Reentry of Ex-Offenders Program, U.S. Department of Labor, Federal Assistance Listing #17.270, Federal Award Identification Number (FAIN) PE-33579-19-60-A-6, YF-33521- 19-60-A-6, and YF-35055-20-75-A-6 Condition: Both of the quarterly progress reports under the DOL FAIN PE-33579-19-60- A-6 tested contained errors whereby the information reported did not agree with the underlying information utilized to compile the report. This resulted in the following errors: ? Quarter 2 resulted in five of the ten categories tested containing errors: o Category A1 reported 100 participants receiving training as compared to 101 participants receiving training per the underlying documentation for a total of 1 participant being underreported. o Category A2 reported 94 participants completing training as compared to 99 participants completing training per the underlying documentation for a total of 5 participants being underreported. o Category B1 reported 108 participants having initial job placements as compared to 113 participants having initial job placements per the underlying documentation for a total of 5 participant being underreported. o Category B4 reported 16 participants having job replacements as compared to 38 participants having job replacements per the underlying documentation for a total of 22 participant being underreported. o Category B5 reported 94 participants attaining credentials as compared to 99 participants attaining credentials per the underlying documentation for a total of 5 participants being underreported. ? Quarter 4 resulted in four of the ten categories tested containing errors: o Category A1 reported 110 participants receiving training as compared to 113 participants receiving training per the underlying documentation for a total of 3 participants being underreported. o Category A2 reported 98 participants completing training as compared to 100 participants completing training per the underlying documentation for a total of 2 participants being underreported. o Category B4 reported 36 participants having job replacements as compared to 38 participants having job replacements per the underlying documentation for a total of 2 participants being underreported. o Category B5 reported 96 participants attaining credentials as compared to 100 participants attaining credentials per the underlying documentation for a total of 4 participants being underreported. Both of the monthly performance reports under the Sub-recipient grant FAIN YF-33521- 19-60-A-6 held with the Latino Coalition for Community Leadership (LCCL) tested contained errors whereby the information reported did not agree with the underlying information utilized to compile the report. This resulted in the following errors: ? November 2021 resulted in one of the eleven categories tested containing an error: o Category 3A reported 56 participants obtaining occupational skills training as compared to 49 participants obtaining occupational skills training per the underlying documentation for a total of 7 duplicate participants being reported. ? May 2022 resulted in three of the eleven categories tested containing an error: o Category 3A reported 56 participants obtaining occupational skills training as compared to 49 participants obtaining occupational skills training per the underlying documentation for a total of 7 duplicate participants being reported. o Category 5A reported 16 participants still employed as of quarter 2 as compared to 20 participants still employed as of quarter 2 per the underlying documentation for a total of 4 participants being underreported. o Category 5b reported 6 participants still employed as of quarter 4 as compared to 8 participants still employed as of quarter 4 per the underlying documentation for a total of 2 participants being underreported. Both of the monthly performance reports under the sub-recipient grant FAIN YF-35055- 20-75-A-6 held with the LCCL tested contained errors whereby the information reported did not agree with the underlying information utilized to compile the report. This resulted in the following errors: ? November 2021 resulted in two of the sixteen categories tested containing an error: o Category 2A reported 24 participants entering post-secondary education as compared to 21 participants entering post-secondary education per the underlying documentation for a total of 3 participants being overreported. o Category 3A reported 10 participants who attained industry recognized certificates as compared to 21 participants who attained industry recognized certificates per the underlying documentation for a total of 11 participants being underreported. ? May 2022 resulted in six of the sixteen categories tested containing an error: o Category 2A reported 33 participants entering post-secondary education as compared to 34 participants entering post-secondary education per the underlying documentation for a total of 1 participant being underreported. o Category 3A reported 17 participants attained industry recognized certification as compared to 27 participants attained industry recognized certification per the underlying documentation for a total of 10 participants being underreported. o Category 4A reported 25 participants placed in employment as compared to 30 participants placed in employment per the underlying documentation for a total of 5 participants being underreported. o Category 4B reported 8 participants placed in post-secondary education as compared to 27 participants placed in post-secondary education per the underlying documentation for a total of 19 participants being underreported. o Category 5A reported 6 participants still employed quarter 2 as compared to 10 participants still employed quarter 2 per the underlying documentation for a total of 4 participants being underreported. Criteria: Per the Department of Labor Grant Agreement, and the sub-recipient Grant Agreement for Wagees 19 and Wagees 20 with the LCCL, the progress and performance reports are to accurately reflect the grants progress at a point in time. Effect: Failure to report accurate participant information may result in a reduction, loss or repayment of funding. Cause: The error is a result of a lack of retention of the original documentation utilized to generate the reports. Recommendation: Management should develop and implement a document retention process whereby the original reports utilized to generate the quarterly progress reports and monthly performance reports be retained. This will also help to ensure the Organization is adhering to the requirements of the funding agency. Management?s Response/Planned Corrective Action: Management acknowledges that the original reports generated to complete the submitted quarterly and monthly reports were not retained on the day of, and that generating those reports in the future creates discrepancies. The original reports generated to complete grant quarterly and monthly reports will be printed by the Program Coordinator and submitted to Director of Operations. Director of Operations will review monthly or quarterly reports with all program staff to address and correct any discrepancies and inaccuracies. Director of Operations will use the final report to complete the grant monthly or quarterly report and retain and file for the quarter and month reported. Juan Avila, Chief Operating Officer, will be responsible for implementing the corrective action plan. This process will be in effect for the reports ending in month ending March 31, 2023
Reentry of Ex-Offenders Program, U.S. Department of Labor, Federal Assistance Listing #17.270, Federal Award Identification Number (FAIN) PE-33579-19-60-A-6, YF-33521- 19-60-A-6, and YF-35055-20-75-A-6 Condition: Both of the quarterly progress reports under the DOL FAIN PE-33579-19-60- A-6 tested contained errors whereby the information reported did not agree with the underlying information utilized to compile the report. This resulted in the following errors: ? Quarter 2 resulted in five of the ten categories tested containing errors: o Category A1 reported 100 participants receiving training as compared to 101 participants receiving training per the underlying documentation for a total of 1 participant being underreported. o Category A2 reported 94 participants completing training as compared to 99 participants completing training per the underlying documentation for a total of 5 participants being underreported. o Category B1 reported 108 participants having initial job placements as compared to 113 participants having initial job placements per the underlying documentation for a total of 5 participant being underreported. o Category B4 reported 16 participants having job replacements as compared to 38 participants having job replacements per the underlying documentation for a total of 22 participant being underreported. o Category B5 reported 94 participants attaining credentials as compared to 99 participants attaining credentials per the underlying documentation for a total of 5 participants being underreported. ? Quarter 4 resulted in four of the ten categories tested containing errors: o Category A1 reported 110 participants receiving training as compared to 113 participants receiving training per the underlying documentation for a total of 3 participants being underreported. o Category A2 reported 98 participants completing training as compared to 100 participants completing training per the underlying documentation for a total of 2 participants being underreported. o Category B4 reported 36 participants having job replacements as compared to 38 participants having job replacements per the underlying documentation for a total of 2 participants being underreported. o Category B5 reported 96 participants attaining credentials as compared to 100 participants attaining credentials per the underlying documentation for a total of 4 participants being underreported. Both of the monthly performance reports under the Sub-recipient grant FAIN YF-33521- 19-60-A-6 held with the Latino Coalition for Community Leadership (LCCL) tested contained errors whereby the information reported did not agree with the underlying information utilized to compile the report. This resulted in the following errors: ? November 2021 resulted in one of the eleven categories tested containing an error: o Category 3A reported 56 participants obtaining occupational skills training as compared to 49 participants obtaining occupational skills training per the underlying documentation for a total of 7 duplicate participants being reported. ? May 2022 resulted in three of the eleven categories tested containing an error: o Category 3A reported 56 participants obtaining occupational skills training as compared to 49 participants obtaining occupational skills training per the underlying documentation for a total of 7 duplicate participants being reported. o Category 5A reported 16 participants still employed as of quarter 2 as compared to 20 participants still employed as of quarter 2 per the underlying documentation for a total of 4 participants being underreported. o Category 5b reported 6 participants still employed as of quarter 4 as compared to 8 participants still employed as of quarter 4 per the underlying documentation for a total of 2 participants being underreported. Both of the monthly performance reports under the sub-recipient grant FAIN YF-35055- 20-75-A-6 held with the LCCL tested contained errors whereby the information reported did not agree with the underlying information utilized to compile the report. This resulted in the following errors: ? November 2021 resulted in two of the sixteen categories tested containing an error: o Category 2A reported 24 participants entering post-secondary education as compared to 21 participants entering post-secondary education per the underlying documentation for a total of 3 participants being overreported. o Category 3A reported 10 participants who attained industry recognized certificates as compared to 21 participants who attained industry recognized certificates per the underlying documentation for a total of 11 participants being underreported. ? May 2022 resulted in six of the sixteen categories tested containing an error: o Category 2A reported 33 participants entering post-secondary education as compared to 34 participants entering post-secondary education per the underlying documentation for a total of 1 participant being underreported. o Category 3A reported 17 participants attained industry recognized certification as compared to 27 participants attained industry recognized certification per the underlying documentation for a total of 10 participants being underreported. o Category 4A reported 25 participants placed in employment as compared to 30 participants placed in employment per the underlying documentation for a total of 5 participants being underreported. o Category 4B reported 8 participants placed in post-secondary education as compared to 27 participants placed in post-secondary education per the underlying documentation for a total of 19 participants being underreported. o Category 5A reported 6 participants still employed quarter 2 as compared to 10 participants still employed quarter 2 per the underlying documentation for a total of 4 participants being underreported. Criteria: Per the Department of Labor Grant Agreement, and the sub-recipient Grant Agreement for Wagees 19 and Wagees 20 with the LCCL, the progress and performance reports are to accurately reflect the grants progress at a point in time. Effect: Failure to report accurate participant information may result in a reduction, loss or repayment of funding. Cause: The error is a result of a lack of retention of the original documentation utilized to generate the reports. Recommendation: Management should develop and implement a document retention process whereby the original reports utilized to generate the quarterly progress reports and monthly performance reports be retained. This will also help to ensure the Organization is adhering to the requirements of the funding agency. Management?s Response/Planned Corrective Action: Management acknowledges that the original reports generated to complete the submitted quarterly and monthly reports were not retained on the day of, and that generating those reports in the future creates discrepancies. The original reports generated to complete grant quarterly and monthly reports will be printed by the Program Coordinator and submitted to Director of Operations. Director of Operations will review monthly or quarterly reports with all program staff to address and correct any discrepancies and inaccuracies. Director of Operations will use the final report to complete the grant monthly or quarterly report and retain and file for the quarter and month reported. Juan Avila, Chief Operating Officer, will be responsible for implementing the corrective action plan. This process will be in effect for the reports ending in month ending March 31, 2023
Reentry of Ex-Offenders Program, U.S. Department of Labor, Federal Assistance Listing #17.270, Federal Award Identification Number (FAIN) PE-33579-19-60-A-6, YF-33521- 19-60-A-6, and YF-35055-20-75-A-6 Condition: Both of the quarterly progress reports under the DOL FAIN PE-33579-19-60- A-6 tested contained errors whereby the information reported did not agree with the underlying information utilized to compile the report. This resulted in the following errors: ? Quarter 2 resulted in five of the ten categories tested containing errors: o Category A1 reported 100 participants receiving training as compared to 101 participants receiving training per the underlying documentation for a total of 1 participant being underreported. o Category A2 reported 94 participants completing training as compared to 99 participants completing training per the underlying documentation for a total of 5 participants being underreported. o Category B1 reported 108 participants having initial job placements as compared to 113 participants having initial job placements per the underlying documentation for a total of 5 participant being underreported. o Category B4 reported 16 participants having job replacements as compared to 38 participants having job replacements per the underlying documentation for a total of 22 participant being underreported. o Category B5 reported 94 participants attaining credentials as compared to 99 participants attaining credentials per the underlying documentation for a total of 5 participants being underreported. ? Quarter 4 resulted in four of the ten categories tested containing errors: o Category A1 reported 110 participants receiving training as compared to 113 participants receiving training per the underlying documentation for a total of 3 participants being underreported. o Category A2 reported 98 participants completing training as compared to 100 participants completing training per the underlying documentation for a total of 2 participants being underreported. o Category B4 reported 36 participants having job replacements as compared to 38 participants having job replacements per the underlying documentation for a total of 2 participants being underreported. o Category B5 reported 96 participants attaining credentials as compared to 100 participants attaining credentials per the underlying documentation for a total of 4 participants being underreported. Both of the monthly performance reports under the Sub-recipient grant FAIN YF-33521- 19-60-A-6 held with the Latino Coalition for Community Leadership (LCCL) tested contained errors whereby the information reported did not agree with the underlying information utilized to compile the report. This resulted in the following errors: ? November 2021 resulted in one of the eleven categories tested containing an error: o Category 3A reported 56 participants obtaining occupational skills training as compared to 49 participants obtaining occupational skills training per the underlying documentation for a total of 7 duplicate participants being reported. ? May 2022 resulted in three of the eleven categories tested containing an error: o Category 3A reported 56 participants obtaining occupational skills training as compared to 49 participants obtaining occupational skills training per the underlying documentation for a total of 7 duplicate participants being reported. o Category 5A reported 16 participants still employed as of quarter 2 as compared to 20 participants still employed as of quarter 2 per the underlying documentation for a total of 4 participants being underreported. o Category 5b reported 6 participants still employed as of quarter 4 as compared to 8 participants still employed as of quarter 4 per the underlying documentation for a total of 2 participants being underreported. Both of the monthly performance reports under the sub-recipient grant FAIN YF-35055- 20-75-A-6 held with the LCCL tested contained errors whereby the information reported did not agree with the underlying information utilized to compile the report. This resulted in the following errors: ? November 2021 resulted in two of the sixteen categories tested containing an error: o Category 2A reported 24 participants entering post-secondary education as compared to 21 participants entering post-secondary education per the underlying documentation for a total of 3 participants being overreported. o Category 3A reported 10 participants who attained industry recognized certificates as compared to 21 participants who attained industry recognized certificates per the underlying documentation for a total of 11 participants being underreported. ? May 2022 resulted in six of the sixteen categories tested containing an error: o Category 2A reported 33 participants entering post-secondary education as compared to 34 participants entering post-secondary education per the underlying documentation for a total of 1 participant being underreported. o Category 3A reported 17 participants attained industry recognized certification as compared to 27 participants attained industry recognized certification per the underlying documentation for a total of 10 participants being underreported. o Category 4A reported 25 participants placed in employment as compared to 30 participants placed in employment per the underlying documentation for a total of 5 participants being underreported. o Category 4B reported 8 participants placed in post-secondary education as compared to 27 participants placed in post-secondary education per the underlying documentation for a total of 19 participants being underreported. o Category 5A reported 6 participants still employed quarter 2 as compared to 10 participants still employed quarter 2 per the underlying documentation for a total of 4 participants being underreported. Criteria: Per the Department of Labor Grant Agreement, and the sub-recipient Grant Agreement for Wagees 19 and Wagees 20 with the LCCL, the progress and performance reports are to accurately reflect the grants progress at a point in time. Effect: Failure to report accurate participant information may result in a reduction, loss or repayment of funding. Cause: The error is a result of a lack of retention of the original documentation utilized to generate the reports. Recommendation: Management should develop and implement a document retention process whereby the original reports utilized to generate the quarterly progress reports and monthly performance reports be retained. This will also help to ensure the Organization is adhering to the requirements of the funding agency. Management?s Response/Planned Corrective Action: Management acknowledges that the original reports generated to complete the submitted quarterly and monthly reports were not retained on the day of, and that generating those reports in the future creates discrepancies. The original reports generated to complete grant quarterly and monthly reports will be printed by the Program Coordinator and submitted to Director of Operations. Director of Operations will review monthly or quarterly reports with all program staff to address and correct any discrepancies and inaccuracies. Director of Operations will use the final report to complete the grant monthly or quarterly report and retain and file for the quarter and month reported. Juan Avila, Chief Operating Officer, will be responsible for implementing the corrective action plan. This process will be in effect for the reports ending in month ending March 31, 2023
Reentry of Ex-Offenders Program, U.S. Department of Labor, Federal Assistance Listing #17.270, Federal Award Identification Number (FAIN) PE-33579-19-60-A-6, YF-33521- 19-60-A-6, and YF-35055-20-75-A-6 Condition: Both of the quarterly progress reports under the DOL FAIN PE-33579-19-60- A-6 tested contained errors whereby the information reported did not agree with the underlying information utilized to compile the report. This resulted in the following errors: ? Quarter 2 resulted in five of the ten categories tested containing errors: o Category A1 reported 100 participants receiving training as compared to 101 participants receiving training per the underlying documentation for a total of 1 participant being underreported. o Category A2 reported 94 participants completing training as compared to 99 participants completing training per the underlying documentation for a total of 5 participants being underreported. o Category B1 reported 108 participants having initial job placements as compared to 113 participants having initial job placements per the underlying documentation for a total of 5 participant being underreported. o Category B4 reported 16 participants having job replacements as compared to 38 participants having job replacements per the underlying documentation for a total of 22 participant being underreported. o Category B5 reported 94 participants attaining credentials as compared to 99 participants attaining credentials per the underlying documentation for a total of 5 participants being underreported. ? Quarter 4 resulted in four of the ten categories tested containing errors: o Category A1 reported 110 participants receiving training as compared to 113 participants receiving training per the underlying documentation for a total of 3 participants being underreported. o Category A2 reported 98 participants completing training as compared to 100 participants completing training per the underlying documentation for a total of 2 participants being underreported. o Category B4 reported 36 participants having job replacements as compared to 38 participants having job replacements per the underlying documentation for a total of 2 participants being underreported. o Category B5 reported 96 participants attaining credentials as compared to 100 participants attaining credentials per the underlying documentation for a total of 4 participants being underreported. Both of the monthly performance reports under the Sub-recipient grant FAIN YF-33521- 19-60-A-6 held with the Latino Coalition for Community Leadership (LCCL) tested contained errors whereby the information reported did not agree with the underlying information utilized to compile the report. This resulted in the following errors: ? November 2021 resulted in one of the eleven categories tested containing an error: o Category 3A reported 56 participants obtaining occupational skills training as compared to 49 participants obtaining occupational skills training per the underlying documentation for a total of 7 duplicate participants being reported. ? May 2022 resulted in three of the eleven categories tested containing an error: o Category 3A reported 56 participants obtaining occupational skills training as compared to 49 participants obtaining occupational skills training per the underlying documentation for a total of 7 duplicate participants being reported. o Category 5A reported 16 participants still employed as of quarter 2 as compared to 20 participants still employed as of quarter 2 per the underlying documentation for a total of 4 participants being underreported. o Category 5b reported 6 participants still employed as of quarter 4 as compared to 8 participants still employed as of quarter 4 per the underlying documentation for a total of 2 participants being underreported. Both of the monthly performance reports under the sub-recipient grant FAIN YF-35055- 20-75-A-6 held with the LCCL tested contained errors whereby the information reported did not agree with the underlying information utilized to compile the report. This resulted in the following errors: ? November 2021 resulted in two of the sixteen categories tested containing an error: o Category 2A reported 24 participants entering post-secondary education as compared to 21 participants entering post-secondary education per the underlying documentation for a total of 3 participants being overreported. o Category 3A reported 10 participants who attained industry recognized certificates as compared to 21 participants who attained industry recognized certificates per the underlying documentation for a total of 11 participants being underreported. ? May 2022 resulted in six of the sixteen categories tested containing an error: o Category 2A reported 33 participants entering post-secondary education as compared to 34 participants entering post-secondary education per the underlying documentation for a total of 1 participant being underreported. o Category 3A reported 17 participants attained industry recognized certification as compared to 27 participants attained industry recognized certification per the underlying documentation for a total of 10 participants being underreported. o Category 4A reported 25 participants placed in employment as compared to 30 participants placed in employment per the underlying documentation for a total of 5 participants being underreported. o Category 4B reported 8 participants placed in post-secondary education as compared to 27 participants placed in post-secondary education per the underlying documentation for a total of 19 participants being underreported. o Category 5A reported 6 participants still employed quarter 2 as compared to 10 participants still employed quarter 2 per the underlying documentation for a total of 4 participants being underreported. Criteria: Per the Department of Labor Grant Agreement, and the sub-recipient Grant Agreement for Wagees 19 and Wagees 20 with the LCCL, the progress and performance reports are to accurately reflect the grants progress at a point in time. Effect: Failure to report accurate participant information may result in a reduction, loss or repayment of funding. Cause: The error is a result of a lack of retention of the original documentation utilized to generate the reports. Recommendation: Management should develop and implement a document retention process whereby the original reports utilized to generate the quarterly progress reports and monthly performance reports be retained. This will also help to ensure the Organization is adhering to the requirements of the funding agency. Management?s Response/Planned Corrective Action: Management acknowledges that the original reports generated to complete the submitted quarterly and monthly reports were not retained on the day of, and that generating those reports in the future creates discrepancies. The original reports generated to complete grant quarterly and monthly reports will be printed by the Program Coordinator and submitted to Director of Operations. Director of Operations will review monthly or quarterly reports with all program staff to address and correct any discrepancies and inaccuracies. Director of Operations will use the final report to complete the grant monthly or quarterly report and retain and file for the quarter and month reported. Juan Avila, Chief Operating Officer, will be responsible for implementing the corrective action plan. This process will be in effect for the reports ending in month ending March 31, 2023
Reentry of Ex-Offenders Program, U.S. Department of Labor, Federal Assistance Listing #17.270, Federal Award Identification Number (FAIN) PE-33579-19-60-A-6, YF-33521- 19-60-A-6, and YF-35055-20-75-A-6 Condition: Both of the quarterly progress reports under the DOL FAIN PE-33579-19-60- A-6 tested contained errors whereby the information reported did not agree with the underlying information utilized to compile the report. This resulted in the following errors: ? Quarter 2 resulted in five of the ten categories tested containing errors: o Category A1 reported 100 participants receiving training as compared to 101 participants receiving training per the underlying documentation for a total of 1 participant being underreported. o Category A2 reported 94 participants completing training as compared to 99 participants completing training per the underlying documentation for a total of 5 participants being underreported. o Category B1 reported 108 participants having initial job placements as compared to 113 participants having initial job placements per the underlying documentation for a total of 5 participant being underreported. o Category B4 reported 16 participants having job replacements as compared to 38 participants having job replacements per the underlying documentation for a total of 22 participant being underreported. o Category B5 reported 94 participants attaining credentials as compared to 99 participants attaining credentials per the underlying documentation for a total of 5 participants being underreported. ? Quarter 4 resulted in four of the ten categories tested containing errors: o Category A1 reported 110 participants receiving training as compared to 113 participants receiving training per the underlying documentation for a total of 3 participants being underreported. o Category A2 reported 98 participants completing training as compared to 100 participants completing training per the underlying documentation for a total of 2 participants being underreported. o Category B4 reported 36 participants having job replacements as compared to 38 participants having job replacements per the underlying documentation for a total of 2 participants being underreported. o Category B5 reported 96 participants attaining credentials as compared to 100 participants attaining credentials per the underlying documentation for a total of 4 participants being underreported. Both of the monthly performance reports under the Sub-recipient grant FAIN YF-33521- 19-60-A-6 held with the Latino Coalition for Community Leadership (LCCL) tested contained errors whereby the information reported did not agree with the underlying information utilized to compile the report. This resulted in the following errors: ? November 2021 resulted in one of the eleven categories tested containing an error: o Category 3A reported 56 participants obtaining occupational skills training as compared to 49 participants obtaining occupational skills training per the underlying documentation for a total of 7 duplicate participants being reported. ? May 2022 resulted in three of the eleven categories tested containing an error: o Category 3A reported 56 participants obtaining occupational skills training as compared to 49 participants obtaining occupational skills training per the underlying documentation for a total of 7 duplicate participants being reported. o Category 5A reported 16 participants still employed as of quarter 2 as compared to 20 participants still employed as of quarter 2 per the underlying documentation for a total of 4 participants being underreported. o Category 5b reported 6 participants still employed as of quarter 4 as compared to 8 participants still employed as of quarter 4 per the underlying documentation for a total of 2 participants being underreported. Both of the monthly performance reports under the sub-recipient grant FAIN YF-35055- 20-75-A-6 held with the LCCL tested contained errors whereby the information reported did not agree with the underlying information utilized to compile the report. This resulted in the following errors: ? November 2021 resulted in two of the sixteen categories tested containing an error: o Category 2A reported 24 participants entering post-secondary education as compared to 21 participants entering post-secondary education per the underlying documentation for a total of 3 participants being overreported. o Category 3A reported 10 participants who attained industry recognized certificates as compared to 21 participants who attained industry recognized certificates per the underlying documentation for a total of 11 participants being underreported. ? May 2022 resulted in six of the sixteen categories tested containing an error: o Category 2A reported 33 participants entering post-secondary education as compared to 34 participants entering post-secondary education per the underlying documentation for a total of 1 participant being underreported. o Category 3A reported 17 participants attained industry recognized certification as compared to 27 participants attained industry recognized certification per the underlying documentation for a total of 10 participants being underreported. o Category 4A reported 25 participants placed in employment as compared to 30 participants placed in employment per the underlying documentation for a total of 5 participants being underreported. o Category 4B reported 8 participants placed in post-secondary education as compared to 27 participants placed in post-secondary education per the underlying documentation for a total of 19 participants being underreported. o Category 5A reported 6 participants still employed quarter 2 as compared to 10 participants still employed quarter 2 per the underlying documentation for a total of 4 participants being underreported. Criteria: Per the Department of Labor Grant Agreement, and the sub-recipient Grant Agreement for Wagees 19 and Wagees 20 with the LCCL, the progress and performance reports are to accurately reflect the grants progress at a point in time. Effect: Failure to report accurate participant information may result in a reduction, loss or repayment of funding. Cause: The error is a result of a lack of retention of the original documentation utilized to generate the reports. Recommendation: Management should develop and implement a document retention process whereby the original reports utilized to generate the quarterly progress reports and monthly performance reports be retained. This will also help to ensure the Organization is adhering to the requirements of the funding agency. Management?s Response/Planned Corrective Action: Management acknowledges that the original reports generated to complete the submitted quarterly and monthly reports were not retained on the day of, and that generating those reports in the future creates discrepancies. The original reports generated to complete grant quarterly and monthly reports will be printed by the Program Coordinator and submitted to Director of Operations. Director of Operations will review monthly or quarterly reports with all program staff to address and correct any discrepancies and inaccuracies. Director of Operations will use the final report to complete the grant monthly or quarterly report and retain and file for the quarter and month reported. Juan Avila, Chief Operating Officer, will be responsible for implementing the corrective action plan. This process will be in effect for the reports ending in month ending March 31, 2023
Reentry of Ex-Offenders Program, U.S. Department of Labor, Federal Assistance Listing #17.270, Federal Award Identification Number (FAIN) PE-33579-19-60-A-6, YF-33521- 19-60-A-6, and YF-35055-20-75-A-6 Condition: Both of the quarterly progress reports under the DOL FAIN PE-33579-19-60- A-6 tested contained errors whereby the information reported did not agree with the underlying information utilized to compile the report. This resulted in the following errors: ? Quarter 2 resulted in five of the ten categories tested containing errors: o Category A1 reported 100 participants receiving training as compared to 101 participants receiving training per the underlying documentation for a total of 1 participant being underreported. o Category A2 reported 94 participants completing training as compared to 99 participants completing training per the underlying documentation for a total of 5 participants being underreported. o Category B1 reported 108 participants having initial job placements as compared to 113 participants having initial job placements per the underlying documentation for a total of 5 participant being underreported. o Category B4 reported 16 participants having job replacements as compared to 38 participants having job replacements per the underlying documentation for a total of 22 participant being underreported. o Category B5 reported 94 participants attaining credentials as compared to 99 participants attaining credentials per the underlying documentation for a total of 5 participants being underreported. ? Quarter 4 resulted in four of the ten categories tested containing errors: o Category A1 reported 110 participants receiving training as compared to 113 participants receiving training per the underlying documentation for a total of 3 participants being underreported. o Category A2 reported 98 participants completing training as compared to 100 participants completing training per the underlying documentation for a total of 2 participants being underreported. o Category B4 reported 36 participants having job replacements as compared to 38 participants having job replacements per the underlying documentation for a total of 2 participants being underreported. o Category B5 reported 96 participants attaining credentials as compared to 100 participants attaining credentials per the underlying documentation for a total of 4 participants being underreported. Both of the monthly performance reports under the Sub-recipient grant FAIN YF-33521- 19-60-A-6 held with the Latino Coalition for Community Leadership (LCCL) tested contained errors whereby the information reported did not agree with the underlying information utilized to compile the report. This resulted in the following errors: ? November 2021 resulted in one of the eleven categories tested containing an error: o Category 3A reported 56 participants obtaining occupational skills training as compared to 49 participants obtaining occupational skills training per the underlying documentation for a total of 7 duplicate participants being reported. ? May 2022 resulted in three of the eleven categories tested containing an error: o Category 3A reported 56 participants obtaining occupational skills training as compared to 49 participants obtaining occupational skills training per the underlying documentation for a total of 7 duplicate participants being reported. o Category 5A reported 16 participants still employed as of quarter 2 as compared to 20 participants still employed as of quarter 2 per the underlying documentation for a total of 4 participants being underreported. o Category 5b reported 6 participants still employed as of quarter 4 as compared to 8 participants still employed as of quarter 4 per the underlying documentation for a total of 2 participants being underreported. Both of the monthly performance reports under the sub-recipient grant FAIN YF-35055- 20-75-A-6 held with the LCCL tested contained errors whereby the information reported did not agree with the underlying information utilized to compile the report. This resulted in the following errors: ? November 2021 resulted in two of the sixteen categories tested containing an error: o Category 2A reported 24 participants entering post-secondary education as compared to 21 participants entering post-secondary education per the underlying documentation for a total of 3 participants being overreported. o Category 3A reported 10 participants who attained industry recognized certificates as compared to 21 participants who attained industry recognized certificates per the underlying documentation for a total of 11 participants being underreported. ? May 2022 resulted in six of the sixteen categories tested containing an error: o Category 2A reported 33 participants entering post-secondary education as compared to 34 participants entering post-secondary education per the underlying documentation for a total of 1 participant being underreported. o Category 3A reported 17 participants attained industry recognized certification as compared to 27 participants attained industry recognized certification per the underlying documentation for a total of 10 participants being underreported. o Category 4A reported 25 participants placed in employment as compared to 30 participants placed in employment per the underlying documentation for a total of 5 participants being underreported. o Category 4B reported 8 participants placed in post-secondary education as compared to 27 participants placed in post-secondary education per the underlying documentation for a total of 19 participants being underreported. o Category 5A reported 6 participants still employed quarter 2 as compared to 10 participants still employed quarter 2 per the underlying documentation for a total of 4 participants being underreported. Criteria: Per the Department of Labor Grant Agreement, and the sub-recipient Grant Agreement for Wagees 19 and Wagees 20 with the LCCL, the progress and performance reports are to accurately reflect the grants progress at a point in time. Effect: Failure to report accurate participant information may result in a reduction, loss or repayment of funding. Cause: The error is a result of a lack of retention of the original documentation utilized to generate the reports. Recommendation: Management should develop and implement a document retention process whereby the original reports utilized to generate the quarterly progress reports and monthly performance reports be retained. This will also help to ensure the Organization is adhering to the requirements of the funding agency. Management?s Response/Planned Corrective Action: Management acknowledges that the original reports generated to complete the submitted quarterly and monthly reports were not retained on the day of, and that generating those reports in the future creates discrepancies. The original reports generated to complete grant quarterly and monthly reports will be printed by the Program Coordinator and submitted to Director of Operations. Director of Operations will review monthly or quarterly reports with all program staff to address and correct any discrepancies and inaccuracies. Director of Operations will use the final report to complete the grant monthly or quarterly report and retain and file for the quarter and month reported. Juan Avila, Chief Operating Officer, will be responsible for implementing the corrective action plan. This process will be in effect for the reports ending in month ending March 31, 2023