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Corrective Action Plans

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Finding 2129 (2023-001)
Significant Deficiency 2023
Streator Esd No. 44
IL
Subrecipient Monitoring Material Weakness Reporting
The District will improve segregation of grant expenditures to ensure the amounts claimed agree to the general ledger. The District will also increase review and oversight of grant reporting to ensure accuracy.
The District will improve segregation of grant expenditures to ensure the amounts claimed agree to the general ledger. The District will also increase review and oversight of grant reporting to ensure accuracy.
View Audit 3688
Finding 2124 (2023-001)
Significant Deficiency 2023
McCook Public School District No 17
NE
Internal Control / Segregation of Duties
The entity's Board continually evaluates the distribution of duties to employees and closely monitors all accounting functions. The School District has implemented controls within its accounting functions to mitigate the lack of segregation of duties but recognizes that this should still be a concer...
The entity's Board continually evaluates the distribution of duties to employees and closely monitors all accounting functions. The School District has implemented controls within its accounting functions to mitigate the lack of segregation of duties but recognizes that this should still be a concern for the School District and the Board.
View Audit 3680
Dallas Christian College
TX
Subrecipient Monitoring Reporting Matching / Level of Effort / Earmarking
Common Origination and Disbursement (COD) Reporting Planned Corrective Action: We’ve created a new activity in Anthology SIS labeled “FA – Return to Title IV” to be assigned to both FA staff and Student Accounts staff when returns are needed. These activities will include detailed notes as to what r...
Common Origination and Disbursement (COD) Reporting Planned Corrective Action: We’ve created a new activity in Anthology SIS labeled “FA – Return to Title IV” to be assigned to both FA staff and Student Accounts staff when returns are needed. These activities will include detailed notes as to what returns need to be applied to posted funds on the student’s ledger. This will ensure that we apply returns as required and that the returns applied also match the applied returns in COD. FA Solutions and DCC are aligned on better communications for returns that need to be applied to ensure accuracy going forward. Person Responsible for Corrective Action Plan: Jean-Claude St Juste, Financial Aid Director, Student Accounts staff, and FA Solutions staff. Anticipated Date of Completion: Immediately
View Audit 3665
Dallas Christian College
TX
Gramm-Leach-Bliley Act (GLBA) Compliance Planned Corrective Action: We are working towards MFA with SIS (Anthology), as SIS does not currently have MFA in the built-in security. We are exploring a scope of work to move to MS SSO with Anthology Support. Our hope is to finish this by the 2nd Quarter 2...
Gramm-Leach-Bliley Act (GLBA) Compliance Planned Corrective Action: We are working towards MFA with SIS (Anthology), as SIS does not currently have MFA in the built-in security. We are exploring a scope of work to move to MS SSO with Anthology Support. Our hope is to finish this by the 2nd Quarter 2024, or sooner. We are also evaluating other SIS systems and are evaluating whether those systems have SSO and MFA capabilities. Furthermore, we will review vendor contracts to include the required GLBA language and fully complete the Annual Vendor Review Checklist as specified in our Information Security Program and Incident Response Plan. We will provide an annual report to the Board of Trustees to include addressing service provider arrangements and any events or violations and management’s response to each one. We have had no breaches during the 2022-2023 and continue to monitor existing Microsoft platforms, AD Security groups, policies including MS 365 integrations, and Identity (formerly Azure) SSO integration with continual testing and reviews against potential threats. Future projects include potentially adding a Cyber security MDR on the endpoints of all DCC workstations and servers to close any gaps or potential areas of weakness, including Dark Web scans. Person Responsible for Corrective Action Plan: Stephen Cobb, Director of Technology and Christopher Winslow, VP of Finance and Operations Anticipated Date of Completion: June 2024
View Audit 3665
Dallas Christian College
TX
Reporting Student Financial Aid Eligibility
Incorrect Enrollment Reporting to National Student Loan Data System (NSLDS) Planned Corrective Action: Incorrect enrollment reporting was found for one student. Currently, the Registrar’s Office, in coordination with the National Student Clearinghouse, reports enrollment to NSLDS. The program for th...
Incorrect Enrollment Reporting to National Student Loan Data System (NSLDS) Planned Corrective Action: Incorrect enrollment reporting was found for one student. Currently, the Registrar’s Office, in coordination with the National Student Clearinghouse, reports enrollment to NSLDS. The program for that one student was shown incorrectly in the system for a period during the audit. When checked later, still during the audit, the program was shown correctly without any action by personnel of the college. We are unsure of the cause of this inconsistency in that instance. The Financial Aid Office will start conducting weekly spot checks directly in NSLDS to help catch enrollment that may have been reported incorrectly. The first spot check is expected to be completed the week of November 13-17. Person Responsible for Corrective Action Plan: Jean-Claude St Juste, Financial Aid Director Anticipated Date of Completion: Immediately
View Audit 3665
Dallas Christian College
TX
Student Financial Aid
Return of Title IV (R2T4) Calculations Planned Corrective Action: Incorrect R2T4 calculations were found for one new student due to the wrong start date being used for the calculations. In the future, the Financial Aid Office will review R2T4s submitted for new students to ensure the new student sta...
Return of Title IV (R2T4) Calculations Planned Corrective Action: Incorrect R2T4 calculations were found for one new student due to the wrong start date being used for the calculations. In the future, the Financial Aid Office will review R2T4s submitted for new students to ensure the new student start listed in the catalog is used for the calculations irrespective of the course dates on the student’s schedule. Person Responsible for Corrective Action Plan: Jean-Claude St Juste, Financial Aid Director Anticipated Date of Completion: Immediately
View Audit 3665
Finding 2110 (2023-001)
Significant Deficiency 2023
Lasalle-Peru Township Hsd No. 120
IL
The District will create procedures to ensure the expenditure reports are submitted timely.
The District will create procedures to ensure the expenditure reports are submitted timely.
View Audit 3662
Finding 2105 (2023-001)
Significant Deficiency 2023
South Shore Stars, Inc.
MA
Significant Deficiency
Management intends to file its 2023 data collection form prior to its due date.
Management intends to file its 2023 data collection form prior to its due date.
View Audit 3655
Opendoors Housing LLC
RI
Questioned Costs HUD Housing Programs Internal Control / Segregation of Duties
The Senior Accountant responsible for this property, Corey Krajewski (krajewski@wdchoc.org) will ensure that appropriate fees will be allocated and charged.
The Senior Accountant responsible for this property, Corey Krajewski (krajewski@wdchoc.org) will ensure that appropriate fees will be allocated and charged.
View Audit 3649 Questioned Costs: $1
Opendoors Housing LLC
RI
Internal Control / Segregation of Duties
The Asset Manager/Financial Analyst, Ellen Quinn (quinn@wdchoc.org) and Senior Accountant responsible for this property, Corey Krajewski (krajewski@wdchoc.org) will ensure that replacement reserve withdrawals will be supported by actual expenses.
The Asset Manager/Financial Analyst, Ellen Quinn (quinn@wdchoc.org) and Senior Accountant responsible for this property, Corey Krajewski (krajewski@wdchoc.org) will ensure that replacement reserve withdrawals will be supported by actual expenses.
View Audit 3649
Opendoors Housing LLC
RI
HUD Housing Programs
HOC has made significant changes to our software systems, expanded our finance team and restructured functions to improve financial record keeping. The Senior Accountant responsible for this property, Corey Krajewski (krajewski@wdchoc.org), will ensure that the account will be fully funded
HOC has made significant changes to our software systems, expanded our finance team and restructured functions to improve financial record keeping. The Senior Accountant responsible for this property, Corey Krajewski (krajewski@wdchoc.org), will ensure that the account will be fully funded
View Audit 3649
Azusa Pacific University and Subsidiary
CA
Student Financial Aid
Return to Title IV (R2T4) Calculations (OPEID: 04278800) Planned Corrective Action: The Academic Affairs leaders, partnering with the Digital Learning Solutions team and Information Technology team, have developed a query that removes the uncertainty from the F and FN assignments and will be impleme...
Return to Title IV (R2T4) Calculations (OPEID: 04278800) Planned Corrective Action: The Academic Affairs leaders, partnering with the Digital Learning Solutions team and Information Technology team, have developed a query that removes the uncertainty from the F and FN assignments and will be implementing this in the Fall 1 2023 session. Prior to this the process was largely manual and at the discretion of individual instructors. With this query, academic administrators will be able to verify any grades that have been entered incorrectly by the instructor and ensure they are immediately changed to reflect the correct grade. Once this new process is implemented LAPU academic leaders hope to refine the process further in order to automate issuing FN grades to those who qualify, thereby preventing such mistakes in the future. Upon receipt of the report from the Digital Learning Solutions team the Financial Aid team will conduct a thorough evaluation to compare the F and FN grades against the Last Date of Attendance (LDA) to ascertain the correctness of the F or FN grade, taking into consideration the date of the last recorded academic activity. Should any disparities emerge during this evaluation, Financial Aid will initiate a request for Academics to re-examine the student’s grade for accuracy. Person Responsible for Corrective Action Plan: Dr. Wayne R. Herman, Vice President, Chief Academic Officer Anne Rodriguez, Director of Financial Aid Anticipated Date of Completion: October 27, 2023
View Audit 3648
St Anna Hdfc, Inc.
CT
Management will increase fidelity bond coverage and increase the amount as needed to ensure sufficient coverage in accordance with the Regulatory Agreement.
Management will increase fidelity bond coverage and increase the amount as needed to ensure sufficient coverage in accordance with the Regulatory Agreement.
View Audit 3632
St Anna Hdfc, Inc.
CT
Questioned Costs Cash Management HUD Housing Programs
Management will ensure the surplus cash calculation is completed in a manner that allows for a timely deposit of any required deposit to the residual receipts account.
Management will ensure the surplus cash calculation is completed in a manner that allows for a timely deposit of any required deposit to the residual receipts account.
View Audit 3632 Questioned Costs: $1
St. Simeon II Housing Development Fund Company, Inc.
NY
Questioned Costs Cash Management HUD Housing Programs
Management will implement measures to ensure the Organization will deposit “Surplus Cash” as defined by HUD, existing at the end of the fiscal year in a residual receipts account in the name of the Organization within 90 days subsequent to the end of the fiscal year. The Organization deposited $30,0...
Management will implement measures to ensure the Organization will deposit “Surplus Cash” as defined by HUD, existing at the end of the fiscal year in a residual receipts account in the name of the Organization within 90 days subsequent to the end of the fiscal year. The Organization deposited $30,051 into the residual receipts account on May 22, 2023.
View Audit 3631 Questioned Costs: $1
Finding 2077 (2023-002)
Material Weakness 2023
Clintondale Community Schools
MI
Questioned Costs Subrecipient Monitoring Material Weakness
See corrective action plan in audit report
See corrective action plan in audit report
View Audit 3625 Questioned Costs: $1
New Life Estates Inc.
RI
HUD Housing Programs Internal Control / Segregation of Duties
Management has reviewed all files, obtained the required information, and corrected calculations. Site staff will be trained in correct procedures.
Management has reviewed all files, obtained the required information, and corrected calculations. Site staff will be trained in correct procedures.
View Audit 3580
Cara Estates, Inc.
RI
HUD Housing Programs Internal Control / Segregation of Duties
Management has reviewed all files, obtained the required information, and corrected calculations. Site staff will be trained in correct procedures.
Management has reviewed all files, obtained the required information, and corrected calculations. Site staff will be trained in correct procedures.
View Audit 3579
Philadelphia College of Osteopathic Medicine Foundation
PA
Student Financial Aid Special Tests & Provisions Matching / Level of Effort / Earmarking
Name of Responsible Individual: Samuel Matheny, Chief Student Services Officer, Offices of Financial Aid and Registrar Corrective Action: In fiscal year 2023 (FY23), the return of federal funds calculation and process was automated in the Banner student information system; therefore, reducing the po...
Name of Responsible Individual: Samuel Matheny, Chief Student Services Officer, Offices of Financial Aid and Registrar Corrective Action: In fiscal year 2023 (FY23), the return of federal funds calculation and process was automated in the Banner student information system; therefore, reducing the possibility of an incorrect calculation. Furthermore, a financial aid staff member reviewed the return of federal funds calculations twice during the fiscal year to ensure accuracy. However, it was determined that two of the students selected in the FY23 audit sample had incorrect academic dates used in their calculation. As a graduate/professional school, PCOM has several academic calendars rather than one institutional calendar. The need for multiple academic calendars is due to the variations in the start and end times of our students completing offsite clinical rotations. For fiscal year 2024 (FY24), PCOM will be implementing the following additional controls to ensure the correct academic calendar is used in the return of title 4 calculations: 1. Academic calendar dates will be added to the report used to review students who have withdrawn from their coursework. 2. The report will be run after the end of every term (4 times a year) and it will go through an initial review by one staff member and then a final review by another staff member. Anticipated Completion Date: September 1, 2023
View Audit 3573
Philadelphia College of Osteopathic Medicine Foundation
PA
Cash Management Student Financial Aid
Name of Responsible Individual: Andy Mueller, Director of Financial Reporting and Planning Corrective Action: Through 9/13/22, PCOM used a Banner generated report to draw down direct loan funds. PCOM found there was an error with the Banner report causing excess funds to be drawn on 6/30/22, 8/2/22 ...
Name of Responsible Individual: Andy Mueller, Director of Financial Reporting and Planning Corrective Action: Through 9/13/22, PCOM used a Banner generated report to draw down direct loan funds. PCOM found there was an error with the Banner report causing excess funds to be drawn on 6/30/22, 8/2/22 and 8/31/22. With the assistance of the Student Services department a new process to draw direct loans began in November 2022. The process compares disbursements recorded by the Department of Education's Common Origination and Disbursement (COD) website to that of the disbursements paid in PCOM’s ERP information system. The finance department ensures the amount to be drawn from COD is either less than or matches the available funds on the COD site. Since the implementation of the new process there have been no drawdowns that resulted in an excess cash situation. Anticipated Completion Date: November 30, 2022
View Audit 3573
Finding 2061 (2023-002)
Significant Deficiency 2023
Dakota County
NE
Procurement, Suspension & Debarment § 200.214 § 200.303
Program: AL 21.027 - COVID-19 - Coronavirus State and Local Fiscal Recovery Funds- Suspension & Debarment Corrective Action Planned: The County will implement procedures to ensure when a contractor is paid with federal funds, https://www .Sam.gov will be utilized to verify the entity has not been su...
Program: AL 21.027 - COVID-19 - Coronavirus State and Local Fiscal Recovery Funds- Suspension & Debarment Corrective Action Planned: The County will implement procedures to ensure when a contractor is paid with federal funds, https://www .Sam.gov will be utilized to verify the entity has not been suspended or debarred and such procedure will be adequately documented. Anticipated Completion Date: Ongoing Responsible Party:Dakota County Board of Commissioners: Robert J. Giese, Troy Launsby, Scott Love, Martin Hohenstein, and Brian VanBerkum.
View Audit 3571
Finding 2033 (2023-003)
Significant Deficiency 2023
Catholic Charities of the Diocese of Palm Beach County, Inc.
FL
Questioned Costs Cash Management Significant Deficiency
Department of Justice Housing – Assistance Listing No. 16.320 Recommendation: We recommend reimbursement requests be reviewed and traced back to supporting documentation prior to the filing of the reimbursement request. Explanation of disagreement with audit finding: There is no disagreement with th...
Department of Justice Housing – Assistance Listing No. 16.320 Recommendation: We recommend reimbursement requests be reviewed and traced back to supporting documentation prior to the filing of the reimbursement request. Explanation of disagreement with audit finding: There is no disagreement with the audit finding. Action taken in response to finding: A second staff person has completed the Department of Justice Grants Financial Management Training and is now qualified to work on the federal grants. This will allow the agency to have one finance person creating the reimbursement calculations and a second finance person reconciling the calculations. Name(s) of the contact person(s) responsible for corrective action: Peter Hermann.
View Audit 3565 Questioned Costs: $1
Finding 2032 (2023-002)
Significant Deficiency 2023
Catholic Charities of the Diocese of Palm Beach County, Inc.
FL
Questioned Costs Allowable Costs / Cost Principles Cash Management
2023-002 Department of Justice Housing – Assistance Listing No. 16.320 Recommendation: We recommend reimbursement requests be reviewed and traced back to supporting documentation prior to the filing of the reimbursement request. Explanation of disagreement with audit finding: There is no disagreemen...
2023-002 Department of Justice Housing – Assistance Listing No. 16.320 Recommendation: We recommend reimbursement requests be reviewed and traced back to supporting documentation prior to the filing of the reimbursement request. Explanation of disagreement with audit finding: There is no disagreement with the audit finding. Action taken in response to finding: A second staff person has completed the Department of Justice Grants Financial Management Training and is now qualified to work on the federal grants. This will allow the agency to have someone other than that the person creating the reimbursement material to request the reimbursement. This adds an additional layer of control over the amount requested for reimbursement. Name(s) of the contact person(s) responsible for corrective action: Peter Hermann Planned completion date for corrective action plan: November 6, 2023
View Audit 3565 Questioned Costs: $1
Southern Nazarene University
OK
The institution has refigured the R2T4 calculation for the affected files and will report the aid adjustments to COD. To avoid repeating the same mistake of miscalculating the number of break days in the semester in regard to completing the R2T4 for traditional undergraduates, we will verify with th...
The institution has refigured the R2T4 calculation for the affected files and will report the aid adjustments to COD. To avoid repeating the same mistake of miscalculating the number of break days in the semester in regard to completing the R2T4 for traditional undergraduates, we will verify with the school’s official academic calendar recordkeeper, the Registrar's Office, on an annual basis to ensure the correct number of academic days (and breaks) are being entered. We will also develop a committee made up of the Assistant Director of Financial Aid, the Director of Financial Aid, the Associate Vice President of Financial Services, and the Registrar to ensure we are collaboratively reviewing the school calendar profiles for the R2T4 process so as to eliminate any errors that might occur. Personnel involved are Josiah Mosley, Assistant Director of Financial Aid, Perry Diehm, Director of Financial Aid, Chris Peterson, Associate VP for Financial Services, and Chuck Chitwood, Registrar.
View Audit 3557
Finding 2025 (2023-002)
Significant Deficiency 2023
South Heartland District Health Department
NE
Matching / Level of Effort / Earmarking Subrecipient Monitoring
Program: AL 93.069 – Public Health Emergency Preparedness – Matching Corrective Action Planned: SHDHD monitors matching fund levels for Federal subawards on a quarterly basis to determine whether the match amount is on track toward meeting the percentage required in each grant agreement. Regarding t...
Program: AL 93.069 – Public Health Emergency Preparedness – Matching Corrective Action Planned: SHDHD monitors matching fund levels for Federal subawards on a quarterly basis to determine whether the match amount is on track toward meeting the percentage required in each grant agreement. Regarding the PHEP award, in particular, the Department will ensure that the new Emergency Response Coordinator (hired in the middle of the grant period last year) is aware of the match requirements. SHDHD will also ensure that no Federal funds are used to pay for matching funds required in Federal subawards. The Department was not aware that this was not allowable. Anticipated Completion Date: June 30, 2024 Responsible Party: Kelly Derby, Erik Meyer, Brooke Wolfe
View Audit 3537
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