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Corrective Action Plans

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Finding 37736 (2022-008)
Significant Deficiency 2022
State of Vermont
VT
School Nutrition Programs Cash Management Reporting § 200.303
Corrective Action Plan: The Agency of Education?s new Child Nutrition grants management system, Harvest, now has the reports to back up the Federal FNS-10's built-in. In addition, Harvest now also retains a copy of each report created along with the backup for each report. Position Responsible ...
Corrective Action Plan: The Agency of Education?s new Child Nutrition grants management system, Harvest, now has the reports to back up the Federal FNS-10's built-in. In addition, Harvest now also retains a copy of each report created along with the backup for each report. Position Responsible for Implementation of Corrective Action Name: Sean Cousino Position: Deputy CFO Email: sean.couisno@vermont.gov Phone Number: 802 595-3693 Date of Implementation of Corrective Action: April 1, 2023
View Audit 30446
Finding 37735 (2022-007)
Material Weakness 2022
State of Vermont
VT
School Nutrition Programs Equipment & Real Property Management Special Tests & Provisions § 200.303
Corrective Action Plan: The AOE CNP team will be implementing a new procedure starting 3/1/23, which adds an additional internal control (quarterly review by a Grants Program Manager) and outlines specific steps that the Grants Management Specialist and Grants Program Manager will take in the event...
Corrective Action Plan: The AOE CNP team will be implementing a new procedure starting 3/1/23, which adds an additional internal control (quarterly review by a Grants Program Manager) and outlines specific steps that the Grants Management Specialist and Grants Program Manager will take in the event that there is a discrepancy. Position Responsible for Implementation of Corrective Action Name: Conor Floyd Position: Grant Programs Manager, Child Nutrition Programs Email: conor.floyd@vermont.gov Phone Number: 802-828-0310 Date of Implementation of Corrective Action: 3/1/23
View Audit 30446
Finding 37734 (2022-006)
Material Weakness 2022
State of Vermont
VT
Subrecipient Monitoring Material Weakness Reporting § 200.303
Corrective Action Plan: To address the accuracy and timeliness of our entries into the FFATA system, we will use the USASPENDING.GOV website to assist us in reconciling what has been entered into the FFATA system. This will allow us to ensure that our grant ledgers agree with what is entered into ...
Corrective Action Plan: To address the accuracy and timeliness of our entries into the FFATA system, we will use the USASPENDING.GOV website to assist us in reconciling what has been entered into the FFATA system. This will allow us to ensure that our grant ledgers agree with what is entered into FFATA. This will be a reconciliation completed at least quarterly (following SOV fiscal year quarters) and will be completed by the Deputy CFO or position assigned by the Deputy CFO. We will also implement a process that will have all the steps necessary for a grant award or an amendment to ensure it is posted properly within our internal files and the external systems. This will ensure that new awards and amendments get routed and entered in the FFATA system timely. Our finance team also attended a FFATA training on February 3, 2023 for additional training on the FFATA system. We will look into the Batch upload process which was described in that training. Position Responsible for Implementation of Corrective Action Name: Sean Cousino Position: Deputy Chief Financial Officer Email: sean.cousino@vermont.gov Phone Number: 802 595-3693 Date of Implementation of Corrective Action: First Reconciliation to be completed March/April 2023 Full Implementation June 1,2023
View Audit 30446
Finding 37733 (2022-003)
Significant Deficiency 2022
Rider University
NJ
Reporting Significant Deficiency Internal Control / Segregation of Duties
Higher Education Emergency Relief Fund ? Student Aid Portion? Assistance Listing No. 84.425E Recommendation: We recommend the University establish a system to review reports for accuracy as well as ensure timely posting in accordance with applicable reporting requirements. Explanation of disagreem...
Higher Education Emergency Relief Fund ? Student Aid Portion? Assistance Listing No. 84.425E Recommendation: We recommend the University establish a system to review reports for accuracy as well as ensure timely posting in accordance with applicable reporting requirements. Explanation of disagreement with audit finding: There is no disagreement with the audit finding. Action taken in response to finding: The University has established a calendar reminder to ensure the report is completed and posted in a timely manner. Name(s) of the contact person(s) responsible for corrective action: Miranda Cole, Director of Financial Aid Planned completion date for corrective action plan: 3/23/2023
View Audit 30445
Finding 37730 (2022-001)
Significant Deficiency 2022
Rider University
NJ
Student Financial Aid Significant Deficiency Matching / Level of Effort / Earmarking
Federal Perkins Loan Program ? Assistance Listing No. 84.038 Recommendation: We recommend that the University keep MPNs for loans for the 3-year retention period. Explanation of disagreement with audit finding: There is no disagreement with the audit finding. Action taken in response to finding: W...
Federal Perkins Loan Program ? Assistance Listing No. 84.038 Recommendation: We recommend that the University keep MPNs for loans for the 3-year retention period. Explanation of disagreement with audit finding: There is no disagreement with the audit finding. Action taken in response to finding: We were able to confirm that the MPN?s were inadvertently shredded due to a mold issue in the storage facility. All other MPN?s have been moved to a safer area and staff are no longer permitted to shred documents without the approval of the Associate Director (Lisa Butler). Name(s) of the contact person(s) responsible for corrective action: Lisa Butler, Associate Director Bursar Planned completion date for corrective action plan: 3/23/2023
View Audit 30445
Finding 37724 (2022-002)
Significant Deficiency 2022
Rider University
NJ
Student Financial Aid Reporting Matching / Level of Effort / Earmarking
Federal Pell Grant Program, Federal Direct Student Loans ? Assistance Listing No. 84.063, 84.268 Recommendation: We recommend the University review procedures around sending correct information to the NSLDS. In addition, we recommend the University develop a process to help better oversee the submi...
Federal Pell Grant Program, Federal Direct Student Loans ? Assistance Listing No. 84.063, 84.268 Recommendation: We recommend the University review procedures around sending correct information to the NSLDS. In addition, we recommend the University develop a process to help better oversee the submissions completed by the third-party servicer. Explanation of disagreement with audit finding: There is no disagreement with the audit finding. Action taken in response to finding: Continued attendance in Clearinghouse webinars, corrected previous years? of Clearinghouse submissions that included student?s incorrect term end dates and will monitor the future warnings on the Clearinghouse Error Reports, will communicate the rejected records from NSLDS to Financial Aid and Admissions once received in an effort for all departments to work together in assisting students to confirm their SSN Name(s) of the contact person(s) responsible for corrective action: Jessica Novak, Justina Nicita & Susan Stefanick Planned completion date for corrective action plan: 3/14/2023 nd will send Financial Aid the NSLDS file for comparison.
View Audit 30445
Finding 37723 (2022-004)
Significant Deficiency 2022
Rider University
NJ
Questioned Costs Student Financial Aid Matching / Level of Effort / Earmarking
Federal Pell Grant Program, Federal Direct Student Loans, Federal Work-Study Program, Federal Supplemental Educational Opportunity Grants ? Assistance Listing No. 84.063, 84.268, 84.033, 84.007 Recommendation: We recommend the University review the R2T4 requirements and implement procedures to ensu...
Federal Pell Grant Program, Federal Direct Student Loans, Federal Work-Study Program, Federal Supplemental Educational Opportunity Grants ? Assistance Listing No. 84.063, 84.268, 84.033, 84.007 Recommendation: We recommend the University review the R2T4 requirements and implement procedures to ensure scheduled breaks are properly factored into calculations. Explanation of disagreement with audit finding: There is no disagreement with the audit finding. Action taken in response to finding: The R2T4 for this student will be recalculated using the correct total number of days and any and all Title IV adjustments will be made. Moving forward we will strengthen our processes so that our R2T4 calculations will be inclusive of scheduled breaks as per the FSA Handbook. Name(s) of the contact person(s) responsible for corrective action: Chris Corrato, Assistant Director & Amanda Young, Associate Director Planned completion date for corrective action plan: 3/23/2023
View Audit 30445 Questioned Costs: $1
Finding 37722 (2022-005)
Significant Deficiency 2022
Rider University
NJ
Student Financial Aid Matching / Level of Effort / Earmarking Internal Control / Segregation of Duties
Federal Pell Grant Program, Federal Direct Student Loans, Federal Work-Study Program, Federal Supplemental Educational Opportunity Grants ? Assistance Listing No. 84.063, 84.268, 84.033, 84.007 Recommendation: We recommend the University implements procedures to ensure that Title IV funds that are ...
Federal Pell Grant Program, Federal Direct Student Loans, Federal Work-Study Program, Federal Supplemental Educational Opportunity Grants ? Assistance Listing No. 84.063, 84.268, 84.033, 84.007 Recommendation: We recommend the University implements procedures to ensure that Title IV funds that are to be returned are returned in the proper order. Explanation of disagreement with audit finding: There is no disagreement with the audit finding. Action taken in response to finding: We currently ensure that all R2T4 calculations are done in the appropriate order as stated in the FSA Handbook by the Department of Education. Moving forward we will strengthen our procedures so that the returned funds are processed to COD in the proper order. Name(s) of the contact person(s) responsible for corrective action: Chris Corrato, Assistant Director, Amanda Young, Associate Director and Stephanie Falsetti, Assistant Director Planned completion date for corrective action plan: 3/23/2023
View Audit 30445
Finding 37715 (2022-002)
Significant Deficiency 2022
Open Door Health Center
MN
Procurement, Suspension & Debarment § 200.214
U.S. Department of Health and Human Services 2022-002 Health Center Cluster ? Assistance Listing Numbers 93.224 & 93.527 Recommendation: As the policy has already been revised, we recommend the Center follow the requirements under the new policy and ensure documentation is maintained as appropriate ...
U.S. Department of Health and Human Services 2022-002 Health Center Cluster ? Assistance Listing Numbers 93.224 & 93.527 Recommendation: As the policy has already been revised, we recommend the Center follow the requirements under the new policy and ensure documentation is maintained as appropriate to support vendor checks against the SAM Exclusions list. Explanation of disagreement with audit finding: There is no disagreement with the audit finding. Action planned in response to finding: Management has revised the suspension and debarment policies and procedures to meet Uniform Guidance requirements, and will ensure the new policy and procedures are followed moving forward. The Center also had a call with Keith Schwartz, HRSA Program specialist to discuss the progress made on the prior findings on April 25, 2023. Name(s) of the contact person(s) responsible for corrective action: Jennifer Beckius, CFO Planned completion date for corrective action plan: New policy was implemented in June 2022
View Audit 29875
Finding 37714 (2022-001)
Significant Deficiency 2022
Open Door Health Center
MN
Procurement, Suspension & Debarment
U.S. Department of Health and Human services 2022-001 Health Center Cluster ? Assistance Listing Numbers 93.224 & 93.527 Recommendation: As the policy has already been revised, we recommend the Center follow the requirements under the new policy and ensure documentation is maintained as appropriate ...
U.S. Department of Health and Human services 2022-001 Health Center Cluster ? Assistance Listing Numbers 93.224 & 93.527 Recommendation: As the policy has already been revised, we recommend the Center follow the requirements under the new policy and ensure documentation is maintained as appropriate to support each procurement method. We also recommend implementing procedures to monitor vendor totals to identify situations where a vendor originally expected to be under a procurement threshold, subsequently exceeds it. In the event this happens, analysis and documentation would be necessary to support the continued use of the vendor. Explanation of disagreement with audit finding: There is no disagreement with the audit finding. Action planned in response to finding: Management has revised the procurement policy to meet Uniform Guidance requirements, and will ensure the new policy and procedures are followed moving forward. The Center also had a call with Keith Schwart, HRSA Program Specialist to discuss the progress made on prior findings on April 25, 2023. Name(s) of the contact person(s) responsible for corrective action: Jennifer Beckius, CFO Planned completion date for corrective action plan: New policy was implemented in June 2022
View Audit 29875
City of Cave Spring, Georgia
GA
Subrecipient Monitoring Cash Management Material Weakness § 200.502 § 200.510
Audit Period: Fiscal year ended June 30, 2022 The findings from the June 30, 2022 schedule of findings and questioned costs are discussed below. The findings are numbered consistently with the numbers assigned in the schedule of findings and questioned costs. Findings - Financial Statement Audit M...
Audit Period: Fiscal year ended June 30, 2022 The findings from the June 30, 2022 schedule of findings and questioned costs are discussed below. The findings are numbered consistently with the numbers assigned in the schedule of findings and questioned costs. Findings - Financial Statement Audit MATERIAL WEAKNESS None Reported SIGNIFICANT DEFICIENCY None Reported Findings - Federal Award Programs Audit MATERIAL WEAKNESS None Reported SIGNIFICANT DEFICIENCY None Reported Water and Waste Systems -ALN: 10.760 Finding: Schedule of Expenditures of Federal Awards Preparation Recommendation: Procedures should be implemented to ensure completion of an entry to the Schedule of Federal Expenditures of Federal Awards to achieve a reliable reporting of total expenditures for an audit period. Action Taken: We acknowledge our responsibility to present the Schedule of Expenditures of Federal Awards and related notes in accordance with Uniform Guidance requirements. To ensure future implementation of this requirement, the City of Cave Spring will record all expenditures on the schedule of federal expenditures.
View Audit 29350
Finding 37712 (2022-002)
Material Weakness 2022
County of Scott
IL
Internal Control / Segregation of Duties
PROCEDURES WILL BE IMPLEMENTED TO SEGREGATE DUTIES WHERE POSSIBLE INCLUDING A CROSS TRAINING OR ROTATING OF JOB DUTIES TO ENSURE ONE PERSON DOES NOT HAVE COMPLETE UNSUPERVISED CONTROL OVER ONE PARTICULAR AREA.
PROCEDURES WILL BE IMPLEMENTED TO SEGREGATE DUTIES WHERE POSSIBLE INCLUDING A CROSS TRAINING OR ROTATING OF JOB DUTIES TO ENSURE ONE PERSON DOES NOT HAVE COMPLETE UNSUPERVISED CONTROL OVER ONE PARTICULAR AREA.
View Audit 29694
Community Apartments Borrower Corp.
VA
HUD Housing Programs Cash Management
Finding Number: 2022-001 -Cash Management Fiscal Year: 2022 Finding: The Corporation failed to deposit the 2021 surplus cash balance into the residual receipts account in accordance with HUD guidelines. Status: Corrective action in progress corrective action: The Corporation will compute surplus ca...
Finding Number: 2022-001 -Cash Management Fiscal Year: 2022 Finding: The Corporation failed to deposit the 2021 surplus cash balance into the residual receipts account in accordance with HUD guidelines. Status: Corrective action in progress corrective action: The Corporation will compute surplus cash when preparing the audit workpapers and deposit any cash surplus in accordance with guidelines mandated by HUD in the future. completion date: December 31, 2022 Acknowledged: Sam a. jones, president amurcon realty
View Audit 29756
Universidad Central De Bayamon INC
PR
Student Financial Aid Eligibility Matching / Level of Effort / Earmarking
Finding No. 2022?001 ? Special Tests and Provisions ? Return of Title IV Funds Condition found. The return of Title IV funds as calculated by the University was performed after the required 45 days, in the following case: Student Id. No. Determination date Refund date 92710 6/24/2022 8/24/2022 Manag...
Finding No. 2022?001 ? Special Tests and Provisions ? Return of Title IV Funds Condition found. The return of Title IV funds as calculated by the University was performed after the required 45 days, in the following case: Student Id. No. Determination date Refund date 92710 6/24/2022 8/24/2022 Management Response The University agrees with the finding. Corrective Action Plan The University affirms its understanding of its obligation to submit the return of Title IV funds due to a total withdrawal to the Department of Education no later than 45 days after the determination date, the date that the school became aware that the student withdrew. In this case, the disbursement of Title IV funds was posted at the same date and time the R2T4 was processed, and one process blocked the other. To avoid this issue, officials must be aware that process that involve return of funds should be processed on different days than the disbursement of Title IV funds are processed. Name of the Contact Person Responsible for Corrective Action Elaine Nu?ez, Financial Aid Office Director Anticipated Completion Date During fiscal year 2022-2023
View Audit 29720
Rouses Point Senior Housing Development Fund Company, INC
NY
Special Tests & Provisions HUD Housing Programs
Name of auditee: Rouses Point Senior Housing Development Fund Company, Inc. Project No.: 014-EE192 TIN: 16-1028940 Name of audit firm: EFPR Group, CPA, PLLC Period covered by audit: March 31, 2022 CAP prepared by: Robert Miller, Jr. President Belmont Management Co., Inc. (716) 854-1251 Finding 2022-...
Name of auditee: Rouses Point Senior Housing Development Fund Company, Inc. Project No.: 014-EE192 TIN: 16-1028940 Name of audit firm: EFPR Group, CPA, PLLC Period covered by audit: March 31, 2022 CAP prepared by: Robert Miller, Jr. President Belmont Management Co., Inc. (716) 854-1251 Finding 2022-001 Management understands HUD?s requirements for monthly deposits into the reserve for replacements and has deposited the delinquent deposit of $1,200 into the reserve for replacements account in April 2022.
View Audit 29693
Finding 37704 (2022-103)
Significant Deficiency 2022
Hotevilla Bacavi Community School
AZ
Equipment & Real Property Management § 200.313
Finding 2022-103 ? Improve Controls over Capital Assets (Significant Deficiency) ? (Repeat Finding) FAL Numbers: 15.042 Program Titles: Indian School Equalization COVID-19 Indian School Equalization Condition and Context: The School has not performed a comprehensive inventory of capital ass...
Finding 2022-103 ? Improve Controls over Capital Assets (Significant Deficiency) ? (Repeat Finding) FAL Numbers: 15.042 Program Titles: Indian School Equalization COVID-19 Indian School Equalization Condition and Context: The School has not performed a comprehensive inventory of capital assets in several years. Accordingly, the School has not reconciled a physical observation to its detailed capital asset listing. Recommendation: The auditors recommended that the School perform a physical inventory of the School's capital assets on at least a biennial basis. In addition, the Finance Department should update the School's accounting records based on the results of the physical inventory. Contact Name: Renee Ramirez, Business Manager Corrective Action Planned: HBCS is planning to perform a physical inventory of the school?s capital assets every two years. A system will be designed to ensure that this occurs. The Business Department will update the School?s accounting records based on the results of the biennial inventory. Anticipated Completion Date: June 30, 2023
View Audit 29644
Finding 37703 (2022-102)
Material Weakness 2022
Hotevilla Bacavi Community School
AZ
§ 200.430
Finding 2022-102 ? Improve Controls over Allowable Costs (Material Weakness) FAL Numbers: 15.042 Program Titles: Indian School Equalization COVID-19 Indian School Equalization Condition and Context: During 2022, the School provided stipends to employees for recruiting and retention. These ...
Finding 2022-102 ? Improve Controls over Allowable Costs (Material Weakness) FAL Numbers: 15.042 Program Titles: Indian School Equalization COVID-19 Indian School Equalization Condition and Context: During 2022, the School provided stipends to employees for recruiting and retention. These stipends ranged from $1,800 to $16,700 per employee. The recruiting and retention stipends had no supporting documentation justifying the amount paid. Recommendation: The auditors recommended that the School establish a written policy on the stipends for recruiting and retention that is reasonable and comparable to other similar organizations in the area. Contact Name: Renee Ramirez, Business Manager Corrective Action Planned: HBCS will develop, in conjunction with the Governing School Board, a recruitment and retention policy that is reasonable and comparable to other schools on Hopi. Anticipated Completion Date: June 30, 2023
View Audit 29644
Finding 37702 (2022-101)
Material Weakness 2022
Hotevilla Bacavi Community School
AZ
Subrecipient Monitoring Reporting § 200.327
Finding 2022-101 - Improve Internal Control over Reporting (Material Weakness) ? (Repeat Finding) FAL Numbers: 15.042 Program Titles: Indian School Equalization COVID-19 Indian School Equalization Condition and Context: The four quarterly reports were not filed within the 30 days required by ...
Finding 2022-101 - Improve Internal Control over Reporting (Material Weakness) ? (Repeat Finding) FAL Numbers: 15.042 Program Titles: Indian School Equalization COVID-19 Indian School Equalization Condition and Context: The four quarterly reports were not filed within the 30 days required by the contract. Also, the Uniform Guidance requires the submission of a single audit reporting package to the Federal Audit Clearinghouse within nine months of the auditee?s fiscal year end. Recommendation: The auditors recommended that the School establish a system of monitoring for the filing of all required reporting and that the chief school administrator review the monitoring list on a regular basis consistent with the timing of report filings. Contact Name: Renee Ramirez, Business Manager Corrective Action Planned: HBCS will establish a monitoring system for the filing of all required reporting. Additionally, the principal will review the system on a regular basis to ensure the timely filing of all reports. Anticipated Completion Date: June 30, 2023
View Audit 29644
Finding 37656 (2022-004)
Significant Deficiency 2022
Cornell College
IA
Procurement, Suspension & Debarment § 200.318
HEERF Procurement, Suspension and Debarment ? Assistance Listing No. 84.425F Recommendation: We recommend that the College review their procurement policy to ensure a process is in place to follow it in the future. We also recommend a policy be drafted surrounding suspension and debarment that inclu...
HEERF Procurement, Suspension and Debarment ? Assistance Listing No. 84.425F Recommendation: We recommend that the College review their procurement policy to ensure a process is in place to follow it in the future. We also recommend a policy be drafted surrounding suspension and debarment that includes all federal requirements. Explanation of disagreement with audit finding: There is no disagreement with the audit finding. Action taken in response to finding: The College will review their procedures around HEERF reporting and ensure someone is designated to review prior to uploading the reports. Name(s) of the contact person(s) responsible for corrective action: Kelly Flege Planned completion date for corrective action plan: update plan
View Audit 36236
Finding 37654 (2022-003)
Significant Deficiency 2022
Cornell College
IA
Matching / Level of Effort / Earmarking Reporting Significant Deficiency § 200.303
2022-003 HEERF Reporting ? Assistance Listing No. 84.425E, 84.425F Recommendation: We recommend that the College review their policies surrounding federal grants and ensure a review process is in place to ensure that all necessary compliance requirements are met. Explanation of disagreement with aud...
2022-003 HEERF Reporting ? Assistance Listing No. 84.425E, 84.425F Recommendation: We recommend that the College review their policies surrounding federal grants and ensure a review process is in place to ensure that all necessary compliance requirements are met. Explanation of disagreement with audit finding: There is no disagreement with the audit finding. Action taken in response to finding: The College will review their procedures around HEERF reporting and ensure someone is designated to review prior to uploading the reports. Name(s) of the contact person(s) responsible for corrective action: Kelly Flege Planned completion date for corrective action plan: update plan
View Audit 36236
Finding 37646 (2022-002)
Significant Deficiency 2022
Cornell College
IA
Student Financial Aid Reporting Significant Deficiency
2022-002 SCHER1 ? Assistance Listing No. 84.007, 84.033, 84.038, 84.063, 84.268, 84.379 Recommendation: We recommend that the College review their policies surrounding federal grants and ensure a review process is in place to ensure that all necessary compliance requirements are met. Explanation of ...
2022-002 SCHER1 ? Assistance Listing No. 84.007, 84.033, 84.038, 84.063, 84.268, 84.379 Recommendation: We recommend that the College review their policies surrounding federal grants and ensure a review process is in place to ensure that all necessary compliance requirements are met. Explanation of disagreement with audit finding: There is no disagreement with the audit finding. Action taken in response to finding: The College will continue to monitor errors within SCHEER 1 to ensure they are corrected within 10 days. Name(s) of the contact person(s) responsible for corrective action: Pam Perry Planned completion date for corrective action plan: The process was implemented in July 2021.
View Audit 36236
Finding 37643 (2022-001)
Material Weakness 2022
South Suburban College - Community College District #510
IL
Student Financial Aid Reporting
SECTION III ? FEDERAL AWARD FINDINGS AND QUESTIONS COSTS FINDING 2022-001 ? CONTROLS AND NONCOMPLIANCE OVER REPORTING Management?s Response The College accepts this finding and will add additional steps to reinforce established policies and procedures regarding timely submission of the COD inform...
SECTION III ? FEDERAL AWARD FINDINGS AND QUESTIONS COSTS FINDING 2022-001 ? CONTROLS AND NONCOMPLIANCE OVER REPORTING Management?s Response The College accepts this finding and will add additional steps to reinforce established policies and procedures regarding timely submission of the COD information. Plan The College?s Student Financial Aid department has developed additional steps to reinforce established policies and procedures regarding timely submission of the COD information. These steps are outlined below. Every Friday the Director (Manager in absence of Director) runs the FATP report and provides the report to the Manager. The Manager (Coordinator if Manager runs FATP) reviews sample of report and confirms via email to Director and Manager (if appropriate). The Manager (Coordinator in absence of Manager) sends sample the Business Office Every Tuesday the Business Office reviews sample in ASAI (Student Account History). If correct, the Business Office solicits final-signoff from Director of Financial Aid (Manager in absence of Director). The Director of Financial Aid (Manager in absence of Director) reviews and signs-off on the document and returns to the Business Office. Upon receipt of sign-off Business Office transmits funds to COD and prepares drawdown request. Anticipated Date of Completion 1/1/2023 Name of Contact Person Avianca Taylor
View Audit 34723
Finding 37642 (2022-002)
Material Weakness 2022
South Suburban College - Community College District #510
IL
Questioned Costs Student Financial Aid Eligibility
SECTION III ? FEDERAL AWARD FINDINGS AND QUESTIONS COSTS FINDING 2022-002 ? CONTROLS AND NONCOMPLIANCE OVER ELIGIBILITY AND DISBURSEMENT Management?s Response The College accepts this finding and will continue to undergo updates in procedures regarding documentation retention. Plan SSC Student ...
SECTION III ? FEDERAL AWARD FINDINGS AND QUESTIONS COSTS FINDING 2022-002 ? CONTROLS AND NONCOMPLIANCE OVER ELIGIBILITY AND DISBURSEMENT Management?s Response The College accepts this finding and will continue to undergo updates in procedures regarding documentation retention. Plan SSC Student Financial Aid is in the process of developing an electronic document retention system. In the meantime, all documents are being retained in student files via hardcopy format under the supervision of the Manager. Each Friday the Manager (Coordinator in the absence of Manager) and Director audit files of students receiving FSEOG to verify document retention. Additionally, the College is implementing a Colleague rule to prevent disbursement of FSEOG to any student who does not have a $0 EFC. This is in addition to the existing rule that requires a student to be receiving a Federal Pell Grant in order to have a Federal SEOG disbursement paid to their College account. Anticipated Date of Completion 1/1/2023 Name of Contact Person Avianca Taylor
View Audit 34723 Questioned Costs: $1
Finding 37640 (2022-002)
Significant Deficiency 2022
Northcentral University
CA
Student Financial Aid Reporting Subrecipient Monitoring
FINDING 2022-002 ? Special Tests and Provisions ? Enrollment Reporting: Significant Deficiency in Internal Control Recommendation: We recommend that the University develop additional procedures to monitor the accuracy of information provided by its third-party servicer on behalf of the University t...
FINDING 2022-002 ? Special Tests and Provisions ? Enrollment Reporting: Significant Deficiency in Internal Control Recommendation: We recommend that the University develop additional procedures to monitor the accuracy of information provided by its third-party servicer on behalf of the University to NSLDS. One additional monitoring control could be to review a sample of students within NSLDS after each roster file response to ensure that the enrollment status is accurate. Each institution has access to correct information directly within NSLDS at any time. Views of Responsible Officials and Planned Corrective Actions ? Management agrees with the importance of ensuring timely and accurate NSLDS reporting in accordance with 34 CFR section 685.309(b)(2)(i)). The NCU Quality Assurance, under Brandy Baker, team now reviews enrollment reporting on a regular basis to confirm the reporting process is consistent with the Title IV regulation. Starting in January 2023, Quality Assurance team leads investigations while partnering with our Financial Aid Director, Kimberly Quinn, and our Registrar team, under Chris Alvarado, to determine the cause of the inaccurate reporting for quality assurance review findings and will work with the appropriate departments and teams to ensure that any required corrections to process, reporting, reporting code or systems is rectified. Management agrees with the importance of communicating with the Department of Education when an enrolled student ceases to be enrolled at least half-time.
View Audit 31839
Finding 37639 (2022-001)
Significant Deficiency 2022
Northcentral University
CA
Special Tests & Provisions Student Financial Aid Subrecipient Monitoring
FINDING 2022-001 ? Special Tests and Provisions ? Return of Title IV: Significant Deficiency in Internal Control Recommendation ? We recommend NCU revise their system queries to capture all withdrawn students and implement a process by which the queries are tested annually. We also recommend NCU im...
FINDING 2022-001 ? Special Tests and Provisions ? Return of Title IV: Significant Deficiency in Internal Control Recommendation ? We recommend NCU revise their system queries to capture all withdrawn students and implement a process by which the queries are tested annually. We also recommend NCU implement a process in which there is a final review of the Title IV return after the fact for all students to ensure all aspects are correct and timely. Views of Responsible Officials and Planned Corrective Actions ? Management agrees with the importance of ensuring that the return of Title IV funds (R2T4) is performed both timely and accurately. In November 2022, the University instituted a new workflow process that is easily tracked and reported, allowing our Processing, under Kimberly Quinn, and Quality Assurance, under Brandy Baker, teams to monitor and control the R2T4 process more effectively. In addition, the Quality Assurance team at NCU is now performing regular and periodic file reviews to ensure file accuracy. The Quality Assurance process includes a review of both an assessment of the accuracy of our calculations and that all required R2T4s are complete. These new internal controls ensure we process R2T4 in accordance with 34 CFR section 668.22 (2)(i) in the required timeframe. We anticipate the changes mentioned above will remediate this finding.
View Audit 31839
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