2022-001 Significant deficiency ? Other compliance requirements Condition: Failure to develop and adhere to financial and personnel policies Criteria and effect: Failure to follow MDOL policy and WIOA requirements can result delays in funding, incorrect financial reporting and lack of competitive reporting. Cause: Issue was caused by high staff turnover, misunderstanding of program compliance requirements and lack of management oversight. Recommendation: We recommended that management develop a financial policy handbook and personnel policy handbook with complete job descriptions and a training program to properly train and oversee staff and board members to and to follow compliance with program policies and procedures. Management response and corrective action plan: Management agrees and will implement the corrective action plan found on page 20 of this report. Repeat of prior finding ? reported as 2021-004 in prior audit.
2022-002 Significant deficiency ? Other compliance requirements Condition: Drawdowns to Maine Department of Labor were submitted inaccurately Criteria and effect: 2 CFR 200.302 require financial reports and drawdown requests to be accurate, current and provide complete disclosure so that the State can take action to assure funds awarded are spent within specified timeframes and service providers can ensure continuity of service. Cause: Issue was caused by high staff turnover and, at times, no staffing which required board members to submit drawdown requests. Recommendation: We recommended that management develop a program to properly train and oversee staff and board members to ensure drawdowns are filed timely and accurately. Management response and corrective action plan: Management agrees and will implement the corrective action plan found on page 20 of this report. Repeat of prior finding ? reported as 2021-006 in prior audit.
2022-001 Significant deficiency ? Other compliance requirements Condition: Failure to develop and adhere to financial and personnel policies Criteria and effect: Failure to follow MDOL policy and WIOA requirements can result delays in funding, incorrect financial reporting and lack of competitive reporting. Cause: Issue was caused by high staff turnover, misunderstanding of program compliance requirements and lack of management oversight. Recommendation: We recommended that management develop a financial policy handbook and personnel policy handbook with complete job descriptions and a training program to properly train and oversee staff and board members to and to follow compliance with program policies and procedures. Management response and corrective action plan: Management agrees and will implement the corrective action plan found on page 20 of this report. Repeat of prior finding ? reported as 2021-004 in prior audit.
2022-002 Significant deficiency ? Other compliance requirements Condition: Drawdowns to Maine Department of Labor were submitted inaccurately Criteria and effect: 2 CFR 200.302 require financial reports and drawdown requests to be accurate, current and provide complete disclosure so that the State can take action to assure funds awarded are spent within specified timeframes and service providers can ensure continuity of service. Cause: Issue was caused by high staff turnover and, at times, no staffing which required board members to submit drawdown requests. Recommendation: We recommended that management develop a program to properly train and oversee staff and board members to ensure drawdowns are filed timely and accurately. Management response and corrective action plan: Management agrees and will implement the corrective action plan found on page 20 of this report. Repeat of prior finding ? reported as 2021-006 in prior audit.
2022-001 Significant deficiency ? Other compliance requirements Condition: Failure to develop and adhere to financial and personnel policies Criteria and effect: Failure to follow MDOL policy and WIOA requirements can result delays in funding, incorrect financial reporting and lack of competitive reporting. Cause: Issue was caused by high staff turnover, misunderstanding of program compliance requirements and lack of management oversight. Recommendation: We recommended that management develop a financial policy handbook and personnel policy handbook with complete job descriptions and a training program to properly train and oversee staff and board members to and to follow compliance with program policies and procedures. Management response and corrective action plan: Management agrees and will implement the corrective action plan found on page 20 of this report. Repeat of prior finding ? reported as 2021-004 in prior audit.
2022-002 Significant deficiency ? Other compliance requirements Condition: Drawdowns to Maine Department of Labor were submitted inaccurately Criteria and effect: 2 CFR 200.302 require financial reports and drawdown requests to be accurate, current and provide complete disclosure so that the State can take action to assure funds awarded are spent within specified timeframes and service providers can ensure continuity of service. Cause: Issue was caused by high staff turnover and, at times, no staffing which required board members to submit drawdown requests. Recommendation: We recommended that management develop a program to properly train and oversee staff and board members to ensure drawdowns are filed timely and accurately. Management response and corrective action plan: Management agrees and will implement the corrective action plan found on page 20 of this report. Repeat of prior finding ? reported as 2021-006 in prior audit.
2022-001 Significant deficiency ? Other compliance requirements Condition: Failure to develop and adhere to financial and personnel policies Criteria and effect: Failure to follow MDOL policy and WIOA requirements can result delays in funding, incorrect financial reporting and lack of competitive reporting. Cause: Issue was caused by high staff turnover, misunderstanding of program compliance requirements and lack of management oversight. Recommendation: We recommended that management develop a financial policy handbook and personnel policy handbook with complete job descriptions and a training program to properly train and oversee staff and board members to and to follow compliance with program policies and procedures. Management response and corrective action plan: Management agrees and will implement the corrective action plan found on page 20 of this report. Repeat of prior finding ? reported as 2021-004 in prior audit.
2022-002 Significant deficiency ? Other compliance requirements Condition: Drawdowns to Maine Department of Labor were submitted inaccurately Criteria and effect: 2 CFR 200.302 require financial reports and drawdown requests to be accurate, current and provide complete disclosure so that the State can take action to assure funds awarded are spent within specified timeframes and service providers can ensure continuity of service. Cause: Issue was caused by high staff turnover and, at times, no staffing which required board members to submit drawdown requests. Recommendation: We recommended that management develop a program to properly train and oversee staff and board members to ensure drawdowns are filed timely and accurately. Management response and corrective action plan: Management agrees and will implement the corrective action plan found on page 20 of this report. Repeat of prior finding ? reported as 2021-006 in prior audit.
2022-001 Significant deficiency ? Other compliance requirements Condition: Failure to develop and adhere to financial and personnel policies Criteria and effect: Failure to follow MDOL policy and WIOA requirements can result delays in funding, incorrect financial reporting and lack of competitive reporting. Cause: Issue was caused by high staff turnover, misunderstanding of program compliance requirements and lack of management oversight. Recommendation: We recommended that management develop a financial policy handbook and personnel policy handbook with complete job descriptions and a training program to properly train and oversee staff and board members to and to follow compliance with program policies and procedures. Management response and corrective action plan: Management agrees and will implement the corrective action plan found on page 20 of this report. Repeat of prior finding ? reported as 2021-004 in prior audit.
2022-002 Significant deficiency ? Other compliance requirements Condition: Drawdowns to Maine Department of Labor were submitted inaccurately Criteria and effect: 2 CFR 200.302 require financial reports and drawdown requests to be accurate, current and provide complete disclosure so that the State can take action to assure funds awarded are spent within specified timeframes and service providers can ensure continuity of service. Cause: Issue was caused by high staff turnover and, at times, no staffing which required board members to submit drawdown requests. Recommendation: We recommended that management develop a program to properly train and oversee staff and board members to ensure drawdowns are filed timely and accurately. Management response and corrective action plan: Management agrees and will implement the corrective action plan found on page 20 of this report. Repeat of prior finding ? reported as 2021-006 in prior audit.
2022-001 Significant deficiency ? Other compliance requirements Condition: Failure to develop and adhere to financial and personnel policies Criteria and effect: Failure to follow MDOL policy and WIOA requirements can result delays in funding, incorrect financial reporting and lack of competitive reporting. Cause: Issue was caused by high staff turnover, misunderstanding of program compliance requirements and lack of management oversight. Recommendation: We recommended that management develop a financial policy handbook and personnel policy handbook with complete job descriptions and a training program to properly train and oversee staff and board members to and to follow compliance with program policies and procedures. Management response and corrective action plan: Management agrees and will implement the corrective action plan found on page 20 of this report. Repeat of prior finding ? reported as 2021-004 in prior audit.
2022-002 Significant deficiency ? Other compliance requirements Condition: Drawdowns to Maine Department of Labor were submitted inaccurately Criteria and effect: 2 CFR 200.302 require financial reports and drawdown requests to be accurate, current and provide complete disclosure so that the State can take action to assure funds awarded are spent within specified timeframes and service providers can ensure continuity of service. Cause: Issue was caused by high staff turnover and, at times, no staffing which required board members to submit drawdown requests. Recommendation: We recommended that management develop a program to properly train and oversee staff and board members to ensure drawdowns are filed timely and accurately. Management response and corrective action plan: Management agrees and will implement the corrective action plan found on page 20 of this report. Repeat of prior finding ? reported as 2021-006 in prior audit.