents were retained for all students who received stipends during the per...
2022-005. Finding: Inadequate Procedures for Ensuring Retention of Eligibility Documentation for the Upward Bound Program ? Edwardsville Campus Response: We agree we did not have adequate procedures to ensure the required documents were retained for all students who received stipends during the period tested. Corrective Action Plan: We will implement adequate controls to ensure document retention, including in instances where responsible staff have departed the University. Contact Person: Timothy Staples (Director of University Services to East St Louis) Anticipated completion date: June 30, 2023
View Audit 56947
Thiel College
PA
Student Financial Aid Matching / Level of Effort / Earmarking Subrecipient Monitoring
Finding 2022-001: Return of Title IV Funds Federal Program: Student Financial Assistance Cluster - Federal Pell Grant Program Federal Agency: U.S. Department of Education Pass-Through Entity: Not applicable Assistance Listing Number: 84.063 Federal Award Year: June 30, 2022 Criterion: 34 CFR 668.22...
Finding 2022-001: Return of Title IV Funds Federal Program: Student Financial Assistance Cluster - Federal Pell Grant Program Federal Agency: U.S. Department of Education Pass-Through Entity: Not applicable Assistance Listing Number: 84.063 Federal Award Year: June 30, 2022 Criterion: 34 CFR 668.22 requires that when a recipient of Title IV grant or loan assistance withdraws from an institution during a payment period or period of enrollment in which the recipient began attendance, the institution must determine the amount of Title IV grant or loan assistance that the student earned as of the student's withdrawal date in accordance with Federal regulations and return the unearned portion of the grant or loan funds to the Title IV programs as soon as possible but no later than 45 days after the withdrawal date. Corrective Action Plan The College will make timely returns of Title IV funds within the required 45-day requirement. The withdrawal date determination will be made no later than 30 days after the end of the earliest the earliest of the (1) payment period or period of enrollment, (2) academic year, or (3) educational period, as appropriate. Return to Title IV calculations will be completed with applicable dates and required aid adjustments will be made accordingly. Implementation will begin immediately. Kim Peters and/or Denise Owens will initiate all transactions, Michelle Work will approve. Responsible Persons Michelle Work, Director of Financial Aid Anticipated Completion Date This is an ongoing process and will begin immediately.
View Audit 50214
Finding 61897 (2022-001)
Significant Deficiency 2022
Asbury Theological Seminary
KY
Student Financial Aid Reporting Matching / Level of Effort / Earmarking
Asbury Theological Seminary respectfully submits the following corrective action plan for the year ended June 30, 2022. Name and address of independent public accounting firm: Blue & Company, LLC; 250 West Main Street, Suite 2900; Lexington, Kentucky 40507. The finding from the schedule of findings ...
Asbury Theological Seminary respectfully submits the following corrective action plan for the year ended June 30, 2022. Name and address of independent public accounting firm: Blue & Company, LLC; 250 West Main Street, Suite 2900; Lexington, Kentucky 40507. The finding from the schedule of findings and questioned costs for the year ended June 30, 2022 is discussed below. The finding is numbered consistently with the numbers assigned in the schedule. 2022-001 Finding: Asbury Theological Seminary (ATS) failed to collect entrance counseling on a student before Title IV funds were disbursed to the institutional student account. Summary: The Seminary did not have a control in place to ensure timely completion of the entrance counseling. Institution Response: ATS uses an import tool through ED Connect to identify students who have completed entrance counseling. When the import is received, the financial aid staff manually enters the information into the Student Information System (Nexus) for each individual student. The student record in Nexus is then checked prior to the first Title IV loan disbursement for the student. The Department of Education introduced a new counseling item, Financial Awareness Counseling. While available, this form was imported and treated in the same manner as the other counseling forms (entrance/exit). Financial Awareness Counseling was completed for the student noted in the exception. The staff member reviewing the record mistakenly released loans, confusing the Financial Awareness Counseling as entrance counseling. ATS agrees with the audit finding. With the Department of Education terminating Financial Awareness Counseling, this helps avoid confusing the two documents. To prevent disbursing future Title IV loan funds to student accounts without the proper entrance counseling on file, a new process has been implemented. The Associate Director of Financial Aid, Mariah Shumate, will now cross check each new disbursement record prior to requesting funds from the Department of Education. Estimated Completion Date: September 22, 2022; Responsible manager: Mariah Shumate, Associate Director of Financial Aid
View Audit 50952
Erskine College
SC
Reporting Student Financial Aid Eligibility
2022-001 NSLDS Reporting Planned Corrective Action: All withdrawals will be updated in NSLDS at the time the withdrawal is processed, and notification is made to the appropriate offices by the registrar. This has not been the case, and it has resulted in withdrawn students being overlooked when pr...
2022-001 NSLDS Reporting Planned Corrective Action: All withdrawals will be updated in NSLDS at the time the withdrawal is processed, and notification is made to the appropriate offices by the registrar. This has not been the case, and it has resulted in withdrawn students being overlooked when preparing the enrollment spreadsheet for uploading into NSLDS. Including the NSLDS reporting as part of the withdrawal process will ensure that all withdrawn students are reported in a timely manner to NSLDS. At the beginning of each term, the registrar will ensure that all returning students are correctly reported to NSLDS. We have seen an increase in students who return, and a more deliberate effort to report these students will ensure that they students are correctly reported to NSLDS. In the near future, the registrar plans to partner with the National Clearinghouse for enrollment reporting. This partnership will involve the use of a report generated from CAMS for reporting rather than a spreadsheet that is manually updated by the registrar. Person Responsible for Corrective Action Plan: Tracey Spires- Registrar Anticipated Date of Completion: June 2023
View Audit 58543
University of Hawaii
HI
Student Financial Aid Reporting Matching / Level of Effort / Earmarking
Finding No. 2022-006: Return of Title IV Funds ? Control Deficiency Federal Agency: U.S. Department of Education CFDA Number and Title: 84.063 ? Federal Pell Grant 84.268 ? Federal Direct Student Loans Questioned Costs: $140 Responsible Individual: Davileigh Nae`ole, Financial Aid Direc...
Finding No. 2022-006: Return of Title IV Funds ? Control Deficiency Federal Agency: U.S. Department of Education CFDA Number and Title: 84.063 ? Federal Pell Grant 84.268 ? Federal Direct Student Loans Questioned Costs: $140 Responsible Individual: Davileigh Nae`ole, Financial Aid Director, UHMC Date Action Taken: November 1, 2022 Based on the auditor?s recommendation we will ensure determination of the withdrawal date for students who unofficially withdraw within 30-days after the end of the period of enrollment. Another staff member is being trained to assist with the calculation of R2T4. In addition, the R2T4s are now a process that is reviewed weekly. Based on the auditor?s recommendation we will remit the institutional portion of unearned aid to the appropriate Title IV program within the required 45-day time period. Another staff member is being trained to assist with the R2T4 calculations and R2T4?s are being reviewed weekly. These changes should ensure the timely return of unearned aid to the Title IV programs.
View Audit 56981
University of Hawaii
HI
Student Financial Aid Matching / Level of Effort / Earmarking Internal Control / Segregation of Duties
Finding No. 2022-005: Financial Aid Administration - Control Deficiency Federal Agency: U.S. Department of Education CFDA Number and Title: 84.268 ? Federal Direct Student Loans Questioned Costs: $ - Responsible Individual: Anna Chamberlain, Financial Aid Manager, Windward Community Colle...
Finding No. 2022-005: Financial Aid Administration - Control Deficiency Federal Agency: U.S. Department of Education CFDA Number and Title: 84.268 ? Federal Direct Student Loans Questioned Costs: $ - Responsible Individual: Anna Chamberlain, Financial Aid Manager, Windward Community College Date Action Taken: October 10, 2022 Reconciliation will now be done using SAS files that will automatically be sent from COD at the beginning of each month. This new process will be completed every 30 days and will produce a monthly report that will be saved in the office shared drive. A Standard Operating Procedure will be created for the new Loan Reconciliation process, and the Financial Aid Manager will be primarily responsible for this process with the Financial Aid Specialist trained as secondary in case of an absence.
View Audit 56981
University of Hawaii
HI
Student Financial Aid Matching / Level of Effort / Earmarking Internal Control / Segregation of Duties
Finding No. 2022-004: Financial Aid Administration ? Control Deficiency Federal Agency: U.S. Department of Education CFDA Number and Title: 84.268 ? Federal Direct Student Loans Questioned Costs: $ - Responsible Individual: Jennifer Bradley, Financial Aid Manager, Kapi`olani Community Colle...
Finding No. 2022-004: Financial Aid Administration ? Control Deficiency Federal Agency: U.S. Department of Education CFDA Number and Title: 84.268 ? Federal Direct Student Loans Questioned Costs: $ - Responsible Individual: Jennifer Bradley, Financial Aid Manager, Kapi`olani Community College Date Action Taken: March 2022 In early March 2022 the campus servers, held by the Center for Excellence in Learning, Teaching and Technology or CELTT, where all data was stored, went down and data was not recoverable. Documentation used as evidence is copy of real-time reports/transactions. All reconciliation documentation was stored on that server. Though reconciliation was done monthly, we were not able to provide evidence of 2 of the 3 sample months. After we were apprised of the campus servers, the Financial Aid Office created drives/folders in UH Enterprise Dropbox where we started to save our daily work, including reconciliation documentation. This commenced about March 10, 2022. We started using UH Enterprise Dropbox for Centralization processes in December 2020, thus expanded its use to include our office work/processes. On approximately March 14, 2022 CELTT was able to restore/recreate the servers and install the proper software to resume operations and store data. The campus servers have since been manually backed-up every-other-week. Additionally, CELTT is working on an automated process to back-up the campus servers on a weekly basis. They are awaiting hardware to complete this process. It is expected that the automated back-up will start in early 2023. Starting November 2022 and on at least a quarterly basis reconciliation documentation is transferred/saved to the campus server. This will assure that we have proper documentation of our reconciliation.
View Audit 56981
University of Hawaii
HI
Questioned Costs Student Financial Aid Reporting
Finding No. 2022-002: Financial Aid Administration - Control Deficiency Federal Agency: U.S. Department of Education CFDA Number and Title: 84.063 ? Federal Pell Grant 84.268 ? Federal Direct Student Loans Questioned Costs: $812 Responsible Individual: Heather Florindo, Financial Aid Manage...
Finding No. 2022-002: Financial Aid Administration - Control Deficiency Federal Agency: U.S. Department of Education CFDA Number and Title: 84.063 ? Federal Pell Grant 84.268 ? Federal Direct Student Loans Questioned Costs: $812 Responsible Individual: Heather Florindo, Financial Aid Manager, Honolulu Community College Date Action Taken: Immediately Return of Title IV Funds Currently we have one staff member assigned to process all Return of Title IV calculations. The office is in the process of hiring additional staff to assist with the workload created by the Return of Title IV calculation process. Furthermore, all staff will receive additional training regarding the regulations of Return of Title IV. Lastly, a processing schedule will be created to ensure that calculations are done in a timely manner and in accordance with the requirements of Return of Title IV. Direct Student Loans Currently, one staff person is responsible for the monthly reconciliation of the Federal Direct Student Loans that have been processed. A schedule will be created so that all staff are aware of when the loan reconciliation should be done. Furthermore, all staff will be trained in the loan reconciliation process so that all staff are able to complete the monthly loan reconciliation if needed.
View Audit 56981 Questioned Costs: $1
University of Hawaii
HI
Student Financial Aid Procurement, Suspension & Debarment Reporting
Finding No. 2022-001: Financial Aid Administration ? Control Deficiency Federal Agency: U.S. Department of Education CFDA Number and Title: 84.063 ? Federal Pell Grant Questioned Costs: $ - Responsible Individual: Jodie Kuba, Director of Financial Aid Nikki Chun, Div. of Enrollment Mana...
Finding No. 2022-001: Financial Aid Administration ? Control Deficiency Federal Agency: U.S. Department of Education CFDA Number and Title: 84.063 ? Federal Pell Grant Questioned Costs: $ - Responsible Individual: Jodie Kuba, Director of Financial Aid Nikki Chun, Div. of Enrollment Management, Vice Provost for Enrollment Management Date Action Taken: August 1, 2022 Due to staff following the 45-day timeframe for the Return to Title IV Calculation, staff did not take into account the 30-day requirement to return funds when it could not be confirmed if a student academically attended the course(s). To ensure compliance with federal aid regulations, the Financial Aid Services office will work with the Office of the Registrar to confirm academic attendance as needed and complete the return to Title IV calculation within 30 days.
View Audit 56981
University of Hawaii
HI
Questioned Costs Allowable Costs / Cost Principles Matching / Level of Effort / Earmarking § 200.403
Finding No. 2022-008: Inaccurate Stipend Expenditure- Control Deficiency Federal Agency: U.S. Department of Education CFDA Number and Title: 84.047 ? TRIO Cluster Questioned Costs: $25 Responsible Individuals: Shayna Fuerte, Interim Director, Upward Bound Programs Paula Gealon, Fiscal/Po...
Finding No. 2022-008: Inaccurate Stipend Expenditure- Control Deficiency Federal Agency: U.S. Department of Education CFDA Number and Title: 84.047 ? TRIO Cluster Questioned Costs: $25 Responsible Individuals: Shayna Fuerte, Interim Director, Upward Bound Programs Paula Gealon, Fiscal/Post Award Administrator, RAPID Date Action Taken: January 1, 2022 The University of Hawaii Upward Bound Program streamlined their record keeping function used to track student participation in program activities by only using the Blumen database to record data. This method of tracking student participation went into effect for all five of the Upward Bound Programs on January 1, 2022. The use of the Blumen database will greatly minimize human error in our record keeping process and eliminate the need for various spreadsheets that were previously being used [Student Assignment Log, College Preparatory Saturday Academy (CPSA) Attendance Log, Participant and Parent Cumulative Service (PPCS) Log, Report Card Log, and Tutoring Log]. Information from the Blumen database will be summarized in our Stipend Statement by our Program Coordinators. Points are allocated to the students based off of our Participation and Points Rubric. Prior to payment being issued to student participant, there will be a second level of review of Stipend Statements by either our Director, Associate Director, or Assistant Director to ensure accuracy of point distribution. Once stipend amounts are verified to be accurate with a second level review, stipend payments will be distributed to participants by the Fiscal Specialist.
View Audit 56981 Questioned Costs: $1
Finding 61788 (2022-004)
Significant Deficiency 2022
Southern Illinois University
IL
Internal Control / Segregation of Duties Cash Management Matching / Level of Effort / Earmarking § 200.303
2022-004. Finding: Insufficient Controls over Review and Approval of Cash Drawdowns ? Carbondale Campus Response: Implemented. We agree we did not have a consistent procedure in place during the audit period. Corrective Action Plan: We have since addressed the weakness by establishing segregation...
2022-004. Finding: Insufficient Controls over Review and Approval of Cash Drawdowns ? Carbondale Campus Response: Implemented. We agree we did not have a consistent procedure in place during the audit period. Corrective Action Plan: We have since addressed the weakness by establishing segregation of duties in the performance of the drawdown procedure. Also, we have implemented measures to ensure that approvals are now documented appropriately prior to processing drawdowns. Contact Person: Ashley Matzenbacher (Office of Sponsored Projects Administration) Anticipated completion date: December 2022
View Audit 56947
Finding 61787 (2022-002)
Significant Deficiency 2022
Southern Illinois University
IL
Matching / Level of Effort / Earmarking Eligibility Internal Control / Segregation of Duties § 200.303
2022-002. Finding: Inadequate Procedures for Ensuring Compliance with Earmarking Requirements for the Student Support Services Program - Carbondale Campus Response: We agree and have implemented corrective actions. Ongoing changes at the university continue to impact the potential for enrollment gr...
2022-002. Finding: Inadequate Procedures for Ensuring Compliance with Earmarking Requirements for the Student Support Services Program - Carbondale Campus Response: We agree and have implemented corrective actions. Ongoing changes at the university continue to impact the potential for enrollment growth of minority students, which directly impacts the success of the program. Corrective Action Plan: Realignment of support services has structured Trio programs in an area with other similar programs that serve students that meet the criteria of the program. This realignment of services is already producing positive results. We believe this upward trend will continue for the university and program. To ensure earmarking requirements are met, applications are monitored daily. Other actions that have been taken include: ? The project director has been appointed to committees that directly impact the recruitment, selection, and retention of this population of students. ? The director also participates in recruitment activities that focuses on increasing underrepresented minority populations. ? Under the newly structured unit, a retention team has been established to improve support services and mitigate challenges to enrollment and retention of the population of students. The current status of program is mentioned in tabular form in corrective action plan. The Trio currently meets earing marking requirements. The requirements will be documented in the upcoming Annual Performance Report once submitted to the US Department of Education for AY 2022-2023 (May 2023). We hope to sustain this progress as enrollment at the university continues to trend upward. Contact Person: Renada Greer (SIUC Assistant Dean & Director TRIO) Anticipated completion date: May 2, 2023
View Audit 56947
Finding 61770 (2022-007)
Significant Deficiency 2022
Southern Illinois University
IL
Student Financial Aid Matching / Level of Effort / Earmarking § 200.303
2022-007 Finding: Exit Counseling Not Completed ? Edwardsville Campus Response: We agree. SIUE Student Financial Aid has reintroduced a Banner process which runs simultaneously with the current bi-monthly process, in order to notify students of exit counseling requirements at the earliest possible...
2022-007 Finding: Exit Counseling Not Completed ? Edwardsville Campus Response: We agree. SIUE Student Financial Aid has reintroduced a Banner process which runs simultaneously with the current bi-monthly process, in order to notify students of exit counseling requirements at the earliest possible time. Corrective Action Plan: Implemented. Specifically, we are running exit counseling reports more frequently and comparing exit requirements from Banner process to in-house process to create a job that runs exit counseling through production control. We will continue to work with the appropriate office for assistance on how to ensure the appropriate flag gets checked to ensure the proper results. Contact Person: Jeremy Baker (SIUE Student Financial Aid Associate Director) Anticipated completion date: October 31, 2022
View Audit 56947
Finding 61766 (2022-001)
Significant Deficiency 2022
Union College
NY
Student Financial Aid Matching / Level of Effort / Earmarking Reporting § 200.303
Corrective Action Plan The Union College Economic department chose to change the Classification of Instructional Programs (CIP) code to more accurately reflect the degree requirements of this particular major. The CIP code change process is typically applied at the start of a new academic year, but ...
Corrective Action Plan The Union College Economic department chose to change the Classification of Instructional Programs (CIP) code to more accurately reflect the degree requirements of this particular major. The CIP code change process is typically applied at the start of a new academic year, but in this case, the College felt that it was necessary to do so immediately. The National Student Clearinghouse (NSC) was consulted to be sure that students would, in fact, graduate in the new CIP code without negative impact to their program. As a result of this late semester change, a number of Economics majors were manually corrected in the NSC and reported as graduated with the new CIP code. In the future, Union will adhere to its standard timelines and processes for curricular changes, as the ?ad-hoc? nature of such changes are difficult to manage. Upon further pressure for resolution, the NSC has now provided instructions regarding how to resolve the students reporting issues. A new file will be transmitted to the National Student Loan Data System (NSLDS) in early March, once further updates are received and processed by the NSC. Union College will review the NSLDS database to confirm accurate reporting once the file has been submitted. Union College will also perform self-audits to ensure our processes are efficiently capturing enrollment changes and that the NSC and NSLDS reports agree and are accurate beginning with the March 2023 enrollment period.
View Audit 56914
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