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Corrective Action Plans

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Finding 384188 (2022-009)
Material Weakness 2022
College Unbound
RI
Student Financial Aid Internal Control / Segregation of Duties Special Tests & Provisions
Finding number: 2022-009 Federal agency: U.S. Department of Education Programs: Student Financial Assistance Cluster Assistance listing #: 84.063 and 84.268 Award year: 2022 Corrective Action Plan: College Unbound hired two new positions, a Controller and a Bursar, who both started on 10/2/23 (the r...
Finding number: 2022-009 Federal agency: U.S. Department of Education Programs: Student Financial Assistance Cluster Assistance listing #: 84.063 and 84.268 Award year: 2022 Corrective Action Plan: College Unbound hired two new positions, a Controller and a Bursar, who both started on 10/2/23 (the role was previously filled by a single temporary employee). Part of the Bursar’s scope of work is to work with Financial Aid to ensure that credit balances are issued in the required 14-day timeframe. The full time Bursar has a solid understanding of the 14-day requirement and is committed to maintaining compliance in this area. Timeline for Implementation of Corrective Action Plan: Corrected. Contact Person: Diana Perdomo, CFO
View Audit 297283
Finding 384187 (2022-008)
Significant Deficiency 2022
College Unbound
RI
Student Financial Aid Matching / Level of Effort / Earmarking Internal Control / Segregation of Duties
Finding number: 2022-008 Federal agency: U.S. Department of Education Programs: Student Financial Assistance Cluster Assistance listing #: 84.268 Award year: 2022 Corrective Action Plan: College Unbound has implemented the process of monthly reconciliation for Pell and Direct Loans. This process beg...
Finding number: 2022-008 Federal agency: U.S. Department of Education Programs: Student Financial Assistance Cluster Assistance listing #: 84.268 Award year: 2022 Corrective Action Plan: College Unbound has implemented the process of monthly reconciliation for Pell and Direct Loans. This process began in Spring 2023. The issues identified in this finding were resolved by the school in advance of the audit, although we agree that it was not in a timely manner. Timeline for Implementation of Corrective Action Plan: Completed Contact Person: Diana Perdomo, CFO
View Audit 297283
Finding 384185 (2022-007)
Material Weakness 2022
College Unbound
RI
Student Financial Aid Reporting Matching / Level of Effort / Earmarking
Finding number: 2022-007 Federal agency: U.S. Department of Education Programs: Student Financial Assistance Cluster Assistance listing #: 84.063 and 84.268 Award year: 2022 Corrective Action Plan: College Unbound hired an experienced Registrar in late spring 2022. They have implemented the process ...
Finding number: 2022-007 Federal agency: U.S. Department of Education Programs: Student Financial Assistance Cluster Assistance listing #: 84.063 and 84.268 Award year: 2022 Corrective Action Plan: College Unbound hired an experienced Registrar in late spring 2022. They have implemented the process of monthly reporting to the Clearinghouse, including reviewing reports for accuracy. Timeline for Implementation of Corrective Action Plan: Completed Contact Person: Diana Perdomo, CFO
View Audit 297283
Finding 384184 (2022-006)
Significant Deficiency 2022
College Unbound
RI
Questioned Costs Student Financial Aid Internal Control / Segregation of Duties
Finding number: 2022-006 Federal agency: U.S. Department of Education Programs: Student Financial Assistance Cluster Assistance listing #: 84.268 Award year: 2022 Corrective Action Plan: College Unbound hired two new positions, a Controller and a Bursar, who both started on 10/2/23 (the role was pre...
Finding number: 2022-006 Federal agency: U.S. Department of Education Programs: Student Financial Assistance Cluster Assistance listing #: 84.268 Award year: 2022 Corrective Action Plan: College Unbound hired two new positions, a Controller and a Bursar, who both started on 10/2/23 (the role was previously filled by a single temporary employee). Part of the Controller’s scope of work is a monthly review of all uncashed checks. Beginning March 2024, the Controller initiated a new process for outstanding checks issued to students. After monthly bank reconciliation, the list of outstanding checks will be forwarded to our Director of Employee Success and Student Accounts to follow up with the students and rectify the issues. In addition, College Unbound is undertaking a project to encourage students to receive credit balance refunds through ACH, as opposed to paper check, whenever possible. The ACH process will increase accuracy, security, and speed of delivery. Additionally, for students still opting to receive paper checks, College Unbound has initiated Positive Pay through the bank. Timeline for Implementation of Corrective Action Plan: Ongoing. Fully implemented by the end of FY24. Contact Person: Diana Perdomo, CFO
View Audit 297283 Questioned Costs: $1
Finding 384183 (2022-005)
Significant Deficiency 2022
College Unbound
RI
Student Financial Aid Matching / Level of Effort / Earmarking Internal Control / Segregation of Duties
Finding number: 2022-005 Federal agency: U.S. Department of Education Programs: Student Financial Assistance Cluster Assistance listing #: 84.268 Award year: 2022 Corrective Action Plan: College Unbound previously contracted with a third party to process T4 funds, including a review of this process....
Finding number: 2022-005 Federal agency: U.S. Department of Education Programs: Student Financial Assistance Cluster Assistance listing #: 84.268 Award year: 2022 Corrective Action Plan: College Unbound previously contracted with a third party to process T4 funds, including a review of this process. We have brought it in house as of FY24. Timeline for Implementation of Corrective Action Plan: Ongoing. Started 8/22/23, fully implemented by the end of FY24. Contact Person: Diana Perdomo, CFO
View Audit 297283
Finding 384181 (2022-004)
Significant Deficiency 2022
College Unbound
RI
Student Financial Aid Matching / Level of Effort / Earmarking Internal Control / Segregation of Duties
Finding number: 2022-004 Federal agency: U.S. Department of Education Programs: Student Financial Assistance Cluster Assistance listing #: 84.063 and 84.268 Award year: 2022 Corrective Action Plan: College Unbound hired two new positions, a Controller and a Bursar, who both started on 10/2/23 (the r...
Finding number: 2022-004 Federal agency: U.S. Department of Education Programs: Student Financial Assistance Cluster Assistance listing #: 84.063 and 84.268 Award year: 2022 Corrective Action Plan: College Unbound hired two new positions, a Controller and a Bursar, who both started on 10/2/23 (the role was previously filled by a single temporary employee). Part of the Bursar’s scope of work is to work with Financial Aid to ensure that ledgers are correct. Reconciliation reports are also reviewed monthly to ensure accuracy and resolve discrepancies timely. Timeline for Implementation of Corrective Action Plan: Ongoing. Fully implemented by the end of FY24. Contact Person: Diana Perdomo, CFO
View Audit 297283
Finding 384178 (2022-003)
Significant Deficiency 2022
College Unbound
RI
Student Financial Aid Eligibility Internal Control / Segregation of Duties
Finding number: 2022-003 Federal agency: U.S. Department of Education Programs: Student Financial Assistance Cluster Assistance listing #: 84.063, 84.007, and 84.268 Award year: 2022 Corrective Action Plan: College Unbound has a new process to review eligibility for all new students. The Financial A...
Finding number: 2022-003 Federal agency: U.S. Department of Education Programs: Student Financial Assistance Cluster Assistance listing #: 84.063, 84.007, and 84.268 Award year: 2022 Corrective Action Plan: College Unbound has a new process to review eligibility for all new students. The Financial Aid Office works closely with Admissions/Recruiting to ensure proper documentation of all new students before the first disbursement. Timeline for Implementation of Corrective Action Plan: Ongoing. Started 8/22/23, fully implemented by the end of FY24. Contact Person: Diana Perdomo, CFO
View Audit 297283
Finding 384177 (2022-002)
Significant Deficiency 2022
College Unbound
RI
Student Financial Aid Eligibility Matching / Level of Effort / Earmarking
Finding number: 2022-002 Federal agency: U.S. Department of Education Programs: Student Financial Assistance Cluster Assistance listing #: 84.268 Award year: 2022 Corrective Action Plan: College Unbound previously contracted with a third party to process T4 funds for FY20 through FY23. As of 8/22/23...
Finding number: 2022-002 Federal agency: U.S. Department of Education Programs: Student Financial Assistance Cluster Assistance listing #: 84.268 Award year: 2022 Corrective Action Plan: College Unbound previously contracted with a third party to process T4 funds for FY20 through FY23. As of 8/22/23 (the start of FY24), we have a new software and a new process to review Entrance Counseling and Master Promissory Note completion before transmitting direct loans. Timeline for Implementation of Corrective Action Plan: Ongoing. Started 8/22/23, fully implemented by the end of FY24. Contact Person: Diana Perdomo, CFO
View Audit 297283
Finding 383761 (2022-002)
Material Weakness 2022
Denmark Technical College
SC
Student Financial Aid
Financial Aid staff will work to ensure the system is set up to omit human error when it comes to awarding Pell Grant funds. The Financial Aid staff will stay up to date with new Pell requirements and changes. All staff would be required to receive training on utilizing the correct formula for calcu...
Financial Aid staff will work to ensure the system is set up to omit human error when it comes to awarding Pell Grant funds. The Financial Aid staff will stay up to date with new Pell requirements and changes. All staff would be required to receive training on utilizing the correct formula for calculating Pell Grants. Additionally, staff will compare any new ISIRS received after the verification and award process is completed to ensure there is no change that would need to be made in the amount that the student is eligible to receive.
View Audit 296794
Finding 383756 (2022-001)
Material Weakness 2022
Denmark Technical College
SC
Student Financial Aid Internal Control / Segregation of Duties
The College Financial Aid Office and Business Office will implement new internal controls and procedures to ensure all student Title IV calculations are calculated correctly, reviewed in a timely manner, and ensure funds are returned promptly. Deadlines have been created to submit withdrawal documen...
The College Financial Aid Office and Business Office will implement new internal controls and procedures to ensure all student Title IV calculations are calculated correctly, reviewed in a timely manner, and ensure funds are returned promptly. Deadlines have been created to submit withdrawal documentation to the Financial Aid Department. A monthly reconciliation between the Registrar and Financial Aid Office will ensure withdrawals and correct withdrawal dates are reported to the Financial Aid Office in a timely manner.
View Audit 296794
Richland Community College
IL
Student Financial Aid Eligibility Matching / Level of Effort / Earmarking
Condition: In two of the 40 student files tested (5%), Subsidized and Unsubsidized Direct loans we not properly awarded. The College under awarded one student $2,000. Another student was over awarded $71 in Subsidized loans. Corrective Action Plan: Financial Aid staff has worked with Administrative...
Condition: In two of the 40 student files tested (5%), Subsidized and Unsubsidized Direct loans we not properly awarded. The College under awarded one student $2,000. Another student was over awarded $71 in Subsidized loans. Corrective Action Plan: Financial Aid staff has worked with Administrative Information System (AIS) staff to create daily reporting to assist with student schedule changes and increases in other aid to ensure accuracy in Federal Student loan amounts. Additionally, weekly reporting has been created to track any semester over-awards for students who have a Federal Student loan awarded and who may be over-awarded based on financial need and Cost of Attendance (COA). Responsible Party for Corrective Action Plan: Director, Financial Aid and Veteran Affairs, Financial Aid Specialists Implementation Date for Correction Action Plan: January 18, 2024 (as soon as possible)
View Audit 295850
Richland Community College
IL
Student Financial Aid Reporting
Condition: The College incorrectly reported Pell expenditures on the Fiscal Operations Report and Application to Participate (FISAP) for the 2020-2021 academic year. We consider this to be an instance of noncompliance of the Reporting compliance requirement. Statistical sampling was not used in maki...
Condition: The College incorrectly reported Pell expenditures on the Fiscal Operations Report and Application to Participate (FISAP) for the 2020-2021 academic year. We consider this to be an instance of noncompliance of the Reporting compliance requirement. Statistical sampling was not used in making sample selections. Corrective Action Plan: The Director of Financial Aid and Veteran Affairs submitted a request to correct the reported Federal Pell Grant expenditures on the 2022-2023 FISAP on January 18, 2024. The Director of Financial Aid and Veteran Affairs will thoroughly review all requested data on required reporting to ensure accuracy prior to submission. Responsible Party for Corrective Action Plan: Director, Financial Aid and Veteran Affairs Implementation Date for Correction Action Plan: January 18, 2024 (as soon as possible)
View Audit 295850
Finding 372109 (2022-008)
Significant Deficiency 2022
Carlton County, Minnesota
MN
Student Financial Aid Cash Management Reporting § 200.303
Finding Number: 2022-008 Finding Title: LCTS Reporting Program: 93.778 Medical Assistance Program Name of Contact Person Responsible for Corrective Action: Ann Ozan – Fiscal Supervisor II. Corrective Action Planned: Document the review of the public health, corrections, and school district quarterly...
Finding Number: 2022-008 Finding Title: LCTS Reporting Program: 93.778 Medical Assistance Program Name of Contact Person Responsible for Corrective Action: Ann Ozan – Fiscal Supervisor II. Corrective Action Planned: Document the review of the public health, corrections, and school district quarterly reports. Review is being done when the state report is prepared, but not currently documented. Anticipated Completion Date: December 31, 2023.
View Audit 293397
Birmingham-Southern College
AL
Student Financial Aid Matching / Level of Effort / Earmarking Special Tests & Provisions
Contact Person: Traci Veyl, Director of Financial Aid Corrective Action: The College agrees with this finding. The Financial Aid Office has updated the procedure to clearly specify a separate notice to all parents who borrow using the Parent Plus. Each borrowing parent will receive a notification ...
Contact Person: Traci Veyl, Director of Financial Aid Corrective Action: The College agrees with this finding. The Financial Aid Office has updated the procedure to clearly specify a separate notice to all parents who borrow using the Parent Plus. Each borrowing parent will receive a notification mailed to the address used on the Parent Plus application. The current financial aid procedures were updated in spring of 2022 and carried out successfully. Anticipated Completion Date: June 1, 2023
View Audit 291887
Birmingham-Southern College
AL
Student Financial Aid Reporting Matching / Level of Effort / Earmarking
Contact Person: Dr. Laura Stultz, Interim Provost Corrective Action: The College has had significant staff turnover within the last year. The Office of Academic Records was operating with one staff member at that time. It is now operating at full staff capacity and will be better able to follow up ...
Contact Person: Dr. Laura Stultz, Interim Provost Corrective Action: The College has had significant staff turnover within the last year. The Office of Academic Records was operating with one staff member at that time. It is now operating at full staff capacity and will be better able to follow up on reporting errors to make necessary corrections. The findings for students with incorrect NSLDS status reports have already been corrected. Amy Smith has corrected those errors March 2023. The College is working on a better, more comprehensive withdrawal policy in the next academic year which will assist in identifying non-returning students at an earlier date to better fit the 60- day allotted time frame. In addition, the Office of Academic Records plans to alter enrollment reporting schedules to better fit our academic calendar to meet the 60-day time frame requirement. This change should capture our Fall and Winter graduates within the allotted time requirement. Anticipated Completion Date: March 2023
View Audit 291887
Birmingham-Southern College
AL
Student Financial Aid Subrecipient Monitoring Cash Management
Contact Person: Traci Veyl, Director of Financial Aid Corrective Action: The College agrees with this finding. The Financial Aid Office has updated the transmittal procedure to include reversing a federal aid posting in the event that it cannot be reconciled within ten days of its initial creation...
Contact Person: Traci Veyl, Director of Financial Aid Corrective Action: The College agrees with this finding. The Financial Aid Office has updated the transmittal procedure to include reversing a federal aid posting in the event that it cannot be reconciled within ten days of its initial creation. The aid will be reposted once the issue is resolved and reported to COD on the day of positing. The current financial aid procedures have been updated. Anticipated Completion Date: June 1, 2023
View Audit 291887
Birmingham-Southern College
AL
Special Tests & Provisions Procurement, Suspension & Debarment Student Financial Aid
Contact Person: Traci Veyl, Director of Financial Aid Corrective Action: The loans have been purchased by Birmingham-Southern College. Anticipated Completion Date: January 10, 2024
Contact Person: Traci Veyl, Director of Financial Aid Corrective Action: The loans have been purchased by Birmingham-Southern College. Anticipated Completion Date: January 10, 2024
View Audit 291887
Finding 370263 (2022-007)
Significant Deficiency 2022
Birmingham-Southern College
AL
Student Financial Aid Subrecipient Monitoring Reporting
Contact Person: Traci Veyl, Director of Financial Aid Corrective Action: The College agrees with this finding. The Financial Aid Office has updated the rules in the SIS system to not allow payment until the NSLDS reporting has been processed. The current financial aid procedures have been updated ...
Contact Person: Traci Veyl, Director of Financial Aid Corrective Action: The College agrees with this finding. The Financial Aid Office has updated the rules in the SIS system to not allow payment until the NSLDS reporting has been processed. The current financial aid procedures have been updated and the rules are currently in place. Anticipated Completion Date: June 1, 2023
View Audit 291887
Finding 370262 (2022-004)
Significant Deficiency 2022
Birmingham-Southern College
AL
Student Financial Aid Internal Control / Segregation of Duties Matching / Level of Effort / Earmarking
Contact Person: Traci Veyl, Director of Financial Aid Corrective Action: The College agrees with this finding. The Return to Title IV calculation was off due to the denominator of total days being incorrectly counted. The Director of Financial Aid will calculate the total days for each semester to...
Contact Person: Traci Veyl, Director of Financial Aid Corrective Action: The College agrees with this finding. The Return to Title IV calculation was off due to the denominator of total days being incorrectly counted. The Director of Financial Aid will calculate the total days for each semester to be used for the calculation and publish them in the annual policy and procedure manual. The current financial aid procedures have been updated. Anticipated Completion Date: June 1, 2023
View Audit 291887
Finding 367173 (2022-057)
Material Weakness 2022
State of Nevada
NV
Reporting Student Financial Aid Subrecipient Monitoring
Program: U.S. Department of Health and Human Services Foster Care - Title IV-E, CFDA 93.658 Corrective Action Plan Finding Number: 2022-057 Finding: Required subaward information was not reported in the FFATA Subaward Reporting System (FSRS). Corrective Action Taken or To Be Taken: Internal controls...
Program: U.S. Department of Health and Human Services Foster Care - Title IV-E, CFDA 93.658 Corrective Action Plan Finding Number: 2022-057 Finding: Required subaward information was not reported in the FFATA Subaward Reporting System (FSRS). Corrective Action Taken or To Be Taken: Internal controls have been reviewed and updated to ensure subaward information is submitted in accordance with FFATA. If already taken, date of completion: Internal control updated in SFY23. If to be taken, estimated date of completion: Agency Response Does the Agency agree with this finding? The Nevada Division of Child and Family Services agrees with this finding. If no or partial, please explain reason(s) why: Additional comments: Prior year finding 2021-055 Division Responsible for Corrective Action Name, Title: Kelsey McCann-Navarro, Social Services Chief III Address: 4126 Techonology Way City, State, Zip Code: Carson City, NV 89706 Phone Number: 775-684-4431 Email: kelsey.navarro@dcfs.nv.gov Reviewed and Approved Tiffany Greenameyer, Deputy Administrator
View Audit 290300
Finding 366522 (2022-001)
Significant Deficiency 2022
State of Hawaii Department of the Attorney General
HI
Reporting Student Financial Aid Significant Deficiency § 200.512 § 200.514
Views of Responsible Officials and Planned Corrective Action
Views of Responsible Officials and Planned Corrective Action
View Audit 289361
Finding 366522 (2022-001)
Significant Deficiency 2022
State of Hawaii Department of the Attorney General
HI
Reporting Student Financial Aid Significant Deficiency § 200.512 § 200.514
The Department understands the importance of complying with the Uniform Guidance with respect to the timely submission of single audit reports and the Data Collection Form, and have established policies and procedures to ensure compliance. The late submission in the prior year was primarily due to ...
The Department understands the importance of complying with the Uniform Guidance with respect to the timely submission of single audit reports and the Data Collection Form, and have established policies and procedures to ensure compliance. The late submission in the prior year was primarily due to unforeseen circumstances delaying the completion of the 2021 audit engagement.
View Audit 289361
Finding 286694 (2022-064)
Significant Deficiency 2022
State of Colorado
CO
Matching / Level of Effort / Earmarking Student Financial Aid Reporting § 200.303
Management agrees. After the notification of the missing HEERF report in December 2021, the UCCS Controller proposed a ?cross-check? process to ensure all future reporting is in compliance and reported in a timely manner. This process is used for both the quarterly and annual reporting process. In ...
Management agrees. After the notification of the missing HEERF report in December 2021, the UCCS Controller proposed a ?cross-check? process to ensure all future reporting is in compliance and reported in a timely manner. This process is used for both the quarterly and annual reporting process. In the quarterly reporting process, the UCCS Controller completes the institutional report and emails the report to the UCCS Financial Aid office Senior Executive Director for verification of the amounts and the data submitted. The Senior Executive Director then enters the student aid portion?s information and provides this to the UCCS Controller for verification of the data. Once verified, the report is uploaded to the UCCS website and a confirmation email is sent to the UCCS Controller as well as the heerfreporting@ed.gov for verification of completion of the website posting.
View Audit 282464
Finding 286570 (2022-060)
Significant Deficiency 2022
State of Colorado
CO
Student Financial Aid Reporting Matching / Level of Effort / Earmarking
Mines was delayed in processing NSLDS files due to staffing changes and employee leave. Mines has constructed a process to ensure timely future reporting along with an agreed upon trained back-up for the primary person if they are out for an extended time. Additionally, we have changed how often we ...
Mines was delayed in processing NSLDS files due to staffing changes and employee leave. Mines has constructed a process to ensure timely future reporting along with an agreed upon trained back-up for the primary person if they are out for an extended time. Additionally, we have changed how often we report enrollment files to the Clearinghouse (NSC). We are now reporting every two weeks. The error reports generated after the files are submitted are reviewed as soon as they?re posted, a copy downloaded from NSC and reviewed for corrections which are then completed as soon as possible. Mines is working on an updating the documentation for the full process, including all of the cleanup reports that are run in COGNOS and the Banner jobs before the enrollment file is even processed.
View Audit 282464
Finding 230248 (2022-001)
Material Weakness 2022
Northeast Ohio Medical University
OH
Student Financial Aid Subrecipient Monitoring Material Weakness
Finding Number: 2022-001 Anticipated Completion Date: 07/19/2022 Responsible Contact Person: Katherine Miranda, University Registrar Kelly Burt, Assistant Registrar Records Management and Reporting Planned Corrective Action: Ensure all graduation dates are reported on enrollment reporting within ...
Finding Number: 2022-001 Anticipated Completion Date: 07/19/2022 Responsible Contact Person: Katherine Miranda, University Registrar Kelly Burt, Assistant Registrar Records Management and Reporting Planned Corrective Action: Ensure all graduation dates are reported on enrollment reporting within 30 days of the status change Due to new procedures, reporting processes and new staff, a group of our Spring 2022 graduates were not reported in a timely manner. Once we were made aware of this issue, we went into immediate action to correct the error. We worked with Clearinghouse to confirm our own misconceptions and ways to remedy the error. We updated all records individually through the Clearinghouse system. After all records were corrected, we updated our staff manual to ensure this does not occur in the future. Staff will continue to review all records to ensure accurate and timely reporting.
View Audit 252913
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