Corrective Action Plans

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Finding 2022‐006 – Special Tests and Provisions Federal Agency Name: United States Department of Agriculture Program Name: Community Facilities Loans and Grants Cluster Federal Assistance Listing #10.766 Finding Summary: The Hospital did not have adequate internal control policies in place to ensure...
Finding 2022‐006 – Special Tests and Provisions Federal Agency Name: United States Department of Agriculture Program Name: Community Facilities Loans and Grants Cluster Federal Assistance Listing #10.766 Finding Summary: The Hospital did not have adequate internal control policies in place to ensure review and approval over the reserve funds, monitoring of all required debt covenants, proper funding of the reserve accounts, or to ensure that proper procedures are followed for obtaining USDA approval for any withdrawals from the debt service reserve funds. Responsible Individuals: Kelly Johnston, CFO Status: The Hospital enhance internal control policies to ensure formal documentation of reviews for the reserve fund reconciliations is retained, monitoring that the required debt covenants are monitored and reviewed, reserve funds are properly funded, and that there are proper procedures in place for obtaining USDA approval for any future withdrawals from the debt service reserve funds. Anticipated Completion Date: 6/30/2024
Finding 2022‐005 – Reporting Federal Agency Name: United States Department of Agriculture Program Name: Community Facilities Loans and Grants Cluster Federal Assistance Listing #10.766 Finding Summary: The Hospital did not submit the quarterly reports for 2022 to the United States Department of Agri...
Finding 2022‐005 – Reporting Federal Agency Name: United States Department of Agriculture Program Name: Community Facilities Loans and Grants Cluster Federal Assistance Listing #10.766 Finding Summary: The Hospital did not submit the quarterly reports for 2022 to the United States Department of Agriculture and the interim financing lender and did not send the annual budget, financial statements, cost report, and debt service reserve calculation to the United States Department of Agriculture. Responsible Individuals: Kelly Johnston, CFO Status: Management will implement policies and procedures surrounding the reporting required under the United States Department of Agriculture loan program as well as provide the required reports on a timely basis to all respective parties. Anticipated Completion Date: 6/30/2024
Finding 2022‐004 – Preparation of Schedule of Expenditures of Federal Awards Federal Agency Name: United States Department of Agriculture Department of Health and Human Services Program Name: Community Facilities Loans and Grants Cluster Federal Assistance Listing #10.766 COVID‐19 Provider Relief Fu...
Finding 2022‐004 – Preparation of Schedule of Expenditures of Federal Awards Federal Agency Name: United States Department of Agriculture Department of Health and Human Services Program Name: Community Facilities Loans and Grants Cluster Federal Assistance Listing #10.766 COVID‐19 Provider Relief Fund and American Rescue Plan Rural Distribution Federal Assistance Listing #93.498 Finding Summary: Proper controls over financial reporting include the ability to prepare the schedule of expenditures of federal awards (Schedule) and accompanying notes to the Schedule. The Hospital does not have an internal control system designed to provide for a complete and accurate Schedule being audited. We were requested to draft the Schedule. Responsible Individuals: Kelly Johnston, CFO Status: It is not cost effective to have an internal control system designed to provide for the preparation of the Schedule and accompanying footnotes. We requested that our auditors, Eide Bailly LLP, prepare the Schedule and accompanying footnotes as a part of their annual audit. We have designated a member of management to review the drafted Schedule and accompanying footnotes. Anticipated Completion Date: Ongoing
Finding 397881 (2022-006)
Significant Deficiency 2022
College will put controls in place between Registrar and Financial Aid to ensure enrollment status of students
College will put controls in place between Registrar and Financial Aid to ensure enrollment status of students
View Audit 306623 Questioned Costs: $1
Finding 397880 (2022-005)
Significant Deficiency 2022
Administration adjusted job responsibilities of current staff and made process changes to work with third party financial aid servicer to validate federal awards prior to submission
Administration adjusted job responsibilities of current staff and made process changes to work with third party financial aid servicer to validate federal awards prior to submission
POF’s initial exposure to Single Audit compliance requirements has sharpened its focus on the need to purposefully identify and maintain corroborating evidence regarding its timely submission and acceptance by each of the respective funding sources. While POF believes that all these reporting requir...
POF’s initial exposure to Single Audit compliance requirements has sharpened its focus on the need to purposefully identify and maintain corroborating evidence regarding its timely submission and acceptance by each of the respective funding sources. While POF believes that all these reporting requirements were timely met and accepted by all funding sources, it did not consistently maintain either the report itself, or the related documentation such as copies of the emails sent or the associated read-receipts as evidence of these reports. Effective July 1, POF will routinely and consistently accumulate and organize these documents as well as ancillary evidence of their transmission to, receipt by, and acknowledgement of acceptance by the federal agency. As it deems necessary, POF will seek professional education and advice in implementing policies, practices, and procedures in addition to those already described herein.
As more fully described above, additional internal control procedures and practices will be implemented effective July 1, 2024, to ensure that underlying cost documentation is adequate, reasonable, and complete in accordance with 2 CFR and other regulatory requirements. More specifically, vendor inv...
As more fully described above, additional internal control procedures and practices will be implemented effective July 1, 2024, to ensure that underlying cost documentation is adequate, reasonable, and complete in accordance with 2 CFR and other regulatory requirements. More specifically, vendor invoices and the like will be scanned and electronically saved on QBO, as incurred. On the other hand, contractors were engaged to perform certain tasks and were not constrained by hours. If the subject service required on-site intervention by the contractor with a POF client at 3 AM, then the contractor was expected to and had agreed to deliver. The contractor would report any such encounters at the subsequent weekly meetings with certain contractors present. Consistent with IRS employer guidelines, POF did not supervise contractors or dictate work habits or work schedules. Instead, POF defined what each contractor was expected to do or deliver. It was incumbent upon the contractor to determine how best to accomplish the assigned and agreed upon duties defined in their jointly signed agreement. POF’s contractors were and are professionals with state credentials, degrees, or certifications which permit them to serve other NPOs or customers as independent contractors. In many cases, their work products were summarized during the previously mentioned POF weekly meetings and transmitted to Wright State University (now the Ohio State University) where the data were aggregated independently by these contracted third parties and made available to POF’s funders. Effective July 1, 2024, copies pf these weekly report summaries will be routinely saved to provide further evidence of POF’s monitoring of contractors’ activities and adherence to contract terms.
View Audit 306345 Questioned Costs: $1
Views of Responsible Officials and Planned Corrective Actions: This unallowable expense was charged inadvertently, and corrections have been made. Astraea is in discussion with the Federal agency about appropriate adjustments to account for this and will take subsequent action per Federal agency ins...
Views of Responsible Officials and Planned Corrective Actions: This unallowable expense was charged inadvertently, and corrections have been made. Astraea is in discussion with the Federal agency about appropriate adjustments to account for this and will take subsequent action per Federal agency instructions. In addition, Astraea is in current discussions with USAID to update the current agreement so that a 10% de minimis overhead cost allocation will be explicitly allowed. Further, Astraea is seeking a NICRA in FY2025. Anticipated Completion Date: June 30, 2024 Responsible Officials: Associate Director, Grants Management and Compliance; Associate Director, Partnerships
Views of Responsible Officials and Planned Corrective Actions: All Astraea staff members are required to complete timesheets. Astraea’s internal processes were reviewed and overhauled in December 2021 (midway through FY2022) to include participation of all departments. Department heads determine how...
Views of Responsible Officials and Planned Corrective Actions: All Astraea staff members are required to complete timesheets. Astraea’s internal processes were reviewed and overhauled in December 2021 (midway through FY2022) to include participation of all departments. Department heads determine how their direct reports would spend time on various Astraea work streams and projects, and ensure that budgeted dollars are available to cover time. This information is detailed in a level of effort (LOE) spreadsheet tracked against timesheets and budgets regularly. This process has been implemented since January 2022. However, our human resources information systems were not able to support all of these process changes and instituting regular updates to the LOE spreadsheet and timesheet allocations remained highly manual processes. Currently, Astraea is undertaking a multi-phase technology and information systems transformation process. In April 2024, after months of preparation, Astraea has moved to a new Professional Employment Organization whose applications allows the Finance team to review and revise the LOE spreadsheet and timesheet allocations in a more timely manner with less administrative burden. Anticipated Completion Date: January 31, 2025 Responsible Official: Associate Director, Grants Management and Compliance, Assistant Controller
The Authority expects to issue its 2023 financial statements prior to June 2024
The Authority expects to issue its 2023 financial statements prior to June 2024
The Authority expects to issue its 2023 financial statements prior to June 2024
The Authority expects to issue its 2023 financial statements prior to June 2024
View of Responsible Officials and Planned Corrective Actions - The primary Senior Accountant assigned for the day-to day accounting semi-retired, working reduced hours. The impact of COVID-19 continues to present challenges in staffing required to accomplish all the tasks in a timely manner. A repla...
View of Responsible Officials and Planned Corrective Actions - The primary Senior Accountant assigned for the day-to day accounting semi-retired, working reduced hours. The impact of COVID-19 continues to present challenges in staffing required to accomplish all the tasks in a timely manner. A replacement senior accountant has been hired and has been in training by the semi-retired senior accountant to assume all of the day-to-day accounting duties. The workload of the senior accountant will be monitored to ensure future audits are issued in a timely basis.
2022-003 Loan Reserve Requirement Non-Compliance The Chairman of the Tongue River Valley Joint Powers Board will continue to work with USDA-RD to find ways to address this issue. This has been an ongoing process since June 2022.
2022-003 Loan Reserve Requirement Non-Compliance The Chairman of the Tongue River Valley Joint Powers Board will continue to work with USDA-RD to find ways to address this issue. This has been an ongoing process since June 2022.
Finding 2022-005 Federal Agency Name: Department of Agriculture Assistance Listing Number: #10.766 Program Name: Community Facilities Loans and Grants Cluster Compliance Requirement: Special Tests and Provisions Finding Summary: The Hospital did not sufficiently fund their reserve account. As o...
Finding 2022-005 Federal Agency Name: Department of Agriculture Assistance Listing Number: #10.766 Program Name: Community Facilities Loans and Grants Cluster Compliance Requirement: Special Tests and Provisions Finding Summary: The Hospital did not sufficiently fund their reserve account. As of December 31, 2022, the Hospital should have USDA debt reserves at least equal to $320,669. Responsible Individuals: Douglas B. Lewis, CFO Corrective Action Plan: Management will review the reserve account requirements and ensure appropriate contributions are made during the fiscal year.
Finding 2022-002, ALN 21.027 Coronavirus State and Local Fiscal Recovery Funds Following the comprehensive audit conducted on the CWWAPP 1.0 disbursement Year Ended June 30, 2022, the following exceptions have been identified that require immediate attention. Below is a summary of the exceptions obs...
Finding 2022-002, ALN 21.027 Coronavirus State and Local Fiscal Recovery Funds Following the comprehensive audit conducted on the CWWAPP 1.0 disbursement Year Ended June 30, 2022, the following exceptions have been identified that require immediate attention. Below is a summary of the exceptions observed: Summary of Exceptions: 1.Credits applied for electric and secondary water disbursements exceeded the prescribed 60-day timeframe. 2.Recalculation of eligible credits for three out of sixty samples resulted in awarded amounts surpassing the calculated eligibility, leading to questioned costs (i.e., over award). Corrective Action Plan: 1.In order to ensure adherence to the stipulated 60-day window for credit applications, for the upcoming CWWAPP arrearage funding we have initiated immediate testing of bill notices upon receipt of the CWWAPP 2.0 disbursement check. Simultaneously, a secondary query has been implemented to validate consistency between the initial query and the present data. Should any discrepancies or technical issues arise, we will promptly seek extension from the State Water Resources Control Board (SWRCB) to facilitate timely funding. 2.To mitigate the risk of over awarding eligible customers, a final query will be conducted prior to disbursement to confirm the accuracy of awarded amounts for each eligible account. We are committed to implementing these corrective measures swiftly and effectively to uphold compliance standards and improve efficiency within the framework of the SWRCB and CWWAPP. Responsible Official: Jeff Sparks Assistant Customer Service Manager Corrective Action Plan Implementation Date: May 17th, 2024
View Audit 305456 Questioned Costs: $1
Finding #2022-001 Eligibility Program: Home Investment Partnership Program (CFDA # 14.239) Condition: During the test work over continuing eligibility requirements for loan recipients of the program, it was noted that the City did not have sufficient controls in place nor were adequate records maint...
Finding #2022-001 Eligibility Program: Home Investment Partnership Program (CFDA # 14.239) Condition: During the test work over continuing eligibility requirements for loan recipients of the program, it was noted that the City did not have sufficient controls in place nor were adequate records maintained to verify that the property was the principal residence of the homebuyer during the period of affordability described in the finding. Corrective Action: During fiscal year 2022, the Department underwent a reorganization as the City Council approved the establishment of two separate departments, Housing & Community Development and Economic Development. In April 2022, the Department contracted with Keyser Marston and Associates to train newly hired staff to assist the Department with Loan portfolio monitoring and to ensure on-going compliance. In addition, the Department will be implementing new procedures through a program called Neighborly to facilitate and streamline the process for all outstanding loans. The Neighborly program will assist with loan tracking, communicating with loan participants and obtaining annual compliance certifications. The Department will be focusing its resources to ensure ongoing compliance and plans to close this finding in fiscal year 2023. Contact Person: Andy Nogal, Deputy Director Anticipated Completion Date: June 2023
View Audit 305456 Questioned Costs: $1
Action Taken: The Organization is generally identified and approached by Federal agencies, or prime contractors having or considering federal agencies, to utilize grant funding for NFFCMH contracts. The Organization works with trusted partners, each having a unique or specialized forte within the g...
Action Taken: The Organization is generally identified and approached by Federal agencies, or prime contractors having or considering federal agencies, to utilize grant funding for NFFCMH contracts. The Organization works with trusted partners, each having a unique or specialized forte within the grant requirements, to assemble a joint team of providers. Many of these partners are, due to repeated utilization and unique recognition within their field, uniquely qualified, or the true only option, for their areas of expertise. The Organization has revised the procurement policy to comply with Uniform Guidance, as opposed to the Federal Acquisition Regulations.
Action Taken: The Organization is now aware that utilization of budget estimates is not allowed for charging payroll and will utilize proper accounting treatment going forward.
Action Taken: The Organization is now aware that utilization of budget estimates is not allowed for charging payroll and will utilize proper accounting treatment going forward.
Action Taken: While the Organization does verify on an annual basis that the Vendor is not excluded or disqualified, that will be documented going forward. Additionally, while we did verify with the first utilization of these long-utilized service providers, those service providers will be verifie...
Action Taken: While the Organization does verify on an annual basis that the Vendor is not excluded or disqualified, that will be documented going forward. Additionally, while we did verify with the first utilization of these long-utilized service providers, those service providers will be verified on an annual basis and documented going forward.
Finding 2022-003 Federal Agency Name: Department of Housing and Urban Development Program Name: Block Grants for Community mental Health Services Federal Financial Assistance Listing: #93.958 Finding Summary: The Organization did not have adequate internal controls to ensure matching expenses were a...
Finding 2022-003 Federal Agency Name: Department of Housing and Urban Development Program Name: Block Grants for Community mental Health Services Federal Financial Assistance Listing: #93.958 Finding Summary: The Organization did not have adequate internal controls to ensure matching expenses were appropriately tracked to meet award requirements. In addition, it was identified that all expenses did not have adequate documentation supporting the review and approval of the amounts meeting the matching requirements. Additionally, select payroll allocations did not have supporting documentation for the amounts allocated to the program. Responsible Individuals: Nancy Burke, CEO Corrective Action Plan: We will implement controls and processes to appropriately track and monitor matching requirements in each period for all awards. In addition, we will implement approval processes to ensure proper qualification for the match requirements and allocations. Anticipated Completion Date: December 31, 2023
ALN: 14.871 - Housing Choice Voucher Cluster - Reporting Management acknowledged the finding and will follow the Auditor's recommendations as listed in the Schedule of Findings and Questioned Costs. Person Responsible for Correction of Finding: Ms. Angela Childers, Chief Executive Officer Projected ...
ALN: 14.871 - Housing Choice Voucher Cluster - Reporting Management acknowledged the finding and will follow the Auditor's recommendations as listed in the Schedule of Findings and Questioned Costs. Person Responsible for Correction of Finding: Ms. Angela Childers, Chief Executive Officer Projected Completion Date: March 31, 2025
Treasurer is now reconciling escrow accounts and recording the revenues and expenses correctly.
Treasurer is now reconciling escrow accounts and recording the revenues and expenses correctly.
2022-007 – TITLE I – INADEQUATE SUPPORTING DOCUMENTATION– ALN 84.010 – SIGNIFICANT DEFICIENCY & OTHER NONCOMPLIANCE FINDING TYPE: SIGNIFICANT DEFICIENCY & OTHER NONCOMPLIANCE Finding 2022-007 Federal Program: Title I ALN: 84.010 Federal Award Number(s) and Year(s): S010A200034, 2022 Federal Agency:...
2022-007 – TITLE I – INADEQUATE SUPPORTING DOCUMENTATION– ALN 84.010 – SIGNIFICANT DEFICIENCY & OTHER NONCOMPLIANCE FINDING TYPE: SIGNIFICANT DEFICIENCY & OTHER NONCOMPLIANCE Finding 2022-007 Federal Program: Title I ALN: 84.010 Federal Award Number(s) and Year(s): S010A200034, 2022 Federal Agency: U.S. Department of Education Questioned Cost: $7,591 Condition: We were unable to verify whether 6 of 60 expenditures totaling $7,591 were for costs allowed under the Title I grant. When projected against the total population of $1,628,283, the total projected error is $15,939. Corrective Action Plan: Agreed. WBSD#7 created a new Grants Coordinator position in July 2023 with one of the specific responsibilities for that position being oversight of all Federal Title programs. This oversight responsibility includes monitoring expenditures to ensure all expenditures are allowable within the parameters of each program and also that proper documentation for those expenditures has been maintained. Anticipated Completion Date: • Fiscal Year 2024
View Audit 304345 Questioned Costs: $1
CRDF Global will take the following actions to address this finding: • Update CRDF’s timekeeping policy to specifically address direct vs. indirect activities. • Train leadership and all staff in timekeeping compliance with a special emphasis on 2 CFR 200.460, Proposal Costs. • Coach all employees o...
CRDF Global will take the following actions to address this finding: • Update CRDF’s timekeeping policy to specifically address direct vs. indirect activities. • Train leadership and all staff in timekeeping compliance with a special emphasis on 2 CFR 200.460, Proposal Costs. • Coach all employees on CRDF Global’s issue escalation opportunities. • Will implement correction(s) and have already communicated with impacted stakeholders.
Finding 394031 (2022-005)
Significant Deficiency 2022
Finding 2022-005 Review of Reporting – Significant Deficiency in Internal Control over Compliance Planned Corrective Actions: All reporting will be reviewed by at least one other staff member to ensure accuracy prior to submission. Individual(s) Responsible for Corrective Action Plan Elizabeth Fisch...
Finding 2022-005 Review of Reporting – Significant Deficiency in Internal Control over Compliance Planned Corrective Actions: All reporting will be reviewed by at least one other staff member to ensure accuracy prior to submission. Individual(s) Responsible for Corrective Action Plan Elizabeth Fischer (Finance Director) Jenna deLumeau (Controller) Anticipated Completion Date: This has been completed.
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