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Finding 383361 (2023-015)
Significant Deficiency 2023
State of Utah
UT
Subrecipient Monitoring Matching / Level of Effort / Earmarking Cash Management § 200.1
2023-015. Obligation of CRF Funds Not Completed Within Proper Timeframe State Agency: Governor’s Office of Planning and Budget Federal Agency: Department of the Treasury GOPB will save copies of the Treasury Department guidance documents and the September 2022 email from the Treasury Office of the I...
2023-015. Obligation of CRF Funds Not Completed Within Proper Timeframe State Agency: Governor’s Office of Planning and Budget Federal Agency: Department of the Treasury GOPB will save copies of the Treasury Department guidance documents and the September 2022 email from the Treasury Office of the Inspector General that it used to determine that it could update the December 31, 2022 quarterly CRF report to include additional benefit payments from the Unemployment Compensation Fund made between March 1, 2020 and December 31, 2021. GOPB will also save copies of financial reports and other documentation that demonstrates the total costs incurred from the Unemployment Compensation Fund during that time frame did not exceed total deposits into the fund from the CRF, SLFRF, or other sources. Contact Person: Duncan Evans, Senior Managing Director of Budget and Operations, 801-538-1592 Anticipated Correction Date: March 31, 2024
View Audit 296545
Finding 383354 (2023-003)
Significant Deficiency 2023
State of Utah
UT
Subrecipient Monitoring Matching / Level of Effort / Earmarking Reporting
2023-003. USBE Did Not Properly Report All Required Subawards in the Federal Reporting System State Agency: Utah State Board of Education Federal Agency: Department of Agriculture Employees have been trained, and we will continue to ensure they are trained in the reconciliation processes to mitigate...
2023-003. USBE Did Not Properly Report All Required Subawards in the Federal Reporting System State Agency: Utah State Board of Education Federal Agency: Department of Agriculture Employees have been trained, and we will continue to ensure they are trained in the reconciliation processes to mitigate the risk of this occurring again. Contact Person: Scott Jones, Deputy Superintendent of Operations, Scott.jones@schools.utah.gov Anticipated Completion Date: Completed, no further action necessary.
View Audit 296545
Finding 383352 (2023-013)
Significant Deficiency 2023
State of Utah
UT
Questioned Costs Subrecipient Monitoring Cash Management
2023-013. Improper Reimbursement of Utility Expenditures Due to Lack of Effective Internal Controls State Agency: Department of Transportation Federal Agency: Department of Transportation UDOT will train employees to verify utility agreements are drafted and effective before UDOT works on projects w...
2023-013. Improper Reimbursement of Utility Expenditures Due to Lack of Effective Internal Controls State Agency: Department of Transportation Federal Agency: Department of Transportation UDOT will train employees to verify utility agreements are drafted and effective before UDOT works on projects with utility partners. UDOT will continue to coordinate with utility partners to align reimbursement practices with the applicable federal requirements. Responsible Party: Carmen Swanwick, Project Development Director, (801) 232-7802 Completion Date: June 2025
View Audit 296545 Questioned Costs: $1
Finding 383350 (2023-012)
Significant Deficiency 2023
State of Utah
UT
Subrecipient Monitoring Internal Control / Segregation of Duties Reporting
2023-012. Noncompliance Resulting from the Failure to Implement Effective Internal Controls Over Value Engineering Program State Agency: Department of Transportation Federal Agency: Department of Transportation UDOT will train the responsible employees to comply with VE requirements for applicable f...
2023-012. Noncompliance Resulting from the Failure to Implement Effective Internal Controls Over Value Engineering Program State Agency: Department of Transportation Federal Agency: Department of Transportation UDOT will train the responsible employees to comply with VE requirements for applicable federal projects. UDOT will take this opportunity to update the UDOT VE Program and determine which controls will help project managers better understand and comply with VE requirements. Responsible Party: Carmen Swanwick, Project Development Director, (801) 232-7802 Completion Date: June 2025
View Audit 296545
Finding 383348 (2023-011)
Significant Deficiency 2023
State of Utah
UT
Subrecipient Monitoring Significant Deficiency Internal Control / Segregation of Duties
2023-011. Improper Acceptance of Materials Due to Lack of Effective Internal Controls Over the Quality Assurance Program State Agency: Department of Transportation Federal Agency: Department of Transportation UDOT will train employees to test materials within the quality assurance program (QAP) requ...
2023-011. Improper Acceptance of Materials Due to Lack of Effective Internal Controls Over the Quality Assurance Program State Agency: Department of Transportation Federal Agency: Department of Transportation UDOT will train employees to test materials within the quality assurance program (QAP) requirements. Furthermore, the materials division will ensure testers are fully certified before they proceed with testing of materials. Responsible Party: Carmen Swanwick, Project Development Director, (801) 232-7802 Anticipated Completion Date: June 2025
View Audit 296545
Finding 383347 (2023-008)
Material Weakness 2023
Huntley Project School District Number 24
MT
Questioned Costs Subrecipient Monitoring Period of Performance § 200.77
Name of contact person: Rita Huck Corrective Action: The 21st Century Community Learning Centers grant director was told by the Office of Public Instruction that the District could pay for expenditures that were incurred in July, 2022 for a summer program that was held until the middle of July, 202...
Name of contact person: Rita Huck Corrective Action: The 21st Century Community Learning Centers grant director was told by the Office of Public Instruction that the District could pay for expenditures that were incurred in July, 2022 for a summer program that was held until the middle of July, 2022. These payments were made from the FY 2022 grant that was scheduled to end June 30, 2022. We have discussed how and when obligations and expenditures will be handled going forward. Proposed Completion Date: Immediately.
View Audit 296540 Questioned Costs: $1
Finding 383340 (2023-001)
Material Weakness 2023
Mangum Independent School District #1
OK
Subrecipient Monitoring Material Weakness Matching / Level of Effort / Earmarking
Mangum Public Schools will comply with all requirements of the Davis-Bacon Act. The district will develop internal controls to ensure contracts used for construction with federal awards will require certified payroll reports from the contractor or subcontractor. These actions will be taken immedia...
Mangum Public Schools will comply with all requirements of the Davis-Bacon Act. The district will develop internal controls to ensure contracts used for construction with federal awards will require certified payroll reports from the contractor or subcontractor. These actions will be taken immediately and will be utilized for any future construction that meets the criteria of the Davis-Bacon Act to ensure we are compliant.
View Audit 296538
Finding 383325 (2023-002)
Material Weakness 2023
Socioeconomic and Community Development Office
PR
Subrecipient Monitoring
During the fiscal year 2022-2023, the Office decided to hire an external company specialized in monitoring evaluation for the required Subrecipient Monitoring activities for the fiscal years 2020, 2021, and 2022. Monitoring Schedule: The contracted company has completed the monitoring activities as ...
During the fiscal year 2022-2023, the Office decided to hire an external company specialized in monitoring evaluation for the required Subrecipient Monitoring activities for the fiscal years 2020, 2021, and 2022. Monitoring Schedule: The contracted company has completed the monitoring activities as per the following schedule: (1) ASPRI Monitoring report delivered on November 13, 2023, with a response received by December 8, 2023. (2) INSEC: Monitoring report delivered on December 4, 2023, with a response received by January 4, 2024. A follow-up communication was sent on February 6, 2024, due to the lack of a Corrective Action Plan submission. (3) Municipality of San Juan: Monitoring report delivered on January 23, 2024, with a response received by February 23, 2024. They requested an extension on February 22, 2024, which was denied by Office. They did not deliver. (4) Municipality of Bayamon: Monitoring report delivered on December 29, 2023, with a response received by January 29, 2024. They sent a letter of objection, and it was responded. Evaluation and Follow-Up: The Office will review the effectiveness of the monitoring conducted by the external company and the corrective actions follow-up will be the responsibility of the Office. A follow-up audit will be scheduled to assess compliance with the Corrective Action Plans and ongoing monitoring requirements. Documentation: All monitoring reports, communications, and evidence of corrective actions will be properly documented and stored for reference and compliance verification purposes. For the fiscal year 2023-2024, the Office will compile a comprehensive report detailing the monitoring process, findings, corrective action and compliance status of sub-recipients. Implementation Date During the 2024-2025 fiscal year: Responsible Person Mrs. Nadia Torres Ortiz, Federal Program Director
View Audit 296516
Finding 383309 (2023-001)
Material Weakness 2023
Elk City Independent School District No. 06
OK
Subrecipient Monitoring Material Weakness Matching / Level of Effort / Earmarking
Elk City Public Schools will ensure that on all future construction contracts that deal with federal awards, will include requirements of the Davis-Bacon Act. Prevailing wages will be inserted into the language of the contract to be signed by contractors and subcontractors. All contracts will also...
Elk City Public Schools will ensure that on all future construction contracts that deal with federal awards, will include requirements of the Davis-Bacon Act. Prevailing wages will be inserted into the language of the contract to be signed by contractors and subcontractors. All contracts will also spell out weekly reporting requirements of certified wages paid by contractors and subcontractors. In addition, ECPS will ensure that Davis-Bacon information is posted at all job sites.
View Audit 296509
Finding 383307 (2023-004)
Material Weakness 2023
East Allen County Schools
IN
Procurement, Suspension & Debarment Subrecipient Monitoring § 200.303
FINDING 2023-004 Finding Subject: Special Education Cluster (IDEA) – Suspension and Debarment Summary of Finding: Prior to entering in subawards and covered transactions with federal award funds, receipts are required to verify that contractors are not suspended, debarred or otherwise excluded. Cont...
FINDING 2023-004 Finding Subject: Special Education Cluster (IDEA) – Suspension and Debarment Summary of Finding: Prior to entering in subawards and covered transactions with federal award funds, receipts are required to verify that contractors are not suspended, debarred or otherwise excluded. Contact Person Responsible for Corrective Action: Jeremiah Hruschak Contact Phone Number and Email Address: (260) 446-0100 ext.1006 / jhruschak@eacs.k12.in.us Views of Responsible Officials: East Allen County Schools concurs with finding. INDIANA STATE BOARD OF ACCOUNTS 29 Description of Corrective Action Plan: Covered transaction(s) that are equal or exceed $25,000.00, East Allen County Schools will collect a certification from the contractor and/ or review SAM exclusion and document the SAM review. Anticipated Completion Date: Implementation will take place immediately and will be corrected by the 2023-2024 / 2024-2025 audit cycle.
View Audit 296501
Finding 383306 (2023-003)
Material Weakness 2023
East Allen County Schools
IN
Procurement, Suspension & Debarment Subrecipient Monitoring § 200.303
FINDING 2023-003 Finding Subject: COVID-19 – Emergency Connectivity Fund Program – Suspension and Debarment Summary of Finding: Prior to entering in subawards and covered transactions with federal award funds, receipts are required to verify that contractors are not suspended, debarred or otherwise ...
FINDING 2023-003 Finding Subject: COVID-19 – Emergency Connectivity Fund Program – Suspension and Debarment Summary of Finding: Prior to entering in subawards and covered transactions with federal award funds, receipts are required to verify that contractors are not suspended, debarred or otherwise excluded. Contact Person Responsible for Corrective Action: Jeremiah Hruschak Contact Phone Number and Email Address: (260) 446-0100 ext.1006 / jhruschak@eacs.k12.in.us Views of Responsible Officials: East Allen County Schools concurs with finding. Description of Corrective Action Plan: Covered transaction(s) that are equal or exceed $25,000.00, East Allen County Schools will collect a certification from the contractor and/ or review SAM exclusion and document the SAM review. Anticipated Completion Date: Implementation will take place immediately and will be corrected by the 2023-2024 / 2024-2025 audit cycle.
View Audit 296501
Finding 383284 (2023-018)
Material Weakness 2023
State of Texas C/o Comptroller of Public Accounts
TX
Subrecipient Monitoring Eligibility Special Tests & Provisions § 200.303 § 200.334
Corrective action plan: In December 2021, HHSC implemented the Texas Medicaid & Healthcare Partnership (TMHP) Provider Enrollment Management System (PEMS), an automated system that is the single tool for provider enrollment, re-enrollment, revalidation, and maintenance requests (maintaining and upda...
Corrective action plan: In December 2021, HHSC implemented the Texas Medicaid & Healthcare Partnership (TMHP) Provider Enrollment Management System (PEMS), an automated system that is the single tool for provider enrollment, re-enrollment, revalidation, and maintenance requests (maintaining and updating provider enrollment record information). Medicaid provider enrollment, revalidation, and re-enrollment documentation, including risk-based screenings, are tracked in PEMS. Additionally, the relevant federal databases are checked at least monthly for all providers currently enrolled in Medicaid. Of the Medicaid providers requested during the fiscal year 2023 Statewide Single Audit, 47 of 60 samples had been enrolled or revalidated through PEMS and the auditor received all requested documentation. The listed exceptions only apply to Medicaid long-term care (LTC) providers whose enrollment and/or revalidation have not yet been processed through PEMS. The LTC enrollment and revalidation process mirrors the sampled acute care providers which were found to be 100 percent compliant during this review, further supporting that the process is working. HHSC operated under the public health emergency (PHE) between March 30, 2020, and May 11, 2023. In response to the PHE, the Centers for Medicare and Medicaid Services waived exclusion check requirements for provider reenrollments and revalidations. HHSC is in the process of revalidating providers through PEMS; however, as a result of the PHE end date and provider revalidation requirements, the projected completion date for the required revalidation of all LTC providers is January 2027. HHSC continues efforts to enroll LTC providers through PEMS and expects to eliminate errors related to these documents once all LTC providers have revalidated. Implementation dates: December 2021, PEMS implementation January 2027, LTC provider enrollment and revalidation completed Responsible persons: Jordan Nichols, Deputy Associate Commissioner, Medicaid and CHIP Services Operations Management
View Audit 296491
Finding 383283 (2023-017)
Significant Deficiency 2023
State of Texas C/o Comptroller of Public Accounts
TX
Internal Control / Segregation of Duties Special Tests & Provisions Subrecipient Monitoring § 200.303
Corrective action plan: To ensure compliance is being met with Risk Assessments, the Chief Information Security Officer (CISO) will implement regular compliance reviews, at the beginning of each quarter with Program Director level leadership. Any non-compliance will be addressed with the Program are...
Corrective action plan: To ensure compliance is being met with Risk Assessments, the Chief Information Security Officer (CISO) will implement regular compliance reviews, at the beginning of each quarter with Program Director level leadership. Any non-compliance will be addressed with the Program area by regularly sharing email reminders for reporting, training, and assistance from security. The reports will begin to be shared on July 31, 2024. Application Services, in collaboration with the CISO and the Information Technology (IT) Business Operations’ Policy, Planning, and Performance team, will establish and publish a process for the successful completion of Risk Assessments, including roles and responsibilities, processes, and procedures to ensure timely completion and ongoing compliance. The target implementation date for this document is January 15, 2025. Implementation date: January 15, 2025 Responsible persons: Leatha Marr, Director, IT Applications Services, and Vikram Muralidharan, Chief Information Security Officer
View Audit 296491
Finding 383163 (2023-159)
Significant Deficiency 2023
State of Texas C/o Comptroller of Public Accounts
TX
Student Financial Aid Subrecipient Monitoring Allowable Costs / Cost Principles
Corrective Action Plan: The University is updating procedures to ensure unallowable charges are not paid using Title IV funds without proper authorization from the student or parent. The University will review and improve, as necessary, existing controls to ensure that Title IV aid in excess of the ...
Corrective Action Plan: The University is updating procedures to ensure unallowable charges are not paid using Title IV funds without proper authorization from the student or parent. The University will review and improve, as necessary, existing controls to ensure that Title IV aid in excess of the student’s institutional charges will not be held without written authorization from the student or parent. Implementation Date: May 2024 Responsible Persons: Beth Tolan, Associate Vice President of Financial Aid & Scholarships Christopher Foster, Associate Vice President of Student Accounting
View Audit 296491
Finding 383158 (2023-154)
Significant Deficiency 2023
State of Texas C/o Comptroller of Public Accounts
TX
Student Financial Aid Special Tests & Provisions Matching / Level of Effort / Earmarking
Corrective Action Plan: There is a current initiative at the university to complete a comprehensive review of all of our current charge item types for Title IV allowable/non-allowable purposes. The Office of Scholarships and Financial Aid is working with Student Business Services (SBS) and each acad...
Corrective Action Plan: There is a current initiative at the university to complete a comprehensive review of all of our current charge item types for Title IV allowable/non-allowable purposes. The Office of Scholarships and Financial Aid is working with Student Business Services (SBS) and each academic college to departmentalize the charges. Once this effort is complete, we will work with SBS and Accounting to begin setting up and testing the required changes. We are committed to making the necessary changes in order to be in compliance but want to make sure it is understood that this is a monumental undertaking that will require considerable effort. It will demand a massive commitment of resources and time. Due to the nature of PeopleSoft and the effects of effective dating, this update will need to be implemented prior to the beginning of an aid year. We will take precautions to prevent inadvertent errors and system glitches by implementing these changes in 2025-2026. The Office of Scholarships and Financial Aid in conjunction with Student Business Services are in the early stages of implementing functionality in PeopleSoft that will allow students to provide permission to apply financial aid for charges other than allowable charges. The implementation of this functionality will allow us to obtain written authorization from students or parents prior to crediting student ledger accounts for certain charges. Implementation Date: February 2025 Responsible Persons: Kevin Burns, Bursar Charita Hampton, Interim Executive Director, SFA Gretta McClain Gibbs, Director, Accounting Services Madiha Syeda, Financial Manager, General Accounting
View Audit 296491
Finding 383142 (2023-133)
Significant Deficiency 2023
State of Texas C/o Comptroller of Public Accounts
TX
Student Financial Aid Special Tests & Provisions Matching / Level of Effort / Earmarking
Corrective Action Plan: The University has implemented significant process enhancements in this area. The policy manual has been revised to include detailed procedures. Management will conduct a second level review to ensure that the University is following the requirements. During the academic year...
Corrective Action Plan: The University has implemented significant process enhancements in this area. The policy manual has been revised to include detailed procedures. Management will conduct a second level review to ensure that the University is following the requirements. During the academic year for this audit the Office of Financial Aid staffing was reduced by two full-time employees in the R2T4 area. The University has two full time employees who completes R2T4’s daily. A secondary review and quality control will be completed by a third employee for accuracy on the R2T4 calculations and return of funds within established time frames. Reconciliations are completed monthly to ensure timeliness of R2T4s and return of funding to COD. Implementation Date: March 2024 Responsible Persons: Laurie Rosenkrantz, Associate Director Mayra Torres Gonzalez, Assistant Director Jike Wei, FA Counselor III
View Audit 296491
Finding 383141 (2023-132)
Significant Deficiency 2023
State of Texas C/o Comptroller of Public Accounts
TX
Student Financial Aid Matching / Level of Effort / Earmarking Subrecipient Monitoring
Corrective Action Plan: The University has implemented significant process enhancements in this area. The policy manual has been revised to include detailed procedures. Management will conduct a second level review to ensure that the University is following the requirements. After the aid year activ...
Corrective Action Plan: The University has implemented significant process enhancements in this area. The policy manual has been revised to include detailed procedures. Management will conduct a second level review to ensure that the University is following the requirements. After the aid year activation for calendars is posted by the Office of Registrar, management will review calendar dates and other components reported to COD on a monthly schedule to ensure accuracy. COD reports are sent twice a week to ensure calendar and cost of attendance is updated correctly for all federal programs. Implementation Date: March 2024 Responsible Persons: Leanne Sikora, Associate Director Laurie Rosenkrantz, Associate Director
View Audit 296491
Finding 383042 (2023-160)
Significant Deficiency 2023
State of Texas C/o Comptroller of Public Accounts
TX
Student Financial Aid Special Tests & Provisions Matching / Level of Effort / Earmarking
Corrective Action Plan: The University has implemented a review at the start of each term to ensure internal systems (Peoplesoft) are updated with the appropriate number of break days to ensure the accuracy of break days used in Return of Title IV calculations. The University is implementing an enha...
Corrective Action Plan: The University has implemented a review at the start of each term to ensure internal systems (Peoplesoft) are updated with the appropriate number of break days to ensure the accuracy of break days used in Return of Title IV calculations. The University is implementing an enhanced secondary review process for Return of Title IV determinations to ensure accurate calculations and the timely return of funds. The University will implement a process to ensure evidence of participation exists for students who attend all courses via the online platforms. Implementation Dates: Beginning January 2024 with completion May 2024 Responsible Persons: Kimberley Wells, Director of Financial Aid & Scholarships John Robert, Associate Director of Financial Aid & Scholarships Beth Tolan, Associate Vice President of Financial Aid & Scholarships
View Audit 296491
Finding 383040 (2023-155)
Significant Deficiency 2023
State of Texas C/o Comptroller of Public Accounts
TX
Student Financial Aid Special Tests & Provisions Matching / Level of Effort / Earmarking
Corrective Action Plan: (1) The University will develop a process to identify all institutional charges and create a master list that will categorize the charges into allowable and non-allowable charges. The master list will be utilized to determine which institutional charges may be included in the...
Corrective Action Plan: (1) The University will develop a process to identify all institutional charges and create a master list that will categorize the charges into allowable and non-allowable charges. The master list will be utilized to determine which institutional charges may be included in the calculation of Return of Title IV. (2) The University will coordinate with the Institute of Global Engagement and Online Functional Support to obtain evidence of academic engagement utilizing the learning management software system for students in online only course and confirm active participation for study-abroad coursework. (3) The University will establish a review process to ensure consistency and accuracy in R2T4 calculations. and conduct regular internal audits of a sample of R2T4 calculations to identify errors or discrepancies. Implementation Date: March 2024 Responsible Person: Frank Gomez, Associate Director, SFA
View Audit 296491
Finding 383039 (2023-153)
Significant Deficiency 2023
State of Texas C/o Comptroller of Public Accounts
TX
Student Financial Aid Matching / Level of Effort / Earmarking Subrecipient Monitoring
Corrective Action Plan: The Office of Scholarships and Financial Aid will create a reconciliation process that will identify all FSEOG recipients for a given aid year. This reconciliation process will include a report/query that can be distributed weekly and on demand to identify any discrepancies t...
Corrective Action Plan: The Office of Scholarships and Financial Aid will create a reconciliation process that will identify all FSEOG recipients for a given aid year. This reconciliation process will include a report/query that can be distributed weekly and on demand to identify any discrepancies that will be worked timely. The office will also assign a staff member to conduct R2T4 quality control. The staff member will be responsible for running a query and creating a report categorizing the type of returns (i.e. – standard R2T4, Post Withdrawal, etc.) with an estimated time for completion on a weekly basis. Implementation Date: March 2024 Responsible Person: Frank Gomez, Associate Director, SFA
View Audit 296491
Finding 383038 (2023-150)
Significant Deficiency 2023
State of Texas C/o Comptroller of Public Accounts
TX
Student Financial Aid Subrecipient Monitoring Significant Deficiency
Corrective Action Plan: The University previously misinterpreted the regulation related to enrollment in programs offered in modules. Training has been conducted on this topic. In addition, the Registrar has been granted SIS access to update scheduled breaks of five or more days. During the calculat...
Corrective Action Plan: The University previously misinterpreted the regulation related to enrollment in programs offered in modules. Training has been conducted on this topic. In addition, the Registrar has been granted SIS access to update scheduled breaks of five or more days. During the calculation process the financial aid counselor completing the R2T4 will ensure that the days calculated are correct or, if not, will update the worksheet with the correct number of days. The University will ensure that R2T4 calculations are completed in a timely manner to ensure that funding is returned for students within the 45-day time frame. Implementation Date: 08/2023 Responsible Persons: Scott Lapinski, Assistant Vice President for Enrollment Management/Director of Financial Aid Joe Sanders Assistant Vice President for Enrollment Management/Registrar
View Audit 296491
Finding 383035 (2023-142)
Significant Deficiency 2023
State of Texas C/o Comptroller of Public Accounts
TX
Questioned Costs Student Financial Aid Special Tests & Provisions
Corrective Action Plan: The University has revised the procedures to include additional procedural details. Management will conduct a second level review of the R2T4 new year system set up. Additionally, a quality control review of ten percent of the R2T4 calculations will be performed throughout th...
Corrective Action Plan: The University has revised the procedures to include additional procedural details. Management will conduct a second level review of the R2T4 new year system set up. Additionally, a quality control review of ten percent of the R2T4 calculations will be performed throughout the year to ensure accuracy and compliance with the R2T4 requirements. Implementation Date: February 2024 Responsible Persons: Alejandra Gonzalez, Senior Associate Director Marcia Osman, Associate Director
View Audit 296491 Questioned Costs: $1
Finding 383026 (2023-120)
Significant Deficiency 2023
State of Texas C/o Comptroller of Public Accounts
TX
Special Tests & Provisions Student Financial Aid Subrecipient Monitoring
Corrective Action Plan: Through analysis of the exceptions identified in the audit, the University is working to hire a new full-time position to create and monitor its information security program and the University is in the process of publishing an information security webpage that meets all regu...
Corrective Action Plan: Through analysis of the exceptions identified in the audit, the University is working to hire a new full-time position to create and monitor its information security program and the University is in the process of publishing an information security webpage that meets all regulation requirements and serves as a conduit for users to locate policy, review the related legal code, report incidents, and request both training and OIT’s assistance in assessment. Leadership has signed a contract with a third-party vendor to identify and implement all required GLBA controls. Implementation Date: June 2024 Responsible Person: Mr. Matthew Steimel, Director of Enterprise Applications
View Audit 296491
Finding 383025 (2023-118)
Significant Deficiency 2023
State of Texas C/o Comptroller of Public Accounts
TX
Student Financial Aid Special Tests & Provisions Matching / Level of Effort / Earmarking
Corrective Action Plan: The University has implemented significant process enhancements in this area. The Office of Student Accounting will share the entire list of all completed R2T4 calculations with the Financial Aid department for a secondary review. The Office of Student Accounting will also de...
Corrective Action Plan: The University has implemented significant process enhancements in this area. The Office of Student Accounting will share the entire list of all completed R2T4 calculations with the Financial Aid department for a secondary review. The Office of Student Accounting will also develop and implement a new report that compares R2T4 “Revised Award Amounts” to the actual account activity to ensure that Title IV aid adjustments needed as a result of a R2T4 calculation are completed. The policy manual will be revised to include detailed procedures. Management will conduct a second level review to ensure that the University is in compliance with the requirements. Implementation Date: February 2024 Responsible Persons: Mr. Errol Thomas, Executive Director Student Accounting Dr. Nickolaus Cioci, Dean of Student Records Corrective Action Plan: The University has implemented significant process enhancements in this area. The university has filled the vacant position of Senior Accountant responsible for the processing of Title IV credit balances. The Senior Accountant will process refunds daily to ensure compliance with Title IV credit balance timeline regulations. Management will conduct a second level review to ensure that the University is in compliance with the requirements. Implementation Date: Spring 2024 Responsible Person: Mr. Errol Thomas, Executive Director of Student Accounting
View Audit 296491
Finding 383024 (2023-117)
Significant Deficiency 2023
State of Texas C/o Comptroller of Public Accounts
TX
Student Financial Aid Allowable Costs / Cost Principles Subrecipient Monitoring
Corrective Action Plan: The Office of Student Financial Success has worked with the Office of Information Technology to deliver student loan disbursement information via the student portal. A tab has been created that allows students to receive specific disbursement information related to their stud...
Corrective Action Plan: The Office of Student Financial Success has worked with the Office of Information Technology to deliver student loan disbursement information via the student portal. A tab has been created that allows students to receive specific disbursement information related to their student loans. In addition, the disbursement notification process has been established to ensure all students receive a disbursement notification before disbursements are made to student accounts. Our policy now requires, before disbursement, the generation of disbursement notifications made by the Senior Systems Analyst. Implementation Date: January 2024 Responsible Person: Dr. Latisha Addison, Executive Director Student Financial Success Corrective Action Plan: The University has implemented significant process enhancements in this area. The University has updated the charges associated with the university installment plan in the ERP system to be designated as an unallowable charge. This update will ensure that Title IV aid will not pay towards those charges. Management will conduct a second level review to ensure that the University is in compliance with the requirements. Implementation Date: February 2024 Responsible Person: Mr. Errol Thomas, Executive Director of Student Accounting
View Audit 296491
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