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Corrective Action Plans

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Finding 60339 (2022-003)
Significant Deficiency 2022
City of Fort Walton Beach, Florida
FL
Questioned Costs Cash Management Matching / Level of Effort / Earmarking § 200.303
Management concurs and will revisit policies and procedures relating to grant administration to ensure that supervisory review procedures are performed.
Management concurs and will revisit policies and procedures relating to grant administration to ensure that supervisory review procedures are performed.
View Audit 56332
Finding 60333 (2022-001)
Significant Deficiency 2022
Saint Francis University
PA
Student Financial Aid Questioned Costs Matching / Level of Effort / Earmarking
Finding 2022-001: Return of Title IV Funds Federal Program: Student Financial Assistance Cluster, Federal Direct Student Loan Program, Federal Pell Grant Program Federal Agency: U.S. Department of Education Pass-Through Entity: Not Applicable Assistance Listing Number: 84.268, 84.063 Federal Award ...
Finding 2022-001: Return of Title IV Funds Federal Program: Student Financial Assistance Cluster, Federal Direct Student Loan Program, Federal Pell Grant Program Federal Agency: U.S. Department of Education Pass-Through Entity: Not Applicable Assistance Listing Number: 84.268, 84.063 Federal Award Year: June 30, 2022 Corrective Action Taken The University?s Interim Financial Aid Director, Stephanie Schrift, has required all Student Financial Services staff to attend virtual trainings on the return of Title IV funds process in April 2023. In addition, Stephanie Schrift (Interim Director) will process all R2T4s via COD's calculator and Elizabeth Susick (Assistant Director) will verify and sign off on the calculations once complete. This will provide a two-step validation procedure for all R2T4 returns.
View Audit 54570
Finding 60273 (2022-007)
Material Weakness 2022
City of Detroit, Michigan
MI
Questioned Costs Subrecipient Monitoring Eligibility § 200.303
Finding Number: 2022-007 Federal Program, Assistance Listing Number and Name: ALN 14.241, Department of Housing and Urban Development, Housing Opportunities for Persons With Aids (HOPWA) and COVID-19 HOPWA Condition: Original Finding Description: In conjunction with eligibility testing, instances of...
Finding Number: 2022-007 Federal Program, Assistance Listing Number and Name: ALN 14.241, Department of Housing and Urban Development, Housing Opportunities for Persons With Aids (HOPWA) and COVID-19 HOPWA Condition: Original Finding Description: In conjunction with eligibility testing, instances of noncompliance specific to the rental assistance calculation were identified. Contact Person Responsible for Corrective Action: Denise Fair and Angelique Tomsic Anticipated completion date: July 2023 Planned Corrective Action: In FY23, the City implemented a review of 100% of clients who received subsidy services. The intensive review is being performed to help ensure all required documents are saved and accurate. A corrective action plan will be documented and further reviews put in place to help ensure compliance and consistency for all rental calculations. The city will also continue to work with its contractor on process improvements. In addition, as part of the AFCAP process, the City will work with the department to perform internal reviews to help ensure processes are being followed
View Audit 49776
Finding 60260 (2022-006)
Material Weakness 2022
City of Detroit, Michigan
MI
Eligibility Internal Control / Segregation of Duties Questioned Costs § 200.303
Finding Number: 2022-006 Federal Program, Assistance Listing Number and Name: ALN 10.557, Department of Agriculture, Special Supplemental Nutrition Program for Women, Infants and Children (WIC) Condition: Original Finding Description: The City of Detroit did not have adequate controls in place to ex...
Finding Number: 2022-006 Federal Program, Assistance Listing Number and Name: ALN 10.557, Department of Agriculture, Special Supplemental Nutrition Program for Women, Infants and Children (WIC) Condition: Original Finding Description: The City of Detroit did not have adequate controls in place to exercise its oversight responsibility of eligibility determinations that were performed by a contractor for the program. Contact Person Responsible for Corrective Action: Denise Fair Anticipated completion date: July 2023 Planned Corrective Action: The City will implement controls to ensure that Health Department provides oversight of the contractor and the participant eligibility process. The Health Department has hired a WIC Program Director who will monitor participant eligibility compliance and ensure that eligibility policies and procedures are maintained and followed. Through the AFCAP project process, the City will also review the contract in detail to help ensure full compliance
View Audit 49776
Finding 60099 (2022-003)
Material Weakness 2022
Dekalb County
IN
Internal Control / Segregation of Duties Allowable Costs / Cost Principles Material Weakness § 200.303
FINDING 2022-003 Contact Person Responsible for Corrective Action: Susan Sleeper Contact Phone Number: 260-925-2362 Views of Responsible Official: I concur with the finding. Description of Corrective Action Plan: New Internal Controls will be implemented, with review of the COIVD-19 annual report pr...
FINDING 2022-003 Contact Person Responsible for Corrective Action: Susan Sleeper Contact Phone Number: 260-925-2362 Views of Responsible Official: I concur with the finding. Description of Corrective Action Plan: New Internal Controls will be implemented, with review of the COIVD-19 annual report prior to submission with email correspondence kept as documentation. Anticipated Completion Date: 06/30/2023
View Audit 54438
California-Nevada Electrical Joint Apprenticeship & Training Trust Fd.
CA
Questioned Costs Procurement, Suspension & Debarment Allowable Costs / Cost Principles
Finding 2022-001 - Procurement Policy Management?s or Department?s Response: Management was unaware of the Uniform Guidance written policy requirements and agrees with the finding. View of Responsible Officials and Corrective Action: We are currently working on separate written policies specific...
Finding 2022-001 - Procurement Policy Management?s or Department?s Response: Management was unaware of the Uniform Guidance written policy requirements and agrees with the finding. View of Responsible Officials and Corrective Action: We are currently working on separate written policies specifically for federal awards to be in compliance with the Uniform Guidance. Our next quarterly Board of Trustees meeting is tentatively scheduled for September 6, 2023 at which time we plan on presenting and having the Board approve the policies to be implemented. Contact Information of Responsible Official: Christina Morris, Controller/Office Manager, and James Skinner, Executive Director. Implementation Date: September 7, 2023.
View Audit 55598
County of Siskiyou
CA
Subrecipient Monitoring Matching / Level of Effort / Earmarking Program Income
2022-001 Community Development Block Grants/State?s Program and Non-Entitlement in Hawaii We recommend that the County develop a program to monitor compliance with the loan provisions in accordance with the County Loan Servicing Policies and Procedures. Management?s Response: The County concurs wi...
2022-001 Community Development Block Grants/State?s Program and Non-Entitlement in Hawaii We recommend that the County develop a program to monitor compliance with the loan provisions in accordance with the County Loan Servicing Policies and Procedures. Management?s Response: The County concurs with the recommendation. Responsible Individual: Diane Olson, Auditor-Controller Corrective Action Plan: We will implement a process to review loan documents. Anticipated Completion Date: June 30, 2023
View Audit 56168
Finding 60076 (2022-001)
Significant Deficiency 2022
University of the Cumberlands, Inc.
KY
Student Financial Aid Reporting Significant Deficiency
Corrective Action Plan Year Ended June 30, 2022 Findings from the 2021-2022 Audit The Auditor's Report on Compliance for Each Major Program and on Internal Control over Compliance required by the Uniform Guidance noted one finding from the 2021-2022 audit: Finding 2022-001. 2022-001 Significant Defi...
Corrective Action Plan Year Ended June 30, 2022 Findings from the 2021-2022 Audit The Auditor's Report on Compliance for Each Major Program and on Internal Control over Compliance required by the Uniform Guidance noted one finding from the 2021-2022 audit: Finding 2022-001. 2022-001 Significant Deficiency: National Student Loan Data System (NSLDS) Report (U.S. Department of Education, William D. Ford Direct Loan Program, CFDA #84.268 and Federal Pell Grant Program, CFDA #84.063). The University reported the incorrect date to NSLDS for the withdrawal date. Name of Contact Person Management agrees with finding 2022-001. We acknowledge that the internal control over the details, procedures, communication, and language used in processing unofficial withdrawals needs to be strengthened to reduce the risk of errors. Kimberly Noe of Financial Aid, and Kathryn McCune, Registrar, are the responsible parties for the corrective action. Corrective Action Plan The prior corrective action plan was implemented and shown to be beneficial in reducing the number of errors in the enrollment reporting process. The plan proved to be effective in addressing the previous clerical errors surrounding official withdrawal dates. However, the University acknowledges the need to strengthen our procedures regarding unofficial withdrawal date reporting at the conclusion of each semester. The Registrar's Office and Financial Aid Office have determined the need for a supplemental enrollment reporting file after the end of each semester to automate the reporting of unofficial withdrawals. This additional file will lessen the number of manual corrections to withdrawal dates in NSLDS, thus increasing the level of accuracy in reporting. The date the supplemental enrollment reporting file should be processed after the conclusion of each term is by the 15th of the following month. The Financial Aid and Registrar's offices have identified additional reporting resources that will assist in the timely secondary review of the NSLDS data entered each semester to ensure compliance. The University of the Cumberlands will document the monthly secondary review of withdrawals and maintain our reconciliation records. The reconciliation process will be completed within 30 days of NSLDS certifying the submitted enrollment file. Anticipated Completion Date All records with errors noted during the 2021-2022 audit findings were corrected by October 13, 2022. The current Corrective Action Plan is anticipated to be fully implemented by January 31, 2023.
View Audit 55895
Finding 60070 (2022-003)
Material Weakness 2022
Community School Corporation of Eastern Hancock County
IN
School Nutrition Programs Internal Control / Segregation of Duties Cash Management § 200.303
Finding 2022-003 ? Child Nutrition Cluster - Reporting Contact Person Responsible for Corrective Action: Tracy Wilson Contact Phone Number: 317-936-5444 Views of Responsible Official: We concur with the finding. Description of Corrective Action Plan: All claims submitted for federal reimburseme...
Finding 2022-003 ? Child Nutrition Cluster - Reporting Contact Person Responsible for Corrective Action: Tracy Wilson Contact Phone Number: 317-936-5444 Views of Responsible Official: We concur with the finding. Description of Corrective Action Plan: All claims submitted for federal reimbursement will be reviewed prior to submission. Control will be put in place to verify entries to sales reports through CNC website and initialed by two parties to confirm accuracy over the process. Anticipated Completion Date: Effective Immediately
View Audit 55216
Toccoa Falls College, Inc.
GA
Student Financial Aid Reporting Matching / Level of Effort / Earmarking
Finding Number: 2022-1 Enrollment Reporting to NSLDS Planned Corrective Action: An existing report has been tweaked to include all potential SSN issues, and the Registrar?s Office will be retrained on how to use this report. Eac...
Finding Number: 2022-1 Enrollment Reporting to NSLDS Planned Corrective Action: An existing report has been tweaked to include all potential SSN issues, and the Registrar?s Office will be retrained on how to use this report. Each time an enrollment report is submitted, this report will be reviewed to verify that no issues exist. Person Responsible for Corrective Action Plan: Kelly Vickers (Registrar) Anticipated Date of Completion: October 1, 2022
View Audit 55892
Cobb County Government
GA
Questioned Costs Subrecipient Monitoring Period of Performance § 200.77
Views of Responsible Officials and Planned Corrective Actions: The County agrees with the recommendation and has discussed additional review procedures with the subrecipients. In addition, the County created a Grants Division with increased staffing that can help provide monitoring throughout the y...
Views of Responsible Officials and Planned Corrective Actions: The County agrees with the recommendation and has discussed additional review procedures with the subrecipients. In addition, the County created a Grants Division with increased staffing that can help provide monitoring throughout the year.
View Audit 55856 Questioned Costs: $1
Finding 59966 (2022-002)
Material Weakness 2022
Horizon Science Academy Lorain
OH
Matching / Level of Effort / Earmarking Subrecipient Monitoring
Finding Number: 2022-002 Planned Corrective Action: See Below Anticipated Completion Date: 03/17/2023 Responsible Contact Person: Ramazan Celep, Treasurer The District is aware of the requirement in Federal program legislation to ensure inclusion of the prevailing wage rate prov...
Finding Number: 2022-002 Planned Corrective Action: See Below Anticipated Completion Date: 03/17/2023 Responsible Contact Person: Ramazan Celep, Treasurer The District is aware of the requirement in Federal program legislation to ensure inclusion of the prevailing wage rate provision in Agreements, as well as to obtain certified payroll reports to verify prevailing wages were paid. In the future, the District will work more closely with the contractor to ensure proper language is included in the bid documents and the contracts to ensure the District is in compliance with applicable federal regulations.
View Audit 50426
Finding 59939 (2022-002)
Material Weakness 2022
Medina City School District
OH
Matching / Level of Effort / Earmarking Subrecipient Monitoring
The Business Manager has been in the position for under a year. As such, he inherited the issue of non-compliance. He has been made fully aware of the issue and will be placing this item into all contracts paid using federal funds.
The Business Manager has been in the position for under a year. As such, he inherited the issue of non-compliance. He has been made fully aware of the issue and will be placing this item into all contracts paid using federal funds.
View Audit 50489
Job Training & Employment Corporation
MA
Matching / Level of Effort / Earmarking Questioned Costs
2022-001 20% Program Expenditures for Youth Work Experience Responsible Official Judith Bricklin, Chief Financial Officer Plan Detail JTEC is aware of the requirement and did all it could to be compliant. The lack of enrollment is something that was out of JTEC?s control. JTEC runs one of the many...
2022-001 20% Program Expenditures for Youth Work Experience Responsible Official Judith Bricklin, Chief Financial Officer Plan Detail JTEC is aware of the requirement and did all it could to be compliant. The lack of enrollment is something that was out of JTEC?s control. JTEC runs one of the many MassHire Career Centers in the state that struggled meeting this Federal requirement. In addition, JTEC communicated the issue to MDCS. With COVID-19 restrictions being lifted, JTEC is resuming monthly visits to area schools to present services and programs to guidance department and student support staff and is hosting an annual networking event in conjunction with the Cape and Islands School Counselor Association. JTEC will also host a networking event and presentation for leaders of social services agencies serving the local youth population, with on-site follow-up visits to these agencies. JTEC?s Youth Counselor is arranging quarterly presentations to Juvenile Court and Probation Officers and is working with DTA Young Parent Program staff to encourage referrals to JTEC?s Youth programs. JTEC will be hosting a youth networking ?Bowling Night? for prospective Out of School Youth participants and will be coordinating with school counselors to get invites distributed to former students as well as friends and family of current youth program participants. In addition, JTEC is producing videos to be featured on popular social media platforms, promoting Youth services offered. Increasing awareness of the Out of School Youth services available to the community via events and social media and building strong referral networks amongst schools and social service agencies is JTEC?s strategy to increase Out of School youth enrollments and youth work experience participation.
View Audit 55744
Finding 59911 (2022-001)
Significant Deficiency 2022
University of St. Francis
IL
Questioned Costs Special Tests & Provisions Student Financial Aid
2022-001: Errors Relating to Return of Title IV Financial Aid - Student Financial Aid Cluster Assistance Listing Number 84.007, 84.033, 84.038, 84.063, 84.268, 84.379 Grant Period - Year Ended May 31, 2022 ...
2022-001: Errors Relating to Return of Title IV Financial Aid - Student Financial Aid Cluster Assistance Listing Number 84.007, 84.033, 84.038, 84.063, 84.268, 84.379 Grant Period - Year Ended May 31, 2022 Condition Found: During our return of Title IV Fund testing we noted that the College did not calculate or return Title IV for students who ceased attendance correctly for three students out of ten. The College used the incorrect number of days for the total days in the period of enrollment when calculating the return of Title IV. We consider this to be a significant deficiency relating to the Special Tests and Provisions Compliance Requirement. Corrective Action Plan: It was discovered during the audit that the term break dates for Spring 2021 had been entered incorrectly, this caused certain R2T4's performed to be incorrect. All the affected records were corrected and rather than increasing the students' loans, USF funds were used to fill the void created by the incorrect calculations. This mistake was completely human error and great care will be taken to ensure the break dates are correct in the beginning of performed R2T4 calculations for the beginning of Fall 2022 and beyond. Responsible Perform for Corrective Action Plan: Bruce Foote, Director of Financial Aid, University of St. Francis, Joliet, IL 60435 Implementation Data of Corrective Action Plan: The Corrective Action Plan has been implemented immediately.
View Audit 55269
Finding 59904 (2022-001)
Material Weakness 2022
Rural Health Resources of Jackson County, Inc.
KS
Questioned Costs Reporting Matching / Level of Effort / Earmarking
In determining whether the Hospital submitted to the United States Department of Agriculture (USDA) the RD 442-2, Statement of Budget, Income, and Equity, as well as the RD 442-3, Balance Sheet reports, as required under the Hospital?s Community Facilities loan with the USDA, it was noted that these...
In determining whether the Hospital submitted to the United States Department of Agriculture (USDA) the RD 442-2, Statement of Budget, Income, and Equity, as well as the RD 442-3, Balance Sheet reports, as required under the Hospital?s Community Facilities loan with the USDA, it was noted that these submissions did not occur during fiscal year 2022. Personnel Responsible for Corrective Action: Bart Kenton, Chief Financial Officer Anticipated Completion Date: Change is in process and full adoption is anticipated by July 20, 2022 Corrective Action Plan: The Hospital discussed the ongoing reporting requirements with their USDA representative and have begun compiling the information requested starting with Quarter 1 of Fiscal Year 2023.
View Audit 55266
Finding 59880 (2022-005)
Significant Deficiency 2022
Plainfield Community School Corporation
IN
Questioned Costs Reporting School Nutrition Programs § 200.303
2022-005 Child Nutrition - Reporting Recommendation: School Corporation needs to update its policies and procedures related to the administration of the Child Nutrition Cluster to include a system of internal control that will mitigate the risk of noncompliance with the stated criteria rel...
2022-005 Child Nutrition - Reporting Recommendation: School Corporation needs to update its policies and procedures related to the administration of the Child Nutrition Cluster to include a system of internal control that will mitigate the risk of noncompliance with the stated criteria related to recordkeeping. Explanation of disagreement with audit finding: There is no disagreement with the audit finding. Action taken in response to finding: Plainfield Community School Corporation will implement a policy that mitigates the risk of noncompliance with the required recordkeeping for the Child Nutrition Cluster. Name(s) of the contact person(s) responsible for corrective action: Kelly Collins Planned completion date for corrective action plan: April 2023
View Audit 55736
Finding 59857 (2022-001)
Material Weakness 2022
City of Fort Worth
TX
Subrecipient Monitoring Questioned Costs Special Tests & Provisions § 200.303 § 200.326
Concur: Departments are responsible for the operational compliance of their grant awards. The Aviation Department is in the process of reclassifying a position to a contract compliance specialist which will help ensure future compliance. Financial Management Services (FMS) will establish a process t...
Concur: Departments are responsible for the operational compliance of their grant awards. The Aviation Department is in the process of reclassifying a position to a contract compliance specialist which will help ensure future compliance. Financial Management Services (FMS) will establish a process to assist departments in meeting compliance requirements. A contract review checklist will be implemented by FMS to assist with the identification of all compliance requirements for each award. FMS currently holds grant kickoff meetings with departments, and additional focus on contract compliance will be emphasized at that time. Departments will be required to provide FMS additional compliance documentation. FMS will review the documentation for reasonableness and load the records to the PeopleSoft Project Definition page as evidence of timely compliance. As an additional measure, system reminders will be emailed to departments and FMS providing notification of upcoming deadlines. FMS will continue to provide training for grant management personnel to reinforce key concepts of grant compliance. This action plan will be completed by September 30, 2023. Contact Person: Reginald Zeno, Chief Financial Officer, FMS 817-392-8517 Contact Person: Tony Rousseau, Assistant Finance Director, FMS 817-392-8338
View Audit 55529
State of Nebraska
NE
Allowable Costs / Cost Principles Eligibility Matching / Level of Effort / Earmarking § 200.303
Program: AL 21.026 ? COVID-19 Homeowner Assistance Fund ? Allowability & Eligibility Corrective Action Plan: Coaching has been provided to the appropriate review staff. Contact: Major General Bohac Anticipated Completion Date: Completed
Program: AL 21.026 ? COVID-19 Homeowner Assistance Fund ? Allowability & Eligibility Corrective Action Plan: Coaching has been provided to the appropriate review staff. Contact: Major General Bohac Anticipated Completion Date: Completed
View Audit 55212 Questioned Costs: $1
State of Nebraska
NE
Allowable Costs / Cost Principles Internal Control / Segregation of Duties Reporting § 200.302
Program: AL 21.023 ? COVID-19 Emergency Rental Assistance ? Reporting Corrective Action Plan: N/A Contact: Philip Olsen Anticipated Completion Date: N/A
Program: AL 21.023 ? COVID-19 Emergency Rental Assistance ? Reporting Corrective Action Plan: N/A Contact: Philip Olsen Anticipated Completion Date: N/A
View Audit 55212
State of Nebraska
NE
Allowable Costs / Cost Principles Questioned Costs Subrecipient Monitoring § 200.303 § 200.403 § 200.516
Program: AL 21.023 ? COVID-19 Emergency Rental Assistance ? Allowability & Eligibility Corrective Action Plan: N/A Contact: Lee Will Anticipated Completion Date: N/A
Program: AL 21.023 ? COVID-19 Emergency Rental Assistance ? Allowability & Eligibility Corrective Action Plan: N/A Contact: Lee Will Anticipated Completion Date: N/A
View Audit 55212 Questioned Costs: $1
Finding 59851 (2022-051)
Material Weakness 2022
State of Nebraska
NE
Questioned Costs Procurement, Suspension & Debarment Allowable Costs / Cost Principles § 200.317 § 200.327 § 200.403 § 200.404 § 200.459
Program: AL 21.023 ? COVID-19 Emergency Rental Assistance ? Allowability & Earmarking Corrective Action Plan: N/A Contact: Lee Will Anticipated Completion Date: N/A
Program: AL 21.023 ? COVID-19 Emergency Rental Assistance ? Allowability & Earmarking Corrective Action Plan: N/A Contact: Lee Will Anticipated Completion Date: N/A
View Audit 55212 Questioned Costs: $1
State of Nebraska
NE
Special Tests & Provisions Reporting Matching / Level of Effort / Earmarking § 200.303
Program: AL 17.225 ? Unemployment Insurance ? Admin ? Special Tests & Provisions Corrective Action Plan: The Agency is working with the vendor to better identify and report amounts in the Tax Systems. Contact: Rea Easton Anticipated Completion Date: June 30, 2023
Program: AL 17.225 ? Unemployment Insurance ? Admin ? Special Tests & Provisions Corrective Action Plan: The Agency is working with the vendor to better identify and report amounts in the Tax Systems. Contact: Rea Easton Anticipated Completion Date: June 30, 2023
View Audit 55212
State of Nebraska
NE
Reporting Special Tests & Provisions Allowable Costs / Cost Principles § 200.514
Program: AL 17.225 ? Unemployment Insurance ? Admin ? Special Tests & Provisions Corrective Action Plan: The corrective action plan has been completed and approved by USDOL. Contact: Andi Bridgmon, UI Director Anticipated Completion Date: N/A
Program: AL 17.225 ? Unemployment Insurance ? Admin ? Special Tests & Provisions Corrective Action Plan: The corrective action plan has been completed and approved by USDOL. Contact: Andi Bridgmon, UI Director Anticipated Completion Date: N/A
View Audit 55212
State of Nebraska
NE
Questioned Costs Allowable Costs / Cost Principles Reporting
Program: AL 93.778 ? Medical Assistance Program; AL 93.778 ? COVID-19 Medical Assistance Program ? Allowability Corrective Action Plan: Service District Administrators (SDAs) have been communicating expectations to their teammates to prevent future findings. In addition, Districts 1, 2, and 4 SDAs ...
Program: AL 93.778 ? Medical Assistance Program; AL 93.778 ? COVID-19 Medical Assistance Program ? Allowability Corrective Action Plan: Service District Administrators (SDAs) have been communicating expectations to their teammates to prevent future findings. In addition, Districts 1, 2, and 4 SDAs plan to cover this with all teammates during their 4th quarter?s meeting and District 3?s SDA will send out communication to all teammates that reminds teammates of the expectations. Contact: Tony Green Anticipated Completion Date: 12/30/2022
View Audit 55212 Questioned Costs: $1
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