Corrective Action Plans

Finding 8254 (2023-001)

Significant Deficiency 2023

ND

Subrecipient Monitoring

TMCC will have a meeting with current and future grant directors to emphasize the importance of thoroughly reading grant requirements as spelled out in award notices. Going forward, TMCC will provide orientation for new directors in coordination with the sponsored programs office to review the detai...

TMCC will have a meeting with current and future grant directors to emphasize the importance of thoroughly reading grant requirements as spelled out in award notices. Going forward, TMCC will provide orientation for new directors in coordination with the sponsored programs office to review the details in grant award notices including reporting requirements and budgeted line items.

View Audit 10912

Finding 8249 (2022-001)

None 2023

Kula No Na Po`e Hawai`i

HI

Management will continue to complete annual audits within the prescribed due dates. Management will monitor accounting function needs as to provide more timely updated information.

View Audit 10885

Finding 8236 (2023-001)

Significant Deficiency 2023

School District of Lomira

WI

Internal Control / Segregation of Duties

In response, the District agrees and intends to continue to provide supervision and monitor accounting information and operations including obtaining explanations for variances from unexpected results and work to increase segregation of duties. In addition to monthly review and Board approval of th...

In response, the District agrees and intends to continue to provide supervision and monitor accounting information and operations including obtaining explanations for variances from unexpected results and work to increase segregation of duties. In addition to monthly review and Board approval of the voucher list, detailed check register, and itemized revenue and expenditure statements relative to the yearly approved district budget, the Administrator will also review the monthly bank reconciliations, payroll records, and accounting information to determine if expectations are being met, as well as to obtain explanations for any variations.

View Audit 10868

Finding 8232 (2023-004)

Significant Deficiency 2023

Sheboygan Area School District

WI

Procurement, Suspension & Debarment Subrecipient Monitoring Matching / Level of Effort / Earmarking

This is no disagreement with the finding. Management immediately began to review policies and procedures.

View Audit 10863

Finding 8218 (2023-004)

Material Weakness 2023

City of Albemarle

NC

Questioned Costs Allowable Costs / Cost Principles Eligibility

Name of Contact Person: Jacob Weavil, Finance Director Corrective Action/Management's Reponse: Regarding payroll records, the City is converting to Tyler Time and Attendence which will be a cloud based time keeping software. This will provide the same additional layer of backup support as the clo...

Name of Contact Person: Jacob Weavil, Finance Director Corrective Action/Management's Reponse: Regarding payroll records, the City is converting to Tyler Time and Attendence which will be a cloud based time keeping software. This will provide the same additional layer of backup support as the cloud-based storage for internal files. All payrolls starting from the first pay period after the network event are being racked with phyiscal timecards submitted by Departments on a bi-weekly basis. Propsed Completion Date: Immediately and ongoing.

View Audit 10852 Questioned Costs: $1

Finding 8217 (2023-003)

Material Weakness 2023

City of Albemarle

NC

Questioned Costs Eligibility HUD Housing Programs

Name of Contact Person: Michael Ferris, City Manager Corrective Action/Management's Response: The City has filled the vacant Director position in Public Housing with a temporary consultant who specializes in Housing and Urban Development (HUD) programs. This individual is assisting with training ...

Name of Contact Person: Michael Ferris, City Manager Corrective Action/Management's Response: The City has filled the vacant Director position in Public Housing with a temporary consultant who specializes in Housing and Urban Development (HUD) programs. This individual is assisting with training Housing staff and reviewing current internal controls to make improvements to operations. Proposed Completion Date: Immediately and ongoing.

View Audit 10852 Questioned Costs: $1

Finding 8216 (2023-002)

Material Weakness 2023

City of Albemarle

NC

Procurement, Suspension & Debarment

Name of Contact Person: Michael Ferris, City Manager Corrective Action/Management's Response: The City recognizes the importance of following policy. The Finance Department provides guidance and training on procedures to follow the purchasing policy and gives routine feedback on even minor infra...

Name of Contact Person: Michael Ferris, City Manager Corrective Action/Management's Response: The City recognizes the importance of following policy. The Finance Department provides guidance and training on procedures to follow the purchasing policy and gives routine feedback on even minor infractions to continually look for areas of improvement. If training and guidance do not resolve issues in a timely manner repeated violations are reported to City Adminstration for personnel action to be taken, up to and including termination. Moving Forward, the Finance Department will maintain a list of employees in every department who are authorized to conduct business on behalf of the City. Only individuals who have gone through training of City policy and have shown sufficient knowledge of the policy and procedures will be eligible to be on the list, must go through annual recertification training to remian eligible. Proposed Completion Date: Immediately and ongoing.

View Audit 10852

Finding 8211 (2023-002)

Significant Deficiency 2023

Colorado Perinatal Care Quality Collaborative

CO

Internal Control / Segregation of Duties

Condition – The Organization does not have sufficient internal controls to ensure proper approval of invoices of federal award expenses. Approval documentation for the payment of seven invoices was not maintained. Recommendation – We recommend the Organization implements a policy to ensure retention...

Condition – The Organization does not have sufficient internal controls to ensure proper approval of invoices of federal award expenses. Approval documentation for the payment of seven invoices was not maintained. Recommendation – We recommend the Organization implements a policy to ensure retention of approval documentation. Views of Responsible Officials and Planned Corrective Actions – Management agrees with the finding and has taken steps to ensure documentation and processes are adhered to. Date of Completion – 7/31/2023 Action Taken – Management has implemented additional procedures for invoice approvals to ensure documentation and processes are adhered to including educating staff with an approval matrix, incorporating approvals process into project management system and new system for retention of written approvals. Person Responsible for Corrective Action Plan – Rebecca Alderfer, Chief Executive Officer

View Audit 10794

Finding 8210 (2023-001)

Significant Deficiency 2023

Colorado Perinatal Care Quality Collaborative

CO

Allowable Costs / Cost Principles Internal Control / Segregation of Duties

Condition – The Organization does not have sufficient internal controls to ensure proper allocations of payroll related to various programs. Recommendation – We recommend the Organization implements a policy in which employees are required to track their time based on the specific programs in order ...

Condition – The Organization does not have sufficient internal controls to ensure proper allocations of payroll related to various programs. Recommendation – We recommend the Organization implements a policy in which employees are required to track their time based on the specific programs in order to ensure that the time and effort costs are properly allocated to federal awards. Views of Responsible Officials and Planned Corrective Actions – Management agrees with the finding and has taken steps to ensure the accuracy of time and effort costs. Date of Completion – 9/30/2023 Action Taken – Management has implemented additional procedures for time tracking within their payroll system to ensure the proper allocation and approval of payroll related costs are based on actual time and effort toward the federal award. Person Responsible for Corrective Action Plan – Rebecca Alderfer, Chief Executive Officer

View Audit 10794

Finding 8204 (2023-001)

Significant Deficiency 2023

Kanawha Valley Regional Transportation Authority

WV

Procurement, Suspension & Debarment § 200.303 § 200.318

2023-001 PROCUREMENT Recommendation: We recommend that the Authority implement controls to ensure that entities are not debarred, suspended, or otherwise excluded and that adequate supporting documentation is maintained. Action Taken: The Authority has implemented proper controls and procedures to...

2023-001 PROCUREMENT Recommendation: We recommend that the Authority implement controls to ensure that entities are not debarred, suspended, or otherwise excluded and that adequate supporting documentation is maintained. Action Taken: The Authority has implemented proper controls and procedures to ensure that entities that the Authority plans to enter a covered transaction with are not debarred, suspended, or other otherwise excluded. This includes performing the necessary due diligence to verify the particular vendor in question is not debarred, suspended, or other excluded. Additionally, the Authority plans to adopt additional policies and procedures to ensure that all procurement policies and procedures within the Authority's procurement manual are being followed, and that adequate documentation of these procedures is being maintained.

View Audit 10787

Finding 8198 (2023-001)

Material Weakness 2023

Kuna School District

ID

Procurement, Suspension & Debarment Material Weakness School Nutrition Programs

Date 09/22/2023 Finding 2023-001 Federal Agency Name: U.S. Department of Agriculture (USDA) Program Name: Child Nutrition Program Cluster Assistance Listing # (10.553,10.555,10.559) Finding Summary The procurement of Shamrock Foods during August of 2022 was not presented to and approved by th...

Date 09/22/2023 Finding 2023-001 Federal Agency Name: U.S. Department of Agriculture (USDA) Program Name: Child Nutrition Program Cluster Assistance Listing # (10.553,10.555,10.559) Finding Summary The procurement of Shamrock Foods during August of 2022 was not presented to and approved by the Board as required by the District’s procurement policies. Total purchases were $419,154 during fiscal year 2023. Response from Kuna School District The districts followed the RFP bid process as outlined in CRF 200 and the Idaho Code. Shamrock Foods was the only company that responded to the RFP, and they are known as the sole vendor in the area with this capability. The Kuna School District acknowledges that the final internal step, a second presentation to the board, did not occur. In reviewing the process, the district identified the cause as a change in personnel with authority over the program. In response, the School District has added a new layer of control. Now, when different departments engage in procurement, they will go through the business department. Afterward, they must submit all approved contracts to the business department, along with a detailed completed checklist of the entire procurement process. Additionally, it will be mandatory to include all supporting documents with the contract. Anticipated Completion Date: September -October 2023: additional procurement training. Effective November 2023, it will be mandatory to include all supporting documents with the contract. The contact person responsible for implementation of the corrective action plan: Elmira Feather, CFO.

View Audit 10776

Finding 8196 (2023-001)

Significant Deficiency 2023

Care Resource Community Health Centers, Inc. and Related Entity

FL

Reporting Matching / Level of Effort / Earmarking Internal Control / Segregation of Duties

CORRECTIVE ACTION PLAN October 23, 2023 Health Resources and Services Administration Care Resource Community Health Centers, Inc. respectfully submits the following corrective action plan for the year ended June 30, 2023. ____________________________________________________________________________...

CORRECTIVE ACTION PLAN October 23, 2023 Health Resources and Services Administration Care Resource Community Health Centers, Inc. respectfully submits the following corrective action plan for the year ended June 30, 2023. ____________________________________________________________________________________ CohnReznick LLP 1301 Avenue of the Americas New York, NY 10019 Audit Period: June 30, 2023 The findings from the June 30, 2023 schedule of findings and questioned costs are discussed below. The findings are numbered consistently with the number assigned in the schedule. FINDINGS – FEDERAL AWARDS PROGRAM AUDIT U.S. Department of Health and Human Services, Opioid STR (Assistance Listing Number 93.788) Finding 2023-001 – Reporting SIGNIFICANT DEFICIENCY We recommend that the Center strengthen their system of internal controls to ensure that all reporting requirements are monitored and met on a timely basis. Action Taken Management agrees with the audit finding and will strengthen internal controls and accountability to correct the deficiency. This deficiency has been corrected as of the current date. During the fiscal year, there was a data element change in the Carisk portal that required an “evaluation score” to be added to the performance outcome measures. This was not previously required. Although data was uploaded on a monthly basis to the Carisk portal, the change caused the data to be rejected as an “error” resulting in measures not being uploaded. This was discovered in the BBHC February 2023 desk review of July - December 2022 data. A corrective action plan was recommended, prepared, and accepted by BBHC. The “evaluation score” was not part of the template in the electronic medical record (NextGen) therefore data could not be uploaded and was rejected. Once discovered, the data element was added to the template within the electronic medical record and data uploads of performance outcome measures were able to be extracted and successfully uploaded to the Carisk portal. The screening tool to produce the “evaluation score” is being added to the electronic health record and will be included in the workflow of the Behavioral Health Providers so that it may be captured for performance outcomes and discharges. This process requires the Care Resource Data Analytics team and external data consultants and service providers to create the templates. During the fiscal year, invoices are due on the 10th of the month unless the tenth falls on a weekend or a holiday in which case the invoices are due the following business day. There are times where extensions are necessary due to portal uploads or data corrections. Approval is given by the contract manager of BBHC. Approvals have been granted verbally and in writing (email). In the case of the invoice for the month of May 2023, verbal approval was provided, however not documented. In the future, all requests if approved verbally, will be confirmed in writing (email) to ensure proper supporting documentation of the approval. If the Health Resources and Services Administration has questions regarding this plan, please call Keenan Karwan, Chief Financial Officer at 305 - 576-1234 x203. Sincerely yours, Keenan Karwan

View Audit 10762

Finding 8195 (2023-003)

Significant Deficiency 2023

Washington County

NC

Eligibility

Finding: 2023-003 Name of Contact Person: Tammy Mixon, Medicaid Supervisor Corrective Action: Proposed Completion Date: Section III. Federal Award Findings and Questioned Costs Missy Dixon, Finance Officer COUNTY OF WASHINGTON BOARD OF COMMISSIONERS The County Finance Office had already identified t...

Finding: 2023-003 Name of Contact Person: Tammy Mixon, Medicaid Supervisor Corrective Action: Proposed Completion Date: Section III. Federal Award Findings and Questioned Costs Missy Dixon, Finance Officer COUNTY OF WASHINGTON BOARD OF COMMISSIONERS The County Finance Office had already identified this issue and had added the costs to our Fixed Asset List indicating that these expenses were prior period. Both the Finance Officer and the Deputy Finance Officer have always and will continue to add and review purchases and projects throughout the fiscal year and at year end with our Contracted CPA. Immediately For the Year Ended June 30, 2023 POST OFFICE BOX 1007 Corrective Action Plan PLYMOUTH, NORTH CAROLINA 27962 OFFICE (252) 793-5823 FAX (252) 793-1183 Section II. Financial Statement Findings This was discussed with our OST Rep. and received clarification of policy on 09/15/2023 by conference call and now Adult workers are following clarification by policy to claim 100% of account, unless written statements change approval criteria. Staff was advised by phone conference with the Operation Support Team staff member Paula Taylor on 9/15/2023 regarding policy clarification on joint bank accounts (other than spouse), and follow up email was received from Ms. Taylor same date and forwarded to staff from Supervisor. Caseworkers have been reminded and trained by state Webinar that the Work Number (TWN) must not be run outside of NC Fast. There is no exception for running TWN unless advised otherwise by state personnel. Caseworkers must reach out to Supervisor for a ticket to be authorized by the state prior to running TWN outside of NC Fast. This case was completed before the 8/24/2021 training about TWN. TWN training was on 10/12/2023 and 2 Fact Sheets were forwarded to the caseworkers the same day which was provided on 10/12/2023 to go with the training. Medicaid workers also heard about TWN being required in NCFAST (page 47) in March 2023 (3/8/, 3/14, 3/16, 3/21) training provided to Medicaid Workers titled 2023 Recertification Refresher Training and the PDF of that training was provided on 5/22/2023 to staff and forwarded same day to caseworkers. Also the Q & A sent to workers on 4/4/2023 and updated to include the TWN guidance on 4/25/2023 attached TWN questions from the March 2023 was forwarded to caseworkers the same day.

View Audit 10750

Finding 8194 (2023-002)

Significant Deficiency 2023

Washington County

NC

Eligibility

Finding: 2023-002 Name of Contact Person: Tammy Mixon, Medicaid Supervisor Corrective Action: Proposed Completion Date: Finding: 2023-003 Name of Contact Person: Tammy Mixon, Medicaid Supervisor Corrective Action: Proposed Completion Date: Section III. Federal Award Findings and Questioned Costs Mis...

Finding: 2023-002 Name of Contact Person: Tammy Mixon, Medicaid Supervisor Corrective Action: Proposed Completion Date: Finding: 2023-003 Name of Contact Person: Tammy Mixon, Medicaid Supervisor Corrective Action: Proposed Completion Date: Section III. Federal Award Findings and Questioned Costs Missy Dixon, Finance Officer COUNTY OF WASHINGTON BOARD OF COMMISSIONERS The County Finance Office had already identified this issue and had added the costs to our Fixed Asset List indicating that these expenses were prior period. Both the Finance Officer and the Deputy Finance Officer have always and will continue to add and review purchases and projects throughout the fiscal year and at year end with our Contracted CPA. Immediately For the Year Ended June 30, 2023 POST OFFICE BOX 1007 Corrective Action Plan PLYMOUTH, NORTH CAROLINA 27962 OFFICE (252) 793-5823 FAX (252) 793-1183 Section II. Financial Statement Findings This was discussed with our OST Rep. and received clarification of policy on 09/15/2023 by conference call and now Adult workers are following clarification by policy to claim 100% of account, unless written statements change approval criteria. Staff was advised by phone conference with the Operation Support Team staff member Paula Taylor on 9/15/2023 regarding policy clarification on joint bank accounts (other than spouse), and follow up email was received from Ms. Taylor same date and forwarded to staff from Supervisor.

View Audit 10750

Finding 8193 (2023-003)

Significant Deficiency 2023

High Desert Education Service District

OR

Allowable Costs / Cost Principles

Description of Finding: The District was not able to provide time and effort documentation to support the salaries charged to the High School Equivalency grant. Statement of Concurrence: The District agrees with this finding. Corrective Action: We allocate payroll costs amongst various programs base...

Description of Finding: The District was not able to provide time and effort documentation to support the salaries charged to the High School Equivalency grant. Statement of Concurrence: The District agrees with this finding. Corrective Action: We allocate payroll costs amongst various programs based on budgeted estimates of time. Moving forward, we will implement processes, where appropriate, to verify that actual time spent working on a specific cost objective is substantiated by appropriate time and effort documentation. Projected Completion Date: This matter has been resolved.

View Audit 10748

Finding 8192 (2023-002)

Significant Deficiency 2023

High Desert Education Service District

OR

Allowable Costs / Cost Principles Cash Management

Description of Finding: The District lacked appropriate internal controls to ensure that allowable costs are charged to federal programs in the applicable fiscal year. Statement of Concurrence: The District agrees with this finding. Corrective Action: We will review relevant processes to ensure that...

Description of Finding: The District lacked appropriate internal controls to ensure that allowable costs are charged to federal programs in the applicable fiscal year. Statement of Concurrence: The District agrees with this finding. Corrective Action: We will review relevant processes to ensure that there are appropriate controls in place to capture allowable costs within the applicable fiscal period. Projected Completion Date: We expect this matter to be resolved by the end of January 2024.

View Audit 10748

Finding 8191 (2023-001)

None 2023

High Desert Education Service District

OR

Questioned Costs Allowable Costs / Cost Principles

Description of Finding: The District charged prior period wages and associated payroll costs to the High School Equivalency Program award. While the costs are allowable and within the grant period, a waiver from the federal agency allowing prior-year costs was not obtained. This results in a questio...

Description of Finding: The District charged prior period wages and associated payroll costs to the High School Equivalency Program award. While the costs are allowable and within the grant period, a waiver from the federal agency allowing prior-year costs was not obtained. This results in a questioned cost of $35,844. Statement of Concurrence: The District agrees with this finding. Corrective Action: We have communicated with the federal agency overseeing this grant, and have requested approval and a documented waiver. This is currently being reviewed by the agency. We believe that these questioned costs are allowable and in line with the requirements of the grant. If the requested waiver is denied, the District will utilize alternative funding to cover the questioned costs. Projected Completion Date: We expect this matter to be resolved by the end of January 2024.

View Audit 10748 Questioned Costs: $1

Finding 8190 (2023-001)

Significant Deficiency 2023

Hammond Urban Academy, Inc.

IN

Reporting Significant Deficiency Matching / Level of Effort / Earmarking § 200.329

Donovan CPAs 9292 N. Meridian St, Ste 150 Indianapolis, IN. 46260 Attn: Jacob Stephenson Re: Response to Audit - 7/1/22 - 6/30/23 Single Audit December 21, 2023 Regarding Finding 2023-001 Reporting Significant Deficiency occurred as a result of inadequate controls to ensure accurate reporting to ...

Donovan CPAs 9292 N. Meridian St, Ste 150 Indianapolis, IN. 46260 Attn: Jacob Stephenson Re: Response to Audit - 7/1/22 - 6/30/23 Single Audit December 21, 2023 Regarding Finding 2023-001 Reporting Significant Deficiency occurred as a result of inadequate controls to ensure accurate reporting to eh DOE. Correct 1.Regarding Finding 2023-001 Reporting Significant Deficiency occurred as a result of inadequate controls to ensure accurate reporting to the DOE. Corrective Action Plan as Follows: a. Deborah Czmiel (CFO) will request grant reports which include total expenses for each federal grant from BPI for the reporting period. b. Deborah Czmiel (CFO), Deborah Snedden (Superintendent) and Jeff Wood (Asst Superintendent) will compare grant reports from BPI to financial statements. Any discrepancies will be addressed and resolved by Deborah Czmiel (CFO) prior to submission of final report. c. Deborah Czmiel (CFO) will complete and submit the final reports, after the expense totals have been confirmed and reconciled. With collaboration of the administrative team and the proper checks and balances as identified above any future inaccurate submissions will not occur. Respectfully, Deborah s. Czmiel CFO/Business Manager

View Audit 10746

Finding 8183 (2023-003)

Significant Deficiency 2023

Lawrence Technological University

MI

Student Financial Aid Matching / Level of Effort / Earmarking Significant Deficiency

Condition: The University had one of the minimum safeguards written down within its information security program during the fiscal year. Planned Corrective Action: The University does have information security controls in place. While we have implemented these controls and safeguards, we acknowledg...

Condition: The University had one of the minimum safeguards written down within its information security program during the fiscal year. Planned Corrective Action: The University does have information security controls in place. While we have implemented these controls and safeguards, we acknowledge they are not documented in our formal policies. Our corrective action is to have these controls formalized and documented in the coming year. Contact person responsible for corrective action: Linda L Height, VP Finance Anticipated Completion Date: June 30, 2024

View Audit 10743

Finding 8179 (2023-002)

Significant Deficiency 2023

Lawrence Technological University

MI

Student Financial Aid Matching / Level of Effort / Earmarking Significant Deficiency

Condition: The University did not report certain students' status to NSLDS in a timely manner during the fiscal year Planned Corrective Action: The University Team will review status updates for all students that continue enrollment from one semester to another (May to Summer) to be sure their previ...

Condition: The University did not report certain students' status to NSLDS in a timely manner during the fiscal year Planned Corrective Action: The University Team will review status updates for all students that continue enrollment from one semester to another (May to Summer) to be sure their previous and new status both appear in NSLDS. All the students that were identified had continued with a new degree program in the summer, so the corrective action plan we are implementing will catch any issue before their new enrollment information is updated to NSLDS. Contact person responsible for corrective action: Noreen Ferguson, Registrar Anticipated Completion Date: December 31, 2023

View Audit 10743

Finding 8178 (2023-001)

Significant Deficiency 2023

Lawrence Technological University

MI

Reporting Significant Deficiency

Condition: The institutional report for the quarter ended September 30, 2022 was inaccurate. Planned Corrective Action: LTU has completed using all HEERF funds and have closed our reporting to them. No further reports will be required. Contact person responsible for corrective action: Linda L Hei...

Condition: The institutional report for the quarter ended September 30, 2022 was inaccurate. Planned Corrective Action: LTU has completed using all HEERF funds and have closed our reporting to them. No further reports will be required. Contact person responsible for corrective action: Linda L Height, VP Finance Anticipated Completion Date: N/A

View Audit 10743

Finding 8167 (2023-001)

Significant Deficiency 2023

Central Carolina Technical College

SC

Student Financial Aid Allowable Costs / Cost Principles

Name of Contact Person Responsible for the Corrective Action Plan: Beth Young Corrective Action Plan: The College administration has met and is in the process of implementing controls and procedures to ensure that all Title IV funds are properly monitored and reviewed. Anticipated Completion Date: F...

Name of Contact Person Responsible for the Corrective Action Plan: Beth Young Corrective Action Plan: The College administration has met and is in the process of implementing controls and procedures to ensure that all Title IV funds are properly monitored and reviewed. Anticipated Completion Date: Fiscal year 2024.

View Audit 10720

Finding 8163 (2023-001)

Material Weakness 2023

Johnson University

TN

Student Financial Aid Material Weakness Matching / Level of Effort / Earmarking

Finding Reference Number: 2023-001 Initial Fiscal Year: 2023 Summary of Finding: Material Weakness: Gramm-Leach-Bliley Act (GLBA) (U.S. Department of Education, William D. Ford Direct Loan Program, ALN #84.268) Entity’s Corrective Action Plan Due to turnover within the IT Department, GLBA requiremen...

Finding Reference Number: 2023-001 Initial Fiscal Year: 2023 Summary of Finding: Material Weakness: Gramm-Leach-Bliley Act (GLBA) (U.S. Department of Education, William D. Ford Direct Loan Program, ALN #84.268) Entity’s Corrective Action Plan Due to turnover within the IT Department, GLBA requirements were not communicated well to incoming staff or to the organization. Once GLBA requirements were discovered, a plan was developed to begin implementing GLBA controls and revise our security plan. The plan to bring the organization into GLBA compliance was developed for the 2023-2024 school year and was not in effect before this audit. The IT Department, and key stakeholders within the organization, are working to ensure GLBA compliance within the next year.. Anticipated Completion Date: September 21, 2023 Name and Title of Responsible Person: Luke Edwards, Director of IT.

View Audit 10714

Finding 8162 (2023-006)

Significant Deficiency 2023

Johnson University

TN

Student Financial Aid Matching / Level of Effort / Earmarking Procurement, Suspension & Debarment

Finding Reference Number: 2023-006 Initial Fiscal Year: 2023 Summary of Finding: Significant Deficiency: Exit Counseling (U.S. Department of Education, William D. Ford Direct Loan Program, ALN #84.268) Entity’s Corrective Action Plan Corrective Action Plan Summary: Once IT was made aware of the issu...

Finding Reference Number: 2023-006 Initial Fiscal Year: 2023 Summary of Finding: Significant Deficiency: Exit Counseling (U.S. Department of Education, William D. Ford Direct Loan Program, ALN #84.268) Entity’s Corrective Action Plan Corrective Action Plan Summary: Once IT was made aware of the issues, we implemented changes to the process. The action code was discontinued, and our database administrator developed a custom database table used only for tracking Financial Aid communications. This custom table tracks the student’s organizational ID number, email address, communication code (EXIT for exit counseling emails), date/time the email was processed, and the status returned by the process used to send emails. Please note that this status only checks whether the process succeeded, it does not check whether the email was successfully sent. The Financial Aid Department is still copied in all emails sent at their main email address (currently FinancialAidTN@Johnsonu.edu). The Financial Aid Department has the responsibility to alert the IT Department if they are not receiving emails as expected. Once the IT Department has been alerted of an issue, the IT Department can start working to resolve the issue. For long-term reliability of communications, Johnson University has purchased and is implementing a new Financial Aid software platform. This will give us an opportunity to work towards reliable communications, not just reliable logging of process failures or successes. Anticipated Completion Date: September 21, 2023 Explanation: The corrective action plan was taken to resolve the prior year finding, helping to ensure that future dates are accurate. Name and Title of Responsible Person: Luke Edwards, Director of IT.

View Audit 10714

Finding 8161 (2023-005)

Significant Deficiency 2023

Johnson University

TN

Procurement, Suspension & Debarment Student Financial Aid Significant Deficiency

Finding Reference Number: 2023-005 Initial Fiscal Year: 2023 Summary of Finding: Significant Deficiency: Disbursement Notifications (U.S. Department of Education, William D. Ford Direct Loan Program, ALN #84.268) Entity’s Corrective Action Plan Corrective Action Plan Summary: Once IT was made aware ...

Finding Reference Number: 2023-005 Initial Fiscal Year: 2023 Summary of Finding: Significant Deficiency: Disbursement Notifications (U.S. Department of Education, William D. Ford Direct Loan Program, ALN #84.268) Entity’s Corrective Action Plan Corrective Action Plan Summary: Once IT was made aware of the issues, we implemented changes to the process. The action code was discontinued, and our database administrator developed a custom database table used only for tracking Financial Aid communications. This custom table tracks the student’s organizational ID number, email address, communication code (MAND for mandatory loan emails), date/time the email was processed, and the status returned by the process used to send emails. Please note that this status only checks whether the process succeeded, it does not check whether the email was successfully sent. The Financial Aid Department is still copied in all emails sent at their main email address (currently FinancialAidTN@Johnsonu.edu). The Financial Aid Department has the responsibility to alert the IT Department if they are not receiving emails as expected. Once the IT Department has been alerted of an issue, the IT Department can start working to resolve the issue. For long-term reliability of communications, Johnson University has purchased and is implementing a new Financial Aid software platform. This will give us an opportunity to work towards reliable communications, not just reliable logging of process failures or successes. Anticipated Completion Date: September 21, 2023 Explanation: The corrective action plan was taken to resolve the prior year finding, helping to ensure that future dates are accurate. Name and Title of Responsible Person: Luke Edwards, Director of IT.

View Audit 10714

Corrective Action Plans

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