Corrective Action Plans

Browse how organizations respond to audit findings

Total CAPs
52,570
In database
Filtered Results
17,473
Matching current filters
Showing Page
452 of 699
25 per page

Filters

Clear
Recommendation: The Commission should implement processes to ensure that all proper documentation is being maintained for inspections of tenant residences. Explanation of disagreement with audit finding: There is no disagreement with the audit finding. Action taken in response to finding: HOC’s thir...
Recommendation: The Commission should implement processes to ensure that all proper documentation is being maintained for inspections of tenant residences. Explanation of disagreement with audit finding: There is no disagreement with the audit finding. Action taken in response to finding: HOC’s third party management agent, Edgewood, will complete inspections in alignment with the annual recertifications. The Edgewood Regional Managers will confirm that inspections are complete and the inspection will be uploaded with the certification. The HOC compliance team will continue to monitor as part of the Quality Control Site Visits. Name(s) of the contact person(s) responsible for corrective action: Darcel Cox, Vice President/Compliance Planned completion date for corrective action plan: Effective Immediately, Ongoing.
Recommendation: The Commission should implement processes to ensure that all proper documentation is being maintained during the recertification process for every client. Explanation of disagreement with audit finding: There is no disagreement with the audit finding. Action taken in response to find...
Recommendation: The Commission should implement processes to ensure that all proper documentation is being maintained during the recertification process for every client. Explanation of disagreement with audit finding: There is no disagreement with the audit finding. Action taken in response to finding: HOCs third party management agent, Edgewood Management, Regional Managers will review move in files and annual recertifications during monthly inspections of the property. In addition, Edgewood will ensure that the Regional Compliance Managers are spot checking and reviewing files throughout the year. The HOC compliance team will continue to monitor as part of the site inspections. Name(s) of the contact person(s) responsible for corrective action: Darcel Cox, Vice President/Compliance Planned completion date for corrective action plan: Effective Immediately, Ongoing.
Recommendation: The Commission should implement processes to ensure that all proper documentation is being maintained for inspections of tenant residences. Explanation of disagreement with audit finding: There is no disagreement with the audit finding. Action taken in response to finding: HOC has hi...
Recommendation: The Commission should implement processes to ensure that all proper documentation is being maintained for inspections of tenant residences. Explanation of disagreement with audit finding: There is no disagreement with the audit finding. Action taken in response to finding: HOC has hired a new Inspections contractor, Gilson Housing Partners, to conduct all inspections effective October 1, 2023. Gilson Housing Partners will send HOC detailed weekly reports of all inspection activity, including failed units, units requiring abatement, scheduled/rescheduled inspections, and quality control reports. HOC will monitor these reports to ensure they meet program requirements. Gilson will also meet with HOC staff monthly to discuss progress and program operations. Designated staff members will be assigned to place/remove units in abatement. Bi-monthly, the HOC Compliance Team conducts quality control reviews of completed actions. Following completion, staff from the Housing Resources Management, Inspections and HOC Compliance Teams meet to discuss systemic findings and schedule staff training in areas requiring improvement. Name(s) of the contact person(s) responsible for corrective action: Lynn Hayes, Vice President/Housing Resources Planned completion date for corrective action plan: October 2023
View Audit 6779 Questioned Costs: $1
Recommendation: The Commission should implement processes to ensure that all fatal errors are corrected in the PIC system in a timely manner. Explanation of disagreement with audit finding: There is no disagreement with the audit finding. Action taken in response to finding: Submission was delayed a...
Recommendation: The Commission should implement processes to ensure that all fatal errors are corrected in the PIC system in a timely manner. Explanation of disagreement with audit finding: There is no disagreement with the audit finding. Action taken in response to finding: Submission was delayed as a result of another PHA failing to complete a “port out” action PIC. HOC could not complete the “port in” action and received a delayed response from the initial PHA. Effective December 2023, a procedure of weekly monitoring will be implemented to curtail PIC fatal errors. Name(s) of the contact person(s) responsible for corrective action: Lynn Hayes, Vice President/Housing Resources Planned completion date for corrective action plan: Effective Immediately, Ongoing.
Management Views - Management agrees with the finding and the recommendation. Corrective Action Planned - Management and the Board will continue to be aware of this condition and continue to be involved in the matters relating to the Organization's operations. However, it is not feasible or cost eff...
Management Views - Management agrees with the finding and the recommendation. Corrective Action Planned - Management and the Board will continue to be aware of this condition and continue to be involved in the matters relating to the Organization's operations. However, it is not feasible or cost effective to add staff to achieve the desired level of internal control.
Elementary and Secondary School Emergency Relief – Assistance Listing No. 84.425D, 84.425U Recommendation: We recommend the District review its processes related to general disbursements for grants and implement a control where someone other than the Director of Business Services is reviewing disbur...
Elementary and Secondary School Emergency Relief – Assistance Listing No. 84.425D, 84.425U Recommendation: We recommend the District review its processes related to general disbursements for grants and implement a control where someone other than the Director of Business Services is reviewing disbursements coded to grant project codes to help ensure compliance with grant requirements. For payroll transactions, we recommend implementing a control where someone other than the Director of Business Services is reviewing who is coded to the grant on a routine basis and that the payroll allocation to the grant is appropriate and supported by time and effort documentation. We also recommend that the District implement a formal review process over the reporting requirement relating to ESSER annual reports. Explanation of disagreement with audit finding: There is no disagreement with the audit finding. Action taken in response to finding: PARs are on file for all federal grant funded employees since FY 2017-18, this is an ongoing process. The Director of Pupil Services and the Superintendent assist with the review of coding of employees. Name(s) of the contact person(s) responsible for corrective action: Pamela Tesch, Director of Business Services Planned completion date for corrective action plan: Ongoing.
Finding Number: 2023-001 Corrective Action: All official and unofficial withdrawals are performed by the Office of Student Records. The new university registrar and deputy director are working collaboratively with the Financial Aid Office to follow defined processes and procedures for both official ...
Finding Number: 2023-001 Corrective Action: All official and unofficial withdrawals are performed by the Office of Student Records. The new university registrar and deputy director are working collaboratively with the Financial Aid Office to follow defined processes and procedures for both official and unofficial withdrawals. The registrar has developed a new standard operating procedure for processing official and unofficial withdrawals. The registrar has already completed the staff training on the new procedure. The Financial Aid Office is responsible for calculating the return of Title IV funds (R2T4). The financial aid administrator selected the wrong template when performing one of the R2T4 calculations in COD. A new internal control procedure has been implemented to ensure that R2T4 calculations are reviewed for accuracy by a second financial aid administrator before being processed. Responsible: Karen Jarrell, University Registrar, and Elaine Robinson, Director of Financial AidCompletion Date: November 1, 2023
Finding 2023‐003 Federal Agency Name: Department of Agriculture Program Name: Community Facilities Loans and Grants CFDA #10.766 Finding Summary: There was no formal review separate from the preparer over the reserve fund reconciliation for the federal program and there was no formal review of the b...
Finding 2023‐003 Federal Agency Name: Department of Agriculture Program Name: Community Facilities Loans and Grants CFDA #10.766 Finding Summary: There was no formal review separate from the preparer over the reserve fund reconciliation for the federal program and there was no formal review of the balance in comparison to the required minimum reserve balance. Responsible Individuals: Mandy Robinson, Administrator Corrective Action Plan: Management will ensure reviews separate from the preparer of the reconciliation for the program's reserve fund and the reserve fund balance in comparison to the required minimum reserve balance is completed with formal documentation noting the reviews. Anticipated Completion Date: 03/31/2024
Student Financial Assistance Program Cluster – Department of Education Federal Financial Assistance Listing #84.063 Federal Pell Grant Program (PELL) P063P202209, P063P212209, P063P222209 Finding 2023-003 – Eligibility – Material Weakness Finding Summary: Two instances identified in which the s...
Student Financial Assistance Program Cluster – Department of Education Federal Financial Assistance Listing #84.063 Federal Pell Grant Program (PELL) P063P202209, P063P212209, P063P222209 Finding 2023-003 – Eligibility – Material Weakness Finding Summary: Two instances identified in which the student was eligible to receive Federal Pell assistance but was not awarded the assistance. Responsible Individuals: Lauren Svanda, Director of Financial Aid Corrective Action Plan: Partake in additional training in the awarding of summer PELL. Update procedures on how information is communicated between the Registrar’s Office and Financial Aid to improve awareness of summer reporting and grade change updates. Recondition the reporting process to improve accuracy of delivered information. Anticipated Completion Date: January 1st, 2024
View Audit 6701 Questioned Costs: $1
Management has reviewed the finding and is in agreement with the reported deficiency as a result of staffing levels. Corrective action will include evaluation of existing accounting staffing levels, review of current accounting policies related to separation of duties, and the addition of a requirem...
Management has reviewed the finding and is in agreement with the reported deficiency as a result of staffing levels. Corrective action will include evaluation of existing accounting staffing levels, review of current accounting policies related to separation of duties, and the addition of a requirement for secondary approval related to journal entries, SEFA preparation, and draw requests for/from federal grant programs. To be completed within fiscal year 2024.
Finding 2023-007 – COVID-19 Education Stabilization Fund: Higher Education Emergency Relief Fund Annual Reporting Condition City Colleges did not accurately report certain information required in the calendar year 2022 annual report. The following instances of noncompliance were identified: • HEER...
Finding 2023-007 – COVID-19 Education Stabilization Fund: Higher Education Emergency Relief Fund Annual Reporting Condition City Colleges did not accurately report certain information required in the calendar year 2022 annual report. The following instances of noncompliance were identified: • HEERF Institutional Portion: City Colleges submitted the annual report for Olive Harvey for the period of January 1, 2022 – December 31, 2022 which did not reconcile to the underlying expense detail as of the date of the report. The difference was $234,118 which was a result of a figure being double counted in the total. • HEERF Institutional Portion: City Colleges submitted the annual report for Malcolm X for the period of January 1, 2022 – December 31, 2022 which did not reconcile to the underlying expense detail as of the date of the report. The difference was $5,580,216 which was a result of a figure being double counted in the total. Cause City Colleges did not have effective internal controls in place to ensure reports were submitted accurately. Corrective Action Taken or Planned Finance will validate and review the OH and MX 2023 annual report for HEERF prior to submission in 2024. Financial Aid will submit the required HEERF Annual Reporting Correction for OH and MX. In addition, will submit the final required 2023 HEERF annual report. Contact Person: Tiffany Morrison, Associate Vice Chancellor, Financial Aid. Anticipated Completion Date: December 31, 2023
Finding 2023-006– Gramm-Leach Bliley Act—Student Information Security Condition City Colleges did not have a documented policy to address a required safeguard for one of the eight required elements under the Gramm-Leach Bliley Act (GLBA). Specifically, the City Colleges did not conduct a periodic i...
Finding 2023-006– Gramm-Leach Bliley Act—Student Information Security Condition City Colleges did not have a documented policy to address a required safeguard for one of the eight required elements under the Gramm-Leach Bliley Act (GLBA). Specifically, the City Colleges did not conduct a periodic inventory of data, nothing where it’s collected, stored or transmitted. Cause City Colleges does not have a periodic data inventory in place. The policy is under development with an expected completion date of December 2023. Corrective Action Taken or Planned CCC will refresh the current data inventory and instate periodic inventory refresh procedures by December 31, 2023. Contact Person: Zarko Njakara, Interim CIO Anticipated Completion Date: December 31, 2023
Finding 2023-005– Student Financial Assistance Cluster Internal Control over Compliance Condition City Colleges did not have sufficient documentation that internal controls were in place and operating effectively relative to the following areas: • Allowable Activities: For each of the seven campus...
Finding 2023-005– Student Financial Assistance Cluster Internal Control over Compliance Condition City Colleges did not have sufficient documentation that internal controls were in place and operating effectively relative to the following areas: • Allowable Activities: For each of the seven campuses, City Colleges did not have sufficient supporting evidence that review controls were performed over the transfer, carryforward, carryback, and administrative cost calculations in the Fiscal Operations Report and Application to Participate (FISAP) for award year July 1, 2021 through June 30, 2022 submitted during fiscal year 2023. • Reporting: For each of the seven campuses, City Colleges did not have sufficient supporting evidence that secondary review controls were performed over FISAP data for award year July 1, 2021 through June 30, 2022 submitted during fiscal year 2023. Cause City Colleges did not formally document the additional reviews and approvals over the department’s review of the FISAP. Corrective Action Taken or Planned Financial Aid will develop and document a review/approval process that will detail accurate reporting, secondary reviews, and review/approval of FISAP submissions and completions. Contact Person: Tiffany Morrison, Associate Vice Chancellor, Financial Aid Anticipated Completion Date: December 31, 2023
Finding 2023-003 – Common Origination and Disbursement (COD) Reporting Condition For ten out of forty students tested (25%), the College did not report certain disbursements of financial aid to COD within the require fifteen days from the date of disbursement. In all instances, the disbursements we...
Finding 2023-003 – Common Origination and Disbursement (COD) Reporting Condition For ten out of forty students tested (25%), the College did not report certain disbursements of financial aid to COD within the require fifteen days from the date of disbursement. In all instances, the disbursements were reported one day late. Cause The financial aid office inadvertently miscalculated the reporting date. Corrective Action Taken or Planned Financial Aid will add additional monitoring controls of COD files to ensure timely reporting. Contact Person: Tiffany Morrison, Associate Vice Chancellor, Financial Aid Anticipated Completion Date: December 31, 2023
Finding 2023-002 – Short-Term Program Completion and Placement Rates Condition The College did not achieve the required 70% completion rate for a short-term program. The College cannot demonstrate compliance with the gainful employment placement rate calculation for a short-term program. Cause The...
Finding 2023-002 – Short-Term Program Completion and Placement Rates Condition The College did not achieve the required 70% completion rate for a short-term program. The College cannot demonstrate compliance with the gainful employment placement rate calculation for a short-term program. Cause The financial aid office did not follow-up on the gainful employment of students. Corrective Action Taken or Planned The Financial Aid Office will work with campus leadership and staff to ensure an accurate reporting process is in place to track gainful employment and completion. Documentation will be required by campus leadership to show communication efforts for students. Contact Person: Tiffany Morrison, Associate Vice Chancellor, Financial Aid Anticipated Completion Date: December 31, 2023
Finding 2023-001 – Enrollment Reporting Condition For four out of sixty students tested (7%) who withdrew from City Colleges, the students’ withdrawal date reported to the National Student Loan Data System (NSLDS) for campus level and program level did not match the institution’s records. Cause Th...
Finding 2023-001 – Enrollment Reporting Condition For four out of sixty students tested (7%) who withdrew from City Colleges, the students’ withdrawal date reported to the National Student Loan Data System (NSLDS) for campus level and program level did not match the institution’s records. Cause The financial aid office does not have an effective system in place to ensure all official student status changes are reported to the lender accurately. Corrective Action Taken or Planned City Colleges sends enrollment files of all students to the National Student Clearinghouse monthly, who then reports CCC enrollment data to NSLDS. City Colleges (Records, Financial Aid, Decision Support and the Office of Information Technology) continues to meet bi-weekly to review and update the enrollment reporting logic to ensure the dates for student enrollment actions align at the campus level and the program level. Contact Person: Laura Clark, Associate Vice Chancellor, Academic Systems and Tiffany Morrison, Associate Vice Chancellor, Financial Aid. Anticipated Completion Date: May 1, 2024
Corrective Action Plan: The School made the required adjustments to its accounting records. Contributing to the discrepancies with these accrual entries is the timing of the audit. Preliminary audit field work began before the end of the fiscal year and official on-campus fieldwork was completed on ...
Corrective Action Plan: The School made the required adjustments to its accounting records. Contributing to the discrepancies with these accrual entries is the timing of the audit. Preliminary audit field work began before the end of the fiscal year and official on-campus fieldwork was completed on August 4 and we had not yet closed our July financial statements. The School will prepare written instructions to be included in the School’s accounting policies and procedures manual that indicate basic procedures to achieve proper cutoff and completeness of accounts payable, accrued liabilities and prepaid expenses in the financial closing process, as well as specify the positions/staff responsible for performing such procedures and controls. This will be completed in time to improve the cutoff procedures for the year ending June 30, 2024. Anticipated Completion Date: The corrective action will be completed by June 2024. Contact Person Beth Stetler, VP of Finance 513-721-7944 Ex. 1271
Regarding finding 2023-001, The Financial Aid Director will no longer enter the dates of semesters/sessions in the Banner ERP system. The Registrar will assume responsibility for this task and work in conjunction with directors of Financial Aid and the MBA program to ensure term dates are establishe...
Regarding finding 2023-001, The Financial Aid Director will no longer enter the dates of semesters/sessions in the Banner ERP system. The Registrar will assume responsibility for this task and work in conjunction with directors of Financial Aid and the MBA program to ensure term dates are established when needed and accurately maintained. ECD: Effective immediately. Action Officer: Dr. Lolita Rogers, Registrar.
Management Views - Management agrees with the finding and the recommendation. Corrective Action Planned - Management and the Board will continue to designate competent staff to oversee and review the financial reports and approve them before issuance. However, it is not feasible or cost effective to...
Management Views - Management agrees with the finding and the recommendation. Corrective Action Planned - Management and the Board will continue to designate competent staff to oversee and review the financial reports and approve them before issuance. However, it is not feasible or cost effective to add staff with the competence to prepare these reports.
Housing and Urban Development Realife Cooperative of St. Peter respectfully submits the following corrective action plan for the year ended September 30, 2023. Westberg Eischens, PLLP 2630 1st Street South P.O. Box 362 Willmar, MN 56201 Audit Period: September 30, 2023 The finding from the Septe...
Housing and Urban Development Realife Cooperative of St. Peter respectfully submits the following corrective action plan for the year ended September 30, 2023. Westberg Eischens, PLLP 2630 1st Street South P.O. Box 362 Willmar, MN 56201 Audit Period: September 30, 2023 The finding from the September 30, 2023 schedule of findings and questioned costs and the summary schedule of prior audit findings is discussed below. The finding is numbered consistently with the number assigned in the schedules. Summary of audit results does not include findings and is not addressed. Finding 2023-001 Recommendation: We recommend that the Cooperative continue to review the auditor prepared adjusting journal entries and financial statements with the intention of understanding and acceptance of responsibility for reporting under generally accepted accounting principles. Action Taken: The Cooperative will continue to review the auditor prepared adjusting journal entries and financial statements with the intention of understanding and acceptance of responsibility for reporting under generally accepted accounting principles. Planned Completion Date: Not Applicable.
Finding 4214 (2023-001)
Significant Deficiency 2023
There is no disagreement with the audit finding. The City will make corrections on the next annual report as of March 31,2024 which should cover the period April 1 2023 through March 31, 2024. As of June 30, 2023, the City had fully expended the American Resue Plan Act (ARPA) funding. It is importan...
There is no disagreement with the audit finding. The City will make corrections on the next annual report as of March 31,2024 which should cover the period April 1 2023 through March 31, 2024. As of June 30, 2023, the City had fully expended the American Resue Plan Act (ARPA) funding. It is important to note that because the City's allocation of ARPA funds is less than $10 million, the Department of Treasury Regulations allows the City to use all its allocation as lost revenue replacement. This allows the City Council to appropriate ARPA funds for any legal government purpose except those that are prohibited. The City treated all its allocation as lost revenue replacement.
(1) Any contracts over $2,000 will include the proper language that the contractor must comply with the Davis-Bacon Act. These contracts will be reviewed by Business Administrator and Superintendent before being signed and (2) Weekly certified reports will be obtained from contractor and reminders h...
(1) Any contracts over $2,000 will include the proper language that the contractor must comply with the Davis-Bacon Act. These contracts will be reviewed by Business Administrator and Superintendent before being signed and (2) Weekly certified reports will be obtained from contractor and reminders have been set up with both parties to ensure this happens timely. Person Responsible: Cary Reese, Business Administrator Timeline: Management of the District will ensure all construction contracts using federal dollars will have the Davis-Bacon language in the contract-October 2023. Certified weekly payroll reports obtained from contractor-October 2023.
Corrective Action Plan: The District will initiate the development of an equipment tracking system that adheres to federal requirements. Training sessions will be conducted for relevant staff to ensure proper understanding and compliance with the new tracking procedures.
Corrective Action Plan: The District will initiate the development of an equipment tracking system that adheres to federal requirements. Training sessions will be conducted for relevant staff to ensure proper understanding and compliance with the new tracking procedures.
Corrective Action Plan: The District will promptly establish policies and procedures related to the Davis-Bacon Act, conduct training sessions for relevant staff, and assign dedicated personnel to monitor compliance on an ongoing basis. A corrective action plan will be implemented to ensure full com...
Corrective Action Plan: The District will promptly establish policies and procedures related to the Davis-Bacon Act, conduct training sessions for relevant staff, and assign dedicated personnel to monitor compliance on an ongoing basis. A corrective action plan will be implemented to ensure full compliance with federal regulations.
Recommendation: Implement policies and procedures that ensure required reports are reviewed and approved by a second, independent individual. Explanation of disagreement with audit finding: Management agrees with the audit finding. Action planned/taken in response to finding: Organization will updat...
Recommendation: Implement policies and procedures that ensure required reports are reviewed and approved by a second, independent individual. Explanation of disagreement with audit finding: Management agrees with the audit finding. Action planned/taken in response to finding: Organization will update and implement policies and procedures that ensure required reports are reviewed and approved by a second, independent individual. Name(s) of the contact person(s) responsible for corrective action: Debbie Esparza Planned completion date for corrective action plan: January 31, 2024
« 1 450 451 453 454 699 »