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Corrective Action Plans

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Finding 575124 (2022-001)
Material Weakness 2022
City of Davis
CA
Reporting Cash Management
Finding Reference Number: SA 2022-001 Accurate Financial Reporting in the Annual PR26 Report and Quarterly PR29 Reports and Failure to File Quarterly PR29 Reports AL Number: 14.218 Assistance Listing Title: CDBG - Entitlement Grants Cluster – Community Development Block Grants/Entitlement Gra...
Finding Reference Number: SA 2022-001 Accurate Financial Reporting in the Annual PR26 Report and Quarterly PR29 Reports and Failure to File Quarterly PR29 Reports AL Number: 14.218 Assistance Listing Title: CDBG - Entitlement Grants Cluster – Community Development Block Grants/Entitlement Grants COVID-19 - Community Development Block Grants/Entitlement Grants-CV Federal Agency: Department of Housing and Urban Development Federal Award Identification Number: B-14-MC-06-0037, B-15-MC-06-0037, B-16-MC-06-0037, B-17-MC-06-0037, B-18-MC-06-0037, B-19-MC-06-0037, B-20-MC-06-0037, B-20-MW-06-0037, B-21-MC-06-0037 • Fiscal Year of Initial Finding: 2021 • Name(s) of the contact person: Jennifer Block, Management Analyst • Corrective Action Plan: Since FY 2021, the City has reviewed its organizational structure and processes for management of the CDBG grant program. At the end of FY 2023, the City brought the program back in-house to the newly-created Department of Social Services and Housing (SSH). In FY 2024, staff developed a process to ensure timely and consistent draws, with reconciliation to the general ledger at the point of each draw. SSH staff have developed and implemented a timeline of required actions for the program to ensure compliance with deadlines. • Anticipated Completion Date: June 30, 2024
View Audit 365226
Finding 574631 (2022-002)
Material Weakness 2022
Toledo Lucas County Homelessness Board
OH
Subrecipient Monitoring Cash Management Reporting
Finding 2022-1 & 2022-2 Control Activities, Information and Communication, Monitoring • Monthly reconciliation of all financial reports within the accounting system. • Dual review by Operations Manager and Board Treasurer at monthly finance committee meetings. • Use of accounting software tools and ...
Finding 2022-1 & 2022-2 Control Activities, Information and Communication, Monitoring • Monthly reconciliation of all financial reports within the accounting system. • Dual review by Operations Manager and Board Treasurer at monthly finance committee meetings. • Use of accounting software tools and training for accurate grant-based reporting. • Accounting software issues related to transition to cloud-based software have been problem solved as possible. • Due to unresolved system limitations, TLCHB will transition to QuickBooks in January 2026, per the recommendation of the independent auditor. STATUS: Implemented bullet 1-4, bullet 5 target January 2025 • Policy to ensure funds are expended within 30 days, with exceptions approved by senior leadership. STATUS: Implemented • Monthly bank reconciliations prepared by Finance Manager and reviewed by leadership, Finance committee. • Additional staff resources allocated to support reconciliation. STATUS: Reconciliations completed; ongoing compliance in place.
View Audit 364896
Finding 574630 (2022-001)
Material Weakness 2022
Toledo Lucas County Homelessness Board
OH
Subrecipient Monitoring Cash Management Reporting
Finding 2022-1 & 2022-2 Control Activities, Information and Communication, Monitoring • Monthly reconciliation of all financial reports within the accounting system. • Dual review by Operations Manager and Board Treasurer at monthly finance committee meetings. • Use of accounting software tools and ...
Finding 2022-1 & 2022-2 Control Activities, Information and Communication, Monitoring • Monthly reconciliation of all financial reports within the accounting system. • Dual review by Operations Manager and Board Treasurer at monthly finance committee meetings. • Use of accounting software tools and training for accurate grant-based reporting. • Accounting software issues related to transition to cloud-based software have been problem solved as possible. • Due to unresolved system limitations, TLCHB will transition to QuickBooks in January 2026, per the recommendation of the independent auditor. STATUS: Implemented bullet 1-4, bullet 5 target January 2025 • Policy to ensure funds are expended within 30 days, with exceptions approved by senior leadership. STATUS: Implemented • Monthly bank reconciliations prepared by Finance Manager and reviewed by leadership, Finance committee. • Additional staff resources allocated to support reconciliation. STATUS: Reconciliations completed; ongoing compliance in place.
View Audit 364896
Finding 574259 (2022-013)
Material Weakness 2022
South Central Medical and Resource Center, Inc.
OK
Cash Management § 200.305
Corrective Actions Taken:
Corrective Actions Taken:
View Audit 364764
Finding 574259 (2022-013)
Material Weakness 2022
South Central Medical and Resource Center, Inc.
OK
Cash Management § 200.305
1.       SCMRC revised its federal drawdown procedures in 2024 to require documented review and approval of all expenditures before submitting any drawdown request.
1.       SCMRC revised its federal drawdown procedures in 2024 to require documented review and approval of all expenditures before submitting any drawdown request.
View Audit 364764
Finding 574259 (2022-013)
Material Weakness 2022
South Central Medical and Resource Center, Inc.
OK
Cash Management § 200.305
2.       A Draw Down Request Workbook is now prepared by the Controller and reviewed against supporting documentation, including invoices, timecards, and purchase records.
2.       A Draw Down Request Workbook is now prepared by the Controller and reviewed against supporting documentation, including invoices, timecards, and purchase records.
View Audit 364764
Finding 574259 (2022-013)
Material Weakness 2022
South Central Medical and Resource Center, Inc.
OK
Cash Management § 200.305
3.       The CEO reviews and signs off on each Draw Down Request prior to submission.
3.       The CEO reviews and signs off on each Draw Down Request prior to submission.
View Audit 364764
Finding 574259 (2022-013)
Material Weakness 2022
South Central Medical and Resource Center, Inc.
OK
Cash Management § 200.305
4.       Completed Draw Down Request Workbooks are submitted to HRSA for prior approval and retained for audit purposes.
4.       Completed Draw Down Request Workbooks are submitted to HRSA for prior approval and retained for audit purposes.
View Audit 364764
Finding 574259 (2022-013)
Material Weakness 2022
South Central Medical and Resource Center, Inc.
OK
Cash Management § 200.305
5.       Internal drawdown audits are conducted monthly to confirm alignment with federal cash management standards.
5.       Internal drawdown audits are conducted monthly to confirm alignment with federal cash management standards.
View Audit 364764
Finding 574259 (2022-013)
Material Weakness 2022
South Central Medical and Resource Center, Inc.
OK
Cash Management § 200.305
Corrective Action Plan:
Corrective Action Plan:
View Audit 364764
Finding 574259 (2022-013)
Material Weakness 2022
South Central Medical and Resource Center, Inc.
OK
Cash Management § 200.305
1.       Updated drawdown procedures have been incorporated into SCMRC’s financial policies and will be re-reviewed annually.
1.       Updated drawdown procedures have been incorporated into SCMRC’s financial policies and will be re-reviewed annually.
View Audit 364764
Finding 574259 (2022-013)
Material Weakness 2022
South Central Medical and Resource Center, Inc.
OK
Cash Management § 200.305
2.       Refresher training on 2 CFR § 200.305 and internal drawdown requirements will be conducted by Q4 2025.
2.       Refresher training on 2 CFR § 200.305 and internal drawdown requirements will be conducted by Q4 2025.
View Audit 364764
Finding 574259 (2022-013)
Material Weakness 2022
South Central Medical and Resource Center, Inc.
OK
Cash Management § 200.305
3.       Results of monthly drawdown audits will be included in the Finance Committee compliance dashboard starting in September 2025.
3.       Results of monthly drawdown audits will be included in the Finance Committee compliance dashboard starting in September 2025.
View Audit 364764
Finding 574259 (2022-013)
Material Weakness 2022
South Central Medical and Resource Center, Inc.
OK
Cash Management § 200.305
4.       SCMRC will continue to require documented CEO approval on all federal drawdown submissions to ensure sustained internal control.
4.       SCMRC will continue to require documented CEO approval on all federal drawdown submissions to ensure sustained internal control.
View Audit 364764
Finding 574251 (2022-005)
Significant Deficiency 2022
South Central Medical and Resource Center, Inc.
OK
Cash Management
Corrective Actions Taken:
Corrective Actions Taken:
View Audit 364764
Finding 574251 (2022-005)
Significant Deficiency 2022
South Central Medical and Resource Center, Inc.
OK
Cash Management
1. Implemented a 15-month rolling cash flow forecast in Q4 2024, updated weekly by the CEO and Controller in partnership with the contract accountant.
1. Implemented a 15-month rolling cash flow forecast in Q4 2024, updated weekly by the CEO and Controller in partnership with the contract accountant.
View Audit 364764
Finding 574251 (2022-005)
Significant Deficiency 2022
South Central Medical and Resource Center, Inc.
OK
Cash Management
2. Finance staff monitor cash balances and disbursements at least twice per week to anticipate timing issues and support grant drawdown coordination.
2. Finance staff monitor cash balances and disbursements at least twice per week to anticipate timing issues and support grant drawdown coordination.
View Audit 364764
Finding 574251 (2022-005)
Significant Deficiency 2022
South Central Medical and Resource Center, Inc.
OK
Cash Management
3. Established internal minimum balance thresholds and enabled low balance alerts to prevent overdrafts.
3. Established internal minimum balance thresholds and enabled low balance alerts to prevent overdrafts.
View Audit 364764
Finding 574251 (2022-005)
Significant Deficiency 2022
South Central Medical and Resource Center, Inc.
OK
Cash Management
4. Consolidated underutilized accounts in 2025 and formalized contingency planning with SCMRC’s banking institution.
4. Consolidated underutilized accounts in 2025 and formalized contingency planning with SCMRC’s banking institution.
View Audit 364764
Finding 574251 (2022-005)
Significant Deficiency 2022
South Central Medical and Resource Center, Inc.
OK
Cash Management
5. Conducted nonprofit cash flow management training for the CEO, Controller, and Board in Q2 FY25.
5. Conducted nonprofit cash flow management training for the CEO, Controller, and Board in Q2 FY25.
View Audit 364764
Finding 574251 (2022-005)
Significant Deficiency 2022
South Central Medical and Resource Center, Inc.
OK
Cash Management
6. Included cash flow forecasting and liquidity discussions in monthly Finance Committee updates.
6. Included cash flow forecasting and liquidity discussions in monthly Finance Committee updates.
View Audit 364764
Finding 574251 (2022-005)
Significant Deficiency 2022
South Central Medical and Resource Center, Inc.
OK
Cash Management
7. These improvements were reviewed during the 2025 HRSA Verification Site Visit and contributed to clearance of relevant conditions under Chapter 21 of the HRSA Health Center Compliance Manual.
7. These improvements were reviewed during the 2025 HRSA Verification Site Visit and contributed to clearance of relevant conditions under Chapter 21 of the HRSA Health Center Compliance Manual.
View Audit 364764
Finding 574251 (2022-005)
Significant Deficiency 2022
South Central Medical and Resource Center, Inc.
OK
Cash Management
Corrective Action Plan:
Corrective Action Plan:
View Audit 364764
Finding 574251 (2022-005)
Significant Deficiency 2022
South Central Medical and Resource Center, Inc.
OK
Cash Management
1. Continue weekly updates of the 12-month rolling cash flow forecast.
1. Continue weekly updates of the 12-month rolling cash flow forecast.
View Audit 364764
Finding 574251 (2022-005)
Significant Deficiency 2022
South Central Medical and Resource Center, Inc.
OK
Cash Management
2. Maintain twice-weekly internal cash reviews to align disbursements with available cash and grant timing.
2. Maintain twice-weekly internal cash reviews to align disbursements with available cash and grant timing.
View Audit 364764
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