Corrective Action Plans

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Finding 2024-003 – Education Stabilization Fund – AL No.’s 84.425D & 84.425U Special Education Cluster – AL No.’s 84.027 & 84.173 Department of Education Massachusetts Department of Elementary and Secondary Education Noncompliance and Significant Deficiency Related to Internal Control over Complianc...
Finding 2024-003 – Education Stabilization Fund – AL No.’s 84.425D & 84.425U Special Education Cluster – AL No.’s 84.027 & 84.173 Department of Education Massachusetts Department of Elementary and Secondary Education Noncompliance and Significant Deficiency Related to Internal Control over Compliance of the Major Programs Criteria: Where employees work solely or partially on a single Federal program or cost objective, their salaries or wages must be supported by periodic certification that the employee worked on these programs for the period covered by the programs. The certifications should be prepared at least semi-annually, and should be signed by the employee or supervisory official having first-hand knowledge of the work performed by the employee. Condition: During our test of controls over compliance with time and effort certifications the Town was not able to provide evidence that the required certifications of time and effort for those employees whose time was spent either completely or partially spent on these programs was performed as required by Uniform Guidance. Questioned Costs: Unknown Context: During our test of payroll transactions of the major programs (Education Stabilization Fund and Special Education Cluster) it was noted that the time and effort certifications for the employees tested were not singed by the supervisory official. Effect: The Town was not in compliance with the time and effort certification requirements. Cause: The District has made great efforts to ensure time and effort certification compliance. While the District is having the Supervisor execute and approve timesheets for payment, the Supervisor’s signature was omitted from the Time & Effort Certification. The District is issuing Time & Effort Certifications to all employees working and being paid from a Federal grant semi-annually, including sending Certified Mail, Return Receipt documentation to former employees. Identification as a Repeat Finding: 2023-004 Recommendation: We recommend the Town of Bellingham follow procedures to ensure that semi-annual certifications and/or monthly certifications are prepared and signed by either the employees and/or supervisory official having first-hand knowledge of the work performed by the employees in a timely manner in order to comply with the time and effort certification requirement. Responsible for Corrective Plan: Director of Finance Estimated Completion Date: January 1, 2026 Action Taken: The District will incorporate the Supervisor’s signature to all Time & Effort Certifications immediately upon this finding, January 1, 2026.
REPORTING (PRIOR YEAR 2023-007) Federal Agency: U.S. Department of Health and Human Services Federal Program Name: Medical Assistance Program (Medicaid Cluster) Assistance Listing Number: 93.778 Pass-Through Agency: Minnesota Department of Human Services and the Aitkin-Itasca-Koochiching Community H...
REPORTING (PRIOR YEAR 2023-007) Federal Agency: U.S. Department of Health and Human Services Federal Program Name: Medical Assistance Program (Medicaid Cluster) Assistance Listing Number: 93.778 Pass-Through Agency: Minnesota Department of Human Services and the Aitkin-Itasca-Koochiching Community Health Board Federal Award Identification Number and Pass-Through Number: 2405MN5ADM, 2405MN5MAP Compliance Requirement Affected: Reporting Award Period: Year Ended December 31, 2024 Type of Finding: Significant Deficiency in Internal Control over Compliance Recommendation: We recommend that the County ensure each report is reviewed by someone other than the preparer. Explanation of disagreement with audit finding: There is no disagreement with the audit finding. Action taken in response to finding: The County will ensure each report is reviewed by someone other than the preparer. Name of the contact person responsible for corrective action: Eric Villeneuve, Health and Human Services Director Planned completion date for corrective action plan: December 31, 2025
CASEFILE REVIEW (PRIOR YEAR 2023-005) Federal Agency: U.S. Department of Health and Human Services Federal Program Name: Medical Assistance Program (Medicaid Cluster) Assistance Listing Number: 93.778 Pass-Through Agency: Minnesota Department of Human Services and the Aitkin-Itasca-Koochiching Commu...
CASEFILE REVIEW (PRIOR YEAR 2023-005) Federal Agency: U.S. Department of Health and Human Services Federal Program Name: Medical Assistance Program (Medicaid Cluster) Assistance Listing Number: 93.778 Pass-Through Agency: Minnesota Department of Human Services and the Aitkin-Itasca-Koochiching Community Health Board Federal Award Identification Number and Pass-Through Number: 2405MN5ADM, 2405MN5MAP Compliance Requirement Affected: Eligibility Award Period: Year Ended December 31, 2024 Type of Finding: Material Weakness in Internal Control over Compliance Recommendation: We recommend the County review case files on a periodic basis throughout the year and document the review. Explanation of disagreement with audit finding: There is no disagreement with the audit finding. Action taken in response to finding: The County will begin reviewing case files and documenting their review. Name of the contact person responsible for corrective action: Eric Villeneuve, Health and Human Services Director Planned completion date for corrective action plan: December 31, 2025
ELIGIBILITY (PRIOR YEAR 2023-008) Federal Agency: U.S. Department of Health and Human Services Federal Program Name: Temporary Assistance for Needy Families (TANF) Assistance Listing Number: 93.558 Pass-Through Agency: Minnesota Department of Human Services and the Aitkin-Itasca-Koochiching Communit...
ELIGIBILITY (PRIOR YEAR 2023-008) Federal Agency: U.S. Department of Health and Human Services Federal Program Name: Temporary Assistance for Needy Families (TANF) Assistance Listing Number: 93.558 Pass-Through Agency: Minnesota Department of Human Services and the Aitkin-Itasca-Koochiching Community Health Board Federal Award Identification Number and Pass-Through Number: 2401MNTANF Compliance Requirement Affected: Eligibility Award Period: Year Ended December 31, 2024 Type of Finding: Material Weakness in Internal Control over Compliance Recommendation: We recommend the County review case files on a periodic basis throughout the year and document the review. Explanation of disagreement with audit finding: There is no disagreement with the audit finding. Action taken in response to finding: The County will begin reviewing case files and documenting their review. Name of the contact person responsible for corrective action: Eric Villeneuve, Health and Human Services Director Planned completion date for corrective action plan: December 31, 2025
SUSPENSION AND DEBARMENT Federal Agency: U.S. Department of the Treasury Federal Program Name: COVID-19 Coronavirus State and Local Fiscal Recovery Funds (SLFRF) Assistance Listing Number: 21.027 Pass-Through Agency: Not applicable, direct Federal Award Identification Number and Pass-Through Number:...
SUSPENSION AND DEBARMENT Federal Agency: U.S. Department of the Treasury Federal Program Name: COVID-19 Coronavirus State and Local Fiscal Recovery Funds (SLFRF) Assistance Listing Number: 21.027 Pass-Through Agency: Not applicable, direct Federal Award Identification Number and Pass-Through Number: Not applicable, direct Compliance Requirement Affected: Suspension and Debarment Award Period: Year Ended December 31, 2024 Type of Finding: Significant Deficiency in Internal Control over Compliance and Other Matter Recommendation: We recommend the County review their procedures to ensure they are following their policy that requires all suspension and debarment checks to be retained and follow federal guidelines. Explanation of disagreement with audit finding: There is no disagreement with the audit finding. Action taken in response to finding: The County will ensure each report is reviewed by someone other than the preparer. Name of the contact person responsible for corrective action: Gail Guck, Accounting Manager Planned completion date for corrective action plan: December 31, 2025
2024-01: Segregation of Duties Name of contact person: J.R. Davis, Chief Executive Officer Corrective Action: Duties and functions will be reviewed to determine where segregation needs to occur. The duties will be separated as much as possible and alternative controls will be implemented to compensa...
2024-01: Segregation of Duties Name of contact person: J.R. Davis, Chief Executive Officer Corrective Action: Duties and functions will be reviewed to determine where segregation needs to occur. The duties will be separated as much as possible and alternative controls will be implemented to compensate for lack of segregation. However, the risk of not segregated certain duties are not worth the additional costs. Nonfinancial employees will be trained and provide some assistance. Proposed completion date: The Board will implement the above procedure immediately.
IBBG will develop and adopt a written procurement policy that is consistent with the Uniform Guidance, 2 CFR §§200.318–200.326, and applicable state and local laws. The policy will outline procurement methods, competitive bidding requirements, conflicts of interest, and documentation standards. In a...
IBBG will develop and adopt a written procurement policy that is consistent with the Uniform Guidance, 2 CFR §§200.318–200.326, and applicable state and local laws. The policy will outline procurement methods, competitive bidding requirements, conflicts of interest, and documentation standards. In addition: • A draft policy will be prepared by the I Be Black Girl leadership, the finance committee, and D&K Financial LLC. • The Board of Directors will adopt the final policy. • Training will be provided to staff involved in procurement to ensure consistent implementation of the procurement process.
Finding Reference Number: 2024-001 and 2024-004 Finding Title: Preparation of Financial Statements and Year-End Adjustments Responsible Person: David Bernhauser, Finance Director Corrective Action Plan: The Township acknowledges the auditor’s finding that it does not prepare its own financial statem...
Finding Reference Number: 2024-001 and 2024-004 Finding Title: Preparation of Financial Statements and Year-End Adjustments Responsible Person: David Bernhauser, Finance Director Corrective Action Plan: The Township acknowledges the auditor’s finding that it does not prepare its own financial statements and year-end adjustments in accordance with accounting principles generally accepted in the United States of America (GAAP). Management recognizes the importance of financial reporting as a core internal control responsibility and will implement the following corrective actions: 1. Hire a Human Resources Specialist – this process will remove benefit administration, payroll processing, and human resource issues from the finance director, which will free up the finance director to perform high level financial responsibilities during the year. 2. Hire a Staff Accountant – this will further improve the segregation of duties within the accounting department by having a second qualified accountant to handle these duties. 3. The finance director will perform monthly spot checks on the accounts to facilitate easier and more efficient preparation of the necessary year-end adjustments. Anticipated Completion Date: The Finance Director will make these staffing requests to the Board of Commissioners as part of the budget process for 2026. The goal would be to have these positions filled by September 2026.
Management Response: The Organization will establish a procurement policy in 2025. Anticipated Completion Date: 12/31/2025 Responsible Party: Board of Directors
Management Response: The Organization will establish a procurement policy in 2025. Anticipated Completion Date: 12/31/2025 Responsible Party: Board of Directors
Wyoming Health Council entered all missede 2024 first-tier subawards into SAM.gov using the correct obligation dates as of September 19, 2025. As FSRS was officially retired on March 8, 2025, all reporting was completed in SAM.gov, the current federal reporting platform. Procedures and Controls Impl...
Wyoming Health Council entered all missede 2024 first-tier subawards into SAM.gov using the correct obligation dates as of September 19, 2025. As FSRS was officially retired on March 8, 2025, all reporting was completed in SAM.gov, the current federal reporting platform. Procedures and Controls Implemented: • Developed and implemented a Monthly FFATA/SAM.gov Reporting Checklist and secondary review process. • Designated the Executive Director as the responsible official for verifying timely entry of subawards. • Integrated a reconciliation step into the monthly close process to ensure all new and modified subawards greater than $30,000 are reported by the end of the month following the obligation date. • Prepared and will approve a formal policy and procedure for FFATA/SAM.gov reporting by September 26, 2025, which will be added to the compliance manual and communicated to all responsible staff.
United States Department of Agriculture Federal Assistance Listing #10.855 Distance Learning and Telemedicine Grants United Stated Department of Treasury Federal Assistance Listing #21.029 COVID-19 Coronavirus Capital Projects Fund Procurement, Suspension, and Debarment Material Weakness in Internal...
United States Department of Agriculture Federal Assistance Listing #10.855 Distance Learning and Telemedicine Grants United Stated Department of Treasury Federal Assistance Listing #21.029 COVID-19 Coronavirus Capital Projects Fund Procurement, Suspension, and Debarment Material Weakness in Internal Control Over Compliance Finding Summary: During the course of the engagement, it was identified that the Cooperative does not have a written policy that addresses the requirements of 2 CFR sections 200.318 through 200.326. Responsible Individuals: Mark Vosacek Finance Manager Corrective Action Plan: The Cooperative will modify its written procurement policy 322 to include the requirements of 2 CFR sections 200.318 through 200.326. Anticipated Completion Date: December 31, 2025
Subrecipient Monitoring AL 93.778 Medical Assistance Program and DHS Medical Assistance Criteria: PA DHS compliance require the County to perform subrecipient monitoring procedures over MATP funding disbursed to the Program’s vendor. Condition: During the audit, it was noted that the County was not ...
Subrecipient Monitoring AL 93.778 Medical Assistance Program and DHS Medical Assistance Criteria: PA DHS compliance require the County to perform subrecipient monitoring procedures over MATP funding disbursed to the Program’s vendor. Condition: During the audit, it was noted that the County was not performing subrecipient monitoring over the Program’s vendor. Cause: The County does not have adequate controls in place or the expertise to ensure proper subrecipient monitoring procedures. Effect: The Program’s vendor may be using grant funding inappropriately. This is a repeat finding from the prior year – Finding 2023-001. Questioned Costs: The amount of questioned costs, if any, is undeterminable Recommendation: The County should implement internal control procedures that ensure the vendor is being properly monitored. Management Response: Management maintains that they do not have adequate controls or proper expertise to monitor the vendor. Management will contract a firm to provide oversight over the vendor. Anticipate Completion Date: Immediate
Professional and Cultural Exchange Programs - Citizen Exchanges - Assistance Listing No. 19.415 Recommendation: We recommend that the Foundation review its procurement and make necessary changes to comply with the criteria as set out in 2 CFR sections 200.318 through 200.326. Explanation of disagree...
Professional and Cultural Exchange Programs - Citizen Exchanges - Assistance Listing No. 19.415 Recommendation: We recommend that the Foundation review its procurement and make necessary changes to comply with the criteria as set out in 2 CFR sections 200.318 through 200.326. Explanation of disagreement with audit finding: American Institute For Foreign Study Foundation, Inc. does not agree with the finding. During a visit by representatives of BEGA the existing procurement policy was shared with those representatives. They approved of it and did not recommend any changes. However, a compliant policy that complies with CFR sections 200.318 through 200.326 will be developed. Name of the contact person responsible for corrective action: James Mahoney, CFO Planned completion date for corrective action plan: August 31, 2025
We review each invoice monthly as they are submitted. Most of the review is insuring the items being invoiced are eligible under HUD and making sure the amounts are added correctly. We will review more closely the match submitted. Match for HUD is now reported based on the entire funding and not by ...
We review each invoice monthly as they are submitted. Most of the review is insuring the items being invoiced are eligible under HUD and making sure the amounts are added correctly. We will review more closely the match submitted. Match for HUD is now reported based on the entire funding and not by individual grants. All match from all HUD programs is added together and submitted on one final report at the end of each funding year. The requirement is 25% on all budget lines except for Leasing. However, if one program’s match is short of the 25% requirement, the overall CoC is responsible for the filll match, so additional DHS admin costs are used to represent the additional match needed. For our FY23-24 annual report to HUD, we submitted 32.94% in match for the overall fimding. This amount did not include any additional HMIS (data system) costs, Allegheny Link (our coordinated entry system) costs or additional DHS admin costs. With these additional eligible activities, our matching amount could have been over 50%. Therefore, even if some identified items were considered ineligible our match would not be in jeopardy since we have a lot of eligible costs that DHS covers that would be considered match.
B. Corrective action steps taken and/or planned: ACHD will maintain lists of subrecipients used and checklists to help ensure that monitoring activities are performed for each. Also working on establishing a process to incorporate language into our contracts. In addition, ACHD will complete and file...
B. Corrective action steps taken and/or planned: ACHD will maintain lists of subrecipients used and checklists to help ensure that monitoring activities are performed for each. Also working on establishing a process to incorporate language into our contracts. In addition, ACHD will complete and file out of compliance sub recipient forms per the timetable noted in Section D below.C. Timetable of dates for performance of planned corrective action steps including completion date: Slated to begin new process August 1, 2025 for new contracts and/or contract renewals. Once process has been finalized, ACHD Fiscal will also review past agreements that are still in effect. D. Description of monitoring to be performed to ensure corrective action steps are taken: ACHD Financial Manager and Grants Manager will ensure lists and monitoring activities are maintained.
2024-004 Conservation Research and Development Program – Assistance Listing #81.086 Recommendation: The Organization should establish written policies and procedures regarding first-tier subawards including tracking and proper internal control procedures. Explanation of disagreement with audit findi...
2024-004 Conservation Research and Development Program – Assistance Listing #81.086 Recommendation: The Organization should establish written policies and procedures regarding first-tier subawards including tracking and proper internal control procedures. Explanation of disagreement with audit findings: There is no disagreement with the audit findings. Action Plan: Effective September 30, 2024, we established written policies and procedures regarding tracking and reporting first-tier subawards under the Federal Funding Accountability and Transparency Act. Moving forward, we will strengthen these procedures by incorporating an additional review step to ensure compliance with federal special reporting requirements. This added oversight will help maintain accuracy, consistency, and accountability in the reporting process. Name(s) of the contact people responsible for correction action: Gina Avalos-Limardo, Director of Finance & Operations and Cho Heide, Contracts & Compliance Manager Plan completion date for corrective action plan: September 30, 2025
2024-003. Conservation Research and Development Program – Assistance Listing #81.086 Recommendation: The Organization should establish written policies and procedures regarding invoicing for cost-reimbursement related to federal grants which include proper segregation of duties. Explanation of disag...
2024-003. Conservation Research and Development Program – Assistance Listing #81.086 Recommendation: The Organization should establish written policies and procedures regarding invoicing for cost-reimbursement related to federal grants which include proper segregation of duties. Explanation of disagreement with audit findings: There is no disagreement with the audit findings. Action Plan: Effective October 31, 2024, we implemented proper segregation of duties for preparing and submitting cost-reimbursement invoices related to federal grant awards. Under this procedure, the Grants Accountant prepares the invoice, and the Senior Finance Manager reviews and documents approval in writing. This segregation of duties has been incorporated into our written policies and procedures. In the event of any staffing changes or vacancies, responsibilities are reassigned among available finance staff and contracted accountants to ensure that preparation and review functions remain segregated at all times. Name(s) of the contact people responsible for correction action: Gina Avalos-Limardo, Director of Finance & Operations and Rachel Pippin, CMA, Senior Finance Manager Plan completion date for corrective action plan: September 30, 2025
Contact Person – Pattie Solberg, City Auditor Corrective Action Plan – The City should follow their procedures for signing off on all requests for reimbursement reports before submitting the federal reimbursement. Completion Date – December 1, 2025
Contact Person – Pattie Solberg, City Auditor Corrective Action Plan – The City should follow their procedures for signing off on all requests for reimbursement reports before submitting the federal reimbursement. Completion Date – December 1, 2025
FINDING 2024-003 Finding Subject: COVID-19 – Coronavirus State and Local Fiscal Recovery Funds - Reporting Summary of Finding: Material weakness, Modified Opinion The information submitted included amounts based on the incorrect period, amounts that should have been omitted, and amount which were ba...
FINDING 2024-003 Finding Subject: COVID-19 – Coronavirus State and Local Fiscal Recovery Funds - Reporting Summary of Finding: Material weakness, Modified Opinion The information submitted included amounts based on the incorrect period, amounts that should have been omitted, and amount which were based on budgeted amounts instead of actual amounts, as such the reports were not fairly presented. Errors identified included the following: • Total Cumulative Expenditures were overstated by $3,174,098 • Total Current Expenditures were understated by $616,514 • Total Current Obligations were overstated by $1,825,902 Additionally, The County was unable to provide documentation to substantiate the amount obligated to one vendor used for the Government Services project. Contact Person Responsible for Corrective Action: Britt Ostler Contact Phone Number and Email Address: 765-659-6330/bostler@clintoncountyin.gov Views of Responsible Officials: We concur with the finding. Description of Corrective Action Plan: The Auditor unfortunately didn’t have the guidance from the SBOA until after the P&E report was submitted for 2024. The Auditor did take tremendous care to create a spreadsheet to make sure expenditures were reported in the correct time periods for 2025. The First Deputy reviewed the timeframe and expenditures as well to ensure we had several sets of eyes on the documentation before submitting the P&E report. We will have both the Auditor and First Deputy create the spreadsheet and review before submitting. Anticipated Completion Date: December 31, 2025
Finding 1155385 (2024-001)
Material Weakness 2024
FINDING 2024-001 (20.106(Airport Improvement Program – Equipment and Real Property Management) Finding Subject: Material Weakness, Other Matters Contact Person Responsible for Corrective Action: Debra Walker Contact Phone Number and Email Address: 765-529-2800; dwalker@henrycounty.in.gov Views of Re...
FINDING 2024-001 (20.106(Airport Improvement Program – Equipment and Real Property Management) Finding Subject: Material Weakness, Other Matters Contact Person Responsible for Corrective Action: Debra Walker Contact Phone Number and Email Address: 765-529-2800; dwalker@henrycounty.in.gov Views of Responsible Officials: We concur with the findings. Description of Corrective Action Plan: We will be getting all of the Capital Assets and Real Property information from the Airport Board and will enter all of this into our Capital Assets. We will send the board a copy of our Capital Asset Policy so they will know the procedure. Anticipated Completion Date: We will have this completed by July 25, 2025.
Entity managmenet will segregate the accounting duties related to initiaing, receipting, depositing, disbursing, and recording transactions to the extent possible with current staffing levels effective September 5, 2025.
Entity managmenet will segregate the accounting duties related to initiaing, receipting, depositing, disbursing, and recording transactions to the extent possible with current staffing levels effective September 5, 2025.
Finding 1155377 (2024-003)
Material Weakness 2024
FINDING 2024-003 Finding Subject: COVID-19 – Coronavirus State and Local Fiscal Recovery Funds – Suspension and Debarment The County had not performed procedures to ensure the vendors were not suspended or debarred or otherwise excluded or disqualified from participation in federal assistance progra...
FINDING 2024-003 Finding Subject: COVID-19 – Coronavirus State and Local Fiscal Recovery Funds – Suspension and Debarment The County had not performed procedures to ensure the vendors were not suspended or debarred or otherwise excluded or disqualified from participation in federal assistance programs or activities during the audit period on all of the 3 vendors determined to have covered transactions, totaling $141,131, that were paid with SLFRF funds. Contact Person Responsible for Corrective Action: Larry Hutchings 812-462-3361 larry.hutchings@vigocounty.in.gov Views of Responsible Officials: We concur with the finding. Description of The Action Plan : The Auditors Office has created a policy for Suspension and Debarment within the Subrecipient Policy A Clause or condition must also be included in the covered transaction with that entity to require reporting of any Debarment or Suspension occurring during the Subgrant period and they must maintain documentation to support verification that it was done before or at the time of contract execution. Anticipated Completion Date 08/13/2025
FINDING 2024-005 Finding Subject: COVID-19 - Coronavirus State and Local Fiscal Recovery Funds - Reporting Contact Person Responsible for Corrective Action: Wendy Marples Contact Phone Number and Email Address: 812-338-2142/ auditor@crawfordcounty.in.gov Views of Responsible Officials: We concur wit...
FINDING 2024-005 Finding Subject: COVID-19 - Coronavirus State and Local Fiscal Recovery Funds - Reporting Contact Person Responsible for Corrective Action: Wendy Marples Contact Phone Number and Email Address: 812-338-2142/ auditor@crawfordcounty.in.gov Views of Responsible Officials: We concur with the findings. Description of Corrective Action Plan: The County Auditor will ensure that any future ARPA funding will be reported correctly and broken out by project. This will also be verified with the ledger for the same period. Internal controls within the office will ensure the County Auditor reviews everything is correct prior to submission. Anticipated Completion Date: December 31, 2025
Corrective Action Plan: All residents of House of Jospeh Permanent Residence are being recertified to ensure that compliance requirements are being met. Contact Person Responsible for Corrective Action: Eugene Halus, Chief Operating Officer Anticipated Completion Date of Corrective Action: October 1...
Corrective Action Plan: All residents of House of Jospeh Permanent Residence are being recertified to ensure that compliance requirements are being met. Contact Person Responsible for Corrective Action: Eugene Halus, Chief Operating Officer Anticipated Completion Date of Corrective Action: October 1, 2025
Corrective Action Plan: This matter has in effect self-corrected. The client in question no longer works a number of hours that would cause him to exceed the income threshold. The need to be mindful of his income has been expressed to the client directly. Contact Person Responsible for Corrective Ac...
Corrective Action Plan: This matter has in effect self-corrected. The client in question no longer works a number of hours that would cause him to exceed the income threshold. The need to be mindful of his income has been expressed to the client directly. Contact Person Responsible for Corrective Action: Eugene Halus, Chief Operating Officer Anticipated Completion Date of Corrective Action: September 18, 2025
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