Condition: During testing to determine if the required quarterly reports were both timely and accurate/supported by the University’s books and records, we noted that quarterly reports were not being filed timely. Of the report ultimately submitted, confirmation of the submission was not maintained,...
Condition: During testing to determine if the required quarterly reports were both timely and accurate/supported by the University’s books and records, we noted that quarterly reports were not being filed timely. Of the report ultimately submitted, confirmation of the submission was not maintained, and we could not test the accuracy of the submission.
Explanation of disagreement with audit finding: There is no disagreement with the audit finding.
Action in Response to Finding: When new grants and awards are received, the University should designate ownership of compliance, including reporting requirements. Processes and controls should be implemented to ensure accurate and timely reporting occurs as required by grant requirements. In addition, reports and supporting documentation should be retained for audit and review purposes. The Office of Research and Sponsored Programs (ORSP) has identified an employee in the Morgridge College of Education who will be responsible for preparing and submitting the quarterly reports due on January 5, 2024, April 5, 2024, and July 5, 2024, after which the program will be complete and subsequently, the July 5, 2024, quarterly report will be final. The department will be required to submit a copy of the quarterly reports to ORSP to be stored in our Electronic Research Administration system (InfoEd).
Name of the contact person responsible for corrective action: Julie Cunningham, Senior Director of Sponsored Programs Administration.
Planned completion date for corrective action plan: Effective immediately.