Corrective Action Plans

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Finding 2022-002 – Head Start Cluster - Activities Allowed or Unallowed, Allowable Costs/Cost Principles Contact Person Responsible for Corrective Action: Brenda Overton Contact Phone Number: 574.393.5866 Views of Responsible Official: We concur with the finding. Description of Corrective Act...
Finding 2022-002 – Head Start Cluster - Activities Allowed or Unallowed, Allowable Costs/Cost Principles Contact Person Responsible for Corrective Action: Brenda Overton Contact Phone Number: 574.393.5866 Views of Responsible Official: We concur with the finding. Description of Corrective Action Plan: We will ensure all vouchers are reviewed by a secondary individual, all supporting backup is maintained for each claim, and all payroll amounts agree to approved contracts. Anticipated Completion Date: April 2024
View Audit 298779 Questioned Costs: $1
Department of Treasury Federal Financial Assistance Listing/ALN 21.027 COVID‐19 Coronavirus State and Local Fiscal Recovery Funds Allowable Costs and Allowable Activities Significant Deficiency in Internal Control over Compliance Finding Summary: The Organization’s internal controls did not have ade...
Department of Treasury Federal Financial Assistance Listing/ALN 21.027 COVID‐19 Coronavirus State and Local Fiscal Recovery Funds Allowable Costs and Allowable Activities Significant Deficiency in Internal Control over Compliance Finding Summary: The Organization’s internal controls did not have adequate internal controls to ensure costs are properly approved. Responsible Individuals: Robben Luhning and Susan Koesterman. Corrective Action Plan: Direct costs of internally generated items will need to be added to the current approval platform and/or process. Anticipated Completion: December 31, 2023.
Department of Treasury Federal Financial Assistance Listing/ALN 21.027 COVID‐19 Coronavirus State and Local Fiscal Recovery Funds Allowable Costs and Allowable Activities Material Weakness in Internal Control over Compliance Finding Summary: The Organization’s internal controls did not have adequate...
Department of Treasury Federal Financial Assistance Listing/ALN 21.027 COVID‐19 Coronavirus State and Local Fiscal Recovery Funds Allowable Costs and Allowable Activities Material Weakness in Internal Control over Compliance Finding Summary: The Organization’s internal controls did not have adequate internal controls to ensure payroll costs and invoice allocations are properly calculated. Responsible Individuals: Robben Luhning and Susan Koesterman. Corrective Action Plan: During 2022, a new payroll system was implemented that should rectify the issue. Anticipated Completion: December 31, 2023.
Finding 385640 (2022-006)
Material Weakness 2022
Corrective Action Planned: Information received from Paymode is not always clear and concise as to what payment is for. We will do our best to comply. Anticipated Completion Date: Unknown Name of Contact Person Responsible for Corrective Action: Ashly Tingle, Comptroller
Corrective Action Planned: Information received from Paymode is not always clear and concise as to what payment is for. We will do our best to comply. Anticipated Completion Date: Unknown Name of Contact Person Responsible for Corrective Action: Ashly Tingle, Comptroller
Coronavirus State and Local Fiscal Recovery Funds _ Assistance Listing No. 21.027 Recommendation: We recommend that the Association adopt a formal policy for tracking employee time and effort supporting grant expenses. Additionally, management should summarize the actual time employees spend on gran...
Coronavirus State and Local Fiscal Recovery Funds _ Assistance Listing No. 21.027 Recommendation: We recommend that the Association adopt a formal policy for tracking employee time and effort supporting grant expenses. Additionally, management should summarize the actual time employees spend on grant award programs and adjust the budgeted cost allocations to reflect the actual time spent. A second person knowledgeable of grant award requirements should review the time and effort summaries for proper completion and recording. This will help ensure that internal contols over compliance are established and will help ensure that cost charged to grant award programs are supported and allowable. Explanation of disagreement with audit finding: There is no disagreement with the audit finding. Action taken in response to finding: Staff now complete a Time and Effort Certification form from the State of Arzona for each pay period to reflect time spent on each grant. Name(s) of the contact person(s) responsible for corrective action: Frank Caruso, Director of Finance and Operations. Planned completion date for corrective action plan: Already corrected, January 2023.
Significant Deficiency in Internal Control Over Compliance and Noncompliance – A. Activities Allowed or Unallowed and B. Allowable Costs/Cost Principles Recommendation: The auditor recommended FSA implement procedures for all employees who have payroll claimed under federal programs to maintain de...
Significant Deficiency in Internal Control Over Compliance and Noncompliance – A. Activities Allowed or Unallowed and B. Allowable Costs/Cost Principles Recommendation: The auditor recommended FSA implement procedures for all employees who have payroll claimed under federal programs to maintain detailed timecards or time studies to support hours worked under each federal program. Planned Corrective Actions: Family Service Association of Howard County, Inc. (FSA) will implement procedures and maintain time cards and time studies for employees who have payroll claimed under the federal programs to be in compliance of federal grants beginning April 2024.
View Audit 297675 Questioned Costs: $1
Activities Allowed or Unallowed Material Weakness in Internal Control Over Compliance Federal Agency Name: Department of Treasury Pass‐Through Entity: North Dakota Office of Management and Budget Assistance Listing Number: 21.027 Program Name: COVID-19 – Coronavirus State and Local Fiscal Recovery F...
Activities Allowed or Unallowed Material Weakness in Internal Control Over Compliance Federal Agency Name: Department of Treasury Pass‐Through Entity: North Dakota Office of Management and Budget Assistance Listing Number: 21.027 Program Name: COVID-19 – Coronavirus State and Local Fiscal Recovery Funds Finding Summary: During the course of the engagement, it was noted that the City has no formal review process for the allocation of payroll costs to federal awards, which could result in a material misstatement of the City’s schedule of expenditures of federal awards. Corrective Action Plan: The City will review its internal control processes over compliance to ensure that payroll costs allocated to federal awards are adequately reviewed. Responsible Individuals: Dustin Scott, City Administrator Anticipated Completion Date: December 31, 2023
Moving forward, email correspondence used in the approval process shall be maintained by Weinberg Center management in the same manner as physical invoices or timesheets.
Moving forward, email correspondence used in the approval process shall be maintained by Weinberg Center management in the same manner as physical invoices or timesheets.
New financial grant accountant has been assigned to work with departments to ensure proper accounting of expenditures.
New financial grant accountant has been assigned to work with departments to ensure proper accounting of expenditures.
View Audit 297486 Questioned Costs: $1
Staff allocations are reviewed regularly to ensure they are based on work assignments. We are now tracking changes to allocations for historical reference.
Staff allocations are reviewed regularly to ensure they are based on work assignments. We are now tracking changes to allocations for historical reference.
Outreach staff are now updating all patient intakes once per calendar year or upon site visit to ensure information is up to date. Responsibilities have been modified with employees assigned specifically to focus on operations, compliance and consistency.
Outreach staff are now updating all patient intakes once per calendar year or upon site visit to ensure information is up to date. Responsibilities have been modified with employees assigned specifically to focus on operations, compliance and consistency.
Finding 384055 (2022-001)
Significant Deficiency 2022
CORRECTIVE ACTION PLAN FOR FINDINGS REPORTED UNDER UNIFORM GUIDANCE City of Davenport January 1, 2022 through December 31, 2022 This schedule presents the corrective action the City is planning to take for findings included in this report in accordance with Title 2 U.S. Code of Federal Regulations ...
CORRECTIVE ACTION PLAN FOR FINDINGS REPORTED UNDER UNIFORM GUIDANCE City of Davenport January 1, 2022 through December 31, 2022 This schedule presents the corrective action the City is planning to take for findings included in this report in accordance with Title 2 U.S. Code of Federal Regulations (CFR) Part 200, Uniform Administrative Requirements, Cost Principles, and Audit Requirements for Federal Awards (Uniform Guidance). Finding ref number: 2022-001 Finding caption: The City’s internal controls were not adequate to ensure compliance with the revenue diversion special test requirements. Name, address, and telephone of City contact person: Steve Goemmel, City Administrator City of Davenport P. O. Box 26 411 Morgan Street Davenport, WA 99122 Corrective action the auditee plans to take in response to the finding: The City’s airport fund balance was overstated due to a coding error by the Clerk/Treasurer in 2022. Every month the city pays the Washington State Department of Revenue excise tax for its utility funds, (Water/Sewer/Garbage funds) plus any revenue generated from the sale of graves at the cemetery, and leasehold tax on the airport hangar leases. The Clerk/Treasurer uses a spreadsheet template to calculate these liabilities. He inadvertently entered the calculated remittance into the airport fund rather than the garbage fund. The resulting error caused the city to overstate the expenditures in the airport fund and understated the expenditures in the garbage fund. The amount of the remittance that was paid to the Washington State Department of Revenue and the dollar amount remitted was correct and expended to the proper corresponding funds. This was also done on three small expenditures on the city’s credit card account. The expenditure amounts were paid but misassigned to the airport fund. All these expenditures were true and paid in a timely fashion. There was no misappropriation of funds. They were simply data entry mistakes to different funds numbers. No airport funds within any of our FAA grants were used to pay the Washington State Department of Revenue or other vendors. Under my direction, the Clerk/Treasurer has amended his calculation worksheet so that it does not include any expenditure to the Airport Fund. Airport Leasehold Tax is now paid to the Special Leasehold account of the Washington Department of Revenue. The City will institute a revised financial policy for credit card use so this doesn’t happen in the future. All credit card expenditures will be reviewed for accuracy in earnest. Anticipated date to complete the corrective action: June 1, 2024
Management Response and Corrective Action Plan Finding 2022-001 Federal Agency: United States Department of Health and Human Services Program Name: Provider Relief Fund (PRF) Assistance Listing Number: 93.498 Responsible Individual: Katherine Bacher, VP of System Services Accounting and Finance Co...
Management Response and Corrective Action Plan Finding 2022-001 Federal Agency: United States Department of Health and Human Services Program Name: Provider Relief Fund (PRF) Assistance Listing Number: 93.498 Responsible Individual: Katherine Bacher, VP of System Services Accounting and Finance Contact Information: Katherine.bacher@bilh.org; 617-278-7059 There was an error in PRF Reporting period 2 and 3 due to a misapplication of utilizing the same quarterly budget amount for both Quarter 3 and Quarter 4, resulting in an understatement of lost revenue. Management agrees with the recommendation and moving forward, there will be at least two reviews of the PRF filing prior to submission to better ensure complete and accurate information is submitted to HRSA. Corrective Action Plan: BILH will develop dual signoff of all submissions: • Director of Revenue and Reimbursement will compile and review the initial draft • VP of Revenue and Reimbursement will review the initial draft for completeness and accuracy • VP of System Services Accounting and Finance will final review for completeness and accuracy Expected Completion Date: September 30, 2024 Status of Completion: Not Started
Finding 383855 (2022-005)
Significant Deficiency 2022
Community Partners acknowledges that payroll costs did not consistently have sufficient documentation to support the hours charged to the program. Prior leadership did not establish clear guidelines for staff and program personnel to emphasize the time and effort requirements of federal awards. Curr...
Community Partners acknowledges that payroll costs did not consistently have sufficient documentation to support the hours charged to the program. Prior leadership did not establish clear guidelines for staff and program personnel to emphasize the time and effort requirements of federal awards. Current management has implemented guidelines and review procedures to ensure that compliance staff verify that hours charged to programs are appropriately supported. The person responsible for the corrective action detailed above will be Joyce Williams, Chief Financial and Operations Officer, (213) 346‐3202. We anticipate corrective action will be completed by June 30, 2024.
View Audit 296891 Questioned Costs: $1
Contact Person David Drapeaux Corrective Action Plan The district will review and update existing policies and procedures related to allowable cost principles to address deficiencies identified in this finding. The administration will ensure that staff understand the principles of allowable costs an...
Contact Person David Drapeaux Corrective Action Plan The district will review and update existing policies and procedures related to allowable cost principles to address deficiencies identified in this finding. The administration will ensure that staff understand the principles of allowable costs and compliance requirements. Completion Date On-going
FA 2022-001 Strengthen Controls over Expenditures Compliance Requirements: Activities Allowed or Unallowed Allowable Costs/Cost Principles Procurement and Suspension and Debarment Internal Control Impact: Significant Deficiency Compliance Impact: Nonmaterial Noncomplia...
FA 2022-001 Strengthen Controls over Expenditures Compliance Requirements: Activities Allowed or Unallowed Allowable Costs/Cost Principles Procurement and Suspension and Debarment Internal Control Impact: Significant Deficiency Compliance Impact: Nonmaterial Noncompliance Federal Awarding Agency: U.S. Department of Agriculture Pass-Through Entity: Georgia Department of Education Assistance Listing Number and Title: 10.553 – School Breakfast Program 10.555 – National School Lunch Program Federal Award Number: 225GA324N1199 (Year: 2022) Questioned Costs: $21,440.00 Description: A review of expenditures charged to the Child Nutrition Cluster revealed that the School District’s internal control procedures were not operating appropriately to ensure that the School District’s procurement procedures were followed. Corrective Action Plan: The Harris County SNP will review internal controls and apply correct procedures to all purchases made. Estimated Completion Date: June 30, 2024 Contact Person: Meghan L. Ceja Telephone: 706-628-4206 Email: ceja-m@harris.k12.ga.us
View Audit 296666 Questioned Costs: $1
Finding 382877 (2022-005)
Significant Deficiency 2022
Federal Agency Name: Department of Agriculture Assistance Listing Number: #10.766 Program Name: Community Facilities Loans and Grants Cluster Finding Summary: During our testing, we noted a lack of documentation of a secondary review on the RD442-2 forms submitted to the USDA. Responsible Individual...
Federal Agency Name: Department of Agriculture Assistance Listing Number: #10.766 Program Name: Community Facilities Loans and Grants Cluster Finding Summary: During our testing, we noted a lack of documentation of a secondary review on the RD442-2 forms submitted to the USDA. Responsible Individuals: Greg Porter, CFO & Arlene Harms, CEO Corrective Action Plan: Management will ensure that the RD442-2 forms submitted to the USDA have a documented secondary review. Anticipated Completion Date 3/12/2024
Federal Agency Name: Department of Health and Human Services Assistance Listing Number: #93.498 Program Name: COVID-19 Provider Relief Fund and American Rescue Plan (ARP) Rural Distribution Finding Summary: The Organization had various invoices and employee timecards identified as COVID-19 eligible ...
Federal Agency Name: Department of Health and Human Services Assistance Listing Number: #93.498 Program Name: COVID-19 Provider Relief Fund and American Rescue Plan (ARP) Rural Distribution Finding Summary: The Organization had various invoices and employee timecards identified as COVID-19 eligible that did not follow the Organization’s review and approval process for COVID-19 funding. Responsible Individuals: Greg Porter, CFO & Arlene Harms, CEO Corrective Action Plan: Management will ensure that all invoices and employee timecards are reviewed following the Organization’s review and approval process for COVID-19 funding. Anticipated Completion Date: Ongoing
2022-005: Allowable Costs/Cost Principles, Research & Development Cluster Recommendation: We recommend that ABS Institute implement a formal review policy to ensure that nonpayroll costs are al located in line with cost allocation memorandums. Action Taken: We recommend that ABS Instit ute implement...
2022-005: Allowable Costs/Cost Principles, Research & Development Cluster Recommendation: We recommend that ABS Institute implement a formal review policy to ensure that nonpayroll costs are al located in line with cost allocation memorandums. Action Taken: We recommend that ABS Instit ute implement a formal review policy to ensure that non payroll costs are allocated in line with cost allocation memorandums. Name of responsible person: Peter Slover Chief Financial Officer Anticipated completion date: December 31, 2023
2022-004: Allowable Costs/Cost Principles, Research & Development Cluster Recommendation: We recommend that ABS Institute retain documentation to support the employee's title, job description and pay rate. Action Taken: In connection with pay increases that were completed in January 2023, we put in ...
2022-004: Allowable Costs/Cost Principles, Research & Development Cluster Recommendation: We recommend that ABS Institute retain documentation to support the employee's title, job description and pay rate. Action Taken: In connection with pay increases that were completed in January 2023, we put in place written documentation for each employee related to their title and pay rate. In addition, all employees hired in 2022 have an executed offer letter that outlines the title, pay rate, and terms of employment. Name of responsible person: Peter Slover Chief Financial Officer
Recommendation: We recommend that ABS Institute document policies regarding the process and controls in place surrounding the accounting for and valuation of equity ownership interests. Action Taken: In 2023, ABS Institute updated its Accounting Policy Manual to document its pol icies and procedures...
Recommendation: We recommend that ABS Institute document policies regarding the process and controls in place surrounding the accounting for and valuation of equity ownership interests. Action Taken: In 2023, ABS Institute updated its Accounting Policy Manual to document its pol icies and procedures around entity-level controls. Name of responsible person: Peter Slover Chief Financial Officer Anticipated completion date: December 31, 2023
a. Comments on the Finding and Each Recommendation: Management agrees with both the finding and the recommendations. b. Action(s) Taken or Planned on the Finding The management overseeing the process has been completely replaced to ensure a fresh perspective and unwavering dedication to implementing...
a. Comments on the Finding and Each Recommendation: Management agrees with both the finding and the recommendations. b. Action(s) Taken or Planned on the Finding The management overseeing the process has been completely replaced to ensure a fresh perspective and unwavering dedication to implementing robust internal controls. To address the shortcomings identified in Finding 2022-002, the Authority commits to a targeted action plan aimed at ensuring timely compliance with reporting requirements. Central to our approach is the engagement of a fee accountant, recognized for expertise in HUD reporting and public housing financial management. This specialist will be tasked with overseeing and streamlining our reporting processes. By leveraging this expertise, we aim to quickly rectify past reporting lapses and ensure future submissions are timely and compliant with HUD requirements. The new fee accountant will conduct a comprehensive review of our current reporting mechanisms, identify bottlenecks, and implement best practices tailored to our operations. This decisive action, centered around the expertise of the newly appointed fee accountant, demonstrates our commitment to enhancing our financial management practices and aligning with HUD's reporting expectations. Through these measures, we anticipate not only meeting HUD's deadlines but also setting a new standard for operational excellence within our Authority.
Finding 382662 (2022-010)
Significant Deficiency 2022
2022-010: Significant Deficiency and Noncompliance – Improper Payments Requested for Reimbursement Statement of Condition/Criteria: Delta County prepared reimbursement requests by manually transferring data from the general ledger to summary spreadsheets. The transferred data contained errors that r...
2022-010: Significant Deficiency and Noncompliance – Improper Payments Requested for Reimbursement Statement of Condition/Criteria: Delta County prepared reimbursement requests by manually transferring data from the general ledger to summary spreadsheets. The transferred data contained errors that resulted in the request for reimbursement being overstated. However, there were other costs incurred that would have been eligible. Planned Corrective Action: County management will develop control to ensure a secondary review and approval process is put into place for all reimbursement request submissions so that only allowable costs are charged to the grant. Contact person responsible for corrective action: Ashleigh Young, County Controller/Administrator Anticipated Completion Date: March 2024
2022-007: Material Weakness and Noncompliance – Written Policies Required by the Uniform Guidance Statement of Condition/Criteria: Delta County does not have written policies and procedures to implement the requirements of 2 CFR section 200 for the administration of federal awards specific to the Ai...
2022-007: Material Weakness and Noncompliance – Written Policies Required by the Uniform Guidance Statement of Condition/Criteria: Delta County does not have written policies and procedures to implement the requirements of 2 CFR section 200 for the administration of federal awards specific to the Airport or for federal awards in general. 2 CFR 200.303(a) establishes that the auditee must establish and maintain effective internal controls over the federal awards that provide assurance that the entity is managing the federal awards in compliance with federal statutes, regulations, and the conditions of the federal award. Planned Corrective Action: County management will develop written policies and procedures for grants and will formalize responsibilities between Airport management, Michigan Department of Transportation and other consultants. Contact person responsible for corrective action: Ashleigh Young, County Controller/Administrator Anticipated Completion Date: March 2024
2022-006: Material Weakness and Noncompliance – Preparation of Schedule of Expenditures of Federal Awards (SEFA) Statement of Condition/Criteria: The Code of Federal Regulations requires a nonfederal entity to prepare a schedule of expenditures of federal awards (SEFA) for the period covered by the ...
2022-006: Material Weakness and Noncompliance – Preparation of Schedule of Expenditures of Federal Awards (SEFA) Statement of Condition/Criteria: The Code of Federal Regulations requires a nonfederal entity to prepare a schedule of expenditures of federal awards (SEFA) for the period covered by the auditee’s financial statements which must include the total Federal awards expended as determined in accordance with CFR Section 200.502(a) and must reconcile amounts reported in the SEFA to the amounts reported in the auditee’s financial statements. Planned Corrective Action: County management will develop a closing process to ensure all federal expenditures are identified, recorded, and reconciled on the SEFA. Contact person responsible for corrective action: Ashleigh Young, County Controller/Administrator Anticipated Completion Date: March 2024
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