Corrective Action Plans

Browse how organizations respond to audit findings

Total CAPs
48,945
In database
Filtered Results
10,325
Matching current filters
Showing Page
161 of 413
25 per page

Filters

Clear
In regards to COVID-19 Coronavirus State and Local Fiscal Recovery Funds (SLFRF) - Assistance Listing No. 21.027; Grant period - Year ended December 31, 2023 the District will put measures in place to ensure that only costs compliant with the proper period of performance are charged to the grant. Th...
In regards to COVID-19 Coronavirus State and Local Fiscal Recovery Funds (SLFRF) - Assistance Listing No. 21.027; Grant period - Year ended December 31, 2023 the District will put measures in place to ensure that only costs compliant with the proper period of performance are charged to the grant. The anticipated completion date of these actions is April 18th, 2024 with Jeff Peeples the responsbile person for implementation
View Audit 316379 Questioned Costs: $1
Finding 480079 (2023-003)
Significant Deficiency 2023
As a result of the 2023 Single Audit, the Department of Housing (DOH) received an audit finding related to a missing quarterly report that was not filed for the Emergency Rental Assistance (ERA) Program. Currently, Treasury reporting for ERA is conducted primarily by the Director of Policy, and the ...
As a result of the 2023 Single Audit, the Department of Housing (DOH) received an audit finding related to a missing quarterly report that was not filed for the Emergency Rental Assistance (ERA) Program. Currently, Treasury reporting for ERA is conducted primarily by the Director of Policy, and the Treasury reporting system is not integrated into other DOH grant systems to provide a wider view to DOH contracts and finance staff as to the status of report submissions. As a corrective action, DOH will establish an internal process requiring that quarterly reports, including a time stamp of submission, be saved and circulated to DOH contracts staff by the 15th of the month following the end of each quarter. Acting Director of Policy Stern at Department of Housing will be responsible for ensuring that this corrective action plan is implemented by January 1, 2025.
Finding 2023-003 Condition: The County incorrectly reported expenditures on their annual Project and Expenditure (P&E) report for the fiscal year ending November 30, 2023. There were excluded expenditures and overstated expenditures for various projects. Plan: The County should ensure all expend...
Finding 2023-003 Condition: The County incorrectly reported expenditures on their annual Project and Expenditure (P&E) report for the fiscal year ending November 30, 2023. There were excluded expenditures and overstated expenditures for various projects. Plan: The County should ensure all expenditures incurred within the fiscal year are included on the annual report. Name of Contact Person: Nikki Lohman, Treasurer Management Response: The County will work closer with Bellwether to ensure the expenditures are matching and included in the report. Anticipated Date of Completion: Ongoing Analysis
View Audit 316353 Questioned Costs: $1
2023-007: Special Tests & Provisions Federal Program Title: Student Financial Assistance Cluster Assistance Listing Number: Various Type of Finding: Significant Deficiency in Internal Control over Compliance Other Ma...
2023-007: Special Tests & Provisions Federal Program Title: Student Financial Assistance Cluster Assistance Listing Number: Various Type of Finding: Significant Deficiency in Internal Control over Compliance Other Matters Recommendation: ISU should implement procedures to ensure that enrollment data, changes in status and effective dates within NSLDS match the records of the intuition and are reported timely. We also recommend that the University implement a formal review procedure to document the review process. Explanation of disagreement with audit finding: There is no disagreement with the audit finding. Action taken in response to finding: During our discussion, it became apparent that a significant portion of the findings pertaining to the Office of the Registrar stemmed from enrollment status change not being reported to NSLDS within 60 days. To remedy this, we have added three new automated enrollment uploads right after the upload of the graduation file respectively in Fall, Spring and Summer. The three automated enrollment uploads to be sent to NSLDS are scheduled as follows: 1. On February 16; 2. On June 3; 3. On September 1. Name(s) of the contact person(s) responsible for corrective action: Hala Abou Arraj, Registrar Planned completion date for corrective action plan: Implemented in February 2024
2023-006: Eligibility Federal Program Title: Student Financial Assistance Cluster Assistance Listing Number: Various Type of Finding: Material Weakness Other Matters Recommendation: ISU should evaluate its procedure...
2023-006: Eligibility Federal Program Title: Student Financial Assistance Cluster Assistance Listing Number: Various Type of Finding: Material Weakness Other Matters Recommendation: ISU should evaluate its procedures around disbursement of loans and ensure that notifications of disbursements are sent and contain all of the required elements outline in the FSA handbook. Explanation of disagreement with audit finding: There is no disagreement with the audit finding. Action taken in response to finding: To meet requirements outlined in 34 CFR 668.165, ISU includes information in a student’s award notification email and in their MyISU portal of pertinent Direct Loan information including their “Award Payment Schedule” and what steps to take to accept, decline or modify their award offers. Additionally, in July 2023, ISU implemented an automated email notification in our daily job scheduler, AppWorx, that is sent on each date of disbursement to student Direct Loan borrowers and parent borrowers of Direct Parent PLUS (added Feb 2024) notifying them of the disbursement and reminding them what they need to do to revise or cancel the loan disbursement. Name(s) of the contact person(s) responsible for corrective action: James Martin, Director of Financial Aid Planned completion date for corrective action plan: Implemented in December 2023.
2023-005: Special Tests & Provisions Federal Program Title: Student Financial Assistance Cluster Assistance Listing Number: Various Type of Finding: Significant Deficiency in Internal Control over Compliance Other Matte...
2023-005: Special Tests & Provisions Federal Program Title: Student Financial Assistance Cluster Assistance Listing Number: Various Type of Finding: Significant Deficiency in Internal Control over Compliance Other Matters Recommendation: ISU should review the requirements and implement a monitoring control to monitor the checks throughout the year. In addition, for the checks outstanding greater than 240 days, the University should return the funding to the U.S. Department of Education. Explanation of disagreement with audit finding: There is no disagreement with the audit finding. Action taken in response to finding: ISU reopened the prior financial aid years in COD and completed returns of federal aid funds via G5/6 from identified outstanding checks. ISU has implemented the following monitoring controls: At the beginning of each month finance runs check reissue forms for all checks that the check date is 180 days or older. These are mailed to the check recipient. Around the 15th of the month any checks containing Title IV funds that have not been reissued will be turned to the financial aid office. Financial Aid is provided with the date by which the funds need to be returned. Financial Aid attempts to work with the student to get the checks cashed if they are not successful will return funds before the 240-day limit. They will then notify Finance to cancel the original check. Name(s) of the contact person(s) responsible for corrective action: Lisa Leyshon, AVP Finance/Controller, James Martin, Director of Financial Aid Planned completion date for corrective action plan: Implemented in 2020.
View Audit 316332 Questioned Costs: $1
2023-004: Suspension Debarment Federal Program Title: Research and Development Cluster Assistance Listing Number: Various Type of Finding: Significant Deficiency in Internal Control over Compliance Other Matters Rec...
2023-004: Suspension Debarment Federal Program Title: Research and Development Cluster Assistance Listing Number: Various Type of Finding: Significant Deficiency in Internal Control over Compliance Other Matters Recommendation: ISU should evaluate its procedures and implement an additional control to insure verification checks are occurring prior to entering into contract with a vendor/subrecipient. Explanation of disagreement with audit finding: There is no disagreement with the audit finding. Action taken in response to finding: ISU has implemented PaymentWorks, a third-party vendor processing system that does 24-7 sanction and debarment checking. This is conducted on all ISU vendors that onboard through PaymentWorks. All ISU contracts will be processed through Jaggaer, which requires a Banner ID#. All vendors will be imitated through PaymentWorks. Accounts Payable checks sanction alerts in PaymentWorks and follows up with issues. Name(s) of the contact person(s) responsible for corrective action: Lisa Leyshon, AVP Finance/Controller and Kirsten Broughton, Director Grant Accounting Planned completion date for corrective action plan: Implemented in April 2024.
2023-002: Cash Management-Subrecipient Federal Program Title: Research and Development Cluster Assistance Listing Number: Various Type of Finding: Significant Deficiency in Internal Control over Compliance Other Matt...
2023-002: Cash Management-Subrecipient Federal Program Title: Research and Development Cluster Assistance Listing Number: Various Type of Finding: Significant Deficiency in Internal Control over Compliance Other Matters Recommendation: ISU should evaluate its procedures and implement an additional control to review and approve the subrecipient reimbursements timely. Explanation of disagreement with audit finding: There is no disagreement with the audit finding. Action taken in response to finding: Grant accounting staff will follow payment requests through the system to make sure payments are made in a timely manner. Name(s) of the contact person(s) responsible for corrective action: Kirsten Broughton, Director Grant Accounting Planned completion date for corrective action plan: Implemented in FY24
DEPARTMENT OF HEALTH AND HUMAN SERVICES 2023-001: Reporting Federal Program Titles: Every Student Succeeds/Preschool Development Grants Primary Care Training and Enhancement Assistance Listing Number: 93.884 & 93.434 ...
DEPARTMENT OF HEALTH AND HUMAN SERVICES 2023-001: Reporting Federal Program Titles: Every Student Succeeds/Preschool Development Grants Primary Care Training and Enhancement Assistance Listing Number: 93.884 & 93.434 Type of Finding: Significant Deficiency in Internal Control over Compliance Recommendation: ISU should implement formal review procedures to document review and approvals over required reports. Explanation of disagreement with audit finding: There is no disagreement with the audit finding. Action taken in response to finding: ISU had a formal review procedure in place, but due to personnel changes it was not being followed. Staff has been trained and procedures will be followed. Name(s) of the contact person(s) responsible for corrective action: Kirsten Broughton, Director Grant Accounting Planned completion date for corrective action plan: Implemented FY24
2023-003 - REPORTING Recommendation: We recommend that the Council implement controls and policies and procedures over financial reporting to ensure compliance with federal reporting requirements. Action Taken: The Executive Director will review and approve all financial reporting documents befo...
2023-003 - REPORTING Recommendation: We recommend that the Council implement controls and policies and procedures over financial reporting to ensure compliance with federal reporting requirements. Action Taken: The Executive Director will review and approve all financial reporting documents before submission. Since identified in the report, the Fiscal Officer has provided the Executive Director all previous fiscal year 2023 and 2024 financial reports for review and approval, if needed.
2023-002 - ALLOWABILITY Recommendation: We recommend the Council implement controls to ensure expenditures are properly reviewed and approved before being charged to a federal award. Action Taken: The Council has added an additional step to the approval/review process. Once the expenditure (inv...
2023-002 - ALLOWABILITY Recommendation: We recommend the Council implement controls to ensure expenditures are properly reviewed and approved before being charged to a federal award. Action Taken: The Council has added an additional step to the approval/review process. Once the expenditure (invoice) has been approved, the Fiscal Officer scans the documentation and labels it by date paid. Hard copy files go into a secure file. The electronic copy is saved in a secured shared file.
Finding 479800 (2023-004)
Material Weakness 2023
FINDING 2023-004 Finding Subject: COVID-19 – Coronavirus State and Local Fiscal Recovery Funds – Reporting Summary of Finding: The County submitted the P&E report by April 30, 2023, as required; however, there were no internal controls in place that would likely be effective in preventing, or detect...
FINDING 2023-004 Finding Subject: COVID-19 – Coronavirus State and Local Fiscal Recovery Funds – Reporting Summary of Finding: The County submitted the P&E report by April 30, 2023, as required; however, there were no internal controls in place that would likely be effective in preventing, or detecting and correcting, noncompliance related to the P&E report. The County Auditor prepared and submitted the report without an oversight or review process. We recommended that management of the County design and implement a proper system of internal controls, including policies and procedures to ensure that the County provides the Treasury with complete and accurate information for the P&E report. Contact Person Responsible for Corrective Action: Mary Brown Contact Phone Number and Email Address: 765-472-3901 Ext. 1240 and mbrown@miamicountyin.gov Views of Responsible Officials: We concur with the finding. Description of Corrective Action Plan: Due to an oversight, the reporting for ARPA funding was not reviewed by another person after entering the data for reporting. It was my understanding, based on data entered when initial reporting began, a copy of the information also went to the Chairman of Board of Commissioners, however, it was later determined a copy was not sent. For future reporting, we will ensure someone else reviews the information prior to final submission. Anticipated Completion Date: January 2025
CONDITION: The District did not maintain a general ledger system of accounting for its Cafeteria Fund which reports the financial activity of the federal National School Lunch and School Breakfast Programs. The financial activity occurring in this Fund is maintained in checkbook fashion during the f...
CONDITION: The District did not maintain a general ledger system of accounting for its Cafeteria Fund which reports the financial activity of the federal National School Lunch and School Breakfast Programs. The financial activity occurring in this Fund is maintained in checkbook fashion during the fiscal year. This is a repeat finding (2022-004) from the previous fiscal year. CRITERIA: Prudent internal control over accounting for federal program funds requires non-federal organizations such as the School District to maintain financial records which account for federal funds in such a manner as to be able to properly track the receipt and use of federal funds as stated in Section 2 CFR Part 200 of the Uniform Guidance. Best practices suggest that the use of a general ledger system of accounting would enable the District to aggregate financial information involving federal funds during the fiscal year in such a manner to properly manage, monitor, and report the financial activity in compliance with federal program guidelines. RECOMMENDATION: The District’s accounting software can readily account for the financial activity of all Funds in a manner like the District’s General Fund. I am recommending that the management of the School District utilize the accounting software to enter the financial activity (Receipts and Disbursements) of the Cafeteria Fund in a manner like the General Fund. This procedure will significantly enhance the District-wide internal controls over financial reporting for the Cafeteria Fund, as well as provide management the ability to produce meaningful financial reports reflecting the activity in the Cafeteria Fund for prudent oversight by the Board of Education. In addition, this procedure will enable the District to comply with the recordkeeping requirements for federal funds as specified in Section 2 CFR Part 200 of the Uniform Guidance. MANAGEMENT’S CORRECTIVE ACTION PLAN: District management is reviewing its current system of processing the transactions for the Cafeteria Fund to determine the most efficient and effective manner for implementation of a general ledger system of accounting for this Fund as opposed to its current manual process. It is anticipated that the conversion of this Fund into the District’s accounting software can be completed during the 2024-2025 fiscal year to enable the District to comply with the recordkeeping requirements for federal funds as specified in 2 CFR Part 200 of the Uniform Guidance.
CONDITION: The District did not properly record its federal program expenditures for the ESSER and ARP ESSER federal grant programs using the various federal funding source expenditure codes as prescribed by the Chart of Accounts for PA Local Educational Agencies maintained by the PA Office of the B...
CONDITION: The District did not properly record its federal program expenditures for the ESSER and ARP ESSER federal grant programs using the various federal funding source expenditure codes as prescribed by the Chart of Accounts for PA Local Educational Agencies maintained by the PA Office of the Budget, Office of Comptroller Operations. This is a repeat finding (2022-005) from the previous fiscal year. CRITERIA: The Pennsylvania Department of Education (PDE), through the PA Office of the Budget, Office of Comptroller Operations Chart of Accounts requires School Districts to utilize specific funding source codes for federal program expenditures. In addition, Section 2 CFR 200.302(a) and 302(b) of the Uniform Guidance requires non-federal organizations such as the School District to maintain financial records which account for federal funds in such a manner as to be able to properly track the identification and use of federal funds. RECOMMENDATION: I am recommending that the School District properly follow the guidance contained within the PA Office of the Budget, Office of Comptroller Operations Chart of Accounts for recording all expenditures of the School District, most specifically, federal program grant expenditures to 1) enhance internal controls for tracking and monitoring federal program expenditures and 2) comply with the recordkeeping requirements for federal funds as specified in Section 2 CFR Part 200.302(a) and 302(b) of the Uniform Guidance and PDE regulations. MANAGEMENT’S CORRECTIVE ACTION PLAN: District management is in the process of revising its chart of accounts in the general ledger to properly reflect the funding source codes for federal program expenditures, and other available funding source codes (state and local) as applicable to the District. It is anticipated that the updated chart of accounts will be utilized by the District starting with the 2024-2025 fiscal year to enable the District to enhance its internal controls for tracking and monitoring federal program expenditures and to comply with the recordkeeping requirements for federal funds as specified in Section 2 CFR Part 200.302(a) and 302(b) of the Uniform Guidance and PDE regulations.
Community Development Block Grants – Assistance Listing No. 14.228 Recommendation: We recommend that the Council record federal expenditures on the SEFA under the program in the year upon which the loan disbursement occurs using the proper report from NLF’s loan management software. Explanation of d...
Community Development Block Grants – Assistance Listing No. 14.228 Recommendation: We recommend that the Council record federal expenditures on the SEFA under the program in the year upon which the loan disbursement occurs using the proper report from NLF’s loan management software. Explanation of disagreement with audit finding: There is no disagreement with the audit finding. Action taken in response to finding: The Fiscal Office will work with the Program Director to ensure the proper report is used to identify actual loan disbursements, rather than agreed upon loan amounts, if different, for future SEFA preparation. Name(s) of the contact person(s) responsible for corrective action: Anita Cameron, NLF Director and Becky Walter, Finance Director Planned completion date for corrective action plan: December 31, 2024
Allegany County has developed an improved procedure to ensure financial reports are submitted within the due date. Plan includes discussions with department heads in order to better improve and understand the complex reporting process that is required by the funding agency.
Allegany County has developed an improved procedure to ensure financial reports are submitted within the due date. Plan includes discussions with department heads in order to better improve and understand the complex reporting process that is required by the funding agency.
Community Action Partnership of Ramsey and Washington Counties (CAPRW) acknowledges this finding and has implemented processes and procedures to ensure more stringent financial oversight controls. Under the direction of its new executive director, CAPRW is in the process of hiring a permanent financ...
Community Action Partnership of Ramsey and Washington Counties (CAPRW) acknowledges this finding and has implemented processes and procedures to ensure more stringent financial oversight controls. Under the direction of its new executive director, CAPRW is in the process of hiring a permanent finance director and additional finance staff. CAPRW has implemented month-end meetings with directors, finance, and the executive director to ensure timely, consistent, and accurate reconciliation. The Organization strives to present accurate and transparent records. If the U.S. Department of Health and Human Services or the United States Department of Justice has questions regarding this plan, please call Sonia Gass, Executive Director, at 651-603-5950.
View Audit 316248 Questioned Costs: $1
Grantee Response and Corrective Action Plan: We concur with this finding and have implemented measures to mitigate the repetition of additional occurrences. In July 2023, the Accounting Manager, Grants Manager, and Grants Supervisor attended the 2023 Southern Grants Forum in Nashville, TN. This in...
Grantee Response and Corrective Action Plan: We concur with this finding and have implemented measures to mitigate the repetition of additional occurrences. In July 2023, the Accounting Manager, Grants Manager, and Grants Supervisor attended the 2023 Southern Grants Forum in Nashville, TN. This investment in training assisted these key employees in understanding and implementing procedures to effectively match Federal Grant awards. We have updated our Policy and Procedures Manual to reflect a new policy of matching Federal Grant awards with non‐federal funding. The Grants Supervisor reviews all invoices submitted by the Grants Manager to ensure compliance with this new policy. Responsible Parties: Kimberly Yoo, CFO Whitney Gillis, Director of RD Mary Guzman, Accounting Supervisor Date Corrected: 7/1/2023
Grantee Response and Corrective Action Plan: We concur with this finding and have implemented measures to mitigate the repetition of additional occurrences. In July 2023, a new policy was implemented that requires employees to record their time as a percentage across all grants in which they work....
Grantee Response and Corrective Action Plan: We concur with this finding and have implemented measures to mitigate the repetition of additional occurrences. In July 2023, a new policy was implemented that requires employees to record their time as a percentage across all grants in which they work. The employee records this allocation at least weekly within a time keeping software system. Employees and supervisors are now required to review and acknowledge payroll allocations across grants by signing weekly timesheets. Timesheets will be retained and used as backup by the Grants Department when invoicing the Grantor for expense reimbursement. In addition, we have updated our Policy and Procedures Manual to reflect this policy. Responsible Parties: Kimberly Yoo, CFO Whitney Gillis, Director of RD Mary Guzman, Accounting Supervisor Date Corrected: 7/1/2023
View Audit 316202 Questioned Costs: $1
DEPARTMENT OF HEALTH AND HUMAN SERVICES 2023 – 003 COVID-19 Provider Relief Funding and American Rescue Plan Rural Payments Recommendation: We recommend the Medical Center design controls to ensure documentation is completed timely and sufficiently on how costs are necessary to respond to COVID-19....
DEPARTMENT OF HEALTH AND HUMAN SERVICES 2023 – 003 COVID-19 Provider Relief Funding and American Rescue Plan Rural Payments Recommendation: We recommend the Medical Center design controls to ensure documentation is completed timely and sufficiently on how costs are necessary to respond to COVID-19. Explanation of disagreement with audit finding: There is no disagreement with the audit finding. Management has identified that the Medical Center has more than a sufficient amount of lost revenues related to COVID-19 to offset this difference. Action taken in response to finding: The Medical Center will ensure that controls are put into place to capture Covid specific costs in accordance with HHS guidelines. Name of the contact person responsible for corrective action: Kayla Chamberlin, Controller Planned completion date for corrective action plan: July 1, 2023
During the period being audited internal controls for program participants documents were not reviewed by the former Executive Director. The new Executive Director has implemented a check and balance procedure that requires the Case Manager, Program Manager, and Executive Director to review and sign...
During the period being audited internal controls for program participants documents were not reviewed by the former Executive Director. The new Executive Director has implemented a check and balance procedure that requires the Case Manager, Program Manager, and Executive Director to review and sign off on participant application forms and to be documented on the participants application before the participant can move forward in the program.
Condition and Cause: Due to staff turnover in Finance and the level of workload there were difficulties creating financial statements on a timely basis. Status: The Coalition is implementing a process to prepare, review, and approve financial statements to ensure that financials are reviewed and...
Condition and Cause: Due to staff turnover in Finance and the level of workload there were difficulties creating financial statements on a timely basis. Status: The Coalition is implementing a process to prepare, review, and approve financial statements to ensure that financials are reviewed and approved by Management on a regular basis. Corrective Action: End Abuse will take the following corrective actions: (1) End Abuse will create a process that involves the creation, review, and approval of financial statements. (2) The Finance Director will create the financial statements; the Executive Director or the Associate Director will review and approve them. (3) The Finance Director is currently recruiting for a staff accountant to help ease the workload. (4) The Board of Directors will review financial statements and/or financial reports on a quarterly basis to ensure that proper procedures are followed. Expected Completion Date: September 30, 2024
Finding 479434 (2023-002)
Significant Deficiency 2023
Management has taken sufficient corrective action to resolve and does not believe this will be an issue in the future.
Management has taken sufficient corrective action to resolve and does not believe this will be an issue in the future.
Management will implement the necessary changes to WHCA's policies and procedures.
Management will implement the necessary changes to WHCA's policies and procedures.
CORRECTIVE ACTION PLANNED: We agree with the finding and have begun the process of enacting additional internal controls over the documentation of approval for pay rates. Beginning in August 2023, the Head Start program was administered with management, accounting, and payroll functions independent ...
CORRECTIVE ACTION PLANNED: We agree with the finding and have begun the process of enacting additional internal controls over the documentation of approval for pay rates. Beginning in August 2023, the Head Start program was administered with management, accounting, and payroll functions independent of other Agency programs. These key personnel report directly to the Board of Directors, which will direct staff to thoroughly document the approval of current pay rates for all active employees. The Agency will also enact additional controls to regularly review these records to ensure that, in the future, all required approvals and reviews are evidenced with written documentation. PERSON RESPONSIBLE FOR CORRECTION ACTION: James McCullough, Board President ANTICIPATED COMPLETION DATE: September 30, 2024
« 1 159 160 162 163 413 »