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Corrective Action Plans

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Finding 499980 (2023-002)
Significant Deficiency 2023
Acupuncture and Integrative Medicine College, Berkeley
CA
Student Financial Aid Reporting Significant Deficiency
The NSLDS Enrollment Reporting has been reporting to NSLDS by the third-party servicer RGM. According to NSLDS Enrollment Reporting Guide, “At a minimum, schools are required to certify enrollment every 60 days, and respond within 15 days of the date that NSLDS sends a Roster file to the school or i...
The NSLDS Enrollment Reporting has been reporting to NSLDS by the third-party servicer RGM. According to NSLDS Enrollment Reporting Guide, “At a minimum, schools are required to certify enrollment every 60 days, and respond within 15 days of the date that NSLDS sends a Roster file to the school or it’s third-party servicer.” And “Rosters will be sent to schools no less frequently than every two months.” It seems RGM did not receive the rosters from NSLDS thus the Enrollment Reporting was not filed in a timely manner. The school will work closely with the third-party servicer and monitor the NSLDS Enrollment Reporting from now on, effective September 23, 2024.
View Audit 322916
Finding 499979 (2023-001)
Significant Deficiency 2023
Acupuncture and Integrative Medicine College, Berkeley
CA
Student Financial Aid Significant Deficiency Matching / Level of Effort / Earmarking
The NSLDS Enrollment Reporting has been reporting to NSLDS by the third-party servicer RGM. A reminder will be posted in RGM and the school will review the monthly roster. The school will work closely with the third-party servicer to make sure correct student status information is reported to the N...
The NSLDS Enrollment Reporting has been reporting to NSLDS by the third-party servicer RGM. A reminder will be posted in RGM and the school will review the monthly roster. The school will work closely with the third-party servicer to make sure correct student status information is reported to the NSLDS from now on. Effective completion September 24, 2024
View Audit 322916
Finding 499960 (2023-009)
Significant Deficiency 2023
Kandiyohi County
MN
Student Financial Aid Allowable Costs / Cost Principles Significant Deficiency § 200.303
SSIS ACTIVITIES ALLOWED/ALLOWABLE COSTS Recommendation: It is recommended that the County implement procedures to document review of disbursements when not able to show an electronic approval in the SSIS system. Explanation of disagreement with audit finding: There is no disagreement with the audit ...
SSIS ACTIVITIES ALLOWED/ALLOWABLE COSTS Recommendation: It is recommended that the County implement procedures to document review of disbursements when not able to show an electronic approval in the SSIS system. Explanation of disagreement with audit finding: There is no disagreement with the audit finding. Action taken in response to finding: The County will implement procedures to document review for all SSIS disbursements. Name of the contact person responsible for corrective action plan: Karen Anderson, Chief Financial Officer Planned completion date for corrective action plan: December 31, 2024
View Audit 322900
Finding 499959 (2023-008)
Significant Deficiency 2023
Kandiyohi County
MN
Student Financial Aid Reporting Significant Deficiency § 200.303
FOSTER CARE REPORTING Recommendation: It is recommended that the County implement procedures to review the foster care report and retain evidence of the review on file. Explanation of disagreement with audit finding: There is no disagreement with the audit finding. Action taken in response to findin...
FOSTER CARE REPORTING Recommendation: It is recommended that the County implement procedures to review the foster care report and retain evidence of the review on file. Explanation of disagreement with audit finding: There is no disagreement with the audit finding. Action taken in response to finding: The County will start printing a coversheet for the Fiscal Supervisor to sign and retain physical evidence of the review being done. Name of the contact person responsible for corrective action plan: Karen Anderson, Chief Financial Officer Planned completion date for corrective action plan: December 31, 2024
View Audit 322900
Finding 499956 (2023-006)
Significant Deficiency 2023
Kandiyohi County
MN
Student Financial Aid Allowable Costs / Cost Principles Eligibility
TIME STUDY – ACTIVITIES ALLOWED/ALLOWABLE COSTS Recommendation: It is recommended that the county streamline the payroll change process between the payroll department and human services department. Explanation of disagreement with audit finding: There is no disagreement with the audit finding. Acti...
TIME STUDY – ACTIVITIES ALLOWED/ALLOWABLE COSTS Recommendation: It is recommended that the county streamline the payroll change process between the payroll department and human services department. Explanation of disagreement with audit finding: There is no disagreement with the audit finding. Action taken in response to finding: The County will continue to work at this area and internal controls to achieve the overall goal. Name of the contact person responsible for corrective action plan: Karen Anderson, Chief Financial Officer Planned completion date for corrective action plan: December 31, 2024
View Audit 322900
Finding 499955 (2023-005)
Significant Deficiency 2023
Kandiyohi County
MN
Student Financial Aid Eligibility Reporting § 200.303
CASEFILE REVIEW (2022-005) Recommendation: It is recommended the County review case files on a periodic basis throughout the year and document the reviews. Explanation of disagreement with audit finding: There is no disagreement with the audit finding. Action taken in response to finding: The Count...
CASEFILE REVIEW (2022-005) Recommendation: It is recommended the County review case files on a periodic basis throughout the year and document the reviews. Explanation of disagreement with audit finding: There is no disagreement with the audit finding. Action taken in response to finding: The County will continue to work at this area and internal controls to achieve the overall goal. Name of the contact person responsible for corrective action plan: Karen Anderson, Chief Financial Officer Planned completion date for corrective action plan: December 31, 2024
View Audit 322900
Finding 499909 (2023-001)
Significant Deficiency 2023
Centra Health, Inc.
VA
Student Financial Aid Subrecipient Monitoring Internal Control / Segregation of Duties
Name of Contact Person Responsible for Corrective Action: John Hunt Centra Health Corporate Director, Information Security and Disaster Recovery 561-613-7342 john.hunt@centrahealth.com Anticipated Completion date: December 31, 2024 Corrective Action: 2023-001 – Special tests and provisions:...
Name of Contact Person Responsible for Corrective Action: John Hunt Centra Health Corporate Director, Information Security and Disaster Recovery 561-613-7342 john.hunt@centrahealth.com Anticipated Completion date: December 31, 2024 Corrective Action: 2023-001 – Special tests and provisions: To assure compliance with GLBA requirements, Centra is partnering with a third-party vendor to conduct a full GLBA risk assessment in FY2024 and will document safeguards for any identified risks. Additionally, Centra has hired dedicated staff for coordinating future risk assessments and will conduct an annual risk assessment that addresses the three required areas noted in 16 CFR 314.4 (b), will document safeguards for any identified risks, and will regularly test, monitor, and adjust safeguards, as needed.
View Audit 322835
Finding 499878 (2023-002)
Significant Deficiency 2023
Augustana Lutheran Homes Inc. Dba: Gloria Dei Manor
MN
Student Financial Aid Significant Deficiency Matching / Level of Effort / Earmarking
Section 202 Direct Loan and Flexible Subsidy Assistance Loan Assistance No. 14.157 Security Deposits: The Project is required to maintain a separate security deposit cash account equal to or greater than the security deposit liability. The security deposit cash account was underfunded by $8,700 as o...
Section 202 Direct Loan and Flexible Subsidy Assistance Loan Assistance No. 14.157 Security Deposits: The Project is required to maintain a separate security deposit cash account equal to or greater than the security deposit liability. The security deposit cash account was underfunded by $8,700 as of December 31, 2023. Recommendation: All security deposit activity should be run through this account to ensure it is being properly utilized. Comparisons should be performed monthly to ensure the balance is maintained at a minimum equal to the security deposit liability. There is no disagreement with the audit finding. Action taken in response to finding: Management will continue to monitor the account to ensure properly funded. Management has transferred the $8,700 deficiency into the security deposit account on June 13, 2024. Name of the contact person responsible for corrective action: Cassandra Johnson Planned completion date for corrective action plan: June 13, 2024.
View Audit 322755
Finding 499527 (2023-008)
Significant Deficiency 2023
Hennepin County Minnesota
MN
Allowable Costs / Cost Principles Eligibility Student Financial Aid § 200.303
Subject: Hennepin County’s 2023 Corrective Action Plan Finding# 2023-008 Activities Allowed or Unallowed; Allowable Costs/Cost Principles; Eligibility Program: Foster Care Title IV-E (ALN 93.658) Type of Finding: Significant Deficiency in Internal Control over Compliance Condition: While we were...
Subject: Hennepin County’s 2023 Corrective Action Plan Finding# 2023-008 Activities Allowed or Unallowed; Allowable Costs/Cost Principles; Eligibility Program: Foster Care Title IV-E (ALN 93.658) Type of Finding: Significant Deficiency in Internal Control over Compliance Condition: While we were able to test manual compensating controls over activities allowed or unallowed, allowable costs/cost principles and eligibility, we were not able to review and test the automated application controls and the related ITGCs within the MAXIS and SSIS systems that reside within the State of Minnesota, but are utilized by the County, to determine whether the system controls are adequately designed and implemented and operating effectively. Hennepin County’s Corrective Action Planned in Response to Finding: Hennepin County will encourage the State to provide an independent audit of the design and implementation of MAXIS and SSIS system controls for the benefit of all counties. Hennepin County Employee Responsible for the CAP: Andra Roethler Planned Completion Date for CAP: December 31, 2024
View Audit 322389
Finding 499266 (2023-002)
Material Weakness 2023
Baptist Health
AR
Student Financial Aid Special Tests & Provisions Matching / Level of Effort / Earmarking
Responsible Party: Jamie Clark, Coordinator, Campus and Financial Services Phone Number: 501-202-7436 Audit Period Ending: December 31, 2023 Audit Firm: Forvis Mazars, LLP Federal Program: Student Financial Assistance Program Assistance Listing Numbers: 84.007, 84.063, 84.268 Federal Agency: U...
Responsible Party: Jamie Clark, Coordinator, Campus and Financial Services Phone Number: 501-202-7436 Audit Period Ending: December 31, 2023 Audit Firm: Forvis Mazars, LLP Federal Program: Student Financial Assistance Program Assistance Listing Numbers: 84.007, 84.063, 84.268 Federal Agency: U.S. Department of Education Finding – Third Party Servicer The College entered into a contract with a servicer to deliver Title IV credit balances in 2018 but did not provide the contract URL to the Department of Education or include the contract on the College's website. The contract does not include a stated provision that the contract may be terminated based on student complaints nor does it discuss surcharge-free ATMs. The College did not perform a formal due diligence review of the contract fees as required every two years. The College did not post fee information within 60 days of the award year to its website and did not send cost information to the Department of Education. Comments on the Finding and Recommendation Management is in agreement with this finding and the related recommendation. Action(s) Taken or Planned on the Finding The third party servicer, Nelnet, contract will be uploaded to the Department of Education website as well as information added to the Baptist Health College Little Rock website. The contract will be reviewed to ensure required terms are present including the ability of contract to be terminated based on student complaints and the consideration of surcharge-free ATMs. Servicer fees information will be posted with the Department of Education and the College website and a formal due diligence assessment of fees will be completed. Estimated completion date for the above mentioned corrective action is October 31, 2024.
View Audit 322077
Finding 499263 (2023-001)
Significant Deficiency 2023
Baptist Health
AR
Student Financial Aid Special Tests & Provisions Matching / Level of Effort / Earmarking
Responsible Party: Kristin Waddell, Registrar and Coordinator of Enrollment Services, Christy Garrett-Jones, Financial Aid Director Phone Number: 501-202-7457 Audit Period Ending: December 31, 2023 Audit Firm: Forvis Mazars, LLP Federal Program: Student Financial Assistance Program Assistance List...
Responsible Party: Kristin Waddell, Registrar and Coordinator of Enrollment Services, Christy Garrett-Jones, Financial Aid Director Phone Number: 501-202-7457 Audit Period Ending: December 31, 2023 Audit Firm: Forvis Mazars, LLP Federal Program: Student Financial Assistance Program Assistance Listing Numbers: 84.007, 84.063, 84.268 Federal Agency: U.S. Department of Education Finding – Enrollment Reporting The College did not report the address change within 60 days for 1 student, and the College did not ensure submission of enrollment status changes within 60 days for 2 students. Comments on the Finding and Recommendation Management is in agreement with this finding and the related recommendation. Action(s) Taken or Planned on the Finding Financial Aid Director will begin receiving email correspondence regarding enrollment report submission due dates from the National Student Clearinghouse. They will then confirm with the Registrar that the report was submitted by the due date each month. This will implement controls to ensure timely submission of address changes and enrollment reporting in the less than the 60-day requirement. Estimated completion date for the above mentioned corrective action is October 31, 2024.
View Audit 322077
Finding 499149 (2023-001)
Significant Deficiency 2023
Finger Lakes Regional Health System Inc. Dba Finger Lakes Health
NY
Student Financial Aid Matching / Level of Effort / Earmarking Internal Control / Segregation of Duties
The System will be terminating the contract with the outside third party and bringing administration of the program internal to increase communications and verifications of the start and ending dates of our programs.  Monthly meetings will continue to occur with financial aid, finance and the bursar...
The System will be terminating the contract with the outside third party and bringing administration of the program internal to increase communications and verifications of the start and ending dates of our programs.  Monthly meetings will continue to occur with financial aid, finance and the bursar to ensure that timing is within regulations.  This will be effective January 1, 2025.
View Audit 321924
Finding 499011 (2023-001)
Material Weakness 2023
County of Onondaga, New York
NY
Questioned Costs Student Financial Aid Eligibility
The County agrees that reinforcing existing policies and procedures to require caseworkers to cite source documents supporting a child’s disability when determining initial Title IV-E eligibility and continuation of eligibility is necessary and will continue to do so.
The County agrees that reinforcing existing policies and procedures to require caseworkers to cite source documents supporting a child’s disability when determining initial Title IV-E eligibility and continuation of eligibility is necessary and will continue to do so.
View Audit 321795 Questioned Costs: $1
Finding 499010 (2023-002)
Material Weakness 2023
County of Onondaga, New York
NY
Student Financial Aid Eligibility Internal Control / Segregation of Duties
The Department of Children and Family Services management agrees with the findings and will reinforce existing policies and procedures within the Department to ensure that all documents are properly retained and signed.
The Department of Children and Family Services management agrees with the findings and will reinforce existing policies and procedures within the Department to ensure that all documents are properly retained and signed.
View Audit 321795
Finding 498851 (2023-001)
Material Weakness 2023
Bjc Healthcare
MO
Matching / Level of Effort / Earmarking Student Financial Aid Allowable Costs / Cost Principles
Finding 2023-001 – Information Technology General Controls Identification of the federal program: Federal Program: Student Financial Assistance Cluster: Federal Pell Grant Program (Assistance Listing No. 84.063) and Federal Direct Student Loans (Assistance Listing No. 84.268) Federal Agency: United ...
Finding 2023-001 – Information Technology General Controls Identification of the federal program: Federal Program: Student Financial Assistance Cluster: Federal Pell Grant Program (Assistance Listing No. 84.063) and Federal Direct Student Loans (Assistance Listing No. 84.268) Federal Agency: United States Department of Education BJC HealthCare Location: Goldfarb School of Nursing (GSON) Award Periods: January 1, 2023 through June 30, 2023 (included in award year July 1, 2022 through June 30, 2023) and July 1, 2023 through December 31, 2023 (included in award year July 1, 2023 through June 30, 2024) Views of responsible officials and planned corrective actions: BJC HealthCare (BJC) agrees with the findings as reported. GSON is committed to complying with program requirements and meeting program objectives as defined in Section 200.303(a) of the Uniform Guidance, regarding auditee internal controls. To facilitate these requirements, GSON has instituted the following controls: • Establishment of a formal provisioning and deprovisioning process for Banner system access • Refinements to formal access review process to include an independent review of system access, as well as an overseer or manager approval. • Establishment of a formal testing process for Banner system patches or updates to include review from key functional areas within GSON. Responsible Parties: Michael Durbin, Interim Director Information Technology, Goldfarb School of Nursing Completion Date: The corrective action plan was implemented in Q3 2024
View Audit 321602
Finding 498636 (2023-003)
Material Weakness 2023
County of Cambria, Pennsylvania
PA
Student Financial Aid Reporting
County of Cambria’s Children and Youth does concur with the finding. A list of all the required state submission dates are listed to ensure knowledge and time frame of submissions to current and new fiscal staff. Consistent vacancies in the fiscal department impact the global functioning of the agen...
County of Cambria’s Children and Youth does concur with the finding. A list of all the required state submission dates are listed to ensure knowledge and time frame of submissions to current and new fiscal staff. Consistent vacancies in the fiscal department impact the global functioning of the agency. During 2023 the vacancy rate in the fiscal department varied from 62% to 88% at any given time. Support staff is just that – support to the caseworkers, supervisors, and administration. However, with consistent vacancies, there are fewer individuals sharing the same amount of the workload. And the result of that is burnout and potential loss of more employees. Some fiscal responsibilities have been temporarily shifted onto clerical and management staff. The adjustments to these vacancies are experienced as increased workloads for other already fully-tasked staff members. Cambria County will continue to utilize a consultant company to train and assist the fiscal department to meet the requirements of Cambria County Children and Youth until the fiscal vacancies can be filled and timely submissions are accomplished. Management with collaborate with the Controller’s and the Commissioner’s Offices as vacancies are filled and duties are shifted. Cambria County Children and Youth management will review the work flow in the fiscal department to determine if any change is needed to enhance efficiency regarding timely submissions.
View Audit 321344
Finding 498625 (2023-002)
Material Weakness 2023
County of Cambria, Pennsylvania
PA
Student Financial Aid Reporting
County of Cambria’s Children and Youth does concur with the finding. A list of all the required state submission dates are listed to ensure knowledge and time frame of submissions to current and new fiscal staff. Consistent vacancies in the fiscal department impact the global functioning of the agen...
County of Cambria’s Children and Youth does concur with the finding. A list of all the required state submission dates are listed to ensure knowledge and time frame of submissions to current and new fiscal staff. Consistent vacancies in the fiscal department impact the global functioning of the agency. During 2023 the vacancy rate in the fiscal department varied from 62% to 88% at any given time. Support staff is just that – support to the caseworkers, supervisors, and administration. However, with consistent vacancies, there are fewer individuals sharing the same amount of the workload. And the result of that is burnout and potential loss of more employees. Some fiscal responsibilities have been temporarily shifted onto clerical and management staff. The adjustments to these vacancies are experienced as increased workloads for other already fully-tasked staff members. Cambria County will continue to utilize a consultant company to train and assist the fiscal department to meet the requirements of Cambria County Children and Youth until the fiscal vacancies can be filled and timely submissions are accomplished. Management with collaborate with the Controller’s and the Commissioner’s Offices as vacancies are filled and duties are shifted. Cambria County Children and Youth management will review the work flow in the fiscal department to determine if any change is needed to enhance efficiency regarding timely submissions.
View Audit 321344
Finding 498422 (2023-009)
Significant Deficiency 2023
State of Missouri
MO
Matching / Level of Effort / Earmarking Student Financial Aid Eligibility
State of Missouri Single Audit Corrective Action Plan Year Ended June 30, 2023 State Agency: Department of Social Services (DSS) – Division of Finance and Administrative Services (DFAS) Audit Finding Number: 2023–009 - Adoption Savings Name of the contact person responsibl...
State of Missouri Single Audit Corrective Action Plan Year Ended June 30, 2023 State Agency: Department of Social Services (DSS) – Division of Finance and Administrative Services (DFAS) Audit Finding Number: 2023–009 - Adoption Savings Name of the contact person responsible for corrective action: Sheena Frazer Anticipated completion date for corrective action: N/A Recommendation: The DSS through the DFAS strengthen internal controls and procedures to ensure Annual Adoption Savings Calculation and Accounting Reports are accurately prepared and submitted to ensure compliance with federal adoption savings requirements. DSS Response: The DSS agrees with this finding. The DSS has experienced staff transitions and actively works to ensure staff familiarity with federal workbook instructions and desk procedures. Corrective action planned is as follows: The DSS plans to implement the SAO’s recommendations to further strengthen internal controls and procedures and will adhere to these processes to ensure the federal report is accurate and compliant.
View Audit 321142
Finding 497995 (2023-003)
Significant Deficiency 2023
County of Washington, Pennsylvania
PA
Questioned Costs Eligibility Student Financial Aid
NEED FROM CLIENT….
NEED FROM CLIENT….
View Audit 320671 Questioned Costs: $1
Finding 497661 (2023-004)
Significant Deficiency 2023
Berkshire Community College
MA
Student Financial Aid Reporting Matching / Level of Effort / Earmarking
Corrective Action Plan:. The Student Financial Services Office members will attend and participate in training sessions provided by NASFAA that cover NSLDS reporting, determination of withdrawal, importance of reporting timely and the consequences of late reporting. Policy and procedures have been u...
Corrective Action Plan:. The Student Financial Services Office members will attend and participate in training sessions provided by NASFAA that cover NSLDS reporting, determination of withdrawal, importance of reporting timely and the consequences of late reporting. Policy and procedures have been updated to review and monitor rosters on a regular basis. The Student Financial Services Office will work with the Registrar to monitor the by-weekly reports and determine if increased rosters and/or corrections will be needed/required. Timeline for Implementation of Corrective Action Plan: Immediately Contact Person: Karrie M. Trautman
View Audit 320442
Finding 497660 (2023-003)
Significant Deficiency 2023
Berkshire Community College
MA
Student Financial Aid Reporting Matching / Level of Effort / Earmarking
Corrective Action Plan:. The Student Financial Services Office members will attend and participate in training sessions provided by NASFAA that cover NSLDS reporting, determination of withdrawal, importance of reporting timely and the consequences of late reporting. Policy and procedures have been u...
Corrective Action Plan:. The Student Financial Services Office members will attend and participate in training sessions provided by NASFAA that cover NSLDS reporting, determination of withdrawal, importance of reporting timely and the consequences of late reporting. Policy and procedures have been updated to review and monitor rosters on a regular basis. The Student Financial Services Office will work with the Registrar to monitor the by-weekly reports and determine if increased rosters and/or corrections will be needed/required.   Timeline for Implementation of Corrective Action Plan: Immediately Contact Person: Karrie M. Trautman
View Audit 320442
Finding 497659 (2023-002)
Significant Deficiency 2023
Berkshire Community College
MA
Student Financial Aid Reporting Matching / Level of Effort / Earmarking
Corrective Action Plan:. BCC Student Financial Services and the Business Office have reviewed policies and procedures regarding correct disbursement of Pell and timeline for federal reporting to COD. A Microsoft TEAMS folder accessible by both offices will keep track of said disbursements and monito...
Corrective Action Plan:. BCC Student Financial Services and the Business Office have reviewed policies and procedures regarding correct disbursement of Pell and timeline for federal reporting to COD. A Microsoft TEAMS folder accessible by both offices will keep track of said disbursements and monitoring of COD records will be reviewed on weekly basis. The BCC Business Office has been given review access of COD disbursement and reconciliation records for continuous assessment and scrutinization. Additionally, reconciliation of Pell disbursements between both offices will be monitored on a weekly basis and by-weekly meetings between both offices will be conducted to review processes. Timeline for Implementation of Corrective Action Plan: Immediately Contact Person: Karrie M. Trautman
View Audit 320442
Finding 497657 (2023-001)
Significant Deficiency 2023
Berkshire Community College
MA
Questioned Costs Student Financial Aid Matching / Level of Effort / Earmarking
Corrective Action Plan:. BCC has reviewed its policies and procedures regarding the overaward and has made changes to ensure that funds are processed, calculated correctly, and disbursed/returned within timely manner. $533 has been returned to meet federal requirements/standards and to correct the s...
Corrective Action Plan:. BCC has reviewed its policies and procedures regarding the overaward and has made changes to ensure that funds are processed, calculated correctly, and disbursed/returned within timely manner. $533 has been returned to meet federal requirements/standards and to correct the student record within cost of attendance. Monitoring reports are being created with the assistance of IT and Institutional Effectiveness along with delivered reports from Ellucian. A policy and procedure has been established for when outside resources are received for processing between the Student Financial Services and Business Office. Additional steps will be taken at the time of loan disbursement to ensure proper disbursement and avoidance of overawards. Timeline for Implementation of Corrective Action Plan: Immediately Contact Person: Karrie M. Trautman
View Audit 320442 Questioned Costs: $1
Finding 497462 (2023-002)
Significant Deficiency 2023
County of Dane
WI
Student Financial Aid Allowable Costs / Cost Principles Cash Management
Finding 2023‐002 Condition We selected three monthly submissions of GEARS and SPARC reports across multiple programs received by the Wisconsin Department of Human Services and the Wisconsin Department of Children and Families. One of the three GEARS and SPARC reports tested was not reviewed by an in...
Finding 2023‐002 Condition We selected three monthly submissions of GEARS and SPARC reports across multiple programs received by the Wisconsin Department of Human Services and the Wisconsin Department of Children and Families. One of the three GEARS and SPARC reports tested was not reviewed by an independent person before submission for reimbursement. Our sample was not statistically valid. Corrective Action Plan Corrective Action Planned: In September 2023, a review process was established and implemented starting with the August Claim to ensure that required reports are reviewed by someone other than the preparer of the reports prior to submission. Name(s) of Contact Person(s) Responsible for Corrective Action: Reports prepared by Kozue Bush, Finance Manager, will be reviewed by Chad Lillethun, FMS Division Administrator prior to submission. Anticipated Completion Date: Review process was implemented with the August 2023 claim.
View Audit 320246
California College of the Arts
CA
Questioned Costs Student Financial Aid Matching / Level of Effort / Earmarking
FEDERAL DIRECT STUDENT LOANS Federal Assistance Listing Number: #84.268; Student Financial Aid Cluster, Department of Education Criteria According to the Department of Education 2022-2023 Federal Student Aid Handbook Volume 3 Chapter 5, “Direct Loan Periods and Amounts,” the minimum period for whic...
FEDERAL DIRECT STUDENT LOANS Federal Assistance Listing Number: #84.268; Student Financial Aid Cluster, Department of Education Criteria According to the Department of Education 2022-2023 Federal Student Aid Handbook Volume 3 Chapter 5, “Direct Loan Periods and Amounts,” the minimum period for which a school may originate a Direct Loan varies depending on the school’s academic calendar: For credit-hour programs with standard terms (semesters, quarters, or trimesters), or with SE9W nonstandard terms, the minimum loan period is a single academic term. For example, if a student will be enrolled in the fall semester only and will skip the spring semester, you may originate a loan with a loan period that covers only the fall term. The loan amount must be based on the reduced costs and EFC for that term, rather than for the full academic year. Observation/Condition/Context The College over-awarded and over-disbursed Direct Subsidized and Direct Unsubsidized Loans to one student out of forty tested. The College originated and disbursed Direct Subsidized and Direct Unsubsidized Loans for a full academic year when the student only enrolled in one semester. Questioned Cost The College awarded $2,250 more in Direct Subsidized and $4,000 more in Direct Unsubsidized than was required. Cause/Effect A manual adjustment to the student’s financial aid packaging was required. Due to the manual processing, a flag on the student’s account did not appear when the student was over-awarded, and the College did not have a process in place to catch the error outside of the system flag, which resulted in the College over-awarding the student Direct Subsidized and Direct Unsubsidized Loans. Recommendation We recommend that the College implement a procedure to review manually processed financial aid packaging. Planned Corrective Action A process will be put in place to flag manually processed financial aid packaging for secondary review. Implementation Date Beginning August 1, 2024 Responsible Personnel Registrar and Director of Financial Aid Contact Information Samantha Dancel Director of Financial Aid Tel: 415.703.9577Email: sdurant@cca.edu
View Audit 318809 Questioned Costs: $1
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