Finding 195008 (2022-001)

Material Weakness
Requirement
ACELN
Questioned Costs
-
Year
2022
Accepted
2022-11-15
Audit: 178653
Organization: Southern College of Optometry (TN)

AI Summary

  • Issue: Management recorded a significant prior period adjustment for Perkins and HPSL liabilities and net assets due to improper recording practices.
  • Impact: This led to a material overstatement of net assets and understatement of liabilities by about $9,293,758.
  • Follow-up: Implement new policies and procedures to ensure timely and accurate recording of federal loan program liabilities.

Finding Text

Condition: A material prior period adjustment was proposed and recorded by management to correct the recording of the Perkins and HPSL liabilities and net assets. Criteria: Guidance from the U.S. Department of Education required that Perkins and HPSL transactions be recorded in a specific way as well as generally accepted accounting principles. Cause: Management did not have procedures in place to ensure the Perkins and HPSL transactions were properly recorded. Effect: Beginning net assets were materially overstated and liabilities were materially understated by approximately $9,293,758. Recommendation: We recommend that policies and procedures are implemented to ensure that adjustments to the estimated liabilities due to the federal government for the Perkins and HPSL loan programs are properly recorded in a timely manner. Management?s Response: We agree with the adjustment and will implement the necessary procedures to ensure that similar transactions are recorded properly.

Corrective Action Plan

Recommendation: The auditor recommends that policies and procedures are implemented to ensure that adjustments to the estimated liabilities due to the federal government for the Perkins and HPSL loan programs are properly recorded in a timely manner. Action taken: We concur with the recommendation, and it was implemented effective October 13, 2022.

Categories

Matching / Level of Effort / Earmarking

Other Findings in this Audit

  • 195009 2022-001
    Material Weakness
  • 771450 2022-001
    Material Weakness
  • 771451 2022-001
    Material Weakness

Programs in Audit

ALN Program Name Expenditures
84.268 Federal Direct Student Loans $17.32M
93.342 Health Professions Student Loans, Including Primary Care Loans/loans for Disadvantaged Students $7.31M
84.038 Federal Perkins Loan (fpl) - Federal Capital Contributions $2.20M
84.033 Federal Work-Study Program $280,152