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Corrective Action Plans

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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
Questioned Costs Reporting Matching / Level of Effort / Earmarking
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 Questioned Costs Eligibility § 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 Questioned Costs Matching / Level of Effort / Earmarking
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
Allowable Costs / Cost Principles Questioned Costs 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 Questioned Costs Cash Management § 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
Finding 61748 (2022-002)
Significant Deficiency 2022
Arizona Christian University
AZ
Questioned Costs Student Financial Aid Eligibility
2022-002 Student Financial Assistance Cluster ? Assistance Listing No. Various Recommendation: We recommend the University review the procedures surrounding PELL and TEACH awarding to ensure the proper cost of attendance is used so that amounts awarded do not exceed calculated financial need and awa...
2022-002 Student Financial Assistance Cluster ? Assistance Listing No. Various Recommendation: We recommend the University review the procedures surrounding PELL and TEACH awarding to ensure the proper cost of attendance is used so that amounts awarded do not exceed calculated financial need and awards are proper. Explanation of disagreement with audit finding: There is no disagreement with the audit finding. Action taken in response to finding: The University returned the ineligible Pell and Teach funds to ED. The University has implemented new processes, which include, but are not limited to, a second review of all student packages for the aid year. Prior to the start of each semester, the student package will be reviewed for subsequent ISIRS, grade level, and enrollment statuses, to ensure the Pell and Direct Loan eligibility is awarded correctly. Prior to awarding TEACH grants, the student package will be checked for the ATS (agreement to serve) and counseling. For continuing students, we will check the cumulative GPA from the prior year to ensure students are meeting the cumulative GPA of 3.25 to receive TEACH for the subsequent award year. Additionally, we have added new TEACH aid components to our student information system (SIS) to include the ATS (agreement to serve) and counseling. Student(s) will not receive any TEACH grant until they have met all three requirements. Lastly, campus based funds will be reviewed once a semester for need, and eligibility requirements. Name(s) of the contact person(s) responsible for corrective action: Lisa Stone, Director of Financial aid, Sean Corcoran, Associate Director of Financial Aid and Joyce Hatch, Financial Aid advisor. Planned completion date for corrective action plan: Fall 22
View Audit 56907 Questioned Costs: $1
Finding 61747 (2022-001)
Significant Deficiency 2022
Arizona Christian University
AZ
Questioned Costs Student Financial Aid Reporting
2022-001 Student Financial Assistance Cluster ? Assistance Listing No. Various Recommendation: We recommend the University reevaluate its procedures and review policies surrounding reporting status changes and other enrollment information to NSLDS to ensure timely and accurate reporting. We also rec...
2022-001 Student Financial Assistance Cluster ? Assistance Listing No. Various Recommendation: We recommend the University reevaluate its procedures and review policies surrounding reporting status changes and other enrollment information to NSLDS to ensure timely and accurate reporting. We also recommend the University review its reporting procedures to ensure all errors are corrected with the appropriate timeframe as required by regulations. Explanation of disagreement with audit finding: There is no disagreement with the audit finding. Action taken in response to finding. The process described in the corrective action plan in response to 2021-001 was developed and implemented in August of 2022. This was after the close of FY22. Therefore, the process had no bearing on the FY22 SFA audit. We believe the effects of the new process will be reflected in the FY23 SFA audit. To recap the corrective action plan from 2021-001: Training with the National Student Clearinghouse (NSC) online reporting system was implemented. A consequence of the training was that the Associate Director of Institutional Research (ADIR) acquired the necessary knowledge of how to manually change program enrollment dates in the NSC online system to correspond to the University?s internal records. The ADIR continues to adhere to the master calendar for reporting to ensure timeliness. Name(s) of the contact person(s) responsible for corrective action: Lisa Stone, Director of Financial Aid, Eric Tompkins, Associate Director of Institutional Research and Jeff Phillips, AVP of Institutional Effectiveness. Planned completion date for corrective action plan: Fall 2022
View Audit 56907
Finding 61694 (2022-001)
Significant Deficiency 2022
Yancey County, North Carolina
NC
Allowable Costs / Cost Principles Eligibility Significant Deficiency § 200.303
Finding: 2022-001 Name of contact person: Rick Tipton, DSS Director Corrective Action: Medicaid Programs Supervisor at Yancey DSS oversees the second party review process. Second party reviews are conducted by supervisors and lead workers on Adult Medicaid and Family & Children?s Medicaid cases on a...
Finding: 2022-001 Name of contact person: Rick Tipton, DSS Director Corrective Action: Medicaid Programs Supervisor at Yancey DSS oversees the second party review process. Second party reviews are conducted by supervisors and lead workers on Adult Medicaid and Family & Children?s Medicaid cases on a quarterly basis in accordance with policy. The date of review, program type, and any issues found are documented on the DHB-7078 form, which is subsequently attached on the case in NC FAST. Quarterly training is conducted to address any identified issues and is documented. Yancey DSS will begin keeping a spreadsheet with a list of the cases on which second party reviews are conducted beginning July 1, 2022 and going forward. This will further demonstrate the agency?s compliance with the second party review requirement. The spreadsheet will be completed with cases that have been reviewed July 2022 through February 2023 for FY 2022-23 by March 6, 2023. Cases will be added as reviews are completed each quarter. Proposed Completion Date: March 6, 2023
View Audit 57134
Finding 61682 (2022-003)
Significant Deficiency 2022
United Way of King County
WA
Reporting Questioned Costs Allowable Costs / Cost Principles
Recommendation: We recommend the Organization enforce its policies and procedures around review of reports. Corrective Action: Management agrees with the recommendation. Program management will review existing process to ensure adequate review and documentation of review of funder reports. Person(s)...
Recommendation: We recommend the Organization enforce its policies and procedures around review of reports. Corrective Action: Management agrees with the recommendation. Program management will review existing process to ensure adequate review and documentation of review of funder reports. Person(s) Responsible for Corrective Action: Associate Director, Ending Poverty Anticipated Completion Date: March 31, 2023
View Audit 56963
Finding 61681 (2022-002)
Significant Deficiency 2022
United Way of King County
WA
Questioned Costs Special Tests & Provisions Allowable Costs / Cost Principles
Recommendation: We recommend the organization enforce its policies for retention and review of records for each person enrolled in the program and strengthen review of payroll for the underlying records. Corrective Action: Management agrees with the recommendation. Corrective action taken includes p...
Recommendation: We recommend the organization enforce its policies for retention and review of records for each person enrolled in the program and strengthen review of payroll for the underlying records. Corrective Action: Management agrees with the recommendation. Corrective action taken includes preparation of and communication of standard operating procedures for enrollment, payroll set up, and member service agreement document review and retention. In addition, program management staff will conduct a secondary review of biweekly program payroll prior to submission, to ensure wage rate compliance with member service agreements. Person(s) Responsible for Corrective Action: Associate Director, Human Resources; Associate Director, Ending Poverty Anticipated Completion Date: March 31, 2023
View Audit 56963
Finding 61669 (2022-002)
Significant Deficiency 2022
Southern Oregon University
OR
Matching / Level of Effort / Earmarking § 200.303
Recommendation: We recommend that the University continue to review their reporting policies and procedures to ensure accurate and timely reporting. Explanation of disagreement with audit finding: There is no disagreement with the audit finding. Action planned in response to finding: SOU has updated...
Recommendation: We recommend that the University continue to review their reporting policies and procedures to ensure accurate and timely reporting. Explanation of disagreement with audit finding: There is no disagreement with the audit finding. Action planned in response to finding: SOU has updated our processing timeline and our policies to reflect the need for reporting in accordance with Department of Education regulations. Name of the contact person responsible for corrective action Agnes Maina, Director of Business Services & Controller Planned completion date for corrective action plan: June 30, 2023.
View Audit 56895
Finding 61601 (2022-001)
Significant Deficiency 2022
Menorah Park Center for Senior Living
OH
Questioned Costs Allowable Costs / Cost Principles Matching / Level of Effort / Earmarking
Menorah Park Center for Senior Living CORRECTIVE ACTION PLAN YEAR ENDED December 31, 2022 Identifying Number: Finding Number 2022-001 Finding: Menorah Park could not provide invoice support for two charges that were allocated to the major federal program selected for testing. Corrective Action...
Menorah Park Center for Senior Living CORRECTIVE ACTION PLAN YEAR ENDED December 31, 2022 Identifying Number: Finding Number 2022-001 Finding: Menorah Park could not provide invoice support for two charges that were allocated to the major federal program selected for testing. Corrective Actions Taken or Planned: The errors occurred during the early stages of our conversion to a new software platform (SAGE). We were in beginning our conversion from paper files to fully paperless files. In the new SAGE process, every expense inside our AP system requires document backup. This back up is attached within the system. This will prevent document retrieval errors in the future. Date of corrective action: 10/1/2020 Person Responsible: Lisa Johnson, Accounts Payable Supervisor
View Audit 56766 Questioned Costs: $1
Finding 61595 (2022-001)
Significant Deficiency 2022
New England Law / Boston
MA
Student Financial Aid Questioned Costs Special Tests & Provisions
Finding ? Special Tests and Provisions: Enrollment Reporting ? Federal Direct Student Loan Program, Assistance Listing Number 84.268; June 30, 2022 Award Year; U.S. Department of Education Criteria or Specific Requirement Enrollment information, including the effective date of separation from the ...
Finding ? Special Tests and Provisions: Enrollment Reporting ? Federal Direct Student Loan Program, Assistance Listing Number 84.268; June 30, 2022 Award Year; U.S. Department of Education Criteria or Specific Requirement Enrollment information, including the effective date of separation from the institution, must be accurately reported within 30 days whenever attendance changes for a student, unless a roster will be submitted within 60 days. The changes include reductions or increases in attendance levels, withdrawals, graduations, and approved leaves-of absence. It is the institution?s responsibility, as a participant in the Title IV aid programs, to monitor and report these changes to the National Student Loan Data System (?NSLDS?). (NSLDS Enrollment Reporting Guide September 2021, and 34 CFR 685.309(b)) Condition Of the 40 students selected for enrollment reporting testing, two students within the sample were reported to NSLDS outside the maximum 60-day window. This was not a statistically valid sample. Views of Responsible Officials and Planned Corrective Actions The School concurs with the finding. The School intends to report student status changes at year end. Names of Contact Person Responsible for Corrective Action: Anne Marie Martorana, Chief Financial Officer Anticipated Completion Date: December 14, 2022
View Audit 54378
Wisconsin Lutheran College, Inc.
WI
Questioned Costs Student Financial Aid Eligibility
AUDIT PERIODS: 7/1/21 TO 6/30/22 - A. COMMENTS ON FINDINGS AND RECOMMENDATIONS - FINDING 2022-001 - OVERAWARDED FEDERAL DIRECT SUBSIDIZED LOAN: DURING THE AUDIT, IT WAS NOTED THAT ONE STUDENT WAS OVERAWARDED A SUBSIDIZED LOAN. IT WAS RECOMMENDED THAT THE SCHOOL RETURN $762 IN SUBSIDIZED LOAN TO THE ...
AUDIT PERIODS: 7/1/21 TO 6/30/22 - A. COMMENTS ON FINDINGS AND RECOMMENDATIONS - FINDING 2022-001 - OVERAWARDED FEDERAL DIRECT SUBSIDIZED LOAN: DURING THE AUDIT, IT WAS NOTED THAT ONE STUDENT WAS OVERAWARDED A SUBSIDIZED LOAN. IT WAS RECOMMENDED THAT THE SCHOOL RETURN $762 IN SUBSIDIZED LOAN TO THE DEPARTMENT. THE INSTITUTION AGREES WITH THE FINDING. B. ACTIONS TAKEN OR PLANNED FINDING 2022-001 - STUDENTS ARE MANUALLY PACKAGED. ALTHOUGH THE CORRECT AMOUNT OF LOAN WAS PACKAGED $2,825, THE FACT THAT THE STUDENT WAS IN THE FINAL SEMESTER OF HIS PROGRAM WAS MISSED AND THE LOAN WASN'T PRORATED. THE LOAN WAS REALLOCATED IN THE CORRECT AMOUNTS OF $2,062 FEDERAL SUBSIDIZED LOAN AND $763 FEDERAL UNSUBSIDIZED LOAN THE SAME DAY WE WERE MADE AWARE OF THE ERROR. LOAN DISBURSEMENT REPORTS WILL CONTINUE TO BE MONITORED FOR STUDENTS - WITH SPECIAL EMPHASIS ON THOSE WHO ARE IN THE FINAL SEMESTER OF THEIR PROGRAM TO CONFIRM THAT THE LOAN ALLOCATION IS CORRECT.
View Audit 57022 Questioned Costs: $1
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