Corrective Action Plans

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Responsible Contact Person(s): Diana Clark, Associate Director Senior Corrective Action Planned: SRM for the TANF Federal grant program will be included in the SFY2024 SRM Plan. Inclusion of Risk Assessment criteria have been made and are being incorporated into the Monitoring Plan. Estimated Compl...
Responsible Contact Person(s): Diana Clark, Associate Director Senior Corrective Action Planned: SRM for the TANF Federal grant program will be included in the SFY2024 SRM Plan. Inclusion of Risk Assessment criteria have been made and are being incorporated into the Monitoring Plan. Estimated Completion Date: 8/1/2023
Responsible Contact Person(s): Diana Clark, Associate Director Senior Corrective Action Planned: A risk assessment tool was developed as part of the State Fiscal Year 2024 SRM Plan and will be implemented with the new plan. Estimated Completion Date: 8/1/2023
Responsible Contact Person(s): Diana Clark, Associate Director Senior Corrective Action Planned: A risk assessment tool was developed as part of the State Fiscal Year 2024 SRM Plan and will be implemented with the new plan. Estimated Completion Date: 8/1/2023
Responsible Contact Person(s): Ross McDonald, Director of Compliance Ousman Kah, Subrecipient Monitoring Coordinator Corrective Action Planned: The final version of the agency's Monitoring Plan was completed. Estimated Completion Date: 8/1/2023
Responsible Contact Person(s): Ross McDonald, Director of Compliance Ousman Kah, Subrecipient Monitoring Coordinator Corrective Action Planned: The final version of the agency's Monitoring Plan was completed. Estimated Completion Date: 8/1/2023
Responsible Contact Person(s): Ross McDonald, Director of Compliance Ousman Kah, Subrecipient Monitoring Coordinator Kevin Platea, Chief Information Officer Corrective Action Planned: A Grants Management solution is being pursued by DSS in anticipation that it can be deployed with Subrecipient Monit...
Responsible Contact Person(s): Ross McDonald, Director of Compliance Ousman Kah, Subrecipient Monitoring Coordinator Kevin Platea, Chief Information Officer Corrective Action Planned: A Grants Management solution is being pursued by DSS in anticipation that it can be deployed with Subrecipient Monitoring capabilities needed to comply with these requirements. A new budget request has been submitted for funding of a contingent Subrecipient Monitoring System solution. This will help bridge the deficiencies noted until an integrated permanent solution is implemented. Additionally, an interim solution is being considered where these subrecipients will be reviewed and tracked through a manual system. Estimated Completion Date: 3/31/2025
Responsible Contact Person(s): Ross McDonald, Director of Compliance Ousman Kah, Subrecipient Monitoring Coordinator Corrective Action Planned: A Grants Management solution is being pursued by DSS in anticipation that it can be deployed with Subrecipient Monitoring capabilities needed to comply with...
Responsible Contact Person(s): Ross McDonald, Director of Compliance Ousman Kah, Subrecipient Monitoring Coordinator Corrective Action Planned: A Grants Management solution is being pursued by DSS in anticipation that it can be deployed with Subrecipient Monitoring capabilities needed to comply with these requirements. A new budget request has been submitted for funding of a contingent Subrecipient Monitoring System solution. This will help bridge the deficiencies noted until an integrated permanent solution is implemented. Estimated Completion Date: 3/31/2025
Responsible Contact Person(s): Steve Hanoka, Chief Information Security Officer Corrective Action Planned: This finding was marked as FOIA Exempt (FOIAE) and as a result, the State Comptroller has determined that the resulting corrective actions are FOIAE under §2.2-3705.2 (9.) of the Code of Virgin...
Responsible Contact Person(s): Steve Hanoka, Chief Information Security Officer Corrective Action Planned: This finding was marked as FOIA Exempt (FOIAE) and as a result, the State Comptroller has determined that the resulting corrective actions are FOIAE under §2.2-3705.2 (9.) of the Code of Virginia. Federal awarding agencies and pass-through entities, please see the Appendix titled “Applicable Management Contacts for Findings and Questioned Costs” to request the corrective action planned from the applicable entity. Estimated Completion Date: 4/1/2024
Responsible Contact Person(s): Naveen Abraham, Chief Core Infrastructure Services Corrective Action Planned: Ensuring that infrastructure suppliers fulfill all contractual requirements with respect to Commonwealth security policies and standards necessitates a programmatic, continuous improvement ap...
Responsible Contact Person(s): Naveen Abraham, Chief Core Infrastructure Services Corrective Action Planned: Ensuring that infrastructure suppliers fulfill all contractual requirements with respect to Commonwealth security policies and standards necessitates a programmatic, continuous improvement approach. VITA has made improved cybersecurity a primary goal and major initiatives have completed and are underway. VITA has established a scoring mechanism, based on the Common Vulnerability Scoring System (CVSS), that delineates the necessary response based on the criticality of the vulnerability (critical, high, and medium). For vulnerabilities with a CVSS score of (critical and high), service level agreement (SLA) 1.1.3 is now in place to measure supplier performance and adjust supplier compensation accordingly through SLA credits and RCDs. For vulnerabilities below the critical and high score, in Q4 of 2023, suppliers started providing data in a quarterly report to the MSI and VITA. The new SLAs combined with the reports of vulnerabilities below the critical and high score are used to ensure suppliers’ contractual compliance. VITA’s data shows that patches for software on the enterprise software list are being applied on an ongoing basis. VITA will work with agencies and suppliers if there are any new technical difficulties or questions about patching. New tools are now available to agencies so that they can monitor and verify the remediation of the vulnerabilities for which infrastructure suppliers are responsible. Dashboards have also been provided to the suppliers so that they can review a shared and common vulnerability list. VITA and the suppliers monitor and review enterprise level logs and security events on behalf of customer agencies through the system dashboard and a 24x7 Security Operations Center. The dashboard is available for access by agencies as of Q4 2023. VITA will continue to monitor and improve the security of infrastructure services through ongoing governance, including the requirements of architecture documentation, system security plans, and audit reports. VITA’s infrastructure services group will work with the VITA security group to confirm that the current state achieves security standards compliance. Estimated Completion Date: 6/30/2024
Responsible Contact Person(s): Diane Carnohan, Chief Information Security Officer Corrective Action Planned: This finding was marked as FOIA Exempt (FOIAE) and as a result, the State Comptroller has determined that the resulting corrective actions are FOIAE under §2.2-3705.2 (9.) of the Code of Virg...
Responsible Contact Person(s): Diane Carnohan, Chief Information Security Officer Corrective Action Planned: This finding was marked as FOIA Exempt (FOIAE) and as a result, the State Comptroller has determined that the resulting corrective actions are FOIAE under §2.2-3705.2 (9.) of the Code of Virginia. Federal awarding agencies and pass-through entities, please see the Appendix titled “Applicable Management Contacts for Findings and Questioned Costs” to request the corrective action planned from the applicable entity. Estimated Completion Date: 12/31/2024
Responsible Contact Person(s): Kevin Platea, Chief Information Officer Corrective Action Planned: This finding was marked as FOIA Exempt (FOIAE) and as a result, the State Comptroller has determined that the resulting corrective actions are FOIAE under §2.2-3705.2 (9.) of the Code of Virginia. Fede...
Responsible Contact Person(s): Kevin Platea, Chief Information Officer Corrective Action Planned: This finding was marked as FOIA Exempt (FOIAE) and as a result, the State Comptroller has determined that the resulting corrective actions are FOIAE under §2.2-3705.2 (9.) of the Code of Virginia. Federal awarding agencies and pass-through entities, please see the Appendix titled “Applicable Management Contacts for Findings and Questioned Costs” to request the corrective action planned from the applicable entity. Estimated Completion Date: 12/31/2024
Responsible Contact Person(s): Barry Davis, Chief Information Security Officer and Director of Information Security & Risk Management Kevin Platea, Chief Information Officer Corrective Action Planned: To improve the governance structure of the agency, ISRM Division Leadership is working with a vendo...
Responsible Contact Person(s): Barry Davis, Chief Information Security Officer and Director of Information Security & Risk Management Kevin Platea, Chief Information Officer Corrective Action Planned: To improve the governance structure of the agency, ISRM Division Leadership is working with a vendor to address the division’s responsibility around defining and communicating the Security and Risk Management program. The goal is to educate the agency System Owners, Data Owners, System Administrators, System User, and Data Custodians as to their roles and responsibilities in managing risk associated with agency data and systems. The Division of ISRM will deliver System Owner training to the Agency Executive Team in April in support of the Commonwealth’s requirement that System Owner’s manage risks associated with their systems. This training will also highlight the importance of Configuration Management and Software and Service Acquisition. The Division of ISRM will also construct and offer training on Configuration Management and Software and Service Acquisition to whichever resources the Agency identifies to own such related processes. The training will be ready to be provided no later than August 1, 2023. Estimated Completion Date: 12/31/2023
Responsible Contact Person(s): Steve Hanoka, Chief Information Security Officer Corrective Action Planned: Policies are reviewed and signed. Procedures are in progress, to be followed by implementation. DMAS wants to meet with the APA and VITA to discuss Pen Test and vulnerability scan processes. ...
Responsible Contact Person(s): Steve Hanoka, Chief Information Security Officer Corrective Action Planned: Policies are reviewed and signed. Procedures are in progress, to be followed by implementation. DMAS wants to meet with the APA and VITA to discuss Pen Test and vulnerability scan processes. Completion of System Security Plans (SSPs) are about 50% complete, with 6 SSPs complete, 3 under review, 1 in draft and 7 to schedule. A program management policy/standard has been written and is under review. Estimated Completion Date: 4/1/2024
Name of Contact Person: Tonya Vannasdall, Director. Recommendation: We recommend the Council verify a vendor's status by checking the System for Award Management (SAM) maintained by the General Services Administration before making purchases expected to exceed $25,000. Corrective Action: The Co...
Name of Contact Person: Tonya Vannasdall, Director. Recommendation: We recommend the Council verify a vendor's status by checking the System for Award Management (SAM) maintained by the General Services Administration before making purchases expected to exceed $25,000. Corrective Action: The Council will verify all vendors' status using the System for Award Management (SAM) maintained by the General Services Administration before making purchases expected to exceed $25,000. Proposed Completion Date: Immediately.
FINDING 2023-004 Finding Subject: COVID-19 - Education Stabilization Fund – Reporting Summary of Finding: Reports were not reviewed by someone other than the preparer Contact Person Responsible for Corrective Action: Todd Nobbe Contact Phone Number: 812-934-2194 Views of Responsible Official: We con...
FINDING 2023-004 Finding Subject: COVID-19 - Education Stabilization Fund – Reporting Summary of Finding: Reports were not reviewed by someone other than the preparer Contact Person Responsible for Corrective Action: Todd Nobbe Contact Phone Number: 812-934-2194 Views of Responsible Official: We concur with the finding. Description of Corrective Action Plan: The school corporation will establish a proper system for internal controls and develop procedure to ensure report are review by someone other than the preparer. Completion Date: Immediately 2/26/2024
FINDING 2023-003 Finding Subject: COVID-19 - Education Stabilization Fund – Special Tests and Provisions – Wage Rate Requirements Summary of Finding: Weekly payroll reports were not reviewed by the unit for compliance with Davis-Bacon Act Contact Person Responsible for Corrective Action: Todd Nobbe ...
FINDING 2023-003 Finding Subject: COVID-19 - Education Stabilization Fund – Special Tests and Provisions – Wage Rate Requirements Summary of Finding: Weekly payroll reports were not reviewed by the unit for compliance with Davis-Bacon Act Contact Person Responsible for Corrective Action: Todd Nobbe Contact Phone Number: 812-934-2194 Views of Responsible Official: We concur with the finding. Description of Corrective Action Plan: Management will request and review weekly wage reports for all Davis-Bacon Act projects. Documents will be review and signed off by the Director of Operation and kept for audit. Completion Date: Immediately 2/26/2024
FINDING 2023-004 Finding Subject: COVID-19 - Education Stabilization Fund - Special Tests and Provisions - Wage Rate Requirements Summary of Finding: The School Corporation had not designed, nor implemented a system of internal control to ensure that construction contracts in excess of $2,000 paid f...
FINDING 2023-004 Finding Subject: COVID-19 - Education Stabilization Fund - Special Tests and Provisions - Wage Rate Requirements Summary of Finding: The School Corporation had not designed, nor implemented a system of internal control to ensure that construction contracts in excess of $2,000 paid from federal grant funds included a prevailing wage rate clause. One construction contract, totaling $35,000 was paid from the Education Stabilization Fund grant funds during the audit period. The single contract was tested. It was noted that the contract did not contain the required prevailing wage rate clause. Certified payrolls were not obtained until after the School Corporation was issued an ESSER Construction Monitoring Report in late 2023. It is recommended that the School Corporation's management establish a system of internal controls and include the wage rate requirement clause in construction contracts. In addition, certified payrolls should be obtained as required. Contact Person Responsible for Corrective Action: James H. Hardman Contact Phone Number and Email Address: 219-663-3371 jhardman@cps.k12.in.us Views of Responsible Officials: The management of the Crown Point Community School Corporation concurs with the finding. Description of Corrective Action Plan: The management of the Crown Point Community School Corporation will establish a system of internal controls and include the wage rate requirement clause in construction contracts. In addition, certified payrolls will be obtained as required. Anticipated Completion Date: February 20, 2024
FINDING 2023-003 Finding Subject: Title I Grants to Local Educational Agencies Special Tests and Provisions – Assessment System Security Summary of Finding: A sample of 40 employees were tested from the school’s roster and ten did not have a signed agreement indicating training was received. There w...
FINDING 2023-003 Finding Subject: Title I Grants to Local Educational Agencies Special Tests and Provisions – Assessment System Security Summary of Finding: A sample of 40 employees were tested from the school’s roster and ten did not have a signed agreement indicating training was received. There was no process to ensure that all employees required to be trained received the training and submitted the Assessment System Security Agreement. It is recommended that the School Corporation's management establish a system of internal controls. Contact Person Responsible for Corrective Action: James H. Hardman Contact Phone Number and Email Address: 219-663-3371 jhardman@cps.k12.in.us Views of Responsible Officials: The management of the Crown Point Community School Corporation concurs with the finding. Description of Corrective Action Plan: The management of the Crown Point Community School Corporation will establish a system of internal controls to ensure all employees required to be trained receive the training and submit the Assessment System Security Agreement. Anticipated Completion Date: February 20, 2024
FINDING 2023-002 Finding Subject: Title I Grants to Local Educational Agencies - Reporting Summary of Finding: The School Corporation had established a system of internal controls over the Final Expenditure report for Title I. However, the internal control process was not documented. It is recommend...
FINDING 2023-002 Finding Subject: Title I Grants to Local Educational Agencies - Reporting Summary of Finding: The School Corporation had established a system of internal controls over the Final Expenditure report for Title I. However, the internal control process was not documented. It is recommended that the School Corporation's management establish a system of internal controls. Contact Person Responsible for Corrective Action: James H. Hardman Contact Phone Number and Email Address: 219-663-3371 jhardman@cps.k12.in.us Views of Responsible Officials: The management of the Crown Point Community School Corporation concurs with the finding. Description of Corrective Action Plan: The management of the Crown Point Community School Corporation will establish a system of internal controls consisting of policies and procedures. Anticipated Completion Date: April 5, 2024
Condition: The College did not have a control system in place to monitor performance measures as outlined in the subrecipient and grant agreements. The College was also not completing any site visits of the subrecipients or requiring annual financial reporting be submitted. Planned Corrective Acti...
Condition: The College did not have a control system in place to monitor performance measures as outlined in the subrecipient and grant agreements. The College was also not completing any site visits of the subrecipients or requiring annual financial reporting be submitted. Planned Corrective Action: Below are three items implemented to address the subrecipient monitoring requirement: 1. To address the finding of noncompliant subrecipient agreements, Grand Rapids Community College has implemented a new Grants Administration Guide. This guide can be found on the Grand Rapids Community College website. 2. To address the finding of lack of progress monitoring, subrecipient partners have been given monthly metric reports which include planned vs actual outcomes as a means of outlining their progress. The reports also include historical data for each category. This information is broken down by month and to be reviewed with subrecipients on a bi-weekly basis. This bi-weekly monitoring will provide oversight and help manage performance. Each grant partner will submit quarterly outreach plans that will be balanced against planned vs actual outcomes. These outreach plans will consist of detailed information highlighting the purpose of the event, target audiences, and updates from previous events. 3. To address the finding of lack of subrecipient monitoring, Grand Rapids Community College has scheduled formal site visits with subrecipients. Within the meetings they will discuss the following topics: Narrative Visit Overview, Financial Status Discussions, Metrics Verification, Narrative Overview, Participant Records and Revenue and Evaluation. Contact person responsible for corrective action: C. Dennis Triggs II- Program. Manager – One Workforce Grant. Anticipated Completion Date: 7/31/2023
Condition: The College did not have a control in place to ensure all returns of Title IV refunds were reviewed. As a result, certain student Title IV refund calculations were not correctly calculated and returned.. Planned Corrective Action: • GRCC updated its R2T4 procedure document to highlight t...
Condition: The College did not have a control in place to ensure all returns of Title IV refunds were reviewed. As a result, certain student Title IV refund calculations were not correctly calculated and returned.. Planned Corrective Action: • GRCC updated its R2T4 procedure document to highlight the steps needed to be taken so that bookstore charges are handled correctly in the R2T4 calculation. • GRCC provided updated training to the current employees who handle the R2T4 process. • GRCC reviewed all of the R2T4s in which students had bookstore charges. The results were as follows: oTotal number of students: -Fall -- 103 students reviewed; 61 corrections made -Winter -- 83 students reviewed; 5 corrections made o Total amount of adjustments: -Fall = $13,372 -Winter = $1,362 • GRCC reviewed all unofficial withdrawals during fiscal year 2023 adn matched them with R2T4's where required. Once correction was made for $558. This is the same error noted in teh finding. • During the 2023-2024 year (fiscal year 2024), GRCC is performing a 100% review of the R2T4s that have bookstore charges. While performing the review of the bookstore charges, we are reviewing the entire R2T4, not only whether bookstore charges are correctly included. By doing so, we can ensure that the entire process is performed accurately. • Additionally, GRCC will be conducting R2T4 training each semester by way of ensuring that staff who perform the calculations understand the process and the specific steps needed to complete the calculations. Contact person responsible for corrective action: David DeBoer, Executive Director of Financial Aid Anticipated Completion Date: 12/02/2023
View Audit 295065 Questioned Costs: $1
Finding 375941 (2023-002)
Significant Deficiency 2023
Gramm-Leach-Bliley Act (GLBA) Compliance Planned Corrective Action: (Corban will proceed with the documentation of information security program policies and practices. Additionally, with the expansion of Corban’s partnership with third party partners, it will more than adequately address all matters...
Gramm-Leach-Bliley Act (GLBA) Compliance Planned Corrective Action: (Corban will proceed with the documentation of information security program policies and practices. Additionally, with the expansion of Corban’s partnership with third party partners, it will more than adequately address all matters of Gramm-Leach-Bliley Act (GLBA) Compliance, especially training, and reduce the potential for unintended exposure of information. Person Responsible for Corrective Action Plan: Tom Cornman, Senior Vice President & Provost Anticipated Date of Completion: April 30, 2024
Finding 375888 (2023-001)
Significant Deficiency 2023
CORRECTIVE ACTION PLAN Oversight Agency for Audit: U.S. Department of Education The City of Haverhill, Massachusetts respectfully submits the following corrective action plan for the year ended June 30, 2023. Name and address of independent public accounting firm: Powers & Sullivan, LLC 10...
CORRECTIVE ACTION PLAN Oversight Agency for Audit: U.S. Department of Education The City of Haverhill, Massachusetts respectfully submits the following corrective action plan for the year ended June 30, 2023. Name and address of independent public accounting firm: Powers & Sullivan, LLC 100 Quannapowitt Parkway, Suite 101 Wakefield, MA 01880 Audit period: July 1, 2022 through June 30, 2023 The finding from the June 30, 2023, schedule of findings and questioned costs is discussed below. The finding is numbered consistently with the number assigned in the schedule. FINDINGS—FEDERAL AWARD PROGRAMS AUDITS U.S. DEPARTMENT OF EDUCATION Passed through the Massachusetts Department of Elementary and Secondary Education Title I Grants to Local Educational Agencies Title I Grants to Local Educational Agencies Federal Assistance Listing No. 84.010 Special Education Cluster Special Education Grants to States and Special Education Preschool Grants Federal Assistance Listing Numbers, 84.027 and 84.173. COVID-19 Education Stabilization COVID-19 Education Stabilization Federal Assistance Listing Numbers, 84.425, 84.425C, 84.425D, 84.425U, and 84.425W Twenty-First Century Community Learning Centers Twenty-First Century Community Learning Centers Federal Assistance Listing Numbers, 84.287 and 84.287C 2023-001: Controls for Monitoring Payroll Charged to the Grant Compliance Requirement: Allowable Costs/Cost Principles Type of Finding: Compliance and Significant Deficiency in Internal Control over Compliance Criteria or Specific Requirement: Grantees must provide reasonable assurance that Federal awards are expended only for allowable activities and that the costs of goods and services charged to Federal awards are allowable and in accordance with the applicable cost principles. Condition: Management has not established written guidelines and procedures outlining the time and effort reporting and documentation requirements that department heads must adhere with to ensure compliance with federal and state time and effort reporting requirements. Such guidelines and procedures should indicate under what circumstances semi-annual certifications and personnel activity reports (PARS) are required and should indicate due dates for when this information must be provided to the school business office. Management also has not adopted and implemented standardized forms for semi-annual certifications and PARS that include all data required by federal and state guidelines. Questioned Costs: None reported. Context: Payroll expenditures charged to the programs are required to be supported with documentation substantiating that the employees are eligible to be charged to the grant and that the payroll charged relates to time spent accomplishing grant objectives. This supporting documentation should be standardized and should include all required elements in accordance with Title 2 U.S. Code of Federal Regulations Part 225 Cost Principals for State, Local, and Indian Tribal Governments. The City did not have an adequate system of internal controls in place to provide sufficient documentation to demonstrate compliance with federal and state time and effort reporting requirements in accordance with the provisions of Title 2 U.S. Code of Federal Regulations Part 225 Cost Principals for State, Local, and Indian Tribal Governments. Effect: The City has not complied with the federal and state time and effort reporting requirements. Cause: Lack of documented policies, procedures and guidelines in place to ensure compliance with time and effort reporting requirements. Repeat Finding: This matter was reported as a finding for the Title I major program and special education cluster grants in the previous year as finding 2022-001. Recommendation: Management should establish written guidelines and procedures outlining the time and effort reporting and documentation requirements that department heads must adhere with to ensure compliance with federal and state time and effort reporting requirements. Such guidelines and procedures should indicate under what circumstances semi-annual certifications and personnel activity reports (PARS) are required and should indicate due dates for when this information must be provided to the school business office. Management should also adopt and implement standardized forms for semi-annual certifications and PARS that include all data required by federal and state guidelines. Once the written guidelines and procedures have been established, training should be provided to ensure that the program managers fully understand the time and effort reporting requirements. Views of Responsible Officials and Planned Corrective Actions: Management agrees with the finding and will establish written guidelines and procedures outlining the time and effort reporting and documentation requirements that department heads must adhere with to ensure compliance with federal and state time and effort reporting requirements. Such guidelines and procedures will indicate under what circumstances semi-annual certifications and personnel activity reports (PARS) are required and will indicate due dates for when this information must be provided to the school business office. Management will also adopt and implement standardized forms for semi-annual certifications and PARS that include all data required by federal and state guidelines. Once the written guidelines and procedures have been established, training will be provided to ensure that the program managers fully understand the time and effort reporting requirements. Management intends to implement these procedures in fiscal 2024. If the Oversight Agency has questions regarding this plan, please call Michael Pfifferling, Assistant Superintendent of Finance and Operations at 978-374-3400. Sincerely yours, Michael Pfifferling Assistant Superintendent of Finance and Operations City of Haverhill
FINDING 2023-003 Finding Subject: Education Stabilization Reporting Summary of Finding: During the audit period the School Corporation submitted two ESSER I reports, two ESSERI II reports and two ESSER III reports for a total of six reports. The reports were prepared and submitted by the Director of...
FINDING 2023-003 Finding Subject: Education Stabilization Reporting Summary of Finding: During the audit period the School Corporation submitted two ESSER I reports, two ESSERI II reports and two ESSER III reports for a total of six reports. The reports were prepared and submitted by the Director of Finance without a documented oversight or review process. In addition, four of the six annual data reports were not supported by the School Corporation’s records. The financial information provided did not agree to the data submitted; therefore, we could not determine the accuracy of the annual data reports. Contact Person Responsible for Corrective Action: Camden Parkhurst Contact Person Phone Number and Email Address: 765-457-8101 camden.parkhurst@nwsc.k12.in.us View of Responsible Official: We concur with the finding. The submissions referenced without proper documentation were submitted by the previous CFO. The current finance staff is unable to locate any supporting documentation regarding those submissions. There is a reimbursement request internal controls document that was signed by both the CFO and Superintendent, but here is no supporting documentation to accompany it. Description of Corrective Action Plan: The current Director of Finance and finance team have attached all supporting documentation from the financial software to their submissions along with an internal controls document signed by the Director of Finance and Superintendent. The corporation is actively working with the Department of Education to amend when it believes to be some errors in the prior submissions as well. Anticipated Completion Date: August 2024
Finding 375858 (2023-004)
Significant Deficiency 2023
Grant responsibilities have been transferred under the supervision of the Comptroller and will enhance control procedures to monitor the activities of subrecipients to ensure and document that the subaward was used for authorized purposes.
Grant responsibilities have been transferred under the supervision of the Comptroller and will enhance control procedures to monitor the activities of subrecipients to ensure and document that the subaward was used for authorized purposes.
Corrective actions: As a result of a cyber-event in 2021 and a program review conducted by the U.S. Department of Education, EWC initiated a comprehensive assessment of information technology and security to ensure compliance with the Gramm-Leach-Bliley Act (GLBA) and industry protocols. EWC hired a...
Corrective actions: As a result of a cyber-event in 2021 and a program review conducted by the U.S. Department of Education, EWC initiated a comprehensive assessment of information technology and security to ensure compliance with the Gramm-Leach-Bliley Act (GLBA) and industry protocols. EWC hired an educational law firm, Parker & Poe and Associates, to evaluate and prepare policies in accordance with legal requirements. These policies, Board Policies 7.0 through 7.5 (as renumbered), have been reviewed within the College administration and presented to the Board of Trustees for first reading in October 2023. EWC anticipates the final approval and adoption will occur on December 12, 2023. Additionally, EWC foresees finalizing supporting administrative regulations on or before December 31, 2023. The policies and regulations are designed to ensure a comprehensive information security plan and GLBA compliance while meeting the requirements of the U.S. Department of Education. Anticipated completion dates: December 12, 2023 (Policies) and December 31, 2023 (Regulations) Contact person: Vice President Administrative Services - Patrick Korell
Corrective actions: In September 2023, EWC Financial Aid implemented a permanent fix utilizing the Colleague Process Handler, which automates disbursement notifications. The automated disbursement process is set to run weekly and ensures time sensitive acknowledgement to aid recipients. Completion d...
Corrective actions: In September 2023, EWC Financial Aid implemented a permanent fix utilizing the Colleague Process Handler, which automates disbursement notifications. The automated disbursement process is set to run weekly and ensures time sensitive acknowledgement to aid recipients. Completion date: September 2023 Contact person: Director of Financial Aid - Rebecca McAllister
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