Corrective Action Plans

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Child Care and Development Fund Cluster – Assistance Listing No. 93.575 and 93.596 Recommendation: CLA recommends the County review controls and procedures surrounding the follow-up by individual case managers surrounding errors noted on their case review to ensure corrective action is taken in a ti...
Child Care and Development Fund Cluster – Assistance Listing No. 93.575 and 93.596 Recommendation: CLA recommends the County review controls and procedures surrounding the follow-up by individual case managers surrounding errors noted on their case review to ensure corrective action is taken in a timely manner. Explanation of disagreement with audit finding: There is no disagreement with the audit finding. Action taken in response to finding: The County will develop and implement new policy and procedures to ensure that follow-through with correction of monthly childcare review error findings occur in a timely manner. All Child Care Eligibility Technicians will be retrained on the process for follow-up on their cases. When errors are found, the technician will have 10 working days to correct the error and the Supervisor will have five days to follow-up on corrections. Supervisor will keep all findings and follow-up due dates and completions on an excel spreadsheet in share point. Child Care Supervisor will provide excel spreadsheet with findings, follow-up dates, and completions to Administrator on a monthly basis. Names of the contact persons responsible for corrective action: Gina Wilburn – Colorado Child Care Assistance Program Supervisor, Tracy Brown – Family Services Division Administrator, and Russell Guerrero – Family Services Division Deputy Director Planned completion date for corrective action plan: January 1, 2025
The District was unable to follow the established procedure as planned. The District has since assessed the situation and implemented corrective measures to ensure adherence moving forward. The District has since recouped the appropriate funds from the employees.
The District was unable to follow the established procedure as planned. The District has since assessed the situation and implemented corrective measures to ensure adherence moving forward. The District has since recouped the appropriate funds from the employees.
Material Weakness Internal Control over Compliance Federal Programs Impacted: Education Stabilization Funds (84.425D, 84.425U) and Supporting Effective Instruction State Grant (84.367) 2023-004 Condition: Wages and benefits charged to federal grant programs were not properly supported with documen...
Material Weakness Internal Control over Compliance Federal Programs Impacted: Education Stabilization Funds (84.425D, 84.425U) and Supporting Effective Instruction State Grant (84.367) 2023-004 Condition: Wages and benefits charged to federal grant programs were not properly supported with documentation of the employee’s job functions and allowability for the program. Discrepancies were identified between employee contracts, employee time and effort documentation, and actual coding of wages and benefits. The wages and benefits that lacked supporting documentation were determined to be allowable to the programs tested. Criteria: A strong system of internal control includes proper maintenance of all payroll amendments and addendums for all periods in which employees are paid. Documentation of employee wage agreements and time and effort reporting should be maintained and updated as staffing assignments are revised. Auditor’s Recommendation: We recommend that management implement a process to ensure that all employees have current wage agreements. In addition, the wage agreements, time and effort reporting, and actual recording of wages and benefits should be reviewed periodically to confirm agreement of documentation. Management’s Response: Management is aware of this issue and is working on revisions to the internal process and control procedure to address it. Part of this issue is due to limitations in the District’s contract-issuing system. An additional system was developed to be able to electronically issue contract addendums to employees. However, due to extremely high turnover throughout the year, that system has not been implemented. As the District stabilizes its turnover, the system will be implemented and should address all issues with this finding. Gary Manuel, Director of Human Resources, is responsible for the corrective action. Implementation will be completed by June 30, 2025.
Finding 514088 (2023-002)
Significant Deficiency 2023
Criteria: The City is required to provide the grantors with various quarterly, annual and final financial and performance reports that are due within time frames specified in grant agreements and contracts. Condition: We selected a sample of reports for the year ended December 31, 2023, to test the ...
Criteria: The City is required to provide the grantors with various quarterly, annual and final financial and performance reports that are due within time frames specified in grant agreements and contracts. Condition: We selected a sample of reports for the year ended December 31, 2023, to test the completeness and timeliness of report submissions. We noted the first two quarters of CDBG Cash on Hand reports were not submitted timely. We also noted the NJDCA Youth Anti-Violence Initiative quarterly performance reporting was not submitted timely during 2023. Corrective Action The City will cross-train staff responsible for programmatic and financial reporting on report preparation and deadlines to ensure coverage of these duties in cases of employee turnover leave. The grant managers and program staff will be responsible for programmatic reporting and the Finance department will be responsible for the financial reporting. The City will also implement due date tracking procedures to monitor that reports are sufficiently and timely completed and submitted. Lastly, meetings and improvements in communication between the program and finance staff involved in the completion and submission of required reports will be implemented. Responsible Party Nikki Mosgrove, Grant Manager (programmatic reports), Gbalee Weah, Program Accountant; Lynn Au, Acting Chief Financial Officer (financial reports) Anticipated Completion Date June 30, 2025
Finding 2023-003 Finding Summary: In connection with the audit performed, it was noted that there was an instance where a patient received more federal assistance and another patient received less federal assistance than allowed based on federal poverty guidelines. Responsible Individuals: Kathryn B...
Finding 2023-003 Finding Summary: In connection with the audit performed, it was noted that there was an instance where a patient received more federal assistance and another patient received less federal assistance than allowed based on federal poverty guidelines. Responsible Individuals: Kathryn Boyd, President and CEO Corrective Action Plan: The use of applying slides automatically, without reviewing the account first, has been prohibited by billing staff. In addition, clinic staff are not to apply any payments until the slide has been applied. If there are any issues with the slide, the clinic staff has been instructed to contact the billing staff for review and resolution. The Director of Revenue Cycle will randomly audit staff throughout the year to ensure additional slides are not applied and report out to the Chief Executive Officer. Anticipated Completion Date: 12/02/2024 (disallowing application of slides was previously implemented in 2023)
The Coalition's accounting staff will complete ongoing training to supplement their current skills. Financial professionals will be sought when reviewing potential board member candidates.
The Coalition's accounting staff will complete ongoing training to supplement their current skills. Financial professionals will be sought when reviewing potential board member candidates.
Management will review the year-end financial statements to detect and correct any necessary adjustments.
Management will review the year-end financial statements to detect and correct any necessary adjustments.
The previous auditors did not submit the required information into the Federal Audit Clearing House at the sooner of nine months after the end of the fiscal year end or 30 days after the completion of the audit. We are communicating with the current audit staff on a frequent basis so this can be com...
The previous auditors did not submit the required information into the Federal Audit Clearing House at the sooner of nine months after the end of the fiscal year end or 30 days after the completion of the audit. We are communicating with the current audit staff on a frequent basis so this can be completed in a timely manner.
Timesheets are approved by directors and approvals are tracked by the Fiscal Manager on an ongoing spreadsheet. Any missing approvals are requested. In addition, a Payroll Review Report has been developed and presented to and approved by the Executive Director at the issuance of each payroll.
Timesheets are approved by directors and approvals are tracked by the Fiscal Manager on an ongoing spreadsheet. Any missing approvals are requested. In addition, a Payroll Review Report has been developed and presented to and approved by the Executive Director at the issuance of each payroll.
Timesheets are approved by directors and approvals are tracked by the Fiscal Manager on an ongoing spreadsheet. Any missing approvals are requested. In addition, a Payroll Review Report has been developed and presented to and approved by the Executive Director at the issuance of each payroll.
Timesheets are approved by directors and approvals are tracked by the Fiscal Manager on an ongoing spreadsheet. Any missing approvals are requested. In addition, a Payroll Review Report has been developed and presented to and approved by the Executive Director at the issuance of each payroll.
2023-006 Single Audit Report Submission Although management acknowledges that the City’s annual financial statement and single audits have not been completed timely, we also note that it was the only issue identified in the federal single audit. The City has invested significant time and resources t...
2023-006 Single Audit Report Submission Although management acknowledges that the City’s annual financial statement and single audits have not been completed timely, we also note that it was the only issue identified in the federal single audit. The City has invested significant time and resources to bring its accounting and reporting current. The City’s timeliness has improved each year since 2020 and the 2023 single audit will be submitted 3 months earlier than the prior year. Management anticipates this issue being fully corrected by September 2025 with the timely filing of the 2024 audit. Dr. Brian Martinez, Commissioner of Finance, is responsible for ensuring that this corrective action is completed.
The district will review the processes for duty segregation in the financial and cash management areas.
The district will review the processes for duty segregation in the financial and cash management areas.
2023-005 – ALN 14.871 – Housing Choice Voucher Program – Eligibility Current management acknowledges the finding and is following the auditor’s recommendations. Person Responsible for Correction of Exception: Mr. Justin Jones, Executive Director Projected Completion Date: December 31, 2024
2023-005 – ALN 14.871 – Housing Choice Voucher Program – Eligibility Current management acknowledges the finding and is following the auditor’s recommendations. Person Responsible for Correction of Exception: Mr. Justin Jones, Executive Director Projected Completion Date: December 31, 2024
2023-002 – ALN 14.850 – Public & Indian Housing – Eligibility Current management acknowledges the finding and is following the auditor’s recommendations. Person Responsible for Correction of Exception: Mr. Justin Jones, Executive Director Projected Completion Date: December 31, 2024
2023-002 – ALN 14.850 – Public & Indian Housing – Eligibility Current management acknowledges the finding and is following the auditor’s recommendations. Person Responsible for Correction of Exception: Mr. Justin Jones, Executive Director Projected Completion Date: December 31, 2024
Comments on Findings and Recommendations: Management concurs with the findings and auditors’ recommendations to enhance internal controls to ensure compliance with the HUD Regulatory Agreement. Action(s) Taken or Planned for amounts due back to the Project: The management company previously advised ...
Comments on Findings and Recommendations: Management concurs with the findings and auditors’ recommendations to enhance internal controls to ensure compliance with the HUD Regulatory Agreement. Action(s) Taken or Planned for amounts due back to the Project: The management company previously advised HUD that it is in the process of marketing and selling its affordable property portfolio. The management company has reached an agreement in principle with a buyer for the sale of a significant portion of its affordable property portfolio. The buyer has significant experience in the affordable housing industry and is well-positioned to own and manage these properties. The parties are in the process of drafting all necessary documents and will work with HUD on all necessary documentation and approvals promptly once the underlying documents are fully negotiated. The management company is confident that there will be sufficient funds at the conclusion of the collective transactions with the buyer for the (re)payment of amounts to address the Findings identified herein. The management company anticipates closings by the end of 2024.
View Audit 331885 Questioned Costs: $1
Comments on Findings and Recommendations: Management concurs with the findings and auditors’ recommendations to enhance internal controls to ensure compliance with the HUD Regulatory Agreement. Action(s) Taken or Planned for amounts due back to the Project: The management company previously advised ...
Comments on Findings and Recommendations: Management concurs with the findings and auditors’ recommendations to enhance internal controls to ensure compliance with the HUD Regulatory Agreement. Action(s) Taken or Planned for amounts due back to the Project: The management company previously advised HUD that it is in the process of marketing and selling its affordable property portfolio. The management company has reached an agreement in principle with a buyer for the sale of a significant portion of its affordable property portfolio. The buyer has significant experience in the affordable housing industry and is well-positioned to own and manage these properties. The parties are in the process of drafting all necessary documents and will work with HUD on all necessary documentation and approvals promptly once the underlying documents are fully negotiated. The management company is confident that there will be sufficient funds at the conclusion of the collective transactions with the buyer for the (re)payment of amounts to address the Findings identified herein. The management company anticipates closings by the end of 2024.
View Audit 331885 Questioned Costs: $1
Comments on Findings and Recommendations: Management concurs with the findings and auditors’ recommendations to enhance internal controls to ensure compliance with the HUD Regulatory Agreement. Action(s) Taken or Planned for amounts due back to the Project: The management company previously advised ...
Comments on Findings and Recommendations: Management concurs with the findings and auditors’ recommendations to enhance internal controls to ensure compliance with the HUD Regulatory Agreement. Action(s) Taken or Planned for amounts due back to the Project: The management company previously advised HUD that it is in the process of marketing and selling its affordable property portfolio. The management company has reached an agreement in principle with a buyer for the sale of a significant portion of its affordable property portfolio. The buyer has significant experience in the affordable housing industry and is well-positioned to own and manage these properties. The parties are in the process of drafting all necessary documents and will work with HUD on all necessary documentation and approvals promptly once the underlying documents are fully negotiated. The management company is confident that there will be sufficient funds at the conclusion of the collective transactions with the buyer for the (re)payment of amounts to address the Findings identified herein. The management company anticipates closings by the end of 2024.
View Audit 331885 Questioned Costs: $1
The CFO at TCA Health has addressed the Special Provisions weakness by coaching and training front desk staff members. Specifically, staff were trained in the approved sliding fee scale policy and its requirements. The COO worked with the CFO and third-party billing company, and Athena to roll back ...
The CFO at TCA Health has addressed the Special Provisions weakness by coaching and training front desk staff members. Specifically, staff were trained in the approved sliding fee scale policy and its requirements. The COO worked with the CFO and third-party billing company, and Athena to roll back the EMR update which contributed to ineffective application of the sliding fee in November 2023. TCA hired a full time Patient Services Manager in 2024 to support ongoing staff training, quality assurance monitoring, and implementation of the updated EMR and registration workflows. Staff have become proficient in the collection of data from patients, properly storing and recording it in the EMR, and the calculation of the slide according to the Federal Poverty Guidelines. Lastly, the team will be updated on the latest EMR module that experienced an upgrade and taught how to effectively apply the slide. Additionally, TCA began to undergo internal audits of records ensuring that proper documentation is maintained and a patient service manager, utilizing testing template provided by the organization’s auditor.
Description of Finding: The Foundation and its affiliates did not ensure proper documentation was retained regarding its procurement process. Statement of Concurrence or Nonconcurrence: Tulsa Community Foundation agrees with this finding. Corrective Action: The Foundation will adopt a pr...
Description of Finding: The Foundation and its affiliates did not ensure proper documentation was retained regarding its procurement process. Statement of Concurrence or Nonconcurrence: Tulsa Community Foundation agrees with this finding. Corrective Action: The Foundation will adopt a procurement policy in accordance with UGG, will collaborate more closely with project partners of federal grants to ensure documentation requirements for the procurement process are adhered to and work to centralize grant documentation for all awards. Name of Contact Person: Kristin Karlin, Controller Projected Completion Date: The Foundation projects the new policy documentation to be complete and centralization of grant documentation to be established by March 31, 2025.
Description of Finding: The Foundation and its affiliates did not ensure proper performance reporting was completed for individual grants. Statement of Concurrence or Nonconcurrence: Tulsa Community Foundation agrees with this finding. Corrective Action: The Foundation will collaborate mo...
Description of Finding: The Foundation and its affiliates did not ensure proper performance reporting was completed for individual grants. Statement of Concurrence or Nonconcurrence: Tulsa Community Foundation agrees with this finding. Corrective Action: The Foundation will collaborate more closely with project partners of federal grants to establish reporting deadlines and monitor individual reporting requirements throughout the year. Name of Contact Person: Kristin Karlin, Controller Projected Completion Date: The Foundation projects the new policy documentation to be complete and the process for internal monitoring documentation to be established by March 31, 2025.
2023-004: Reporting Type of Finding: Noncompliance, Material Weakness Condition: The school submitted its audit for the fiscal year ending June 30, 2023, in a timely manner. The audit was submitted December 4, 2024, which was 248 days past the March 31, 2024 deadline. Action plan in response to t...
2023-004: Reporting Type of Finding: Noncompliance, Material Weakness Condition: The school submitted its audit for the fiscal year ending June 30, 2023, in a timely manner. The audit was submitted December 4, 2024, which was 248 days past the March 31, 2024 deadline. Action plan in response to the finding: Management will implement procedures to ensure that all audit documentation, is available for the audit promptly and the audit report is completed and submitted within the appropriate timeframe. Repeat Finding: No. Planned completion date for a corrective action plan: June 30, 2024 Name of the contact person responsible for corrective action: Marie Rose, Principal
2023-003: Activities Allowed or Unallowed, Allowable Costs/Cost Principles Type of Finding: Noncompliance, Material Weakness Condition: The school lacked adequate internal controls over its accounting disbursements to ensure that a) all financial activities were properly processed and recorded and...
2023-003: Activities Allowed or Unallowed, Allowable Costs/Cost Principles Type of Finding: Noncompliance, Material Weakness Condition: The school lacked adequate internal controls over its accounting disbursements to ensure that a) all financial activities were properly processed and recorded and b) the School remained in compliance with federal requirements. Context: During our review of the school’s accounting records and internal controls, as well as through management inquiry, we noted the following:  For eight of 25 accounts payable transactions tested out of the 15.042 grant, the school did provide adequate documentation to support the allowability of the expenditure.  For twenty-five of 25 accounts payable expenditures tested out of the 15.046 grant, the school paid amounts to and on behalf of illegitimate board members, totaling $82,127.  For twenty-five of 25 payroll disbursements tested out of the 15.046 grant, the school paid board meeting stipends to illegitimate board members, totaling $9,750. Repeat Finding: No. Action planned in response to the finding: Management will evaluate its internal controls over records management to ensure that all accounts payable disbursements are properly supported, and School Board expenditures are only paid out to and on behalf of eligible individuals. Planned completion date for a corrective action plan: June 30, 2024 Name of the contact person responsible for corrective action: Marie Rose, Principal
View Audit 331731 Questioned Costs: $1
Management strives to operate within a model of continuous improvement and will review and improve processes appropriately to provide for timely reporting on a go-forward basis.
Management strives to operate within a model of continuous improvement and will review and improve processes appropriately to provide for timely reporting on a go-forward basis.
Management will produce written procurement policies and procedures for federal awards and subawards in compliance with the Uniform Guidance and Single Audit Standards.
Management will produce written procurement policies and procedures for federal awards and subawards in compliance with the Uniform Guidance and Single Audit Standards.
The City of Homewood, Alabama is in the process of submitting their Project and Expenditure Report to the Department of Treasury that was due on April 30, 2023.
The City of Homewood, Alabama is in the process of submitting their Project and Expenditure Report to the Department of Treasury that was due on April 30, 2023.
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