Corrective Action Plans

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Deficiencies In the TANF Eligibility Determination Process The Division of Child Development and Early Education (Division) will provide targeted technical assistance and training to the county in error. The Division will also analyze the error and incorporate this error as a training item in future...
Deficiencies In the TANF Eligibility Determination Process The Division of Child Development and Early Education (Division) will provide targeted technical assistance and training to the county in error. The Division will also analyze the error and incorporate this error as a training item in future regional meetings/trainings for all counties. Anticipated Completion Date: December 31, 2026.
FFATA Reporting Not Completed See 2025-019 for the Corrective Action Plan.
FFATA Reporting Not Completed See 2025-019 for the Corrective Action Plan.
Maintenance of Effort Report Certification Not Completed See 2025-018 for the Corrective Action Plan.
Maintenance of Effort Report Certification Not Completed See 2025-018 for the Corrective Action Plan.
FFATA Reporting Not Completed The Division of Aging has initiated the development of a comprehensive contingency plan that includes: Actions Taken: All subrecipient grant notices for the audited period were uploaded to the FFATA Subaward Reporting System (FSRS). Planned Actions: • Development and Im...
FFATA Reporting Not Completed The Division of Aging has initiated the development of a comprehensive contingency plan that includes: Actions Taken: All subrecipient grant notices for the audited period were uploaded to the FFATA Subaward Reporting System (FSRS). Planned Actions: • Development and Implementation of Standard Operating Procedures (SOPs) including detailed instructions and timelines for identifying applicable subawards and completing FFATA reporting in FSRS. • Cross-training of staff across sections regarding requirements and expectations for FFATA reporting. • Establishing a system to track subawards, monitor reporting deadlines, and verify timely submissions. The Division Director (or their appointed designee) and Section Chief of Planning will oversee implementation and conduct reviews to ensure ongoing compliance. Anticipated Completion Date: June 30, 2026.
Maintenance of Effort Report Certification Not Completed The Division of Aging acknowledges the importance of ensuring timely certification and submission of required reports. The Division will complete the following: • Development and Implementation of Standard Operating Procedures (SOPs) including...
Maintenance of Effort Report Certification Not Completed The Division of Aging acknowledges the importance of ensuring timely certification and submission of required reports. The Division will complete the following: • Development and Implementation of Standard Operating Procedures (SOPs) including identification of responsible parties (positions), detailed instructions and guidance for preparing, certifying, and submitting the MOE report. • Cross-training of staff to ensure continuity of reporting functions during periods of turnover or absence. The Division’s Director (or their designee) and the Section Chief of Planning will oversee implementation and conduct reviews to ensure ongoing compliance. Anticipated Completion Date: August 2026.
Student Enrollment Status Reporting Errors See 2025-009 for the Corrective action Plan.
Student Enrollment Status Reporting Errors See 2025-009 for the Corrective action Plan.
Financial Assistance Disbursed in Excess of Student Eligibility Modified existing report to include the identification of students with dependent status and independent level loans in the absence of a Parent PLUS denial. Added weekly task to Loan Processing calendar to include the review of report. ...
Financial Assistance Disbursed in Excess of Student Eligibility Modified existing report to include the identification of students with dependent status and independent level loans in the absence of a Parent PLUS denial. Added weekly task to Loan Processing calendar to include the review of report. Corrective Action was Completed on: August 25, 2025.
No Internal Controls Over Student Enrollment Status Reporting See 2025-008 for the Corrective Action Plan.
No Internal Controls Over Student Enrollment Status Reporting See 2025-008 for the Corrective Action Plan.
No Internal Controls Over Student Enrollment Status Reporting See 2025-007 for the Corrective Action Plan.
No Internal Controls Over Student Enrollment Status Reporting See 2025-007 for the Corrective Action Plan.
Financial Assistance Disbursed in Excess of Student Eligibility In September and October 2025, the Director of Student Financial Aid reminded the team members of the mandatory process step which requires them to review each student’s loan history in the NSLDS (National Student Loan Data System) and ...
Financial Assistance Disbursed in Excess of Student Eligibility In September and October 2025, the Director of Student Financial Aid reminded the team members of the mandatory process step which requires them to review each student’s loan history in the NSLDS (National Student Loan Data System) and place a copy of the NSLDS history in the student’s financial aid file as evidence of their review. A review process to confirm compliance was implemented in the fall 2025 semester. An Assistant Director in the Office of Student Financial Aid is responsible for performing audits of our internal files to confirm that the NSLDS reviews are documented. The Assistant Director also provides remediation to any team member whose records are not in compliance. The University has already repaid the over-award amount. Corrective action was completed on: October 29, 2025.
Student Enrollment Status Reporting Errors See 2025-006 for the Corrective Action Plan.
Student Enrollment Status Reporting Errors See 2025-006 for the Corrective Action Plan.
Financial Assistance Disbursed Without Evaluating Satisfactory Academic Progress See 2025-005 for the Corrective Action Plan.
Financial Assistance Disbursed Without Evaluating Satisfactory Academic Progress See 2025-005 for the Corrective Action Plan.
No Internal Controls Over Student Enrollment Status Reporting See 2025-003 for the Corrective Action Plan.
No Internal Controls Over Student Enrollment Status Reporting See 2025-003 for the Corrective Action Plan.
Student Enrollment Status Reporting Errors Collaborate with UNCG Information Technology Services (ITS) to create an automated process to correctly report enrollment status changes with appropriate status dates to the National Student Loan Database System (NSLDS) via the National Clearinghouse (NSC) ...
Student Enrollment Status Reporting Errors Collaborate with UNCG Information Technology Services (ITS) to create an automated process to correctly report enrollment status changes with appropriate status dates to the National Student Loan Database System (NSLDS) via the National Clearinghouse (NSC) when a student adds, drops, or withdraws from one or more (but not all) courses. Develop written policies and procedures that detail how the automated processing reports data, how manual updates are made, how to respond to error reports, and when/how to test samples at NSC and NSLDS on a recurring basis to ensure the process is working as intended. The written policies and procedures will identify key positions within the University Registrar Office and Office of Financial Aid and Scholarships and what each position is responsible for including regularly testing enrollment reporting to ensure NSC and NSLDS are up to date based on the latest enrollment reporting file. Anticipated Completion Date: April 3, 2026.
No Internal Controls Over Student Enrollment Status Reporting Financial Aid Control for NSLDS Enrollment Reporting: •Enrollment is reported via the National Student Clearinghouse by the Registrar. •Financial Aid Staff (Associate Director of Financial Aid) will pull a list of enrolled students for th...
No Internal Controls Over Student Enrollment Status Reporting Financial Aid Control for NSLDS Enrollment Reporting: •Enrollment is reported via the National Student Clearinghouse by the Registrar. •Financial Aid Staff (Associate Director of Financial Aid) will pull a list of enrolled students for the semester and create a sample population for the control check. •Financial Aid Staff (Associate Director of Financial Aid) will Ched each individual student in the Enrollment section of NSLDS to ensure the student's enrollment status has been reported correctly. •Financial Aid Staff (Associate Director of Financial Aid) will perform this check 2-3 weeks after census each semester and document the check in the quality control folder in the shared drive. Corrective Action was Completed on: December 5, 2025.
No Internal Controls Over Student Enrollment Status Reporting Like many schools, ECU relies on the National Student Clearinghouse (NSC) to submit student enrollment status data to the NSLDS (National Student Loan Data System). In response to the audit recommendation, an Assistant Director in the Off...
No Internal Controls Over Student Enrollment Status Reporting Like many schools, ECU relies on the National Student Clearinghouse (NSC) to submit student enrollment status data to the NSLDS (National Student Loan Data System). In response to the audit recommendation, an Assistant Director in the Office of Student Financial Aid has been assigned to regularly review automated reports that identify students whose data in the ECU, NSC, and NSLDS databases doesn’t match. (This task was not completed during the audit period due to position vacancies.) When a student is identified on the error report, the Assistant Director reviews the data in ECU’s student system and the NSLDS to determine the differences and the root cause of the problem. The Financial Aid Office and/or Registrar Office then takes corrective action to ensure the NSLDS record and ECU’s record matches. Corrective action was completed on: October 1, 2025.
Student Enrollment Status Reporting Errors The NSC Parameter Definition (SITS) form in Colleague will be updated to report only active courses at census. As a result of this change, the first of term enrollment submissions to NSCH will reflect all courses enrolled during the semester, and the subseq...
Student Enrollment Status Reporting Errors The NSC Parameter Definition (SITS) form in Colleague will be updated to report only active courses at census. As a result of this change, the first of term enrollment submissions to NSCH will reflect all courses enrolled during the semester, and the subsequent enrollment submissions will only report active courses at the time of the submission. This should accurately report enrollment status changes due to latter 8-week term course enrollment. The update will take place for the Spring 2026 first-of-term submission scheduled for January 30, 2026. Anticipated Completion Date: February 1, 2026.
Financial Assistance Disbursed Without Evaluating Satisfactory Academic Progress SAP Policies and Procedures will be updated to include running the new SAP report during the ISIR Load Process, prior to submitting disbursements, and during the End of Term SAP Evaluation Process to ensure SAP is evalu...
Financial Assistance Disbursed Without Evaluating Satisfactory Academic Progress SAP Policies and Procedures will be updated to include running the new SAP report during the ISIR Load Process, prior to submitting disbursements, and during the End of Term SAP Evaluation Process to ensure SAP is evaluated on all financial aid students. Anticipated Completion Date: February 1, 2026.
Student Enrollment Status Reporting Errors Craven Community College (College) received guidance from the North Carolina System Office to improve the accuracy and timeliness of enrollment reporting. The new process involves updating Colleague system parameters to enhance data gathering and streamline...
Student Enrollment Status Reporting Errors Craven Community College (College) received guidance from the North Carolina System Office to improve the accuracy and timeliness of enrollment reporting. The new process involves updating Colleague system parameters to enhance data gathering and streamline report submissions. The College added an additional report submission following each term to capture graduation status changes. These changes were implemented in September 2025. The College changed the enrollment report submission date to capture student status changes in a timely manner. This change was implemented in September 2025. An Internal Control Process (ICP) will be developed that outlines steps to be taken to conduct two self-audits each semester. The ICP will be located on the college’s shared drive accessible by all employees. The ICP will be available by March 1, 2026. The College will self-audit student records submitted to the National Clearinghouse and National Student Loan Data System (NSLDS) twice per semester at the mid-point and at end-of-term. The self-audit will be conducted by the Executive Director of Financial Aid and the Director of Admissions and Student Records. The Directors will review a total of 50 files per audit. A record of each audit will be stored on the secured shared directory. The shared directory can only be accessed by the staff in Student Services. The first self-audit will occur during March 2026. Anticipated Completion Date: June 30, 2026.
No Internal Controls Over Student Enrollment Status Reporting Assignment of Responsibility: The Registrar will provide a copy of each NSC enrollment report to the Director of Financial Aid for review. The Director of Financial Aid will review a sample of students included in the report by comparing ...
No Internal Controls Over Student Enrollment Status Reporting Assignment of Responsibility: The Registrar will provide a copy of each NSC enrollment report to the Director of Financial Aid for review. The Director of Financial Aid will review a sample of students included in the report by comparing enrollment information with records in the National Student Loan Data System (NSLDS). Any discrepancies or enrollment status changes not accurately reflected in NSLDS will be identified and corrected in a timely manner. This review and reconciliation process will be conducted monthly for enrollment status changes and once per semester for graduation status updates. Written Policies and Procedures: CFCC maintains an internal document that outlines the procedures required to complete all NSC reporting. This document will be updated to incorporate the reconciliation and review process involving the Director of Financial Aid to ensure accuracy, consistency, and continuity. Corrective action was completed on: January 21, 2026.
Student Enrollment Status Reporting Errors Since October 2025, the College has operated under a rigorous review process. This initiative is managed through a cross-functional collaboration between Financial Aid and Records and Registration, with executive oversight provided by the Vice President of ...
Student Enrollment Status Reporting Errors Since October 2025, the College has operated under a rigorous review process. This initiative is managed through a cross-functional collaboration between Financial Aid and Records and Registration, with executive oversight provided by the Vice President of Student Services, the Executive Director of Enrollment Management, and the Director of Financial Aid. •Error Resolution and Reconciliation: Error files and NSLDS reject logs are shared immediately with the Financial Aid Director. Staff are required to review every student flagged in these files and verify that corrections are accurately reflected in the NSLDS database. Process implemented since October 2025. •Increase in Control: To streamline communication and sharing of information, CCC& Tl is launching a centralized Microsoft Teams site for all stakeholders. This site will serve as a repository for National Student Clearinghouse (NSC) term enrollment status error files, graduate error files, and comprehensive PDF lists of all students submitted to the NSC. The site will also include written procedures for identifying and reporting enrollment status changes, and defined roles and responsibilities. Process to be completed by March 13, 2026. •Staff Training and Accountability: All relevant staff will receive comprehensive training on these new protocols. A standardized checklist has been developed to track completed steps. Process will be completed by March 13, 2026. These steps are designed to increase control and significantly improve the accuracy and timeliness of student status updates, thereby ensuring full compliance with state and federal reporting requirements. Anticipated Completion Date: March 13, 2026.
The Financial Aid Office identified suspicious activity in FY2025 and collaborated with IT and Admissions to verify the integrity of financial aid applications. The Financial Aid Office has implemented additional procedures and reporting controls to strengthen the financial aid awarding process. Dur...
The Financial Aid Office identified suspicious activity in FY2025 and collaborated with IT and Admissions to verify the integrity of financial aid applications. The Financial Aid Office has implemented additional procedures and reporting controls to strengthen the financial aid awarding process. During the packaging process, a report is generated and reviewed to verify the Cost of Attendance (COA), Student Aid Index (SAI), and any other estimated financial assistance prior to loan disbursement. This review helps ensure that total financial aid does not exceed allowable limits and prevents the overawarding of aid to students.
Congressionally Directed Spending – 93.493 Recommendation: We recommend that the University reviews its procedures around review and approval of expenditures to ensure that only valid expenditures are reported. Explanation of disagreement with audit finding: There is no disagreement with the audit f...
Congressionally Directed Spending – 93.493 Recommendation: We recommend that the University reviews its procedures around review and approval of expenditures to ensure that only valid expenditures are reported. Explanation of disagreement with audit finding: There is no disagreement with the audit finding. Action taken in response to finding: The identified expenditures were removed from the award and appropriately reclassified in September 2025. In response to this finding, the University of Maine at Augusta (UMA) has increased the frequency of general ledger review for its federal awards from monthly to twice monthly. This review process includes a direct cross-reference between transactions and the approved award budget. This enhanced oversight allows for timely identification and correction of discrepancies. The UMA Finance Department has several initiatives underway which will mitigate the risk of similar mispostings in the future, including the implementation of a formal training program for staff as a preventative control. A monthly reconciliation and transaction level review process which will be completed with principal investigators is also being developed. These additional procedures are expected to be in place by May 2026 and will support a consistent and strong awareness of federal compliance requirements, award administration and University of Maine System policies and procedures. Name(s) of the contact person(s) responsible for corrective action: Mark Mantey, Assistant Director of Finance, University of Maine at Augusta Planned completion date for corrective action plan: May 2026 If the United States Department of Education or other agency has questions regarding this plan, please call Darla Reynolds at 207-262-7743 or darlab@maine.edu.
Student Financial Assistance Cluster – 84.063 Recommendation: We recommend that a review is implemented which compares enrolled credits to Pell award to ensure all Pell funds are awarded at proper amounts. Explanation of disagreement with audit finding: There is no disagreement with the audit findin...
Student Financial Assistance Cluster – 84.063 Recommendation: We recommend that a review is implemented which compares enrolled credits to Pell award to ensure all Pell funds are awarded at proper amounts. Explanation of disagreement with audit finding: There is no disagreement with the audit finding. Action taken in response to finding: Upon notification of the finding, a query was developed and a review performed to identify potentially impacted records in advance of the 2025-2026 academic year. The University has also added review mechanisms to its semester-based enrollment adjustment and repackaging process designed to identify Enrollment Intensity (EI) coding changes, either by batch or manual processes. These review mechanisms allowed for the increased monitoring and correction of potentially incorrect EI coding that would ultimately increase the likelihood of an incorrect Pell Grant amount. A formal bi-weekly query and review process has recently been implemented that compares the student’s total enrollment for a term with the coded EI, confirming accuracy of the EI percentage. The query process also checks that the posted Pell award is the correct amount based on the EI percentage. Name(s) of the contact person(s) responsible for corrective action: Connie Smith, Executive Director of Student Financial Services Planned completion date for corrective action plan: March 2026
Student Financial Assistance Cluster – Assistance Listing No. Various Recommendation: We recommend the University review its reporting procedures to ensure that students’ statuses are accurately and timely reported to National Student Loan Data System (NSLDS) within the appropriate timeframe as requ...
Student Financial Assistance Cluster – Assistance Listing No. Various Recommendation: We recommend the University review its reporting procedures to ensure that students’ statuses are accurately and timely reported to National Student Loan Data System (NSLDS) within the appropriate timeframe as required by regulations. Explanation of disagreement with audit finding: There is no disagreement with the audit finding. Action taken in response to finding: A weekly query process was implemented to identify continuing, degree-seeking students with cancellations or term withdrawals. This process allows us to identify this population of students and accurately report status changes to National Student Clearinghouse (NSC) within a week, ensuring plenty of time for information to be sent from NSC to NSLDS. Name(s) of the contact person(s) responsible for corrective action: Jack Campbell, Registrar, University of Maine and Saman Lesinski, Senior Associate Registrar, University of Southern Maine Planned completion date for corrective action plan: University of Maine – August 2025, University of Southern Maine – March 2026
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