Corrective Action Plans

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2021-007 Quarterly Financial Progress Report Management Response: The ARPA funds are being reported on a quarterly basis and likely the CARES funds were being reported on as well. Given the turnover, we’re unable to access the portal to see if reports were completed for CARES. Anticipated Completion...
2021-007 Quarterly Financial Progress Report Management Response: The ARPA funds are being reported on a quarterly basis and likely the CARES funds were being reported on as well. Given the turnover, we’re unable to access the portal to see if reports were completed for CARES. Anticipated Completion Date: 12/31/2024 Responsible Party: Federal Programs Accounting Manager
2021-006 Annual Financial Expenditure Report Management Response: The Federal Programs Accounting Manager is working on submitting 425 reports and other financial reports with an anticipated completion date by the end of the year. Anticipated Completion Date: 12/31/2024 Responsible Party: Federal Pr...
2021-006 Annual Financial Expenditure Report Management Response: The Federal Programs Accounting Manager is working on submitting 425 reports and other financial reports with an anticipated completion date by the end of the year. Anticipated Completion Date: 12/31/2024 Responsible Party: Federal Programs Accounting Manager
2021-005 Procurement Standards set out at 2 CFR sections 200.318 through 200.326 Management Response: The Tribe will update fiscal, payroll, HR, and procurement policies by the end of the year. Anticipated Completion Date: 12/31/2024 Responsible Party: Treasurer, Comptroller, Accounting Manager and ...
2021-005 Procurement Standards set out at 2 CFR sections 200.318 through 200.326 Management Response: The Tribe will update fiscal, payroll, HR, and procurement policies by the end of the year. Anticipated Completion Date: 12/31/2024 Responsible Party: Treasurer, Comptroller, Accounting Manager and Federal Programs Accounting Manager
2021-004 Charges to cost pools that are allocated wholly or partially to Federal awards Management Response: The Tribe has indirect cost agreements through 12.31.2024 and will book the indirect cost according to the rate for audited fiscal years going forward Anticipated Completion Date: 12/31/2024 ...
2021-004 Charges to cost pools that are allocated wholly or partially to Federal awards Management Response: The Tribe has indirect cost agreements through 12.31.2024 and will book the indirect cost according to the rate for audited fiscal years going forward Anticipated Completion Date: 12/31/2024 Responsible Party: Treasurer, Comptroller, Accounting Manager and Federal Programs Accounting Manager
2021-003 Costs must be adequately documented Management Response: The Tribe recently went through administrative changes and we now have a Finance Department that will ensure we address this concern and correct it in a timely manner. We will revisit our current controls and use updated technology to...
2021-003 Costs must be adequately documented Management Response: The Tribe recently went through administrative changes and we now have a Finance Department that will ensure we address this concern and correct it in a timely manner. We will revisit our current controls and use updated technology to improve our processes. Anticipated Completion Date: 12/31/2024 Responsible Party: Treasurer, Comptroller, Accounting Manager and Federal Programs Accounting Manager
View Audit 305423 Questioned Costs: $1
The Houston Housing Authority agrees with this finding. The Houston Housing Authority has undertaken a program to review all voucher files for the purpose of getting all delinquent recertifications completed. During this process, if other required documents are identified, steps are taken to complet...
The Houston Housing Authority agrees with this finding. The Houston Housing Authority has undertaken a program to review all voucher files for the purpose of getting all delinquent recertifications completed. During this process, if other required documents are identified, steps are taken to complete the missing documentation and make sure that the files are complete. This review is still ongoing with expected completion in the first half of 2024. Where needed staff will be provided the necessary training to make sure that all HCVP staff have the skills needed to successfully complete their job tasks. To facilitate this training, the Houston Housing Authority has created a training center that is made available to not only Houston Housing Authority staff but also others to provide a wide variety of training classes. Current leadership at the Houston Housing Authority is committed to having competent, well-trained staff working in the HCVP as well as other departments within the agency.
The recommendation of the auditor was for the Houston Housing Authority to review its existing internal control procedures to ensure that data is properly recorded in the books and records to prevent misstatements from occurring in the future. l he Houston Housing Authority agrees with this finding ...
The recommendation of the auditor was for the Houston Housing Authority to review its existing internal control procedures to ensure that data is properly recorded in the books and records to prevent misstatements from occurring in the future. l he Houston Housing Authority agrees with this finding and related recommendations. During the audit, as these issues arose, notes were taken, evaluation of what had happened was made so that we could make the necessary adjustments to our procedures to prevent the continuation of these issues. In addition, we hired a firm to come in and undertake a review of the finance department. The purpose of this review was to review our existing staffing levels, workloads, experience, etc., for purposes of proposing a reorganization of the finance department to address any deficiencies. We have reviewed the recommendations from this consultant and are in the process of implementing many of the recommended changes. As we continue to work on getting all past due audits completed we are working very diligently to address the issues within the finance department that gave rise to this finding. We fully expect the finding to be present for the 2022 audit as many of the departmental improvements and changes were not made prior to 2023 so would not have been in practice during 2022. Our audit delinquencies commenced with the 2019 audit being delayed in part due to the COVID pandemic. We also determined in the completion of the 2019 audit that it was in the best interest of HHA to terminate our relationship with the prior auditor and procure a new audit firm. The completion of the 2021 audit will be our second audit wrapped up with the new audit firm. We are confident that the changes we have made and will continue to make will ensure that future prepared by the Houston Housing Authority will be in better condition than those for the 2021 audit. existing internal control procedures to ensure that data is properly recorded in the books and records to prevent misstatements from occurring in the future.
Contact Person Derek Johnson, Executive Director Corrective Action Plan The Authority will review its policies and procedures over program compliance requirements and monitoring of program activity. Planned Completion Date for CAP December 31, 2022.
Contact Person Derek Johnson, Executive Director Corrective Action Plan The Authority will review its policies and procedures over program compliance requirements and monitoring of program activity. Planned Completion Date for CAP December 31, 2022.
View Audit 304992 Questioned Costs: $1
The Board of County Commissioners will work with all County Officials to go over all grants and federal monies that the County receives to ensure that proper internal controls are implemented.
The Board of County Commissioners will work with all County Officials to go over all grants and federal monies that the County receives to ensure that proper internal controls are implemented.
Views of Responsible Officials and Planned Corrective Actions: The Executive Director and Director of Finance are committed to guaranteeing that all invoices receive proper initials or signatures from either of them or a designated representative of the Executive Director. This protocol will be in ...
Views of Responsible Officials and Planned Corrective Actions: The Executive Director and Director of Finance are committed to guaranteeing that all invoices receive proper initials or signatures from either of them or a designated representative of the Executive Director. This protocol will be in place to confirm the accuracy and authorization of invoices. Furthermore, a comprehensive Accounts Payable Procedure has been established to guide all staff purchases, ensuring accuracy and compliance.
Views of Responsible Officials and Planned Corrective Actions: As a result of a staffing transition, the present administration encountered challenges in locating and furnishing Davis-Bacon certified payroll reports. To address this concern, the Executive Director and Director of Finance are intens...
Views of Responsible Officials and Planned Corrective Actions: As a result of a staffing transition, the present administration encountered challenges in locating and furnishing Davis-Bacon certified payroll reports. To address this concern, the Executive Director and Director of Finance are intensifying their efforts to enhance the preservation of records and ensuring that all requested information is readily accessible for audit scrutiny. The Executive Director will be overseeing labor standard compliance by conducting onsite interviews with construction workers, scrutinizing payroll reports, and overseeing any necessary additional enforcement actions as suggested.
Views of Responsible Officials and Planned Corrective Actions: Owing to a transition in staff, the current administration faced challenges in locating and providing requested documents that substantiate all expenditures. The Executive Director and Director of Finance have diligently undertaken meas...
Views of Responsible Officials and Planned Corrective Actions: Owing to a transition in staff, the current administration faced challenges in locating and providing requested documents that substantiate all expenditures. The Executive Director and Director of Finance have diligently undertaken measures since the commencement of their roles to establish a systematic electronic filing system for all documentation, alongside a meticulous arrangement for the preservation of original documents, facilitating convenient and efficient review processes.
Views of Responsible Officials and Planned Corrective Actions: Fayetteville Housing Authority will thoroughly examine all expenses associated with the Emergency Grant to confirm that these expenditures exclusively pertain to the replacement of HVAC piping, domestic water piping, and sewer line pipi...
Views of Responsible Officials and Planned Corrective Actions: Fayetteville Housing Authority will thoroughly examine all expenses associated with the Emergency Grant to confirm that these expenditures exclusively pertain to the replacement of HVAC piping, domestic water piping, and sewer line piping. Should any expenses be found unrelated to piping replacements, Fayetteville Housing Authority will assess available options for reimbursing those funds to the funding agency.
Segregation of Duties over Reporting: The Department was in need of additional accounting personnel and as of December 2023 a new employee was hired so adequate oversight will be corrected going forward.
Segregation of Duties over Reporting: The Department was in need of additional accounting personnel and as of December 2023 a new employee was hired so adequate oversight will be corrected going forward.
Lack of Controls Related to Filing Reports Condition: The Organization did not maintain proper documentation to support the review of the report prior to submission to the grantor, other than the review done by the preparer. Corrective Action Planned: The Organization has hired a new Chief Financ...
Lack of Controls Related to Filing Reports Condition: The Organization did not maintain proper documentation to support the review of the report prior to submission to the grantor, other than the review done by the preparer. Corrective Action Planned: The Organization has hired a new Chief Financial Officer as well as additional supporting staff within the finance department. The Organization has reviewed and updated its reporting policy and implemented the changes. The corrective action for this finding has been approved and implemented by the Organization. Person Responsible for Corrective Action: Robert Thompson, Chief Executive Officer Anticipated Completion Date: Implemented
Lack of Documentation Related to Reporting Condition: The Organization did not maintain proper documentation in support of reporting requirements. Corrective Action Planned: The Organization has hired a new Chief Financial Officer, as of March 2022, as well as additional supporting staff within th...
Lack of Documentation Related to Reporting Condition: The Organization did not maintain proper documentation in support of reporting requirements. Corrective Action Planned: The Organization has hired a new Chief Financial Officer, as of March 2022, as well as additional supporting staff within the finance department. The Organization has reviewed and updated its grant drawdown procedures to included only actual cost and for the request to be reviewed and approved by someone other than the preparer prior to submission. The corrective action for this finding has been approved and implemented by the Organization. Person Responsible for Corrective Action: Robert Thompson, Chief Executive Officer Anticipated Completion Date: Implement
Missing Documentation to Support Payroll Authorizations Condition: The Organization could not provide one salary authorization form for sample selection of 40 employees under ALN #93.224 and 93.527 Health Care Center. The Organization could not provide one salary authorization form for sample sele...
Missing Documentation to Support Payroll Authorizations Condition: The Organization could not provide one salary authorization form for sample selection of 40 employees under ALN #93.224 and 93.527 Health Care Center. The Organization could not provide one salary authorization form for sample selection of eight employees under ALN #93.498 COVID-19 Provider Relief Fund. Corrective Action Planned: The Organization continues to engage the consulting services of a professional certified accounting firm. The Organization has hired a new Chief Financial Officer, as of March 2022, as well as additional supporting staff within the finance department. The Organization will implement additional review procedures related to the salary authorization forms to verify accuracy of the information and review our procedures related to retention of documentation. The Organization will consider implementing additional procedures associated with employees agreeing to the salary as well as specifically identifying the revenue sources (e.g. specific grants, local funds, etc.) when applicable. The Organization implemented this corrective action during fiscal year 2023. Person Responsible for Corrective Action: Robert Thompson, Chief Executive Officer Anticipated Completion Date: Implemented
Lack of Internal Controls Over the Application of the Sliding Fee Scale Condition: The Organization lacks consistently applied processes and procedures related to the application of the sliding fee scale. The Organization also lacks a clear review process related to the sliding fee scale to identi...
Lack of Internal Controls Over the Application of the Sliding Fee Scale Condition: The Organization lacks consistently applied processes and procedures related to the application of the sliding fee scale. The Organization also lacks a clear review process related to the sliding fee scale to identify errors quickly to allow for corrections to be made in a timely manner. Corrective Action Planned: The Organization has hired a new Chief Financial Officer as well as additional supporting staff within the finance department. The Organization’s policies for the sliding fee scale were recently updated during fiscal year 2022, by management, based on findings during the monitoring by HRSA performed in 2022, but management will consider discussing potential improvements to their policy with the grantor to potentially update it to allow for certain exceptions. The Organization will also consider discussing the agreement with the local school district in more detail with the grantor to either structure their policies to allow for these visits to have different requirements or to see if the grantor would be willing to provide a waiver with regards to theses visits not being technically in compliance with other regular clinic visits. The planned corrective action for this finding is currently in the process of development, approval, and implementation. The Organization expects to have the corrective action implemented by July 1, 2024. The Organization will continue to engage the consulting services of the professional certified accounting firm to assist in this process through completion. Person Responsible for Corrective Action: Robert Thompson, Chief Executive Officer Anticipated Completion Date: July 1, 2024
We will have our current accountant set a schedule for performing monthly closes of the financial statements so they can be presented in summary format to management and the board of directors. We will require that the President/CEO and other key members of the management team and the board of direc...
We will have our current accountant set a schedule for performing monthly closes of the financial statements so they can be presented in summary format to management and the board of directors. We will require that the President/CEO and other key members of the management team and the board of directors review the monthly financial reports provided by the accountant so that all board members understand the financial position and results of activities of ECS on a regular and consistent basis. Finally, we will develop a transition plan with procedures requiring that whomever is responsible for the accounting and financial reporting function for ECS reconcile all financial accounts and close the financial records for the month prior to departure to ensure a smooth transition ECS’s accounting and financial reporting function to the next person responsible for its maintenance
U.S. Department of Health and Human Services 2021-003 Child Care and Development Block Grant – Assistance Listing No. 93.575 Recommendation: The auditors recommend that the Organization design, implement and monitor internal controls over reporting as well as maintain source documentation to sup...
U.S. Department of Health and Human Services 2021-003 Child Care and Development Block Grant – Assistance Listing No. 93.575 Recommendation: The auditors recommend that the Organization design, implement and monitor internal controls over reporting as well as maintain source documentation to support amounts reported. Explanation of disagreement with audit finding: There is no disagreement with the audit finding. Action taken in response to finding: Management will maintain evidence of timely submission of reports, review of reports and documentation to support amounts reported. Additionally, management will implement a formal documentation retention policy. Name of the contact person responsible for corrective action: Lyn Elliot, CEO Planned completion date for corrective action plan: 3/1/2024
We agree that we have not been reporting on a timely basis current findings and results. We have established a calendar to ensure that the submission of all required annual reporting, be strictly followed by our newly created job position (Federal Funding Accounting Coordinator). The plan will be ap...
We agree that we have not been reporting on a timely basis current findings and results. We have established a calendar to ensure that the submission of all required annual reporting, be strictly followed by our newly created job position (Federal Funding Accounting Coordinator). The plan will be approved by the Board and implemented no later than April 26th, 2024.
Given the complexity of the reporting requirements, including changing FAQ's, reporting deadline extensions, and the inability to update reporting to reflect expenses incurred within the guidelines such as lost revenue the Authority will apply such expenses as offsets to its provider relief fund dis...
Given the complexity of the reporting requirements, including changing FAQ's, reporting deadline extensions, and the inability to update reporting to reflect expenses incurred within the guidelines such as lost revenue the Authority will apply such expenses as offsets to its provider relief fund distributions. The Authority will continue to monitor the Health and Human Resources Provider Relief Fund General and Targeted Distribution Post-Payment Notice of Reporting Requirements and the most recently distributed Provide Relief Fund frequently asked questions which provide details on requirements related to the program.
View Audit 304032 Questioned Costs: $1
Given the complexity of the reporting requirements, including changing FAQ's, reporting deadline extensions, and the inability to update reporting to reflect expenses incurred within the guidelines such as lost revenue the Authority will apply such expenses as offsets to its provider relief fund dis...
Given the complexity of the reporting requirements, including changing FAQ's, reporting deadline extensions, and the inability to update reporting to reflect expenses incurred within the guidelines such as lost revenue the Authority will apply such expenses as offsets to its provider relief fund distributions. The Authority will continue to monitor the Health and Human Resources Provider Relief Fund General and Targeted Distribution Post-Payment Notice of Reporting Requirements and the most recently distributed Provide Relief Fund frequently asked questions which provide details on requirements related to the program.
View Audit 304032 Questioned Costs: $1
U.S. Department of Housing and Urban Development – CFDA #14.872 Capital Fund Program – 2021 Special Tests and Provisions – Environmental Reviews Significant Deficiency in Internal Control over Compliance Finding Summary: Testing indicated that there has not been an environmental review performed on ...
U.S. Department of Housing and Urban Development – CFDA #14.872 Capital Fund Program – 2021 Special Tests and Provisions – Environmental Reviews Significant Deficiency in Internal Control over Compliance Finding Summary: Testing indicated that there has not been an environmental review performed on 3 of 4 projects within the last 5-year period as required by HUD. Responsible Individual: Steven Trujillo, Executive Director Corrective Action Plan: The major project we are working on complied, but our smaller projects were not in compliance. We will make a point of getting this review completed as soon as possible and create a reminder to assure it will be completed in a timely manner in the future. Anticipated Completion Date: January 2024
U.S. Department of Housing and Urban Development – CFDA #14.872 Capital Fund Program – 2021 Special Tests and Provisions – Capital Funds for Operating Costs Significant Deficiency in Internal Control over Compliance Finding Summary: Testing indicated that there was not a consistent, documented proce...
U.S. Department of Housing and Urban Development – CFDA #14.872 Capital Fund Program – 2021 Special Tests and Provisions – Capital Funds for Operating Costs Significant Deficiency in Internal Control over Compliance Finding Summary: Testing indicated that there was not a consistent, documented process to ensure the timely obligation and expenditure of program funds to remain in compliance. Responsible Individual: Steven Trujillo, Executive Director Corrective Action Plan: Corrective Action Plan: The process in 2020 was not documented very well. We now document our regular meetings indicating that we are monitoring the use/obligation of funds that will ensure the funding is spent or obligated in a timely manner. Anticipated Completion Date: January 2023
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