As more institutions begin submitting compliance reports, we’ve noticed a growing trend in feedback from the Department of Education (ED) and Office of Inspector General (OIG) around deficiencies in two key documents:
- Corrective Action Plan (CAP)
- Summary Schedule of Prior Findings
Most notably, ED has flagged CAPs that omit contact information (such as the signing official’s phone number and email address) or that lack specific anticipated completion dates for planned corrective actions. We’ve also seen issues arise in Summary Schedules when schools do not clearly address prior findings or fail to use the expected language and formatting.
To help institutions avoid these common issues and submit clean, compliant packages, we’ve developed two checklists:
These tools outline the formatting, content, and other requirements in line with the Title IV audit guide and include common examples to help schools navigate what can often be a nuanced process.
As a reminder, under the new guidance, institutions—not auditors—are now responsible for preparing and submitting both documents with their Title IV audit reports. Reviewing your CAPs and Summary Schedules carefully before submission can help avoid unnecessary delays or rejections from ED.
We welcome feedback on these tools as we continue to refine and improve resources for our clients and colleagues in the field.
Let’s ensure your audit package checks every box — before it’s submitted.
Schedule a consultation today or reach out to our team to review your CAP and Summary Schedule for compliance confidence.
