Corrective Action Plans

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Finding 539229 (2024-302)
Significant Deficiency 2024
Wisconsin Department of Health Services Planned Corrective Action: After the SFY 2022-23 audit finding was received, DHS immediately began corrective actions. No new concerns were identified by LAB during their SFY 2023-24 audit. DHS corrected the assistance listing number (ALN) of TANF funds transf...
Wisconsin Department of Health Services Planned Corrective Action: After the SFY 2022-23 audit finding was received, DHS immediately began corrective actions. No new concerns were identified by LAB during their SFY 2023-24 audit. DHS corrected the assistance listing number (ALN) of TANF funds transferred to the SSBG on the DHS website (https://www.dhs.wisconsin.gov/gears/index.htm) for the calendar year 2023 and 2024 Basic County Allocation on March 20, 2024. DHS changed the ALN for TANF funds transferred to the SSBG on the calendar year 2025 Basic County Allocation contracts that started January 1, 2025. Anticipated Completion Date: January 1, 2025 Person responsible for corrective action: Rebecca Mogensen, Section Chief Managerial Accounting, Bureau of Fiscal Services, Division of Enterprise Services rebeccaj.mogensen@dhs.wisconsin.gov
Wisconsin Department of Health Services Planned Corrective Action: Summer EBT was a brand-new program started in summer 2024 to provide food benefits during the summer months to families with children who were determined eligible for free or reduced-price school meals in the prior school year or dur...
Wisconsin Department of Health Services Planned Corrective Action: Summer EBT was a brand-new program started in summer 2024 to provide food benefits during the summer months to families with children who were determined eligible for free or reduced-price school meals in the prior school year or during the summer. DHS provided benefits to over 450,000 children. While DHS agrees with the cash management concerns cited by LAB under this program, we need to clarify that the questioned costs do not represent inappropriate federal spending. While the federal funds were received too early and remained in a bank account as of June 30, 2024, most of the funds were paid out to eligible children during the following three months. A reconciliation of funds received to funds spent for the children in this program was completed in early SFY 2024-25, with any unspent balance returned to the federal government in September 2024. DHS will work with DOA and our Summer EBT third-party vendor to improve the payment process, ensuring compliance with federal requirements for future years. Anticipated Completion Date: June 30, 2025Person responsible for corrective action: Rebecca Mogensen, Section Chief Managerial Accounting, Bureau of Fiscal Services, Division of Enterprise Services rebeccaj.mogensen@dhs.wisconsin.gov Rebuttal from the Wisconsin Legislative Audit Bureau In its corrective action plan on page 345, the Department of Health Services agreed with the cash management concerns reported by the Bureau, but stated it did not consider the questioned costs to be inappropriate federal spending. In addition, the Department of Health Services noted that it completed a reconciliation of funds received to funds spent for children in this program and returned the unspent balance to the federal government in September 2024. However, a questioned cost is defined by 2 CFR s. 200.1 as an amount expended or received from a federal award, that in the auditor’s judgment:  is noncompliant or suspected noncompliant with federal statutes, regulations, or the terms and conditions of the federal award;  lacked adequate documentation to support compliance; or  appeared unreasonable and did not reflect the actions a prudent person would take in the circumstances. As reported in the finding, United States Department of Agriculture guidance indicates that expenditures or disbursements under the Summer Electronic Benefit Transfer Program for Children are incurred when participants have used the issued benefits to purchase food. The amount questioned was the balance of the federal funds drawn and not spent by participants as of June 30, 2024. This amount met the criteria of a questioned cost due to noncompliance with federal regulations and a lack of adequate documentation to support compliance. In addition, the return of $14.2 million to the federal government in September 2024 further indicates that the amounts drawn in June 2024 were not supported.
View Audit 349896 Questioned Costs: $1
Planned Corrective Action: To complywith federal cash management requirements, Research and Sponsored Programs (RSP) will develop a responsive cash management policy and procedures to implement the policy for subrecipient agreements. The policy and subsequent procedure will specify the circumstance ...
Planned Corrective Action: To complywith federal cash management requirements, Research and Sponsored Programs (RSP) will develop a responsive cash management policy and procedures to implement the policy for subrecipient agreements. The policy and subsequent procedure will specify the circumstance and requisites a cash advance may be suitable. A standard cost reimbursable agreement will be otherwise executed. RSP will evaluate subrecipientsthat request agreements with advance paymentto determine whetherto issue an agreement with advance payment. Thisincludes determining whetherthe Subrecipient has a need for an advance payment as well asthe amount of advance payment needed. Forsubrecipientsthat RSP determinesto issue a subagreement with an advance payment, RSPwill issue agreementsthatincorporate 2 CFR 200.305(b)(1)(2)- federal payment requirements and include, as applicable, interest-bearing accountrequirements. RSP staffwill be trained on the new procedures and additionsto subrecipient agreements. Anticipated Completion Date: October 30, 2025 Person responsible for corrective action: Angie Johnson, Assistant Director of Research Financial Services Research and Sponsored Programs Angie.johnson@rsp.wisc.edu
Finding 539062 (2024-004)
Significant Deficiency 2024
Boston Public Schools Food and Nutrition Services has begun implementing various procedures in order to accurately report meal counts and claims.  Anticipated Completion Date: June 30, 2025 Responsible Contact Person: Colin Musto, Assistant City Auditor, Grants Monitoring Unit colin.musto@boston.g...
Boston Public Schools Food and Nutrition Services has begun implementing various procedures in order to accurately report meal counts and claims.  Anticipated Completion Date: June 30, 2025 Responsible Contact Person: Colin Musto, Assistant City Auditor, Grants Monitoring Unit colin.musto@boston.gov
Finding 539061 (2024-003)
Significant Deficiency 2024
Boston Public Schools Food and Nutrition Services has begun implementing advanced policies including additional segregation of duties and additional documentation to ensure that all deposits made have clear and accurate cash receipt forms. Anticipated Completion Date: June 30, 2025 Responsible Co...
Boston Public Schools Food and Nutrition Services has begun implementing advanced policies including additional segregation of duties and additional documentation to ensure that all deposits made have clear and accurate cash receipt forms. Anticipated Completion Date: June 30, 2025 Responsible Contact Person: Colin Musto, Assistant City Auditor, Grants Monitoring Unit colin.musto@boston.gov
View Audit 349776 Questioned Costs: $1
Significant Deficiency - Federal Direct Loan Cash Management Criteria: The Advance Payment Method requires that the College disburse the requested funds no later than three business days following receipt of funds from the Education Department. Action Taken: Procedures and Policies have been put in ...
Significant Deficiency - Federal Direct Loan Cash Management Criteria: The Advance Payment Method requires that the College disburse the requested funds no later than three business days following receipt of funds from the Education Department. Action Taken: Procedures and Policies have been put in place to assure a timely disbursement of Federal funds to student accounts within the mandated timeframe. Coordination efforts have been mandated to assure that payments to student accounts are posted before drawing down federal funds. Anticipated completion date: The above-mentioned policies were put into practice in January of 2024. Drawdowns of federal monies for both the Fall and Spring semesters for the academic year ending 6/30/2025 were in full compliance of the policies.
View Audit 349581 Questioned Costs: $1
The District and Assistant Superintendent of Administrative Services will implement internal controls to properly record accrued payroll, leases, capital assets, and grant receivables on a timely basis prior to audit fieldwork.
The District and Assistant Superintendent of Administrative Services will implement internal controls to properly record accrued payroll, leases, capital assets, and grant receivables on a timely basis prior to audit fieldwork.
FINDING 2024-004 Subject: Child Nutrition Cluster - Reporting Federal Agency: Department of Agriculture Federal Program: School Breakfast Program, National School Lunch Program Assistance Listing Number: 10.553, 10.555 Federal Award Numbers and Years (or Other Identifying Numbers): FY 22-23, FY 23-...
FINDING 2024-004 Subject: Child Nutrition Cluster - Reporting Federal Agency: Department of Agriculture Federal Program: School Breakfast Program, National School Lunch Program Assistance Listing Number: 10.553, 10.555 Federal Award Numbers and Years (or Other Identifying Numbers): FY 22-23, FY 23-24 Pass-Through Entity: Indiana Department of Education Compliance Requirement: Reporting Audit Finding: Material Weakness, Other Matters Condition: An effective internal control system was not in place at the School Corporation in order to ensure compliance with requirements related to the grant agreement and the cash management compliance requirement. Context: In a sample of 5 monthly claims for reimbursement selected for testing, the following compliance exceptions were noted: • Management failed to submit the April 2023 claim for reimbursement in a timely manner (within 90 days) to the IDOE and was not reimbursed for meals served as a result. • For the other 5 claims tested, the number of meals claimed did not agree to the supporting meal system reports. There was a gross overstatement of meals claimed of $21,189 and a gross understatement of meals claimed of $538.35 resulting in a net over-reimbursement of $20,650.47. We noted that the School Corporation has a secondary review control in place designed to review claims prior to submission to the IDOE. However, the control was not operating effectively to detect and prevent errors in the amount claimed for reimbursement. Views of Responsible Official: We concur with the finding. Description of Corrective Action Plan: Management has revised and implemented a more thorough control process over the preparation and submission of the monthly claims for reimbursement. A reconciliation sheet has been created and implemented for verification and will be completed every month. Responsible Party and Timeline for Completion: Jessica Defossett and Kendra Franks, January 2025
View Audit 349523 Questioned Costs: $1
Finding 538768 (2024-001)
Significant Deficiency 2024
Annually update the college website with contract and/or cost information regarding the third-party provider. Provide contract information URL to ED for publication in the Cash Management Contracts Database.
Annually update the college website with contract and/or cost information regarding the third-party provider. Provide contract information URL to ED for publication in the Cash Management Contracts Database.
Finding 2024-002 – Documentation of Costs and Vendor Invoices – Financial Reporting and Internal Controls ALN 14.850 & 14.871– Noncompliance & Material Weakness Recommendation: We recommend that the Authority amend policies and procedures to better facilitate effective purchasing controls. A clear ...
Finding 2024-002 – Documentation of Costs and Vendor Invoices – Financial Reporting and Internal Controls ALN 14.850 & 14.871– Noncompliance & Material Weakness Recommendation: We recommend that the Authority amend policies and procedures to better facilitate effective purchasing controls. A clear audit trail should be maintained to ensure proper approval, as well as documentation to support the allowability and eligibility of costs. Explanation of disagreement with audit finding: There is no disagreement with the audit finding. Action taken in response to finding: We will enhance our internal controls over purchasing and Develop detailed procedures for creating, approving, and managing purchase orders. Name(s) of the contact person(s) responsible for corrective action: Navonya Kolani, Executive Director Planned completion date for corrective action plan: September 30, 2025.
Finding 2024-001 – Capital Fund Program Accounting– Cash Management & Program Compliance ALN 14.872 – Grant years 2018, 2019, 2021, 2022 – Noncompliance & Material Weakness Recommendation: We recommend that the PHA establish an appropriate cash management procedure that facilitates timely requests ...
Finding 2024-001 – Capital Fund Program Accounting– Cash Management & Program Compliance ALN 14.872 – Grant years 2018, 2019, 2021, 2022 – Noncompliance & Material Weakness Recommendation: We recommend that the PHA establish an appropriate cash management procedure that facilitates timely requests and reimbursements of grant costs as incurred. We also recommend that the applicable PHA staff undergo Capital Fund training to ensure grant requirements are met prior to their deadlines. Explanation of disagreement with audit finding: There is no disagreement with the audit finding. Action taken in response to finding: We will conduct a comprehensive review of existing cash management policies and procedures and update policies to align with current best practices and regulatory requirements for the Capital Fund Program. We will ensure that all staff members are informed of the updated policies and receive appropriate training. Name(s) of the contact person(s) responsible for corrective action: Navonya Kolani, Executive Director Planned completion date for corrective action plan: September 30, 2025.
Finding 538657 (2024-004)
Significant Deficiency 2024
FINDING 2024-004 – Significant Deficiency in Internal Controls over Compliance – Allowable Cost Principles – Calculation of Project Costs Audit Recommendation: Moss Adams recommends that management perform an in-depth review of all project costs, including a review of any data used in its calculati...
FINDING 2024-004 – Significant Deficiency in Internal Controls over Compliance – Allowable Cost Principles – Calculation of Project Costs Audit Recommendation: Moss Adams recommends that management perform an in-depth review of all project costs, including a review of any data used in its calculation, prior to the submission of project applications to FEMA or other federal agencies. Corrective Action Plan: PH management will put incorporate additional review processes for reporting to external agencies involving project costs and calculations. This will involve secondary review to identify potential errors. Contact Person Responsible for Corrective Action Plan: Melissa Wallace, Vice President of Finance, and Maritess Delosantos, Director of Finance Special Projects Anticipated Completion of Corrective Action Plan: June 2025 Status: 75% completed The District is continually improving processes to correct and prevent these deficiencies from recurring.
Identifying Number: 2024-004: U.S. Department of Education: Education Stabilization Fund: Institutional Portion – 84.425F Finding: Due to receiving reimbursement on outstanding purchase orders that were paid months later, or not at all, the District received, but did not disburse, the funds within t...
Identifying Number: 2024-004: U.S. Department of Education: Education Stabilization Fund: Institutional Portion – 84.425F Finding: Due to receiving reimbursement on outstanding purchase orders that were paid months later, or not at all, the District received, but did not disburse, the funds within the allowed three-day timeframe. Corrective Action Taken or Planned: Reimbursement requests will be submitted on a timely basis and after payments for the expenses are made. This will help ensure that reimbursement is received at the same time or after payment has been made. Contact person: Mike Stephens, Director of Accounting Status of finding – The above corrective actions will be implemented beginning April 1, 2025.
View Audit 349380 Questioned Costs: $1
Identifying Number: 2024-003: U.S. Department of Education: Education Stabilization Fund: Institutional Portion – 84.425F Finding: The District used outstanding purchase order obligations to request reimbursement at the end of the liquidation period, but did not spend all of the outstanding purchase...
Identifying Number: 2024-003: U.S. Department of Education: Education Stabilization Fund: Institutional Portion – 84.425F Finding: The District used outstanding purchase order obligations to request reimbursement at the end of the liquidation period, but did not spend all of the outstanding purchase orders; therefore, receiving reimbursement for items that were never purchased. Corrective Action Taken or Planned: The School will designate finance staff to review reimbursements to ensure they have proper expenses as backup. A further review by the School District will help to ensure that funding is spent on items and requests for reimbursement only after expenses have been paid. Contact person: Mike Stephen, Director of Accounting Status of finding – The above corrective actions will be implemented beginning April 1, 2025.
View Audit 349380 Questioned Costs: $1
Management concurs. The City will implement policies and procedures at the appropriate level of management in reviewing cash drawdown requests. Once completed, reconciliations will be reviewed and approved by someone other than the preparer to ensure that errors and or/adjustments are identified and...
Management concurs. The City will implement policies and procedures at the appropriate level of management in reviewing cash drawdown requests. Once completed, reconciliations will be reviewed and approved by someone other than the preparer to ensure that errors and or/adjustments are identified and corrected in a timely manner.
Finding 538549 (2024-074)
Significant Deficiency 2024
Department: Defense, Veterans and Emergency Management Administrative and Financial Services Title: Internal control over DG – PA program cash management needs improvement Questioned Costs: None Status: Corrective action in progress Corrective Action: The Departments collaboratively developed cash m...
Department: Defense, Veterans and Emergency Management Administrative and Financial Services Title: Internal control over DG – PA program cash management needs improvement Questioned Costs: None Status: Corrective action in progress Corrective Action: The Departments collaboratively developed cash management procedures to address prior year finding 2023-097. The Departments implemented a new cash management process, including weekly reconciliation of draw requests The Departments modified the Treasury-State Agreement with the Office of the State Treasurer to list a Weekly Drawdown - Actual & Estimate funding technique for FY2025. Completion Date: December 13, 2023, December 18, 2023, and June 25, 2024, respectively Agency Contact: Sunny Cyr, MEMA Business Office Director, DVEM, 207-707-2507
Department: Health and Human Services Title: Internal control over Medicaid Nursing Facility audits needs improvement Questioned Costs: None Status: Corrective action in progress Corrective Action: The Department is working to hire staff for the Medicaid Audit unit. The Deputy Director will assign ...
Department: Health and Human Services Title: Internal control over Medicaid Nursing Facility audits needs improvement Questioned Costs: None Status: Corrective action in progress Corrective Action: The Department is working to hire staff for the Medicaid Audit unit. The Deputy Director will assign Nursing Facility audits to auditors who have been working on COVID fund audits. The Department will hold monthly meetings with the Director, Deputy Director and Senior auditors to discuss strategies for completing the Nursing Facility audits timely. Completion Date: Ongoing, July 1, 2025 and February 1, 2025 respectively Agency Contact: Herb Downs, Director, Division of Audit, DHHS, 207-287-2778
Finding 538501 (2024-055)
Significant Deficiency 2024
Department: Health and Human Services Title: Internal control over TANF program subrecipient cash management needs improvement Questioned Costs: None Status: Management’s opinion is that corrective action is not required Corrective Action: The Department disagrees with this finding. The Department i...
Department: Health and Human Services Title: Internal control over TANF program subrecipient cash management needs improvement Questioned Costs: None Status: Management’s opinion is that corrective action is not required Corrective Action: The Department disagrees with this finding. The Department is in compliance with the requirement for minimizing the time between payments to our subrecipients and the disbursement of funds. Payments are made as close as administratively feasible. The Compliance Supplement suggested audit procedures for Cash Management for pass-through entities refers to 200.305(b)(1). That same paragraph states that the timing and amount of advance payments must be as close as is administratively feasible. Completion Date: N/A Agency Contact: Anthony Madden, Deputy Director of Audit, DHHS, 207-287-2834
Finding 538494 (2024-050)
Significant Deficiency 2024
Department: Health and Human Services Title: Internal control over ICA program subrecipient cash management needs improvement Questioned Costs: None Status: Management’s opinion is that corrective action is not required Corrective Action: The Department disagrees with this finding. The Department is...
Department: Health and Human Services Title: Internal control over ICA program subrecipient cash management needs improvement Questioned Costs: None Status: Management’s opinion is that corrective action is not required Corrective Action: The Department disagrees with this finding. The Department is in compliance with the requirement for minimizing the time between payments to our subrecipients and the disbursement of funds. Payments are made as close as administratively feasible. The Compliance Supplement suggested audit procedures for Cash Management for pass-through entities refers to 200.305(b)(1. That same paragraph states that the timing and amount of advance payments must be as close as is administratively feasible. Completion Date: N/A Agency Contact: Anthony Madden, Deputy Director of Audit, DHHS, 207-287-2834
Finding 538482 (2024-046)
Significant Deficiency 2024
Department: Health and Human Services Title: Internal control over CSLFRF subrecipient cash management needs improvement Questioned Costs: None Status: Management’s opinion is that corrective action is not required Corrective Action: The Department disagrees with this finding. The Department is in c...
Department: Health and Human Services Title: Internal control over CSLFRF subrecipient cash management needs improvement Questioned Costs: None Status: Management’s opinion is that corrective action is not required Corrective Action: The Department disagrees with this finding. The Department is in compliance with the requirement for minimizing the time between payments to our subrecipients and the disbursement of funds. Payments are made as close as administratively feasible. The Compliance Supplement suggested audit procedures for Cash Management for pass-through entities refers to 200.305(b)(1). That same paragraph states that the timing and amount of advance payments must be as close as is administratively feasible. Completion Date: N/A Agency Contact: Anthony Madden, Deputy Director of Audit, DHHS, 207-287-2834
Finding 538460 (2024-038)
Significant Deficiency 2024
Department: Health and Human Services Administrative and Financial Services Title: Internal control over WIC cash balances needs improvement Questioned Costs: None Status: Corrective action in progress Corrective Action: The Department will contact the Federal Awarding Agency to identify steps neede...
Department: Health and Human Services Administrative and Financial Services Title: Internal control over WIC cash balances needs improvement Questioned Costs: None Status: Corrective action in progress Corrective Action: The Department will contact the Federal Awarding Agency to identify steps needed to resolve the cash discrepancy. Completion Date: September 30, 2025 Agency Contact: Sarah Gove, Director, DHHS Service Center, DAFS, 207-458-6626
Finding 538458 (2024-037)
Significant Deficiency 2024
Department: Health and Human Services Title: Internal control over WIC subrecipient cash management needs improvement Questioned Costs: None Status: Management’s opinion is that corrective action is not required Corrective Action: The Department disagrees with this finding. The Department is in comp...
Department: Health and Human Services Title: Internal control over WIC subrecipient cash management needs improvement Questioned Costs: None Status: Management’s opinion is that corrective action is not required Corrective Action: The Department disagrees with this finding. The Department is in compliance with the requirement for minimizing the time between payments to our subrecipients and the disbursement of the funds. Payments are made as close as administratively feasible. The Compliance Supplement suggested audit procedures for Cash Management for pass-through entities refers to 200.305(b)(1). That same paragraph states that the timing and amount of advance payments must be as close as is administratively feasible. Completion Date: N/A Agency Contact: Anthony Madden, Deputy Director of Audit, DHHS, 207-287-2834
Finding 538453 (2024-036)
Significant Deficiency 2024
Department: Education Administrative and Financial Services Title: Internal control over CNC cash management needs improvement Questioned Costs: None Status: Corrective action in progress Corrective Action: The Department has developed and implemented new procedures to confirm that batch payments a...
Department: Education Administrative and Financial Services Title: Internal control over CNC cash management needs improvement Questioned Costs: None Status: Corrective action in progress Corrective Action: The Department has developed and implemented new procedures to confirm that batch payments are paid on time. Completion Date: March 15, 2025 Agency Contact: Jane McLucas, Director of Child Nutrition, DOE, 207-624-6880
Department: Education Title: Internal control over CNC eligibility needs improvement Questioned Costs: Known: ALN 10.559 $628,924 Likely: Undeterminable Status: Corrective action in progress Corrective Action: The Department will create procedures for Application Approvals with site classification, ...
Department: Education Title: Internal control over CNC eligibility needs improvement Questioned Costs: Known: ALN 10.559 $628,924 Likely: Undeterminable Status: Corrective action in progress Corrective Action: The Department will create procedures for Application Approvals with site classification, eligibility and non-congregate plan requirements. The Department will develop procedures for Revisions on Claims and Applications. For the Summer Food Service Program, the Department will request an edit check enhancement in CNPWeb to add actual enrollment be added to claims. Completion Date: May 1, 2025, first and second item, and May 1, 2026, third item Agency Contact: Jane McLucas, Director of Child Nutrition, DOE, 207-624-6880
View Audit 349360 Questioned Costs: $1
2024-002 Assistance Listing Number 10.558 – Child and Adult Care Food Program: Provider Monitoring Performance and Documentation Criteria: Per the Florida Department of Health Care Food Program (CCFP) Procedure Manual for Sponsors of Day Care Homes, sponsors are required to performs at least three m...
2024-002 Assistance Listing Number 10.558 – Child and Adult Care Food Program: Provider Monitoring Performance and Documentation Criteria: Per the Florida Department of Health Care Food Program (CCFP) Procedure Manual for Sponsors of Day Care Homes, sponsors are required to performs at least three monitoring reviews of any providers operating for 9 to 12 months during the federal fiscal year. Per the Procedure Manual, sponsors must maintain all completed Provider Review Forms and supporting documentation for a minimum of three fiscal years past the current fiscal year, or until all outstanding audit issues are resolved. Contact Person: Jennifer Nadelkov, Completion Date: 2/14/25 Identified Problem: Due to the CCFP program shutting down the third monitoring did not occur prior to last day of program operation. Action: As this program is closed there is no further action to be taken in this matter.
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