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Corrective Action Plans

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Finding 1187043 (2025-028)
Material Weakness 2025
State of North Carolina
NC
Period of Performance Internal Control / Segregation of Duties Subrecipient Monitoring
Grant Funds Spent After Award Ended The Division will complete the following corrective actions: •Continue cross-divisional meetings to strengthen grant oversight and fiscal monitoring. •Complete targeted training to support consistent application of requirements. •Update policies and procedures to ...
Grant Funds Spent After Award Ended The Division will complete the following corrective actions: •Continue cross-divisional meetings to strengthen grant oversight and fiscal monitoring. •Complete targeted training to support consistent application of requirements. •Update policies and procedures to reinforce verification that expenditures are incurred within the approved grant period and are supported by appropriate documentation prior to approval and payment. Anticipated Completion Date: June 30, 2026.
View Audit 394732
Finding 1187042 (2025-027)
Material Weakness 2025
State of North Carolina
NC
Subrecipient Monitoring Eligibility Internal Control / Segregation of Duties
Overpayments to Subrecipients The Division will complete the following corrective actions: •Complete targeted training to support proper implementation of these procedures. •Update procedures to include quality assurance reviews. Anticipated Completion Date: June 30, 2026.
Overpayments to Subrecipients The Division will complete the following corrective actions: •Complete targeted training to support proper implementation of these procedures. •Update procedures to include quality assurance reviews. Anticipated Completion Date: June 30, 2026.
View Audit 394732
Finding 1187041 (2025-026)
Material Weakness 2025
State of North Carolina
NC
HIV Funds Used for Improper Payment The Department will implement the following corrective actions: •NCDHHS Office of the Controller will update their Standard Operating Procedures (SOP) for Accounts Payable (A/P) Entry when Paying Invoices Having No Reference Identifiers (SOP# AP089) to address the...
HIV Funds Used for Improper Payment The Department will implement the following corrective actions: •NCDHHS Office of the Controller will update their Standard Operating Procedures (SOP) for Accounts Payable (A/P) Entry when Paying Invoices Having No Reference Identifiers (SOP# AP089) to address the case and spacing sensitivity of the North Carolina Financial System (NCFS). •NCDHHS Office of the Controller (OOC) will conduct training to A/P staff on keying payments when an invoice does not have a reference identifier. •NCDHHS, Division of Public Health (DPH) will implement a payment reconciliation procedure within the program area to monitor payments and ensure timely identification and investigation of duplicate payments. •NCDHHS, DPH has requested a repayment from the vendor in the amount of the duplicate payment. Anticipated Completion Date: June 30, 2026.
View Audit 394732
Finding 1187040 (2025-025)
Material Weakness 2025
State of North Carolina
NC
Deficiencies in Medicaid Provider Payment Process The Department directed the Fiscal Agent to add edit 3406 (History Record Not Found for Adjustment/Void) to the timely filing bypass denial listing, preventing claims denied solely for missing history records from being used to bypass timely filing r...
Deficiencies in Medicaid Provider Payment Process The Department directed the Fiscal Agent to add edit 3406 (History Record Not Found for Adjustment/Void) to the timely filing bypass denial listing, preventing claims denied solely for missing history records from being used to bypass timely filing requirements (FMR 18318). Additionally, the Department directed the Fiscal Agent to research and identify any additional claims paid in error during the audit period because of this system gap (Service ticket 29753). The Department also initiated recoupment of the $170,041.82 overpayment from the provider. Anticipated Completion Date: June 30, 2026.
View Audit 394732
Finding 1187039 (2025-024)
Material Weakness 2025
State of North Carolina
NC
Reporting
FFATA Reporting Not Completed See 2025-023 for the Corrective Action Plan.
FFATA Reporting Not Completed See 2025-023 for the Corrective Action Plan.
View Audit 394732
Finding 1187038 (2025-023)
Material Weakness 2025
State of North Carolina
NC
Subrecipient Monitoring Reporting
FFATA Reporting Not Completed The Division of Social Services Budget Office (Division) implemented a corrective action plan focused on staff training, clearer processes, and accountability as noted below. •A training session was conducted for newly hired staff to ensure understanding of the FFATA re...
FFATA Reporting Not Completed The Division of Social Services Budget Office (Division) implemented a corrective action plan focused on staff training, clearer processes, and accountability as noted below. •A training session was conducted for newly hired staff to ensure understanding of the FFATA reporting requirements. •Staff were cross trained to improve the workflow and reduce disruptions during periods of staff shortages or competing priorities. •The Division has updated its FFATA procedures, and a budget analyst has been assigned to each grant to begin the FFATA reporting process. •The Division is completing fiscal year 2026 FFATA reporting to bring all reporting current as part of ongoing operations. •The Division or designee will oversee the reporting process to ensure accuracy and timely reporting. Anticipated Completion Date: June 30, 2026.
View Audit 394732
Finding 1187037 (2025-022)
Material Weakness 2025
State of North Carolina
NC
Eligibility
Deficiencies In the TANF Eligibility Determination Process The Division of Child Development and Early Education (Division) will provide targeted technical assistance and training to the county in error. The Division will also analyze the error and incorporate this error as a training item in future...
Deficiencies In the TANF Eligibility Determination Process The Division of Child Development and Early Education (Division) will provide targeted technical assistance and training to the county in error. The Division will also analyze the error and incorporate this error as a training item in future regional meetings/trainings for all counties. Anticipated Completion Date: December 31, 2026.
View Audit 394732
Finding 1187036 (2025-021)
Material Weakness 2025
State of North Carolina
NC
Reporting
FFATA Reporting Not Completed See 2025-019 for the Corrective Action Plan.
FFATA Reporting Not Completed See 2025-019 for the Corrective Action Plan.
View Audit 394732
Finding 1187035 (2025-020)
Material Weakness 2025
State of North Carolina
NC
Maintenance of Effort Report Certification Not Completed See 2025-018 for the Corrective Action Plan.
Maintenance of Effort Report Certification Not Completed See 2025-018 for the Corrective Action Plan.
View Audit 394732
Finding 1187034 (2025-019)
Material Weakness 2025
State of North Carolina
NC
Subrecipient Monitoring Reporting
FFATA Reporting Not Completed The Division of Aging has initiated the development of a comprehensive contingency plan that includes: Actions Taken: All subrecipient grant notices for the audited period were uploaded to the FFATA Subaward Reporting System (FSRS). Planned Actions: • Development and Im...
FFATA Reporting Not Completed The Division of Aging has initiated the development of a comprehensive contingency plan that includes: Actions Taken: All subrecipient grant notices for the audited period were uploaded to the FFATA Subaward Reporting System (FSRS). Planned Actions: • Development and Implementation of Standard Operating Procedures (SOPs) including detailed instructions and timelines for identifying applicable subawards and completing FFATA reporting in FSRS. • Cross-training of staff across sections regarding requirements and expectations for FFATA reporting. • Establishing a system to track subawards, monitor reporting deadlines, and verify timely submissions. The Division Director (or their appointed designee) and Section Chief of Planning will oversee implementation and conduct reviews to ensure ongoing compliance. Anticipated Completion Date: June 30, 2026.
View Audit 394732
Finding 1187033 (2025-018)
Material Weakness 2025
State of North Carolina
NC
Eligibility Reporting Internal Control / Segregation of Duties
Maintenance of Effort Report Certification Not Completed The Division of Aging acknowledges the importance of ensuring timely certification and submission of required reports. The Division will complete the following: • Development and Implementation of Standard Operating Procedures (SOPs) including...
Maintenance of Effort Report Certification Not Completed The Division of Aging acknowledges the importance of ensuring timely certification and submission of required reports. The Division will complete the following: • Development and Implementation of Standard Operating Procedures (SOPs) including identification of responsible parties (positions), detailed instructions and guidance for preparing, certifying, and submitting the MOE report. • Cross-training of staff to ensure continuity of reporting functions during periods of turnover or absence. The Division’s Director (or their designee) and the Section Chief of Planning will oversee implementation and conduct reviews to ensure ongoing compliance. Anticipated Completion Date: August 2026.
View Audit 394732
Finding 1187032 (2025-017)
Material Weakness 2025
State of North Carolina
NC
Student Financial Aid Reporting Matching / Level of Effort / Earmarking
Student Enrollment Status Reporting Errors See 2025-009 for the Corrective action Plan.
Student Enrollment Status Reporting Errors See 2025-009 for the Corrective action Plan.
View Audit 394732
Finding 1187031 (2025-016)
Material Weakness 2025
State of North Carolina
NC
Student Financial Aid Subrecipient Monitoring Eligibility
Financial Assistance Disbursed in Excess of Student Eligibility Modified existing report to include the identification of students with dependent status and independent level loans in the absence of a Parent PLUS denial. Added weekly task to Loan Processing calendar to include the review of report. ...
Financial Assistance Disbursed in Excess of Student Eligibility Modified existing report to include the identification of students with dependent status and independent level loans in the absence of a Parent PLUS denial. Added weekly task to Loan Processing calendar to include the review of report. Corrective Action was Completed on: August 25, 2025.
View Audit 394732
Finding 1187030 (2025-015)
Material Weakness 2025
State of North Carolina
NC
Student Financial Aid Reporting Matching / Level of Effort / Earmarking
No Internal Controls Over Student Enrollment Status Reporting See 2025-008 for the Corrective Action Plan.
No Internal Controls Over Student Enrollment Status Reporting See 2025-008 for the Corrective Action Plan.
View Audit 394732
Finding 1187029 (2025-014)
Material Weakness 2025
State of North Carolina
NC
Student Financial Aid Reporting Matching / Level of Effort / Earmarking
No Internal Controls Over Student Enrollment Status Reporting See 2025-007 for the Corrective Action Plan.
No Internal Controls Over Student Enrollment Status Reporting See 2025-007 for the Corrective Action Plan.
View Audit 394732
Finding 1187028 (2025-013)
Material Weakness 2025
State of North Carolina
NC
Student Financial Aid Subrecipient Monitoring Eligibility
Financial Assistance Disbursed in Excess of Student Eligibility In September and October 2025, the Director of Student Financial Aid reminded the team members of the mandatory process step which requires them to review each student’s loan history in the NSLDS (National Student Loan Data System) and ...
Financial Assistance Disbursed in Excess of Student Eligibility In September and October 2025, the Director of Student Financial Aid reminded the team members of the mandatory process step which requires them to review each student’s loan history in the NSLDS (National Student Loan Data System) and place a copy of the NSLDS history in the student’s financial aid file as evidence of their review. A review process to confirm compliance was implemented in the fall 2025 semester. An Assistant Director in the Office of Student Financial Aid is responsible for performing audits of our internal files to confirm that the NSLDS reviews are documented. The Assistant Director also provides remediation to any team member whose records are not in compliance. The University has already repaid the over-award amount. Corrective action was completed on: October 29, 2025.
View Audit 394732
Finding 1187027 (2025-012)
Material Weakness 2025
State of North Carolina
NC
Student Financial Aid Reporting Matching / Level of Effort / Earmarking
Student Enrollment Status Reporting Errors See 2025-006 for the Corrective Action Plan.
Student Enrollment Status Reporting Errors See 2025-006 for the Corrective Action Plan.
View Audit 394732
Finding 1187026 (2025-011)
Material Weakness 2025
State of North Carolina
NC
Financial Assistance Disbursed Without Evaluating Satisfactory Academic Progress See 2025-005 for the Corrective Action Plan.
Financial Assistance Disbursed Without Evaluating Satisfactory Academic Progress See 2025-005 for the Corrective Action Plan.
View Audit 394732
Finding 1187025 (2025-010)
Material Weakness 2025
State of North Carolina
NC
Student Financial Aid Reporting Matching / Level of Effort / Earmarking
No Internal Controls Over Student Enrollment Status Reporting See 2025-003 for the Corrective Action Plan.
No Internal Controls Over Student Enrollment Status Reporting See 2025-003 for the Corrective Action Plan.
View Audit 394732
Finding 1187024 (2025-009)
Material Weakness 2025
State of North Carolina
NC
Student Financial Aid Subrecipient Monitoring Eligibility
Student Enrollment Status Reporting Errors Collaborate with UNCG Information Technology Services (ITS) to create an automated process to correctly report enrollment status changes with appropriate status dates to the National Student Loan Database System (NSLDS) via the National Clearinghouse (NSC) ...
Student Enrollment Status Reporting Errors Collaborate with UNCG Information Technology Services (ITS) to create an automated process to correctly report enrollment status changes with appropriate status dates to the National Student Loan Database System (NSLDS) via the National Clearinghouse (NSC) when a student adds, drops, or withdraws from one or more (but not all) courses. Develop written policies and procedures that detail how the automated processing reports data, how manual updates are made, how to respond to error reports, and when/how to test samples at NSC and NSLDS on a recurring basis to ensure the process is working as intended. The written policies and procedures will identify key positions within the University Registrar Office and Office of Financial Aid and Scholarships and what each position is responsible for including regularly testing enrollment reporting to ensure NSC and NSLDS are up to date based on the latest enrollment reporting file. Anticipated Completion Date: April 3, 2026.
View Audit 394732
Finding 1187023 (2025-008)
Material Weakness 2025
State of North Carolina
NC
Student Financial Aid Subrecipient Monitoring Eligibility § 200.303
No Internal Controls Over Student Enrollment Status Reporting Financial Aid Control for NSLDS Enrollment Reporting: •Enrollment is reported via the National Student Clearinghouse by the Registrar. •Financial Aid Staff (Associate Director of Financial Aid) will pull a list of enrolled students for th...
No Internal Controls Over Student Enrollment Status Reporting Financial Aid Control for NSLDS Enrollment Reporting: •Enrollment is reported via the National Student Clearinghouse by the Registrar. •Financial Aid Staff (Associate Director of Financial Aid) will pull a list of enrolled students for the semester and create a sample population for the control check. •Financial Aid Staff (Associate Director of Financial Aid) will Ched each individual student in the Enrollment section of NSLDS to ensure the student's enrollment status has been reported correctly. •Financial Aid Staff (Associate Director of Financial Aid) will perform this check 2-3 weeks after census each semester and document the check in the quality control folder in the shared drive. Corrective Action was Completed on: December 5, 2025.
View Audit 394732
Finding 1187022 (2025-007)
Material Weakness 2025
State of North Carolina
NC
Student Financial Aid Subrecipient Monitoring Eligibility
No Internal Controls Over Student Enrollment Status Reporting Like many schools, ECU relies on the National Student Clearinghouse (NSC) to submit student enrollment status data to the NSLDS (National Student Loan Data System). In response to the audit recommendation, an Assistant Director in the Off...
No Internal Controls Over Student Enrollment Status Reporting Like many schools, ECU relies on the National Student Clearinghouse (NSC) to submit student enrollment status data to the NSLDS (National Student Loan Data System). In response to the audit recommendation, an Assistant Director in the Office of Student Financial Aid has been assigned to regularly review automated reports that identify students whose data in the ECU, NSC, and NSLDS databases doesn’t match. (This task was not completed during the audit period due to position vacancies.) When a student is identified on the error report, the Assistant Director reviews the data in ECU’s student system and the NSLDS to determine the differences and the root cause of the problem. The Financial Aid Office and/or Registrar Office then takes corrective action to ensure the NSLDS record and ECU’s record matches. Corrective action was completed on: October 1, 2025.
View Audit 394732
Finding 1187021 (2025-006)
Material Weakness 2025
State of North Carolina
NC
Student Financial Aid Reporting
Student Enrollment Status Reporting Errors The NSC Parameter Definition (SITS) form in Colleague will be updated to report only active courses at census. As a result of this change, the first of term enrollment submissions to NSCH will reflect all courses enrolled during the semester, and the subseq...
Student Enrollment Status Reporting Errors The NSC Parameter Definition (SITS) form in Colleague will be updated to report only active courses at census. As a result of this change, the first of term enrollment submissions to NSCH will reflect all courses enrolled during the semester, and the subsequent enrollment submissions will only report active courses at the time of the submission. This should accurately report enrollment status changes due to latter 8-week term course enrollment. The update will take place for the Spring 2026 first-of-term submission scheduled for January 30, 2026. Anticipated Completion Date: February 1, 2026.
View Audit 394732
Finding 1187020 (2025-005)
Material Weakness 2025
State of North Carolina
NC
Eligibility Student Financial Aid Matching / Level of Effort / Earmarking
Financial Assistance Disbursed Without Evaluating Satisfactory Academic Progress SAP Policies and Procedures will be updated to include running the new SAP report during the ISIR Load Process, prior to submitting disbursements, and during the End of Term SAP Evaluation Process to ensure SAP is evalu...
Financial Assistance Disbursed Without Evaluating Satisfactory Academic Progress SAP Policies and Procedures will be updated to include running the new SAP report during the ISIR Load Process, prior to submitting disbursements, and during the End of Term SAP Evaluation Process to ensure SAP is evaluated on all financial aid students. Anticipated Completion Date: February 1, 2026.
View Audit 394732
Finding 1187019 (2025-004)
Material Weakness 2025
State of North Carolina
NC
Student Financial Aid Subrecipient Monitoring Eligibility
Student Enrollment Status Reporting Errors Craven Community College (College) received guidance from the North Carolina System Office to improve the accuracy and timeliness of enrollment reporting. The new process involves updating Colleague system parameters to enhance data gathering and streamline...
Student Enrollment Status Reporting Errors Craven Community College (College) received guidance from the North Carolina System Office to improve the accuracy and timeliness of enrollment reporting. The new process involves updating Colleague system parameters to enhance data gathering and streamline report submissions. The College added an additional report submission following each term to capture graduation status changes. These changes were implemented in September 2025. The College changed the enrollment report submission date to capture student status changes in a timely manner. This change was implemented in September 2025. An Internal Control Process (ICP) will be developed that outlines steps to be taken to conduct two self-audits each semester. The ICP will be located on the college’s shared drive accessible by all employees. The ICP will be available by March 1, 2026. The College will self-audit student records submitted to the National Clearinghouse and National Student Loan Data System (NSLDS) twice per semester at the mid-point and at end-of-term. The self-audit will be conducted by the Executive Director of Financial Aid and the Director of Admissions and Student Records. The Directors will review a total of 50 files per audit. A record of each audit will be stored on the secured shared directory. The shared directory can only be accessed by the staff in Student Services. The first self-audit will occur during March 2026. Anticipated Completion Date: June 30, 2026.
View Audit 394732
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