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Corrective Action Plans

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Finding 37512 (2022-007)
Significant Deficiency 2022
County of Delaware
PA
Student Financial Aid Eligibility Internal Control / Segregation of Duties
Recommendation: The County Children and Youth Services department should implement a file checklist to ensure copies of all Adoption Assistance recipients are complete. Program directors should review the file checklist and compare to the file when determination of eligibility is complete. Checklist...
Recommendation: The County Children and Youth Services department should implement a file checklist to ensure copies of all Adoption Assistance recipients are complete. Program directors should review the file checklist and compare to the file when determination of eligibility is complete. Checklists should be signed and dated to ensure the approvals are completed. Staff should be trained on eligibility file record requirements and use of checklists to ensure consistent application of the policies. Action Taken: Starting in February 2023, the County Human Services Department hired a consultant that is completing an internal reconciliation of and review of all 2022-2023 records. Adoption file requirements and checklists have been implemented by the consultant to ensure consistent and complete files. The County CYS office will implement the checklists and policies of the consultant in file management. In addition, action is being taken to digitize all records for active adoption assistance recipients to ensure access is maintained and changes to Adoption Assistance files are kept updated. Responsible Individual for Corrective Action: Angelique Hiers, County of Delaware Department of Human Services Director Completion Date: December 31, 2023
View Audit 29504
Finding 37504 (2022-005)
Material Weakness 2022
County of Delaware
PA
Student Financial Aid
Recommendation: The County Domestic Relations department will communicate the requirements regarding the required time frame for conversion of applications/petitions to a case file to the department staff. Action Taken: This finding occurred as a result of IV-A case referrals from the County Assista...
Recommendation: The County Domestic Relations department will communicate the requirements regarding the required time frame for conversion of applications/petitions to a case file to the department staff. Action Taken: This finding occurred as a result of IV-A case referrals from the County Assistance Office. In order to comply with the directive it is necessary that we receive verifiable and sufficient information from the CAO. We did not receive all information necessary from the CAO to comply in these instances. It would have been inappropriate to proceed. Domestic Relations Department will provide semi-annual training to the Intake Unit staff in Case Initiation, record retention, time frame for conversion of applications/petitions to case files and file documentation beginning in November 2023. Responsible Individual for Corrective Action: Patricia Coacher, County of Delaware Domestic Relations Director Completion Date: December 31, 2023
View Audit 29504
Pace University
NY
Special Tests & Provisions Student Financial Aid Matching / Level of Effort / Earmarking
The Financial Aid directors have been on a path to automate a number of processes, including the Notification of Federal Loan Disbursement. To assist in streamlining our processes and improving the overall student experience, the University has engaged the services of an outside consultant, CampusWo...
The Financial Aid directors have been on a path to automate a number of processes, including the Notification of Federal Loan Disbursement. To assist in streamlining our processes and improving the overall student experience, the University has engaged the services of an outside consultant, CampusWorks, on a two-year contract, which commenced on October 18, 2022, to work with relevant Pace personnel on Enterprise Systems modernization. Although this delay in notification is for an isolated time period, the Notification of Disbursement process has been automated as of February 23, 2023, and notifications will be released systematically on a regular schedule, in line with federal guidelines.
View Audit 28416
Finding 37461 (2022-001)
Significant Deficiency 2022
Massachusetts Maritime Academy
MA
Student Financial Aid Reporting Matching / Level of Effort / Earmarking
Finding number: 2022-001 Federal agency: U.S. Department of Education Programs: Federal Direct Student Loans AL #?s: 84.268 Award year: 2022 Corrective Action Plan: A background process that was automated to send loan information to COD on a twice weekly basis stopped run...
Finding number: 2022-001 Federal agency: U.S. Department of Education Programs: Federal Direct Student Loans AL #?s: 84.268 Award year: 2022 Corrective Action Plan: A background process that was automated to send loan information to COD on a twice weekly basis stopped running and had not detected it in a timely manner. The issue with the background process has been resolved and will be monitored to make sure it continues to run on a consistent basis to ensure timely communication within regulation. Timeline for Implementation of Corrective Action Plan: This has already been implemented Contact Person Catherine Kedski, Director of Student Financial Services
View Audit 29045
Finding 37289 (2022-002)
Significant Deficiency 2022
State of Texas C/o Comptroller of Public Accounts
TX
Questioned Costs Eligibility Internal Control / Segregation of Duties § 200.303
EA Application/Determination Corrective action plan: DFPS will ensure that INV/AR staff receive ongoing communication/training regarding EA and how to correctly document and record income within the IMPACT. DFPS will update the current EA policy and publishing a new resource guide for staff. DFPS ...
EA Application/Determination Corrective action plan: DFPS will ensure that INV/AR staff receive ongoing communication/training regarding EA and how to correctly document and record income within the IMPACT. DFPS will update the current EA policy and publishing a new resource guide for staff. DFPS staff will be provided training, tip sheets and ongoing support regarding the new policy and resource guide. The policy will be published by April 1, 2023. DFPS will continue to strengthen our internal quality assurance review of cases eligible for EA to ensure that INV/AR staff are complying with federal guidelines and internal policies. DFPS has submitted an IT ticket request to resolve the condition for the participant that had the incorrect income range of $0-$10,000 selected to the correct income range of $20,550 to $40,549 to align with the investigation report. The participant remains eligible for assistance regardless as the family unit makes less than $63,000. CPI will initiate a request for an IT project to conduct analysis of any limitations with verifying Emergency Assistance eligibility in the IMPACT system regarding why two of the three EA statements now show not answered. DFPS staff will be researching the issue to determine next steps by 2nd quarter FY 2024. Implementation date(s): Ongoing communication ? will vary, first communication by April 1, 2023; IMPACT research January 31, 2024. Responsible persons: Jerome Green PEAF Corrective action plan: DFPS uses an established recoupment process to address overpayments. A Kinship Development Worker writes a letter to the kinship caregiver regarding the overpayment and details the steps needed to return funds. This letter is also sent to accounting for follow up. DFPS maintains a proactive approach to strengthening/enhancing IMPACT limitations to ensure accurate data is maintained for accurate payments/disbursements through continuous program improvement. Implementation date(s): On January 13, 2023 ? staff initiated the above described recoupment process to recoup the second payment for the subject children. Responsible persons: Debbie Bouldin
View Audit 28519 Questioned Costs: $1
Finding 37260 (2022-001)
Significant Deficiency 2022
Vanguard University of Southern California and Affiliates
CA
Student Financial Aid Internal Control / Segregation of Duties Special Tests & Provisions
Management's Corrective Action Plan - Finding 2022-001: Special Tests: Return of Title IV Funds - In our 2021-22 audit it was identified that a Return of Title IV funding (R2T4) occurred outside of the required 45 day window. During the 2021-22 year the Financial Aid Office was continually working o...
Management's Corrective Action Plan - Finding 2022-001: Special Tests: Return of Title IV Funds - In our 2021-22 audit it was identified that a Return of Title IV funding (R2T4) occurred outside of the required 45 day window. During the 2021-22 year the Financial Aid Office was continually working on finding the most accurate ways to ensure that all withdrawals were identified and reviewed for R2T4 processing within the necessary time frames. We were using multiple reports that were created and delivered from various departments to screen all enrollment status changes, however, these reports were not capturing all necessary information which caused us to not identify the student in question until we were outside of the 45 day window to return funds. We have since worked to create a new report that captures all enrollment changes for the semester within one report. The new report is now delivered on a weekly basis for review to ensure that all required R2T4 deadlines are met. - Contact Person: Chris, Preszler, Director of Financial Aid - Anticipated Completion Date: November 30, 2022.
View Audit 80777
Finding 37232 (2022-003)
Significant Deficiency 2022
Bethany College
KS
Special Tests & Provisions Student Financial Aid Reporting
Corrective Action Plan 2022-003: The College concurs with the finding and has reviewed and where appropriate made updates to the processes used to report disbursement dates to COD. Completion Date: January 2022 Contact Person: Christoffer Larsen, Executive Director of Student Financial Services
Corrective Action Plan 2022-003: The College concurs with the finding and has reviewed and where appropriate made updates to the processes used to report disbursement dates to COD. Completion Date: January 2022 Contact Person: Christoffer Larsen, Executive Director of Student Financial Services
View Audit 30545
Finding 37229 (2022-004)
Significant Deficiency 2022
Bethany College
KS
Questioned Costs Special Tests & Provisions Student Financial Aid
Corrective Action Plan 2022-004: The College concurs with the finding and has provided corrective action through adding additional review of the calculation of institutionally scheduled breaks and total days used in the R2T4 calculations. Completion Date: May 2022 Contact Person: Christoffer Larse...
Corrective Action Plan 2022-004: The College concurs with the finding and has provided corrective action through adding additional review of the calculation of institutionally scheduled breaks and total days used in the R2T4 calculations. Completion Date: May 2022 Contact Person: Christoffer Larsen, Executive Director of Student Financial Services
View Audit 30545 Questioned Costs: $1
Mid Michigan College
MI
Student Financial Aid Reporting Matching / Level of Effort / Earmarking
CORRECTIVE ACTION PLAN The compliance audit identified one finding, which is described in the Schedule of Findings and Questioned Costs. We evaluated this matter, as described below, and have outlined our corrective actions as a result. 2022-001 - Timeliness of Student Status Changes Background G...
CORRECTIVE ACTION PLAN The compliance audit identified one finding, which is described in the Schedule of Findings and Questioned Costs. We evaluated this matter, as described below, and have outlined our corrective actions as a result. 2022-001 - Timeliness of Student Status Changes Background Gabrielle Coles was found to be reported to NSLDS for enrollment status change 9 days late, on the 69th day. This student officially withdrew from the Fall 2021 semester on November 30, 2021. At the time of the fall withdrawal, the student was also registered for winter term at half time. The original setup of the Colleague system caused the incorrect enrollment status to be reported for the student (as it was not considering the use of the unofficial withdrawal date in the Clearinghouse report file). However, we do have measures in place to review our withdrawn students one by one out in NSLDS to ensure we are compliant. When it was found by the Financial Aid Specialist that an error was reported to NSLDS, the responsible party -the former Registrar- was notified on two separate occasions to have the status updated; both notifications happened prior to the 60-day mark. Despite the notifications, the error was not updated until the 69th day. Issue The Colleague system did not correctly pull the withdrawal status or correct date. However, the issue was found well before the 60-day mark by the Financial Aid Specialist who reviews each withdrawn student in NSLDS biweekly. The Specialist did notify the responsible party of the error (twice). Due to human error (as we believe the former Registrar did not notice the fall withdrawal but instead only saw the half time winter registration), the issue was not resolved in time. This individual no longer works at the college. Subsequent to this issue, IT was engaged to look further into the Colleague report to identify the root cause of why some students were being reported with the wrong dates. After much research, we changed how the report was pulling withdrawn students and their withdrawal date. This change will also prevent issues from occurring in the future. Resolution With the corrective action plan put in place of both the Colleague system considering the unofficial date of withdrawal and the Financial Aid Specialist notifying the responsible party of enrollment status changes that are incorrect at NSLDS, we are confident that the enrollment reporting requirements should now be met. Responsible Party Director of Financial Aid ? Sarah Kasabian-Larson Date of Planned Corrective Action Effective immediately. March 2nd, 2022 Management Assessment We concur with the audit assessment regarding this matter.
View Audit 33915
Finding 37095 (2022-001)
Material Weakness 2022
New York Law School
NY
Student Financial Aid Reporting Matching / Level of Effort / Earmarking
We concur with this finding. The finding noted is a result of isolated instances of failure to adhere to established institutional procedures. Henceforth, the Registrar?s Office will update students? status changes after receipt from the Academic Affairs Office. Changes will be reported to the Natio...
We concur with this finding. The finding noted is a result of isolated instances of failure to adhere to established institutional procedures. Henceforth, the Registrar?s Office will update students? status changes after receipt from the Academic Affairs Office. Changes will be reported to the National Student Loan Clearinghouse within the 60-day submission period. This process will go into effect immediately.
View Audit 34346
County of Cumberland, Pennsylvania
PA
Student Financial Aid Reporting
Finding 2022-001: Reporting Finding Title: Reporting Timeliness Anticipated Completion Date: Already Implemented Name of Agency Responsible for carrying out the corrective action plan: Children and Youth Person in the agency (name & title): Lisa A. Reider, Financial Manager Cumberland County Child...
Finding 2022-001: Reporting Finding Title: Reporting Timeliness Anticipated Completion Date: Already Implemented Name of Agency Responsible for carrying out the corrective action plan: Children and Youth Person in the agency (name & title): Lisa A. Reider, Financial Manager Cumberland County Children and Youth Services continues to work with our providers for timelier invoice submissions. One of the controls we have in place is for the Administrative Technician to request any outstanding invoices each month when the Financial Manager is completing the expense accrual for the monthly County Close process. Even if we obtain more timely submission of invoices from our providers it will not remediate the issue of timeliness for submitting the Act 148 reports within 45 days of the end of a quarter. There can be various other reasons for late Act 148 report submission beyond untimely provider invoices. Factors such as provider contracts and determining a child?s eligibility for Title IV-E funding can also play a significant role in the submission process. It is essential to confirm that all aspects of the administrative and eligibility requirements are met to avoid errors and ensure accurate invoicing to the federal government. Untimely Act 148 reporting is a statewide issue. While timeliness is imperative for meeting deadlines and compliance, in most instances the reporting schedule requires more than 45 days to work through all the administrative and eligibility requirements.
View Audit 30661
Finding 37043 (2022-001)
Significant Deficiency 2022
University of Redlands
CA
Student Financial Aid Special Tests & Provisions Matching / Level of Effort / Earmarking
CORRECTIVE ACTION PLAN Audit Finding 2022-001 Special Tests and Provisions Enrollment Reporting: Significant Deficiency in Internal Control Over Compliance Data Transmission Errors - University of Redlands data submitted to its third-party provider, the National Student Clearinghouse, will be audite...
CORRECTIVE ACTION PLAN Audit Finding 2022-001 Special Tests and Provisions Enrollment Reporting: Significant Deficiency in Internal Control Over Compliance Data Transmission Errors - University of Redlands data submitted to its third-party provider, the National Student Clearinghouse, will be audited via reports generated from directly from the NSLDS. The University Registrar will request access to the respective federal sites in order to run said reports. Delayed Degree Conferral - The Academic Catalog currently lists 4 conferral or graduation dates: Commencement, May 31, August 31, and December 31. This language will be changed to confer degrees the date of the last semester enrolled. - Degrees awarded outside of the typical reporting cycle will be reported manually through the National Student Clearinghouse and not held until the next degree reporting cycle. Contact Person Responsible for Corrective Action: Eric Maczka, University Registrar; eric_maczka@redlands.edu, 909-748-8333 Anticipated Completion Date: December 31, 2022
View Audit 28031
Finding 37010 (2022-003)
Significant Deficiency 2022
United Theological Seminary of the Twin Cities
MN
Student Financial Aid Special Tests & Provisions Matching / Level of Effort / Earmarking
Finding: Special Tests and Provisions: Borrower Transmission Data The Seminary must report all loan disbursements and submit required records to the Direct Loan Servicing System (?DLSS?) via the Common Origination and Disbursement (?COD?) within 30 days of disbursement. Disbursement dates and amoun...
Finding: Special Tests and Provisions: Borrower Transmission Data The Seminary must report all loan disbursements and submit required records to the Direct Loan Servicing System (?DLSS?) via the Common Origination and Disbursement (?COD?) within 30 days of disbursement. Disbursement dates and amounts in the DLSS must be supported by the Seminary?s records. Out of thirteen students selected for testing, one student had a date reported to COD outside of the required timeframe. Views of Responsible Officials and Planned Corrective Actions: Management is in agreement with this finding. Develop/enhance disbursement rules, policies and procedures. Submit/adjust COD disbursement records timely. Immediately update COD estimated disbursement dates when aid is posted to the student's account. Responsible Official: Tafe Lindsey Completion Date: Ongoing
View Audit 36276
Finding 37009 (2022-002)
Material Weakness 2022
United Theological Seminary of the Twin Cities
MN
Reporting Special Tests & Provisions Student Financial Aid
Finding: Special Tests and Provisions: Enrollment Reporting Changes in enrollment to less than half time, graduated or withdrawn must be reported to the National Student Loan Data System within 30 days. However, if a roster file is expected within 60 days of the status change, a school may provide t...
Finding: Special Tests and Provisions: Enrollment Reporting Changes in enrollment to less than half time, graduated or withdrawn must be reported to the National Student Loan Data System within 30 days. However, if a roster file is expected within 60 days of the status change, a school may provide the data on that roster file. Of the three students within the sample of students tested that had status changes, all were reported to NSLDS outside of the required timeline, and two were reported to NSLDS inaccurately subsequent to the 2021-2022 fiscal year. Views of Responsible Officials and Planned Corrective Actions: Management is in agreement with this finding. Update the Student Information System timely; have a process in place with specific people responsible for updating and submitting the roster timely; train staff; create and follow policies and procedures to ensure there are no delays in reporting a change in status. Management will implement a reporting mechanism to identify and a process to address withdrawals as determined whereby updates will be submitted to the NSLDS Responsible Official: Tafe Lindsey Completion Date: Ongoing
View Audit 36276
Queens University of Charlotte
NC
Student Financial Aid Internal Control / Segregation of Duties Special Tests & Provisions
Admission data for one student was misclassified as an entering freshman when student was a transfer student. We have identified the source of the issue and taken the appropriate steps to correct on both the Admissions and Financial Aid sides going forward.
Admission data for one student was misclassified as an entering freshman when student was a transfer student. We have identified the source of the issue and taken the appropriate steps to correct on both the Admissions and Financial Aid sides going forward.
View Audit 25157
Queens University of Charlotte
NC
Student Financial Aid Special Tests & Provisions Matching / Level of Effort / Earmarking
The Registrar?s Office will add an additional staff person to assist in reviewing and updating any error files that are received through the Clearinghouse site.
The Registrar?s Office will add an additional staff person to assist in reviewing and updating any error files that are received through the Clearinghouse site.
View Audit 25157
Queens University of Charlotte
NC
Student Financial Aid Reporting Matching / Level of Effort / Earmarking
Two students were not included in the conferral file that was transmitted to the National Student Clearinghouse. For 3 of 27 Campus-Level Records sampled, the University did not report the student?s change in status in a timely notification to the NSLDS website. For 3 of 27 Program-Level Records sam...
Two students were not included in the conferral file that was transmitted to the National Student Clearinghouse. For 3 of 27 Campus-Level Records sampled, the University did not report the student?s change in status in a timely notification to the NSLDS website. For 3 of 27 Program-Level Records sampled, the University did not report the student?s change in status in a timely notification to the NSLDS website. For 5 of 27 Program-Level Records sampled, the University did not accurately report all significant data elements in a timely notification to the NSLDS website. While NSC records were reviewed, these items were not caught. Moving forward, two staff members will review each record to ensure that the graduated status is reported correctly. We will work with Student Financial Services to determine if there is a NSLDS report that can be pulled and reviewed after each conferral cycle. Program level data was reported to the NSC. We will work with the NSC to determine why all records aren?t being reported to the NSLDS.
View Audit 25157
Finding 36934 (2022-001)
Significant Deficiency 2022
Edgewood College, Inc.
WI
Special Tests & Provisions Student Financial Aid Matching / Level of Effort / Earmarking
2022-001 Agency: U.S. Department of Education Assistance Listing Number: 84.007, 84.033, 84.038, 84.063, 84.268, and 84.379 Program: Student Financial Aid Program Cluster Condition: Management?s review of the Return of Title IV (R2T4) calculation did not detect errors on the dates used in the calcul...
2022-001 Agency: U.S. Department of Education Assistance Listing Number: 84.007, 84.033, 84.038, 84.063, 84.268, and 84.379 Program: Student Financial Aid Program Cluster Condition: Management?s review of the Return of Title IV (R2T4) calculation did not detect errors on the dates used in the calculation. We identified the federal aid refunds for students in the Fall 2021 semester were not calculated correctly resulting the incorrect amount being refunded. Criteria: The College is responsible for designing, implementing and maintaining internal control over compliance for special tests and provisions and for accurately calculating the R2T4 refund. When a recipient of Title IV grant or loan assistance withdrawals from an institution during a payment period, Title IV regulations (34 CFR 668.22) require the College to determine the amount of Title IV grant or loan assistance that the student earned as of the withdrawal date and return the unearned portion of the grant or loan to the Title IV program as soon as possible but no later than 45 days after the withdrawal date. Questioned costs: The amount of questioned costs was $1,062. Context: We tested three (3) students out of eleven (11) students that received a refund. Seven (7) of the eleven (11) student refunds occurred in the fall semester. Cause: The College?s internal control over compliance did not detect and correct the errors. Management has indicated the R2T4 calculation was not correctly calculated as the dates entered into the software were outdated due to the semester dates changing. Effect: The College processed R2T4?s incorrectly and returned the incorrect amount of funds and the College?s internal controls over compliance did not detect and correct the errors. Recommendation: We recommend management review their processes and controls in place to ensure appropriate refunds are made relating to Title IV grant funding. Corrective Action Plan: The Associate Director will request the academic year calendar directly from Academic Dean?s office prior to setting up R2T4 parameters in Department of Education?s Common Origination and Disbursement (COD) system each semester. After student financial aid personnel enter the semester dates in COD, the Director or Associate Director will verify the dates entered agree to the academic calendar. Responsible Person: Katie Sprunger, Associate Director Implementation Date: Immediate
View Audit 35014
The Master's University & Seminary and Subsidiary
CA
Student Financial Aid
Pell Award Policy Planned Corrective Action: To comply with the 150% Pell Rule from the GEN-17-06 Dear Colleague Letter, TMU will proceed as follows. TMU will communicate with all Pell eligible students regarding summer term eligibility. TMU will conduct audit units 2 weeks before and 2 week aft...
Pell Award Policy Planned Corrective Action: To comply with the 150% Pell Rule from the GEN-17-06 Dear Colleague Letter, TMU will proceed as follows. TMU will communicate with all Pell eligible students regarding summer term eligibility. TMU will conduct audit units 2 weeks before and 2 week after the start of summer session 1 courses and again 2 week prior and 2 weeks after start of summer session 2 courses to confirm enrollment of Pell eligible students. TMU will calculate Pell eligibility based on this information and add the additional Pell to the summer POE in the financial aid system. These steps have been added to the Financial Aid Policy and Procedure manual beginning with the 2022-2023 school year. Person Responsible for Corrective Action Plan: Kenneth Piester, Director of Financial Aid Anticipated Date of Completion: 10/06/2022
View Audit 33734
Finding 36828 (2022-004)
Material Weakness 2022
New Jersey City University
NJ
Student Financial Aid Matching / Level of Effort / Earmarking Subrecipient Monitoring
The University agrees with the finding and to ensure compliance with the federal requirements that disbursement data be reported within the 15-calendar window, the Financial Aid Director is in the process of developing a new Policy that will address the review of rejected or denied Pell Disbursement...
The University agrees with the finding and to ensure compliance with the federal requirements that disbursement data be reported within the 15-calendar window, the Financial Aid Director is in the process of developing a new Policy that will address the review of rejected or denied Pell Disbursement. Any Pell Award that is disbursed but rejected or denied on COD will be cancelled off student accounts while the Financial Aid Office resolves the reason why a Pell Grant disbursement was rejected or denied. Some situations cannot be resolved within the 15-day window. It is therefore prudent for the University to remove the Pell disbursement and resolve the issue before re-disbursing the award. The new Policy will also include a pre-disbursement authorization process to confirm that the disbursement once requested will be accepted on COD, therefore reducing the risk of the University disbursing a Pell Award that will be rejected on COD. The University has also contracted with a PeopleSoft consultant to address the manual processes and develop a more automated business process.
View Audit 35370
Finding 36719 (2022-017)
Material Weakness 2022
Government of the District of Columbia
DC
Questioned Costs Student Financial Aid Eligibility § 200.303
CFSA concurs with the findings as stated. For bullet point #1 of the findings noted: This appears to be a data entry error that occurred during the eligibility team?s preparation for the single audit. The room & board costs that occurred during the erroneous ?Eligible Not Reimbursable? period on t...
CFSA concurs with the findings as stated. For bullet point #1 of the findings noted: This appears to be a data entry error that occurred during the eligibility team?s preparation for the single audit. The room & board costs that occurred during the erroneous ?Eligible Not Reimbursable? period on the redetermination form were claimed to title IV-E in real time during CFSA?s quarterly claiming process. The Supervisory Eligibility Specialist has already begun a 10% quarterly quality review process of all eligibility determinations. For bullet point #2 of the findings noted: The youths in question were enrolled in high school at the start of the school year (and reflected as such in the FACES system) but were actually chronically truant. CFSA?s Business Services Administration and the Office of Youth Empowerment have implemented a joint quarterly review of the educational/employment/incapacity status of 18-to-21-year-old youth who are IV-E eligible to ensure that they meet federal requirements to support IV-E claims on their behalf. For bullet point #3 of the findings noted: The issues with background checks pertained to ?other adults residing in the home? who were not the licensed foster parents. The corrective action going forward is to produce source documentation during the audit that identifies the household composition of the foster family home so that the auditors have a clear picture of those who are adults and therefore require evidence that background checks were completed satisfactorily for IV-E eligibility purposes. CFSA will include the sections of the applications/re-applications for foster family home licensure, as appropriate, into the digital catalogue of readily available licensure documentation available for audit retrieval. These documents corroborate household composition for the purpose of identifying who, within the household, requires background checks. See Corrective Action Plan for chart/table
View Audit 31369 Questioned Costs: $1
Finding 36718 (2022-016)
Significant Deficiency 2022
Government of the District of Columbia
DC
Allowable Costs / Cost Principles Student Financial Aid Matching / Level of Effort / Earmarking § 200.303
CFSA concurs with the finding as stated. In the three (3) instances of overtime payments in the sample, the employees in question were designated ?on-call? staff during non-business hours. In the event of emergency situations involving child protection or child placement, the ?on-call? staff are r...
CFSA concurs with the finding as stated. In the three (3) instances of overtime payments in the sample, the employees in question were designated ?on-call? staff during non-business hours. In the event of emergency situations involving child protection or child placement, the ?on-call? staff are required to report to work to assist with resolution to the child-based emergency. Their overtime is essentially pre-approved by their management team. CFSA will orient staff to a uniform process to record and account for staff-specific, day-specific, and duration-specific instances of overtime. CFSA will train and monitor usage, and full implementation will occur by September 30, 2023. See Corrective Action Plan for chart/table
View Audit 31369
Finding 36711 (2022-014)
Material Weakness 2022
Government of the District of Columbia
DC
Student Financial Aid Eligibility HUD Housing Programs § 200.303
DOEE agrees with the conditions and recommendations of this finding. DOEE proposes to strengthen its controls in the following manner: ? DOEE?s third party database developer updated the code in fiscal year 2022 to prevent occurrences of incorrect benefit amounts generated due to an error in ident...
DOEE agrees with the conditions and recommendations of this finding. DOEE proposes to strengthen its controls in the following manner: ? DOEE?s third party database developer updated the code in fiscal year 2022 to prevent occurrences of incorrect benefit amounts generated due to an error in identifying correctly inputted income amounts. The overall operations and maintenance of the eligibility systems ensure the code remains updated with accurate information. ? In fiscal year 2022, DOEE implemented a quality assurance (Q/A) check of benefit payments to identify database errors and duplicate benefits before submitting benefit payments to Utility vendors. DOEE continues this process today to ensure that database errors are identified and addressed in a timely manner. DOEE?s database developer will create and modify the second review report that is exportable to formats that can be read and understood and inclusive of all signed second application reviews. ? DOEE will conduct, and require participation by staff in, quarterly system demonstration and refresher trainings in order to strengthen existing policies and procedures to ensure the review of applications and household size are correctly recorded into the system. See Corrective Action Plan for chart/table
View Audit 31369
Finding 36709 (2022-013)
Material Weakness 2022
Government of the District of Columbia
DC
Eligibility Special Tests & Provisions Student Financial Aid § 200.303
The Department of Human Services (DHS) agrees with the finding in this report. The DCAS System is currently configured to receive the Title II benefit information via the SSA BENDEX periodic data match process. However, the Title II benefit information is shared with DCAS only when the benefit info...
The Department of Human Services (DHS) agrees with the finding in this report. The DCAS System is currently configured to receive the Title II benefit information via the SSA BENDEX periodic data match process. However, the Title II benefit information is shared with DCAS only when the benefit information with the SSA changes. In the scenario where a TANF benefit is certified on a new application, the BENDEX PDM process will not provide the Title II benefit information to DCAS. Hence, we have seen evidence of the data matches not happening up until the point when the benefit information recorded with SSA has changed. The SSA SolQi interface does provide a customer?s Title II and Title XVI benefit information at the time of the initial application, however, this interface in DCAS is configured as a verification interface. In other words, if the customer has reported income from the Social Security Administration, then the DCAS System uses the data match with the SolQi interface to verify the information reported. If a verification is outstanding on the reported benefit from the SSA, and the information received from SolQi matches, then DCAS system is configured to systematically resolve the verification. Hence, there has been evidence of the record received via SolQi, however, the record was not used to update the internal evidence which is used by the eligibility rules. DHCF DCAS teams are tracking system enhancements, logged in internal JIRA tickets ? DSM-3185 and DSM-3186 to enhance DCAS? interface with SolQi to leverage the interface at initial application and during the recertification process to ensure that the DCAS System has the most up to date income information from SSA to determine eligibility. These tickets are currently scoped for the FNS-AWL-CAP-5 releases planned for fiscal year 2024. See Corrective Action Plan for chart/table
View Audit 31369
Finding 36683 (2022-001)
Significant Deficiency 2022
Webster University
MO
Student Financial Aid Special Tests & Provisions Matching / Level of Effort / Earmarking
The Financial Aid Office and the Registrar's Office will work closely together to resolve the NSLDS reporting discrepancies. We are currently in the process of hiring a Compliance Coordinator that will serve as a bridge between the Financial Aid Office and the Registrar's office that will monitor a...
The Financial Aid Office and the Registrar's Office will work closely together to resolve the NSLDS reporting discrepancies. We are currently in the process of hiring a Compliance Coordinator that will serve as a bridge between the Financial Aid Office and the Registrar's office that will monitor and audit the reporting process for errors and discrepancies monthly. From here, if there are any discrepancies or inconsistencies, the Financial Aid Office and the Registrar's Office will work together to understand any patterns that exist so that our processes can be reevaluated and tightened to ensure ongoing compliance. Based on the review of information from last year's similar finding (2021), it was determined after the fact that Webster University had both reported the enrollment information correctly and in a timely manner to the Clearinghouse, however, the Clearinghouse frequently reported glitches and outages that prevented reporting to NSLDS in a timely manner. Going forward the Compliance Coordinator will monitor enrollment reporting, as well as the timing of the Clearinghouse's enrollment reporting to NSLDS. If it is determined that enrollment reporting via the Clearinghouse continues to be discrepant, Webster University will explore other methods of reporting that are more conducive to timely and accurate enrolment reporting to NSLDS.
View Audit 35724
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