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Corrective Action Plans

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Finding 539409 (2024-004)
Significant Deficiency 2024
Prince William County
VA
HUD Housing Programs Significant Deficiency Internal Control / Segregation of Duties § 200.303
Finding 2024‐004: Significant Deficiency and Non‐Material Noncompliance – Housing Voucher Cluster REAC Report Name of Contact Person: Joan Duckett, Director of Housing & Community Development Corrective Action: The Office of Housing and Community Development (OHCD) has taken corrective measures to e...
Finding 2024‐004: Significant Deficiency and Non‐Material Noncompliance – Housing Voucher Cluster REAC Report Name of Contact Person: Joan Duckett, Director of Housing & Community Development Corrective Action: The Office of Housing and Community Development (OHCD) has taken corrective measures to ensure that the REAC reports are supported with accurate data and submitted in a timely manner. There are monthly reconciliation procedures in place which include management oversight and review of all reports. OHCD has and will continue to enter into a contractual agreement with a knowledgeable and reputable accounting firm that the County is under contract for services applicable to the need. REAC reports will be extensively reviewed by management prior to submission to HUD. Proposed Completion Date: Immediately
View Audit 349955
Finding 539408 (2024-003)
Significant Deficiency 2024
Prince William County
VA
HUD Housing Programs Significant Deficiency
Finding 2024‐003: Significant Deficiency and Non‐Material Noncompliance – Housing Voucher Cluster Special Test 8 – Bank Accounts Name of Contact Person: Joan Duckett, Director of Housing & Community Development Corrective Action: The Office of Housing and Community Development began working with the...
Finding 2024‐003: Significant Deficiency and Non‐Material Noncompliance – Housing Voucher Cluster Special Test 8 – Bank Accounts Name of Contact Person: Joan Duckett, Director of Housing & Community Development Corrective Action: The Office of Housing and Community Development began working with the County’s Finance Department and the current Banking Financial Institution (Wells Fargo) and opened two separate accounts, one for the Housing Choice Voucher (HCV) program and one for the FSS Escrow Accounts in April 2024. The task included revised mapping of deposits and expenditures, including the establishment of related workflows within the County’s financial management system and therefore these changes were adequately tested. The migration to the two new bank accounts went live on July 1, 2024, and per HUD regulations a General Depository Agreement (HUD‐51999 GDA) was entered. Proposed Completion Date: Immediately
View Audit 349955
Finding 539407 (2024-003)
Significant Deficiency 2024
University of St. Thomas
MN
Procurement, Suspension & Debarment Subrecipient Monitoring
Recommendation: CLA recommends the University review its existing policies to ensure it is up to date with federal regulations. They also recommend documenting the subrecipient was checked on the SAM.gov website prior to executing the subaward agreement. CLA suggests a secondary review should be per...
Recommendation: CLA recommends the University review its existing policies to ensure it is up to date with federal regulations. They also recommend documenting the subrecipient was checked on the SAM.gov website prior to executing the subaward agreement. CLA suggests a secondary review should be performed prior to payment and that the second review should be documented and retained to support the suspension and debarment requirements were followed and completed before entering into a covered transaction. Explanation of disagreement with audit finding: There is no disagreement with the audit finding. Action taken in response to finding: St. Thomas updated processes and procedures to verify subrecipient status’ on a twofold bases. First, at initiation via the Office of Sponsored programs. A secondary review is performed by the Purchasing and Payables team. Name(s) of the contact person(s) responsible for corrective action: Michael Warnock, mjwarnock@stthomas.edu and Karen Harthorn, kmharthorn@stthomas.edu Planned completion date for corrective action plan: This change has been implemented in the spring of 2025.
View Audit 349948
Finding 539406 (2024-002)
Significant Deficiency 2024
University of St. Thomas
MN
Reporting Subrecipient Monitoring Significant Deficiency
Recommendation: CLA recommends the University implements a process place to ensure the required reporting is completed in the timeline allowed by the granting agency and to complete any missed or late reporting as required. Explanation of disagreement with audit finding: There is no disagreement wit...
Recommendation: CLA recommends the University implements a process place to ensure the required reporting is completed in the timeline allowed by the granting agency and to complete any missed or late reporting as required. Explanation of disagreement with audit finding: There is no disagreement with the audit finding. Action taken in response to finding: St. Thomas identified the applicable FFATA reporting requirements and assigned responsibility to the appropriate party. Name(s) of the contact person(s) responsible for corrective action: Sarah Ervin, sarah.ervin@stthomas.edu Planned completion date for corrective action plan: The additional reporting requirement has been added to the accounting department’s list of responsibilities beginning in January 2025.
View Audit 349948
Finding 539401 (2024-001)
Significant Deficiency 2024
University of St. Thomas
MN
Student Financial Aid Reporting Significant Deficiency
Recommendation: CLA recommends the University review its reporting procedures to ensure the students' statuses are accurately reported to NSLDS as required by regulations. Explanation of disagreement with audit finding: There is no disagreement with the audit finding. Action taken in response to fin...
Recommendation: CLA recommends the University review its reporting procedures to ensure the students' statuses are accurately reported to NSLDS as required by regulations. Explanation of disagreement with audit finding: There is no disagreement with the audit finding. Action taken in response to finding: By reviewing the ordering of internal processes and procedures St. Thomas determined two internal processes ran out of order causing incorrect reporting. Procedural documentation has been updated and training provided to ensure this error is not repeated. Name(s) of the contact person(s) responsible for corrective action: Yuko Kachinsky: yuko.kachinsky@stthomas.edu Planned completion date for corrective action plan: A process error was identified and corrected in August 2024.
View Audit 349948
Finding 539399 (2024-001)
Significant Deficiency 2024
City of Colton
CA
Procurement, Suspension & Debarment
The City took corrective action to address this area of deficiency in March 2024. The original audit finding, 2023-001, was communicated in March 2024. Immediately following this notification, the City implemented corrective actions by retroactively verifying the suspension and debarment list for al...
The City took corrective action to address this area of deficiency in March 2024. The original audit finding, 2023-001, was communicated in March 2024. Immediately following this notification, the City implemented corrective actions by retroactively verifying the suspension and debarment list for all open purchase orders and ensuring prospective compliance. The audit sampling for the fiscal year ending June 30, 2024, included transactions that occurred prior to the March 2024 communication of the finding. For all sampled transactions dated after the finding was communicated to the City, verification against the suspension and debarment list occurred prior to transaction completion. However, finding 2024-001 for the current audit year includes transactions occurring during the fiscal year ended June 30, 2024, for which the City performed the suspension and debarment verification retroactively, as they predated the implementation of the corrective measures.
View Audit 349946
Finding 539394 (2024-006)
Material Weakness 2024
Camden County Technical Schools
NJ
School Nutrition Programs Cash Management Reporting
Edit Check Worksheets will be matched to requests for State of NJ Division of Agriculture reimbursement on a monthly basis for accuracy.
Edit Check Worksheets will be matched to requests for State of NJ Division of Agriculture reimbursement on a monthly basis for accuracy.
View Audit 349945
Atkinson County Board of Commissioners
GA
Procurement, Suspension & Debarment
The County's procurement policies covering all of the Uniform Guidance requirements must be in writing. a) We concur with finding 2024-002 that the procurement policies covering all of the Uniform Guidance requirements must be in writing. Management is preparing written procurement policies for revi...
The County's procurement policies covering all of the Uniform Guidance requirements must be in writing. a) We concur with finding 2024-002 that the procurement policies covering all of the Uniform Guidance requirements must be in writing. Management is preparing written procurement policies for review and approval of the county commissioners. b) Nina Lott is responsible for the corrective action process and will work with the county commissioners to accomplish the corrective action.
View Audit 349943
Finding 539390 (2024-001)
Significant Deficiency 2024
Local Area of the Workforce Development in the Northwest
PR
Matching / Level of Effort / Earmarking
VIEWS OF RESPONSIBLE OFFICIALS The youth committee attached to the Norwest Local Board will compromise a representative from finance, budget and planning staff (youth program and executive) who will measure the achievement of the 20% benchmark on a quarterly basis. This committee will take appropr...
VIEWS OF RESPONSIBLE OFFICIALS The youth committee attached to the Norwest Local Board will compromise a representative from finance, budget and planning staff (youth program and executive) who will measure the achievement of the 20% benchmark on a quarterly basis. This committee will take appropriate actions in order to verify the correctness of the expenditures according to the 20% expense requirement mentioned above. This committee will provide to the Executive Director, recommendations to the operational areas in order to comply to the goal of expenditures required under sections 20 CFR 681.590, 681.00(a)(3) and 681.600 of WIOA. A report will be issue to the operational levels in accordance to the recommendations adopted by the Executive Director. The public policy for the implementation of the work experience element of the youth program gave the opportunity to increase youth service. The Northwest Local Area has established strategies for the dissemination of services for the youth program. This is done through the integration of social networks (fakebook, TikTok, Instagram) radio, signs press, television and official internet page. Employment and Educational Fairs for the Youth Program are being developed to recruit out of school Youth and promote work experience activity. We will continue to join efforts through mass campaigns with an effective strategic plan to outreach the youth program. IMPLEMENTATION DATE Immediately RESPONSIBLE PERSONS Executive Director, Area Executive, Finance Director
View Audit 349939
Finding 539389 (2024-007)
Significant Deficiency 2024
City of Norfolk
VA
The Department of Transportation will develop an electronic document storage policy and procedure for the on-site retention of project documentation, to include QAP testing, required by state and federal grant awards. The policy will include forms and reports completed by staff, contractors, and con...
The Department of Transportation will develop an electronic document storage policy and procedure for the on-site retention of project documentation, to include QAP testing, required by state and federal grant awards. The policy will include forms and reports completed by staff, contractors, and consultants, and will be reviewed for compliance prior to the distribution of vendor payments.
View Audit 349937
Finding 539387 (2024-006)
Significant Deficiency 2024
City of Norfolk
VA
Matching / Level of Effort / Earmarking
Internal controls will be established over reporting to the Virginia Department of Education to ensure accuracy of data, to include: · Student enrollment and membership data will be verified by the Department of Assessment, Research and Accountability. · Cost data and other financial information wil...
Internal controls will be established over reporting to the Virginia Department of Education to ensure accuracy of data, to include: · Student enrollment and membership data will be verified by the Department of Assessment, Research and Accountability. · Cost data and other financial information will be verified by the Accounting Department. · Information regarding children with disabilities will be verified by the Department of Learning Support.
View Audit 349937
Finding 539386 (2024-005)
Significant Deficiency 2024
City of Norfolk
VA
Questioned Costs Matching / Level of Effort / Earmarking Internal Control / Segregation of Duties § 200.326
The Department of Public Works, will incorporate the Federal Statement of Compliance form (C-56) within the Technical Specifications section of all federally-funded VDOT project contracts.
The Department of Public Works, will incorporate the Federal Statement of Compliance form (C-56) within the Technical Specifications section of all federally-funded VDOT project contracts.
View Audit 349937 Questioned Costs: $1
Finding 539385 (2024-004)
Significant Deficiency 2024
City of Norfolk
VA
Subrecipient Monitoring § 200.303 § 200.332
The Ryan White Office will complete a thorough review of contract templates to identify deviations from required subaward information. Appropriate language to address gaps will be drafted and incorporated into future agreements. Additional training on these requirements will be provided to relevant ...
The Ryan White Office will complete a thorough review of contract templates to identify deviations from required subaward information. Appropriate language to address gaps will be drafted and incorporated into future agreements. Additional training on these requirements will be provided to relevant staff. Future agreements will be monitored to ensure compliance.
View Audit 349937
Finding 539384 (2024-001)
Significant Deficiency 2024
Baltimore Research and Education Foundation, Inc.
MD
Reporting
BREF will ensure that the data collection form and the Single Audit package are filed the earlier of nine (9) months after year end or thirty (30) days after delivery of the financial statements.
BREF will ensure that the data collection form and the Single Audit package are filed the earlier of nine (9) months after year end or thirty (30) days after delivery of the financial statements.
View Audit 349925
Finding 539383 (2024-001)
Significant Deficiency 2024
City of Santa Monica
CA
Subrecipient Monitoring Allowable Costs / Cost Principles Eligibility § 200.302
Management agrees with the finding and recommendations, but also has determined that this finding will not be repeated in future years, as the arrearages program has come to a close.
Management agrees with the finding and recommendations, but also has determined that this finding will not be repeated in future years, as the arrearages program has come to a close.
View Audit 349915
Finding 539374 (2024-002)
Significant Deficiency 2024
Greensboro College, Inc. and Affiliates
NC
Student Financial Aid Reporting Matching / Level of Effort / Earmarking
Contact Person: Travis Mickey, Registrar Views of Responsible Officials and Planned Corrective Action: There is no disagreement with the audit finding. The College will collaborate with NSC to evaluate the errors in the file transmissions and to develop procedures to minimize further errors in ...
Contact Person: Travis Mickey, Registrar Views of Responsible Officials and Planned Corrective Action: There is no disagreement with the audit finding. The College will collaborate with NSC to evaluate the errors in the file transmissions and to develop procedures to minimize further errors in the future. More specifically, the College will review the reporting procedures for withdrawn and graduating students to ensure the correct information is transmitted to NSLDS. Anticipated Completion Date: 6/30/2025
View Audit 349911
Finding 539373 (2024-001)
Significant Deficiency 2024
Greensboro College, Inc. and Affiliates
NC
Special Tests & Provisions
Contact Person: Regina Elliott, Chief Information Officer Views of Responsible Officials and Planned Corrective Action: There is no disagreement with the audit finding. The College updated and implemented a comprehensive information security program on 1/19/25 that meets all requirements. And w...
Contact Person: Regina Elliott, Chief Information Officer Views of Responsible Officials and Planned Corrective Action: There is no disagreement with the audit finding. The College updated and implemented a comprehensive information security program on 1/19/25 that meets all requirements. And we will continue to review and update our IT policies and procedures on a regular basis. Furthermore, the College has strengthened our internal controls in order to ensure we are aware of new regulatory requirements and enhance our process for addressing them in a timely manner. Anticipated Completion Date: 1/19/2025
View Audit 349911
Finding 539372 (2024-003)
Material Weakness 2024
Argos Community Schools
IN
Special Tests & Provisions Subrecipient Monitoring Material Weakness § 200.303
Description of Corrective Action Plan: Argos Community Schools will ensure that going forward any construction we have done, funded with federal dollars will be compliant with Davis-Bacon Act Reporting laws and ensure we receive required documentation, as required by Federal Law.
Description of Corrective Action Plan: Argos Community Schools will ensure that going forward any construction we have done, funded with federal dollars will be compliant with Davis-Bacon Act Reporting laws and ensure we receive required documentation, as required by Federal Law.
View Audit 349901
Eastern University
PA
Questioned Costs Student Financial Aid Matching / Level of Effort / Earmarking
Verification Planned Corrective Action: We will periodically review students selected for verification with a status of verification not completed to ensure they did not receive need based federal aid. Person Responsible for Corrective Action Plan: Andrea Ruth, Director of Financial Aid Anticipated...
Verification Planned Corrective Action: We will periodically review students selected for verification with a status of verification not completed to ensure they did not receive need based federal aid. Person Responsible for Corrective Action Plan: Andrea Ruth, Director of Financial Aid Anticipated Date of Completion: 3/22/2025
View Audit 349900 Questioned Costs: $1
Finding 539367 (2024-001)
Significant Deficiency 2024
Eastern University
PA
Questioned Costs Student Financial Aid Matching / Level of Effort / Earmarking
Incorrect Return of Title IV (R2T4) Funds Calculations and Untimely Returns Planned Corrective Action: When this was identified last year, the Director of Financial Aid Office spent the next year working with the Department of Education as they conducted two separate reviews. The first review was c...
Incorrect Return of Title IV (R2T4) Funds Calculations and Untimely Returns Planned Corrective Action: When this was identified last year, the Director of Financial Aid Office spent the next year working with the Department of Education as they conducted two separate reviews. The first review was completed and we were notified that everything was good. The second review recently concluded via an exit interview where we were notified that a final report would be sent to us within the next two months. Additionally, the Director of Financial Aid has been working with the IT department, the Registrar’s Office, and our Academic Technology department to streamline the identification of students who need a R2T4 completed. This has been an ongoing process in the midst of the program reviews and getting clarification and guidance from the Department of Education, coupled with the FAFSA issues, continued to cause further delays with R2T4 calculations. Person Responsible for Corrective Action Plan: Andrea Ruth, Director of Financial Aid Anticipated Date of Completion: 3/22/2025
View Audit 349900 Questioned Costs: $1
Finding 539365 (2024-002)
Significant Deficiency 2024
Portland State University
OR
Student Financial Aid Reporting Matching / Level of Effort / Earmarking
Recommendation: We recommend that the University strengthen its internal controls over reporting student enrollment changes to NSLDS to ensure that enrollment effective dates are reported to NSLDS within 60 days of an enrollment status change and that enrollment is being properly certified every 60 ...
Recommendation: We recommend that the University strengthen its internal controls over reporting student enrollment changes to NSLDS to ensure that enrollment effective dates are reported to NSLDS within 60 days of an enrollment status change and that enrollment is being properly certified every 60 days. Explanation of Disagreement with Audit Finding: There is no disagreement with the audit finding. Action in Response to Finding: Portland State University relies on a third party, National Student Clearinghouse, to report student enrollment status changes to the NSLDS. Fall 2023 and Winter 2024 enrollment certification files were provided to NSC for relay to NSLDS. Despite this, these enrollment files were never provided to NSLDS and as such the students status change, effective September 26, 2023, was not certified within the NSLDS until May 3, 2024. We are researching why these enrollment certification files were never provided to the NSLDS. Name of the Contact Person Responsible for Corrective Action: Nicolle DuPont, Associate Registrar Planned Completion Date for Corrective Action Plan: April 2025
View Audit 349899
Finding 539363 (2024-001)
Significant Deficiency 2024
Portland State University
OR
Student Financial Aid
Recommendation: CLA recommends that the University review the requirement and implement a control to monitor outstanding checks throughout the year. In addition, for the checks outstandings greater than 240 days, the University should return the funding to the U.S. Department of Education. Explanat...
Recommendation: CLA recommends that the University review the requirement and implement a control to monitor outstanding checks throughout the year. In addition, for the checks outstandings greater than 240 days, the University should return the funding to the U.S. Department of Education. Explanation of Disagreement with Audit Finding: There is no disagreement with the audit finding Action in Response to Finding: The process during the current year has been to review the list of checks every 30 days but this has caused a failure in preventing checks from being returned after the 240 day mark. To rectify this, the Accountant II will review the comprehensive list on a monthly basis as well as checks that are in the future to ensure that we are not surpassing the 240 day mark by waiting for the next month to return. In addition, a report has been created to be delivered weekly that looks at all checks that are over 220 days old as a back up to ensure that no check is being missed and going over the 240 days requirement. Name of the Contact Person Responsible for Corrective Action: Megan Looney, Director of Student Financial Services Planned Completion Date for Corrective Action Plan: March 2025
View Audit 349899
Finding 539259 (2024-711)
Significant Deficiency 2024
State of Wisconsin
WI
Subrecipient Monitoring Significant Deficiency Internal Control / Segregation of Duties
Below please find our response and corrective action plan outline in reference to the above. Action: Provisioning and Deprovisioning Process The University is in the process of developing written procedures of provisioning and deprovisioning user access to our student information system, to include ...
Below please find our response and corrective action plan outline in reference to the above. Action: Provisioning and Deprovisioning Process The University is in the process of developing written procedures of provisioning and deprovisioning user access to our student information system, to include specifying those who are authorized to request user access and assigning responsibility to staff to assess access. This process will be an electronic workflow process which will house documentation of provisioning and deprovisioning activities. Anticipated Completion Date: August 2025 Action: Annual Attestation The University will conduct an audit and annual attestation process which will require managers to attest employee access to the system. Furthermore, every employee will be required to bi-annually confirm their understanding and adherence to specific policies, standards, and regulatory compliance. Action: Current Access to the Student Information System The University is assessing users who currently have access to the SIS. We will remove any student and/or employee who no longer requires access to the system. We will review this on an annual basis. Anticipated Completion Date: May 2025. Person responsible for corrective action: Name: Tammy McGuckin Title: Vice Chancellor for Student Affairs and Enrollment Services Email address; mcguckin@uwp.edu Person responsible for corrective action: Name: Sheronda Glass Title: Vice Chancellor for Operations Email address; glasss@uwp.edu
View Audit 349896
Finding 539258 (2024-710)
Significant Deficiency 2024
State of Wisconsin
WI
Student Financial Aid Reporting Subrecipient Monitoring
Planned Corrective Action: The financial aid office will report enrollment of unofficial withdrawals/last date of attendance on NSLDS upon completion of the Return to Title IV calculations and when unofficial withdrawals are reviewed at the end of each term. The Registrar's Office will review NSC G ...
Planned Corrective Action: The financial aid office will report enrollment of unofficial withdrawals/last date of attendance on NSLDS upon completion of the Return to Title IV calculations and when unofficial withdrawals are reviewed at the end of each term. The Registrar's Office will review NSC G (graduated) not applied reports after submitting degree verify files and corrections will be made, if needed, within 30 day period after submission. Anticipated completion date: financial aid has already acted on this beginning Fall 2024. Registrar's office will begin review of "G Not Applied" reportsbeginning Spring 2025. Person responsiblef or correctiveaction: Financial aid MIchelle Lamb, lamb@uwosh.edu, Alison Casady, casadya@uwosh.edu, Julia Bodette, bodettej@uwosh.edu
View Audit 349896
Finding 539257 (2024-709)
Significant Deficiency 2024
State of Wisconsin
WI
Student Financial Aid Reporting Special Tests & Provisions
Planned Corrective Action: As soon as UW-Milwaukee was notified during the LAB review process that enrollment status effective dates were being reported incorrectly, we took action to correct this issue. While a permanent fix to the extract process from PeopleSoft is dependent on Oracle providing a ...
Planned Corrective Action: As soon as UW-Milwaukee was notified during the LAB review process that enrollment status effective dates were being reported incorrectly, we took action to correct this issue. While a permanent fix to the extract process from PeopleSoft is dependent on Oracle providing a reliable solution to the issue or UW-Milwaukee Information Technology rewriting a custom process and therefore outside of the immediate control of the Registrar’s Office, the Registrar’s Office did immediately start using the “mass correction” feature for the 1800 series warnings provided by the NSC. This will result in enrollment status effective dates which fulfil the Department of Education’s requirements. Since utilizing the “mass correction” option increases the amount of time needed to work through NSC error and warning reports, the Registrar’s Office is hopeful that a more permanent reliable solution on the SIS level will be coming in the future. In the meantime, we will continue to utilize the mass correction option to ensure that enrollment status effective dates are only changed if a student’s enrollment status changes, per the Department of Education’s requirements. UW-Milwaukee Registrar’s Office staff reviewed the records of the five individuals that LAB indicated did not have accurate data reported to the NSLDS. We discovered that the data was reported accurately for enrollment status changes, which would result in a change in effective date. However, it appears that the NSLDS roster request schedule differs from UW-Milwaukee’s enrollment reporting schedule to the NSC. UWMilwaukee reports enrollment information to the NSC on the third Tuesday of each month. It looks like the NSLDS does a roster request at the beginning of the third week of each month. We will investigate if it is possible to adjust our NSC submission schedule to move up by one week, so new data should be available for the mid-month NSLDS roster request. Anticipated Completion Date: May 1, 2025 Person responsible for corrective action: Emily Bach, Records Coordinator UW-Milwaukee Registrar’s Office ecbach@uwm.edu
View Audit 349896
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