Corrective Action Plans

Finding 59684 (2022-001)

Material Weakness 2022

CO

Subrecipient Monitoring § 200.332

Finding: 2022-001 ? Material Weakness, Compliance and Internal Control over Compliance, Subrecipient Monitoring ? ALN 21.027 Coronavirus State and Local Fiscal Recovery Funds Personnel Responsible for Corrective Action: Pam Noonan, Mesa County Finance Director Anticipated Completion Date: 12/31/20...

Finding: 2022-001 ? Material Weakness, Compliance and Internal Control over Compliance, Subrecipient Monitoring ? ALN 21.027 Coronavirus State and Local Fiscal Recovery Funds Personnel Responsible for Corrective Action: Pam Noonan, Mesa County Finance Director Anticipated Completion Date: 12/31/2023 Cause: Mesa County embarked on the usual funding methodology of capitalizing on private investments in our low-income community, whereby a much-needed training facility and daycare is nonexistent, by utilizing New Market Tax Credits. Due to the complexity of the arrangement and the lack of adequate information provided by consultants, determinations and documentation of the subrecipient did not occur prior to granting funds to the recipient organization. View of Responsible Officials: Mesa County agrees with the finding and has put together a corrective action plan for the finding. Planned Corrective Action: Mesa County will develop procedures and educate County departments in order to ensure compliance with the grant management policy and subrecipient language included therein. Mesa County will formally communicate with the subrecipient organization the necessary Federal award identifiers and expected continued compliance and required documentation during the performance period.

View Audit 55777

Finding 59682 (2022-004)

Significant Deficiency 2022

Ashwaubenon School District

WI

Procurement, Suspension & Debarment Matching / Level of Effort / Earmarking § 200.214

Recommendation: We recommend the District include contract language which ensures vendor are not suspended or debarred as well as utilize sam.gov or the ELPS listing to review vendors at the beginning of the year or before a transaction is incurred in accordance with Uniform Guidance requirements. ...

Recommendation: We recommend the District include contract language which ensures vendor are not suspended or debarred as well as utilize sam.gov or the ELPS listing to review vendors at the beginning of the year or before a transaction is incurred in accordance with Uniform Guidance requirements. Explanation of disagreement with audit finding: There is no disagreement with the audit finding. Action planned/taken in response to finding: Procedures will be updated to include verification that a vendor has not been suspended or debarred. A record of this verification will be retained. Responsible official: Keith Lucius, Assistant Superintendent Anticipated completion date: June 30, 2023

View Audit 55305

Finding 59681 (2022-003)

Significant Deficiency 2022

Ashwaubenon School District

WI

Eligibility Significant Deficiency Internal Control / Segregation of Duties

Recommendation: We recommend the District implement procedures to ensure that someone knowledgeable of the grant requirements reviews the prepared eligibility reports prior to submission. Explanation of disagreement with audit finding: There is no disagreement with the audit finding. Action planned...

Recommendation: We recommend the District implement procedures to ensure that someone knowledgeable of the grant requirements reviews the prepared eligibility reports prior to submission. Explanation of disagreement with audit finding: There is no disagreement with the audit finding. Action planned/taken in response to finding: A procedure will be implemented to require a separate preparer and reviewer of the reports. Responsible official: Keith Lucius, Assistant Superintendent Anticipated completion date: June 30, 2023

View Audit 55305

Finding 59670 (2022-002)

Material Weakness 2022

Advocate Aurora Health, Inc.

IL

Equipment & Real Property Management Subrecipient Monitoring Reporting

Finding 2022-002 Activities Allowed or Unallowed and Allowable Costs/Cost Principles A material weakness in internal control over compliance was issued related to activities allowed or unallowed and allowable costs/cost principles for the Advocate Aurora Health (AAH) Disaster Grant ? Public Assista...

Finding 2022-002 Activities Allowed or Unallowed and Allowable Costs/Cost Principles A material weakness in internal control over compliance was issued related to activities allowed or unallowed and allowable costs/cost principles for the Advocate Aurora Health (AAH) Disaster Grant ? Public Assistance (Presidentially Declared Disasters). The Organization?s internal controls were not suitably designed to retain all supporting documentation over their review and approval of FEMA federal expenditures. Management did not retain supporting documentation to support the inventory usage reports used in the development of the FEMA expenditures. Management will ensure that a comprehensive review, approval, and document retention process is applied consistently for any future FEMA claims. The FEMA personal protective equipment (PPE) claim covered two years, which are 2020 and 2021. As noted in the audit, the Organization engaged a third party to perform a physical inventory of supplies at December 31, 2020 which included the PPE claimed in the SEFA obligation. The physical inventory was reconciled to the inventory management system. The audit selected a sample inventory count performed by third party and agreed the inventory counts back to the third party records noting no exceptions. A physical inventory was not performed at December 31, 2021. Due to the COVID pandemic, there were unusual circumstances that precluded an annual physical inventory in 2021, due to the easy transmission of COVID-19, by breathing in air carrying droplets or aerosol particles that contain the SARS-CoV-2 virus when close to an infected person or in poorly ventilated spaces with infected persons. Noting there were no system changes to the inventory system during 2021, we relied on the prior year audits and internal control review of the inventory system to provide comfort for the Organization for reliance on the inventory usage for this FEMA claim. In addition to relying on past inventory documented audit controls, the Organization routinely reviews the supply expense generated from the inventory system. This will be implemented effective October 1, 2023. Nan Nelson, SVP Region Chief Financial Officer, is responsible for this Corrective Action Plan.

View Audit 55776

Finding 59655 (2022-001)

Material Weakness 2022

Advocate Aurora Health, Inc.

IL

Allowable Costs / Cost Principles Subrecipient Monitoring Reporting § 200.303

Finding 2022-001 Activities Allowed or Unallowed and Allowable Costs/Cost Principles A material weakness in internal control over compliance was issued related to activities allowed or unallowed and allowable costs/cost principles for the R&D Cluster grant agreements of Advocate Aurora Health (the ...

Finding 2022-001 Activities Allowed or Unallowed and Allowable Costs/Cost Principles A material weakness in internal control over compliance was issued related to activities allowed or unallowed and allowable costs/cost principles for the R&D Cluster grant agreements of Advocate Aurora Health (the Organization). Charges of salaries and wages to the R&D Cluster were not consistently reviewed by a knowledgeable individual or not certified timely. In addition, certain individuals? effort certification did not account for 100% of their effort (R&D and institutional). This is a repeat finding (2021-002). The Office of Sponsored Research (OSR) committed in the 2020 Corrective Action Plan to implement a paper format effort certification process beginning March 2022. This process was fully implemented by the end of fiscal 2022. Also in 2022, Advocate Aurora Research Institute employees were transferred and integrated under one financial system. The integration of this system supports the monitoring of 100% of total effort. The OSR will also continue to utilize a paper effort certification process. The OSR team will generate effort certification form, distribute the effort certification form to the appropriate team member for manual or electronic signature and obtain a secondary approval signature from an individual who has first-hand knowledge of the team member's activities. All completed effort certification forms will be verified and initialed by a third individual. Effort certification logs will be maintained to ensure that all effort certifications are completed within 30 days. Completed effort certification forms will be maintained within OSR. Sarah Long, Director Sponsored Research, is responsible for this Corrective Action Plan.

View Audit 55776

Finding 59651 (2022-001)

Significant Deficiency 2022

Coos Watershed Association

OR

Procurement, Suspension & Debarment

RE: Management Corrective Action Letter - FY2022 Federal Single Audit: Significant Deficiency in Internal Controls - Procurement, Suspension and Debarment To Whomever it May Concern, This letter is in response to Clifton Larson Allen LLP finding of "Significant Deficiency in Internal Controls - P...

RE: Management Corrective Action Letter - FY2022 Federal Single Audit: Significant Deficiency in Internal Controls - Procurement, Suspension and Debarment To Whomever it May Concern, This letter is in response to Clifton Larson Allen LLP finding of "Significant Deficiency in Internal Controls - Procurement, Suspension and Debarment" in their federal single audit of our organization's 2022 fiscal year Upon notification of this finding, Coos Watershed Association (Association) management immediately drafted a revision to our fiscal policy to include a policy and procedure for ensuring that covered transactions are not entered into with entities suspended or debarred from receiving federal funding. This policy was approved by the Board of Directors on March 14th, 2023 and is included below. Coos Watershed Association Fiscal Policy Section 7b, page 16: "If the Contract is being paid for with federal funding, the Executive Director will ensure that the selected Contractor is not suspended or debarred from doing business with federal contracts by conducting an exclusion search on sam.gov before entering into the Contract. The Association will not enter into Contracts with Contractors who are not legally allowed to work on state or federal contracts." Additionally, the Executive Director performed an exclusion search and found that all contractors working for the Association on covered transactions are not excluded from working on federal contracts.

View Audit 55049

Finding 59650 (2022-001)

Significant Deficiency 2022

Ucr of Covington Tn D/b/a Fox Hollow Com 081-11045

OH

HUD Housing Programs Internal Control / Segregation of Duties Eligibility

1. Comments on Findings and Recommendation Management acknowledges failure to comply with timely EIV Master File Reports required to be completed as part of tenant move in certification process and EIV Master File process. 2. Actions Taken or Planned The Corporation will regularly monitor and recon...

1. Comments on Findings and Recommendation Management acknowledges failure to comply with timely EIV Master File Reports required to be completed as part of tenant move in certification process and EIV Master File process. 2. Actions Taken or Planned The Corporation will regularly monitor and reconcile the creation and retention of background checks and Income reports as part of the move in process. Additional training was provided and corrective action was taken. Management is reviewing and revising the EIV policy. 3. Status of Corrective Actions on Prior Findings The Corporation did not remediate the prior year finding for failure to comply with timely EIV Income Reports.

View Audit 55029

Finding 59648 (2022-002)

Material Weakness 2022

County of Crawford, Michigan

MI

Cash Management Material Weakness Reporting

2021-001 ? Internal Control Finding over Reporting Auditor Description of Condition and Effect: Internal control procedures are required to ensure the reporting requirements for the Homeland Security Grant Program are being met. The County is required to submit standardized EMD reimbursement report...

2021-001 ? Internal Control Finding over Reporting Auditor Description of Condition and Effect: Internal control procedures are required to ensure the reporting requirements for the Homeland Security Grant Program are being met. The County is required to submit standardized EMD reimbursement reports to report expenditures under Federal Awards. During our testing, we identified $11,884 of expenditures that were not included on the EMD reimbursement reports. As a result of this condition, the County is exposed to an increased risk of not being reimbursed for eligible expenses. Auditor Recommendation: The County should review and reconcile the EMD reimbursement reports to the County?s detailed accounting system records to ensure completeness of the reimbursement requests. Corrective Action: We agree with the finding and will implement this procedure going forward. Responsible Person: Anticipated Completion Date: September 30, 2023

View Audit 55025

Finding 59647 (2022-001)

None 2022

Phoenix Voa Elderly Housing, INC (vista De La Montana)

VA

Reporting

Finding Reference Number: 2022-001 Concur or Do Not Concur: Concur Agree or Disagree with Auditor Recommendations: Agree Actions Taken or Planned on the Finding: Management agrees with the finding. The security deposit deficiency was funded on July 15, 2022 in the amount of $705. Management will e...

Finding Reference Number: 2022-001 Concur or Do Not Concur: Concur Agree or Disagree with Auditor Recommendations: Agree Actions Taken or Planned on the Finding: Management agrees with the finding. The security deposit deficiency was funded on July 15, 2022 in the amount of $705. Management will ensure that the security deposits are properly funded in the future. Completion Date: July 15, 2022

View Audit 55019

Finding 59631 (2022-001)

Significant Deficiency 2022

Southwest and West Central Service Cooperative

MN

Procurement, Suspension & Debarment Internal Control / Segregation of Duties

Employee Credit Card Transactions Corrective Action Plan (CAP) 1. Explanation of Disagreement with Audit Finding: There is no disagreement with audit finding. 2. Actions Planned in Response to Finding: Management is aware of the condition and has taken the proper steps to ensure compliance in the fu...

Employee Credit Card Transactions Corrective Action Plan (CAP) 1. Explanation of Disagreement with Audit Finding: There is no disagreement with audit finding. 2. Actions Planned in Response to Finding: Management is aware of the condition and has taken the proper steps to ensure compliance in the future. 3. Official Responsible for Ensuring CAP: Randy Erdman, Director of Operations, is the official responsible for ensuring corrective action. 4. Planned Completion Date for CAP: June 30, 2023. 5. Plan to Monitor Completion of CAP: The report that is generated each month to report expenditures to the Board will now be monitored each month by the accounting staff and Board finance committee to ensure all transactions are included in the report.

View Audit 56108

Finding 59628 (2022-001)

Material Weakness 2022

Granite Falls School District No. 332

WA

Procurement, Suspension & Debarment § 200.318

"See Corrective Action Plan for chart/table"

View Audit 55805

Finding 59624 (2022-002)

Significant Deficiency 2022

Educare of Omaha, Inc.

NE

Allowable Costs / Cost Principles § 200.303

Condition: Internal controls over the payroll transaction cycle were not operating effectively in that payroll was being processed without proper review and approval of employee timecards being performed by supervisors. Management is responsible for compliance with the requirements referred to abov...

Condition: Internal controls over the payroll transaction cycle were not operating effectively in that payroll was being processed without proper review and approval of employee timecards being performed by supervisors. Management is responsible for compliance with the requirements referred to above and for the design, implementation, and maintenance of effective internal control over compliance with the requirements of laws, statutes, regulations, rules and provisions of contracts or grant agreements applicable to the Organization?s federal programs. In testing payroll transactions for compliance, we identified instances of employees? timecards lacking approval from supervisors prior to their hours being charged to the federal program. Planned Corrective Action: Management has now developed a ?Timecards Not Approved? query report within ADP, which the Controller will run two days prior to payroll submission. This query will be provided to the Operations Director and Fiscal Services Director. If the query reflects instances of non-timecard approval, the applicable supervisor(s) will be contacted to ensure the timecard is approved before payroll is submitted. Contact Person: Mark Swanson, Fiscal Services Director Anticipated Completion Date: July 31, 2023

View Audit 55804

Finding 59621 (2022-002)

Material Weakness 2022

Aneta Homes Inc.

ND

Material Weakness Reporting Matching / Level of Effort / Earmarking

2022-002 ? Reporting Contact Person Terry Hanson Corrective Action Plan The Program will implement procedures to ensure timely reporting for future report submissions. Planned Completion Date for CAP July 30, 2023

View Audit 55803

Finding 59620 (2022-001)

Material Weakness 2022

Aneta Homes Inc.

ND

Material Weakness

2022-001 ? Reserve for Replacement Contact Person Terry Hanson Corrective Action Plan The Program is aware of required monthly deposits to a reserve for replacement account in accordance with their regulatory agreement. Management will allow for cash flows in to account as allowable. Planned Complet...

2022-001 ? Reserve for Replacement Contact Person Terry Hanson Corrective Action Plan The Program is aware of required monthly deposits to a reserve for replacement account in accordance with their regulatory agreement. Management will allow for cash flows in to account as allowable. Planned Completion Date for CAP Ongoing

View Audit 55803

Finding 59616 (2022-002)

Significant Deficiency 2022

Fairbanks Native Association

AK

Allowable Costs / Cost Principles Procurement, Suspension & Debarment Significant Deficiency

Finding 2022-002 Lack of Internal Control over Activities Allowed or Unallowed and Allowable Costs/Cost Principles Name of Contact Person: Duane Hoskins, Director of Finance Corrective Action Plan: In order to improve internal control over expenditures made by credit cards, while still maintaining...

Finding 2022-002 Lack of Internal Control over Activities Allowed or Unallowed and Allowable Costs/Cost Principles Name of Contact Person: Duane Hoskins, Director of Finance Corrective Action Plan: In order to improve internal control over expenditures made by credit cards, while still maintaining a convenient and efficient system for small dollar and online purchases, Fairbanks Native Association adopted a Purchase Card system in June of 2022. A Purchase Card policy which will be put in place which will require supporting purchase documentation and Program Director approval. Proposed Completion Date: December 31, 2022

View Audit 55098

Finding 59601 (2022-004)

Material Weakness 2022

Mifflinburg Area School District

PA

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

Corrective Action Plan The Mifflinburg Area School District respectfully submits the following corrective action plan for the year ended June 30, 2022. Finding 2022-004: Reporting Contact Person: Renee M. Jilinski, Business Administrator Recommendation: The District should develop procedures to en...

Corrective Action Plan The Mifflinburg Area School District respectfully submits the following corrective action plan for the year ended June 30, 2022. Finding 2022-004: Reporting Contact Person: Renee M. Jilinski, Business Administrator Recommendation: The District should develop procedures to ensure accurate information is reported to allow for adequate tracking of the financial results of each Federal award. In addition, reports should be reviewed by an appropriate individual prior to submission to ensure the data entered into the reports is consistent with the District?s records. Action: The District developed procedures for assigning expenditures for State and Federal awards and created reporting specific to funding sources to identify all awards. Prior to submissions to reporting agencies, quarterly and annual reports will be reviewed by the Business Administrator to ensure accuracy for the reporting period(s). Date for Completion: August 30, 2022

View Audit 55017

Finding 59600 (2022-003)

Material Weakness 2022

Mifflinburg Area School District

PA

Equipment & Real Property Management Internal Control / Segregation of Duties Procurement, Suspension & Debarment

Corrective Action Plan The Mifflinburg Area School District respectfully submits the following corrective action plan for the year ended June 30, 2022. Finding 2022-003: Equipment and Real Property Management Contact Person: Renee M. Jilinski, Business Administrator Recommendation: The District s...

Corrective Action Plan The Mifflinburg Area School District respectfully submits the following corrective action plan for the year ended June 30, 2022. Finding 2022-003: Equipment and Real Property Management Contact Person: Renee M. Jilinski, Business Administrator Recommendation: The District should establish procedures to ensure all equipment purchased with grant funding is appropriately approved prior to purchase and property records are maintained in sufficient detail to allow for the adequate tracking of all equipment purchased with grant funds. Action: The District obtained guidance from PDE resources on the approval process for equipment over the capitalization threshold when utilizing ESSER funds. The District further identified its capitalization threshold of $1,500 is lower than the standard minimum capitalization threshold of $5,000. The capitalization policy will be updated. The value of any single item for inclusion in the fixed assets accounts shall be not less than $5,000 and have an estimated useful life of one (1) year or more. Date for Completion: December 6, 2022

View Audit 55017

Finding 59598 (2022-001)

Significant Deficiency 2022

Beacon Academy

MN

Questioned Costs Procurement, Suspension & Debarment

Minnesota Department of Education, Beacon Academy respectfully submits the following corrective action plan for the year ended June 30, 2022. Audit period: 7/1/2021 ? 6/30/2022 The finding from the schedule of findings and questioned costs is discussed below. The finding is numbered consistently wit...

Minnesota Department of Education, Beacon Academy respectfully submits the following corrective action plan for the year ended June 30, 2022. Audit period: 7/1/2021 ? 6/30/2022 The finding from the schedule of findings and questioned costs is discussed below. The finding is numbered consistently with the number assigned in the schedule. FINDINGS?FINANCIAL STATEMENT AUDIT The audit did not disclose any Financial Statement items required to be reported. FINDINGS?FEDERAL AWARD PROGRAMS AUDITS U.S. Department of Agriculture 2022-001 Child Nutrition Cluster ? Assistance Listing No. 10.553, 10.555, 10.556, 10.559, 10.582 Recommendation: We recommend that Beacon Academy develop internal controls to provide review and approve all expenditures that go into the Food Service Fund. In addition, we recommend that if there is a purchase with a vendor over the School?s micro-purchase threshold of $3,000 that the procurement policy is followed and documentation is maintained to document the cost analysis performed. Explanation of disagreement with audit finding: There is no disagreement with the audit finding. Action taken in response to finding: Beacon Academy will work to ensure the proper procurement documentation is retained in line with their procurement policy and the uniform guidance. Name of the contact person responsible for corrective action: Sean Koster Planned completion date for corrective action plan: June 30, 2023

View Audit 55009 Questioned Costs: $1

Finding 59581 (2022-002)

Significant Deficiency 2022

City of Kansas City, Missouri

MO

Special Tests & Provisions Subrecipient Monitoring Reporting

Program: Airport Improvement Program Compliance: N ? Special Tests and Provisions Finding Type: Compliance and Internal Control Agency: Department of Transportation (DOT)/Federal Aviation Administration (FAA) Internal Control Impact: Significant Deficiency Finding: The City utilizes 745,190 square f...

Program: Airport Improvement Program Compliance: N ? Special Tests and Provisions Finding Type: Compliance and Internal Control Agency: Department of Transportation (DOT)/Federal Aviation Administration (FAA) Internal Control Impact: Significant Deficiency Finding: The City utilizes 745,190 square feet of land owned by the Aviation Department for the City?s Fire Department and Police Station serving the north Kansas City community including the Kansas City airport. The City pays ground rent of $0.168 per square foot per year based on a rate study done in 2003. Status: Corrective action plan in progress Corrective Action Plan: Fair and reasonableness of the rental rate: Upon completion of the New Terminal the Department will undertake either a Land Use Survey or a Market Rate Study to determine if our leased property is competitively priced. The Aviation Department has placed in FY24 budget a placeholder for a Market Study contract. Person(s) Responsible for Implementation: Fred O?Neill, Aviation Department Fiscal Officer, Telephone: (816) 243-3201; Email: Fred_ONeill@kcmo.org Implementation Date: Fair and reasonableness of the rental rate will be reviewed upon completion of the new terminal.

View Audit 54437

Finding 59573 (2022-001)

Material Weakness 2022

City of Kansas City, Missouri

MO

Program Income Subrecipient Monitoring HUD Housing Programs

Program: Community Development Block Grants/Entitlement Grants Compliance: J-Program Income Finding Type: Compliance and Internal Control Agency: Department of Housing and Urban Development (HUD) Internal Control Impact: Material Weakness Finding: The City hired a third party to service single famil...

Program: Community Development Block Grants/Entitlement Grants Compliance: J-Program Income Finding Type: Compliance and Internal Control Agency: Department of Housing and Urban Development (HUD) Internal Control Impact: Material Weakness Finding: The City hired a third party to service single family home loans made with federal funds from this grant. The City did not maintain a listing or monitor the loans originated under this grant. Accordingly, the City cannot reconcile the loan servicer?s accounting reports to City records. Although the City indicated that they have other sources of program income, the City does not have a system which identifies other sources of program income. Status: Corrective action plan in progress Corrective Action Plan: The City has obtained information from the third-party loan servicer which will allow for the tracking and confirmation of existing loans with the goal of taking a more active role in the management of the portfolio including making decisions for write-off of non-performing balances and those where the cost of servicing the loan exceeds the loan payments. Person(s) Responsible for Implementation: Pearline McFall, Housing Department Fiscal Officer, Telephone: (816) 513-8432; Email: Pearline.McFall@kcmo.org Implementation Date: Ongoing

View Audit 54437

Finding 59572 (2022-001)

None 2022

University of Louisiana Federal Credit Union

LA

Reporting

The credit union will amend its use of award reports to report the correct category and description for the amount cited in this finding.

View Audit 54066

Finding 59538 (2022-004)

Significant Deficiency 2022

Erie County Technical School

PA

Cash Management Reporting Significant Deficiency

FINDING 2022-004: ESSER - REPORTING CONTACT PERSON: Jessica Garnica, Business Manager CORRECTIVE ACTION: Management will ensure all necessary reports related to federal grants are filed in a timely manner and that PDE requirements are reviewed. Management has already filed the required cash on ha...

FINDING 2022-004: ESSER - REPORTING CONTACT PERSON: Jessica Garnica, Business Manager CORRECTIVE ACTION: Management will ensure all necessary reports related to federal grants are filed in a timely manner and that PDE requirements are reviewed. Management has already filed the required cash on hand reports for ARP ESSER for the most recent fiscal quarter. Management is confident that the issue can be resolved immediately. PROPOSED COMPLETION DATE: Immediately

View Audit 54480

Finding 59533 (2022-003)

Significant Deficiency 2022

La Roche University

PA

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

Finding 2022-003 Issue: The University utilizes an automated notification system to send an email message to students when federal loans are disbursed. The message includes (1) the date and amount of the disbursement; (2) the student's right, or parent's right, to cancel all or a portion of that...

Finding 2022-003 Issue: The University utilizes an automated notification system to send an email message to students when federal loans are disbursed. The message includes (1) the date and amount of the disbursement; (2) the student's right, or parent's right, to cancel all or a portion of that loan or loan disbursement and have the loan proceeds returned; and (3) the procedure and time by which the student or parent must notify the institution that he or she wishes to cancel the loan. However, as a result of a technical issue the automated notification system stopped working in September, 2021. Corrective Action: As of March 10, 2023, the University corrected the technical system scripts that failed approximately 19 months ago; as a result, students are once again receiving automated email notifications when federal aid is posted to their accounts. Responsibility: Director, Student Accounts Contact: Dayna Tinkey, Director, Student Accounts

View Audit 54887

Finding 59532 (2022-002)

None 2022

La Roche University

PA

Student Financial Aid Matching / Level of Effort / Earmarking

Finding 2022-002 Issue: The University completed a Return to Title IV (R2T4) worksheet and returned more unearned aid than the school was responsible for per the calculation. The R2T4 calculation and return of funds was completed in a timely fashion but the amount of unearned Direct PLUS Loan fund...

Finding 2022-002 Issue: The University completed a Return to Title IV (R2T4) worksheet and returned more unearned aid than the school was responsible for per the calculation. The R2T4 calculation and return of funds was completed in a timely fashion but the amount of unearned Direct PLUS Loan funds was not properly scheduled by the counselor. Program closeout for the year has been completed and no adjustment can be made to reclaim funds at this time. While no financial liability has fallen upon the student or parent borrower the Financial Aid Office agrees with the finding of inaccuracy. Corrective Action: The University began implementation of an enhanced procedure for Return to Title IV calculations beginning with Fall 2022 semester and includes a detailed review of all calculations to ensure compliance & accuracy. Responsibility: Identification & evaluation of students will be completed by office staff and reviewed by the Director of Financial Aid. Contact: Robert Clemens, Director of Financial Aid

View Audit 54887

Finding 59531 (2022-001)

Significant Deficiency 2022

La Roche University

PA

Student Financial Aid Matching / Level of Effort / Earmarking Reporting

Finding 2022-001 Issue: The University did not notify the National Student Loan Data System (NSLDS) in a timely manner for 1 student with status changes of Graduated. The student in question graduated in December 2021. Per the assistant registrar, the degree verify files for both undergraduate a...

Finding 2022-001 Issue: The University did not notify the National Student Loan Data System (NSLDS) in a timely manner for 1 student with status changes of Graduated. The student in question graduated in December 2021. Per the assistant registrar, the degree verify files for both undergraduate and graduate students for December 2021 graduates were uploaded to the National Student Clearinghouse on 1/7/2022. It appears that the undergraduate file was processed by the graduate student file was not. We receive processing confirmations from the Clearinghouse, but when files are submitted in multiples, only one confirmation is received for all files, not separate confirmation. Corrective Action: The assistant registrar has been in communication with the National Student Clearinghouse regarding the missed file. The upload has been resolved. Going forward, the assistant registrar will submit each file separately to receive separate confirmations, and personally verify posting. Responsibility: Degree Verify reporting is uploaded by the Assistant Registrar. Contact: Katie Elverson, Registrar Issue: The University did not notify the National Student Loan Data System (NSLDS) in a timely manner for 2 students that changed enrollment status mid-semester. The students in question enrolled in fall 2021 classes full-time and was reported as full-time in the initial enrollment report They withdrew from all classes on 9/15/2023 and 10/21/2021, respectively. In the enrollment reports following their withdrawal, the students were reported as less-than half-time, rather than withdrawn. Students were reported as withdrawn following the end of the term. These reports with statuses are pulled by the student information system, so this seems to have been an issue with the SIS; they are spot checked, but all rows cannot be manually checked and verified before submission. Corrective Action: Upon notification of this issue, I began to investigate the original data report that was pulled out of CX (our SIS) to determine where the error was coming from Upon viewing the Fall 2021 data for the students, I saw that after their withdrawal they were reported as enrolled in zero credits, however they were also being classified in the report from CX as 'less than half time.' I immediately contacted Jenzabar (our SIS vendor) to inquire as to why the system would be calculating a zero-credit enrollment as 'less than half time.' They quickly responded and showed me how to adjust tables within CX that determine how student statuses are completed. Information in the tables was incomplete regarding students who withdraw midsemester. Bringing this to our attention enabled us to implement a corrective solution. Unfortunately, this solution will not be seen on enrollment reports until March 2023. Responsibility: Enrollment reporting is uploaded by the Registrar. Contact: Katie Elverson, Registrar

View Audit 54887

Corrective Action Plans

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