Corrective Action Plans

Browse how organizations respond to audit findings

Total CAPs
55,924
In database
Filtered Results
11,388
Matching current filters
Showing Page
387 of 456
25 per page

Filters

Clear
Recommendation: The County Domestic Relations department communicate the requirements regarding file documentation and record management and requirements regarding time frame for action to contact late payors to the department staff. Action Taken: This finding occurred as a result of staff shortages...
Recommendation: The County Domestic Relations department communicate the requirements regarding file documentation and record management and requirements regarding time frame for action to contact late payors to the department staff. Action Taken: This finding occurred as a result of staff shortages, new employees and increased caseloads. Domestic Relations Department will provide semi-annual training to Case Workers on Enforcement, record retention, and file documentation beginning in November 2023. Responsible Individual for Corrective Action: Patricia Coacher, County of Delaware Domestic Relations Director Completion Date: December 31, 2023
FINDING 2022-004 (Auditor Assigned Reference Number) Contact Person Responsible for Corrective Action: Greg Elkins, CFO Contact Phone Number: 317-485-3100 Views of Responsible Official : We concur with the finding Description of Corrective Action Plan: The CFO will require all potential vendors and ...
FINDING 2022-004 (Auditor Assigned Reference Number) Contact Person Responsible for Corrective Action: Greg Elkins, CFO Contact Phone Number: 317-485-3100 Views of Responsible Official : We concur with the finding Description of Corrective Action Plan: The CFO will require all potential vendors and contractors to specifically include a wage rate clause in all proposed contracts (including certified payroll language) for projects which are funded with federal grants. Anticipated Completion Date: 2/9/2023
FINDING 2022-003 (Auditor Assigned Reference Number) Contact Person Responsible for Corrective Action: Greg Elkins, CFO Contact Phone Number: 317-485-3100 Views of Responsible Official : We concur with the finding Description of Corrective Action Plan: The CFO and Corporation Treasurer will create, ...
FINDING 2022-003 (Auditor Assigned Reference Number) Contact Person Responsible for Corrective Action: Greg Elkins, CFO Contact Phone Number: 317-485-3100 Views of Responsible Official : We concur with the finding Description of Corrective Action Plan: The CFO and Corporation Treasurer will create, review, and retain electronic documents for any ESSER/GEER data requests. The CFO will submit any required reports to the IDOE. The CFO has currently saves all jotform documentation and email transaction receipts. The CFO will now ?cc? all jotform submissions and receipt acknowledgements to the Corporation Treasurer as well. Anticipated Completion Date: 2/9/2023
The Financial Aid directors have been on a path to automate a number of processes, including the Notification of Federal Loan Disbursement. To assist in streamlining our processes and improving the overall student experience, the University has engaged the services of an outside consultant, CampusWo...
The Financial Aid directors have been on a path to automate a number of processes, including the Notification of Federal Loan Disbursement. To assist in streamlining our processes and improving the overall student experience, the University has engaged the services of an outside consultant, CampusWorks, on a two-year contract, which commenced on October 18, 2022, to work with relevant Pace personnel on Enterprise Systems modernization. Although this delay in notification is for an isolated time period, the Notification of Disbursement process has been automated as of February 23, 2023, and notifications will be released systematically on a regular schedule, in line with federal guidelines.
2022-001 Education Stabilization Fund - Wage Rate Requirements Assistance Listing Nos. 84.425C, 84.425D, 84.425W Recommendation: CLA recommends the District implement controls to identify when the wage rate requirements are applicable and to ensure that the required documentation is obtained from t...
2022-001 Education Stabilization Fund - Wage Rate Requirements Assistance Listing Nos. 84.425C, 84.425D, 84.425W Recommendation: CLA recommends the District implement controls to identify when the wage rate requirements are applicable and to ensure that the required documentation is obtained from the vendor on a timely basis and reviewed for completeness. Explanation of disagreement with audit finding: There is no disagreement with the audit finding. Action taken in response to finding: Vendors selected for construction services for federally funded projects will be asked to sign an acknowledgement that they comply with Davis-Bacon requirements with respect to prevailing wages for the calendar year in which the services are provided. The signed copy will be kept on file with the district. Additionally, Facilities staff will be educated about the correct use of object codes on purchase orders and invoices. Name(s) of the contact person(s) responsible for corrective action: Joshua Patchak Planned completion date for corrective action plan: Immediately
Finding number: 2022-001 Federal agency: U.S. Department of Education Programs: Federal Direct Student Loans AL #?s: 84.268 Award year: 2022 Corrective Action Plan: A background process that was automated to send loan information to COD on a twice weekly basis stopped run...
Finding number: 2022-001 Federal agency: U.S. Department of Education Programs: Federal Direct Student Loans AL #?s: 84.268 Award year: 2022 Corrective Action Plan: A background process that was automated to send loan information to COD on a twice weekly basis stopped running and had not detected it in a timely manner. The issue with the background process has been resolved and will be monitored to make sure it continues to run on a consistent basis to ensure timely communication within regulation. Timeline for Implementation of Corrective Action Plan: This has already been implemented Contact Person Catherine Kedski, Director of Student Financial Services
Response/Views: I agree with the finding stated above. I would however, like it noted that although the contract entered into by the board did not includeprevailing wage rate clauses, the contractor did confirm they have been and will continue to comply with the Davis-Bacon Act as it pertains to wag...
Response/Views: I agree with the finding stated above. I would however, like it noted that although the contract entered into by the board did not includeprevailing wage rate clauses, the contractor did confirm they have been and will continue to comply with the Davis-Bacon Act as it pertains to wage rate requirements. Corrective Action Planned: Hereto forward, when planning begins for federal funded projects over $2,000 all parties involved (included but not limited to, Chief School Financial Officer, Maintenance Department Bookkeeper, Facilities Supervisor, Superintendent and Architect) will be reminded and updated of all federal regulations as they pertain to the Davis-Bacon Act. At this time, specific plans will be determined as to the implementation of these regulations and checks and balances will be put into place to make sure all contracts and project procedures are adhered to throughout the entirety of the project to insure we remain in compliance with the aforementioned regulations. Anticipated Completion Date: Immediately. As of today, the above corrective action plan has been put into place in our school district. All future pertinent projects will adhere to these new procedures. Contact Person(s): Carmen Rotch, Chief School Financial Officer, Clarke County Board of Education, 251.250.2155.
View Audit 28955 Questioned Costs: $1
Contact Person Kirk Geadelmann, Finance Corrective Action Plan We are in the process of updating the Center?s written policies and procedures to include the requirements of the Uniform Guidance. Completion Date Fiscal year end 2023
Contact Person Kirk Geadelmann, Finance Corrective Action Plan We are in the process of updating the Center?s written policies and procedures to include the requirements of the Uniform Guidance. Completion Date Fiscal year end 2023
Corrective action plan: TDA maintains an internal policy that requires SOC reports to be reviewed annually and document complementary user entity controls included in each SOC report. TDA?s contract with Colyar LLC requires the vendor to produce a SOC report annually. The vendor was late in provid...
Corrective action plan: TDA maintains an internal policy that requires SOC reports to be reviewed annually and document complementary user entity controls included in each SOC report. TDA?s contract with Colyar LLC requires the vendor to produce a SOC report annually. The vendor was late in providing the SOC report as a 2022 contract deliverable. TDA took actions to ensure vendor accountability for submitting the late contract deliverable and the vendor was required to complete a corrective action plan. TDA will review and assess the SOC report as soon as it is delivered by the vendor to ensure CLA?s recommendations can be followed and will consider additional procedures to ensure internal controls are assessed in the absence of a SOC report. Implementation date(s): June 2023 Responsible persons: Chief Information Officer and the Director for Food and Nutrition Program Support
Corrective action plan: The Federal Funds Instruction Guide will be revised to require that PCAs associated with closed grants are inactivated by the end of the approved close-out period. Budget and Planning management will discuss the revised guidance with staff to ensure proper implementation. TCE...
Corrective action plan: The Federal Funds Instruction Guide will be revised to require that PCAs associated with closed grants are inactivated by the end of the approved close-out period. Budget and Planning management will discuss the revised guidance with staff to ensure proper implementation. TCEQ will implement the Centralized Accounting and Payroll/Personnel System (CAPPS) in September of 2023; grant numbers will include beginning and ending dates at the time the grant is created and will not require inactivation. TCEQ will ensure thorough documentation of its internal controls and the associated staff roles and responsibilities and will conduct periodic reviews of its controls. Implementation date(s): April 11. 2023 for update of the Federal Funds Instruction Guide and training staff. CAPPS: September 1, 2023. Responsible Persons: TBD, Federal Funds Section Manager; Stephanie Robinson, Assistant Deputy Director of Budget and Planning Division; Jene Bearse, Deputy Director of Budget and Planning Division
Corrective action plan: The Texas Workforce Commission will initiate a formal and documented review procedure to ensure that FFATA reports are submitted timely. Implementation date(s): March 1, 2023 Responsible persons: Teri Goodwin, Financial Reporting Manager
Corrective action plan: The Texas Workforce Commission will initiate a formal and documented review procedure to ensure that FFATA reports are submitted timely. Implementation date(s): March 1, 2023 Responsible persons: Teri Goodwin, Financial Reporting Manager
Corrective action plan: DPS will update the profile setup process in CAPPS to ensure the Service/Receipt Date Indicator box is checked in CAPPS on all profile setups relating to Grants. DPS Grants staff will receive training on how to fill out a Profile Setup Form to ensure the Service/Receipt Dat...
Corrective action plan: DPS will update the profile setup process in CAPPS to ensure the Service/Receipt Date Indicator box is checked in CAPPS on all profile setups relating to Grants. DPS Grants staff will receive training on how to fill out a Profile Setup Form to ensure the Service/Receipt Date Indicator Box is checked at the time the project is setup in CAPPS. The Grants staff will run a monthly report from CAPPS to see if all active projects have the service date indicator box checked. Implementation date(s): March 1, 2023 Responsible persons: Grants Manager, Deputy Administrator, Financial Reporting
View Audit 28519 Questioned Costs: $1
Corrective action plan: ? For FFATA, Community Affairs Division (CAD) is currently updating Standard Operating Procedure (SOP) to include two review and approval processes that will take place prior to the submission in the FSFR system. The two additional review and approval process will be perfor...
Corrective action plan: ? For FFATA, Community Affairs Division (CAD) is currently updating Standard Operating Procedure (SOP) to include two review and approval processes that will take place prior to the submission in the FSFR system. The two additional review and approval process will be performed by the Team Lead, Laura White in CAD and Elizabeth Yevich, Director of Housing Resource Center (HRC). The two additional reviews will strengthen the process to ensure accurate and timely submission of monthly FFATA reporting. ? For Annual Financial Report, CAD is currently working with the Information System Division (IS) to correct issues identified in the data pulls to the summary sheets used for the submission of the Annual Report. CAD has identified that these issues emerged when federal funding sources began requesting data by individual grants. In order to address the identified issues, CAD and IS will continue to correct and test the data queries and formulas to ensure accurate reporting is achieved. Implementation date(s): ? For FFATA, March 2023 ? For Annual Financial Report, August 2023 Responsible persons: ? For FFATA, Director of Housing Resource Center and Team Leader of Community Affairs. ? For Annual Financial Report, Manager of Fiscal & Reporting and Team Leader of Community Affairs.
Corrective action plan: TWC has already reviewed all ACF-196R and ACF-204 Report queries and made the appropriate criteria modifications to appropriately reflect and report Agency activities. The query review and modifications were completed in October 2022, and subsequent Federal Financial Reports,...
Corrective action plan: TWC has already reviewed all ACF-196R and ACF-204 Report queries and made the appropriate criteria modifications to appropriately reflect and report Agency activities. The query review and modifications were completed in October 2022, and subsequent Federal Financial Reports, for active TWC grants, were modified to reflect accurate cumulative activities. Implementation date(s): October 31, 2022 Responsible persons: Teri Goodwin, Financial Reporting Manager
Corrective action plan: In December 2022, the Federal Funds Office (FFO) identified all prime awards with a potential subaward action date of 10/1/2021 or later. FFO is in the process of determining which of these have issued subawards for which no Federal Funding Accountability and Transparency A...
Corrective action plan: In December 2022, the Federal Funds Office (FFO) identified all prime awards with a potential subaward action date of 10/1/2021 or later. FFO is in the process of determining which of these have issued subawards for which no Federal Funding Accountability and Transparency Act (FFATA) reporting has been received from the program areas. In addition, FFO has revised the subaward reporting templates for programs. The goal of the revised templates is to 1) clearly state instructions for the information requested and 2) delineate between a) earlier subawards that are being reported late and b) subawards that fall into the current reporting period. These changes will assist FFO in maintaining current reporting and bringing all past due reporting up to date. The goal is to have all past due subawards from 10/1/2021 forward submitted to FFATA Subaward Reporting System (FSRS) by 12/31/2023. Implementation date(s): December 1, 2022 Responsible persons: Director, Federal Funds
Corrective action plan: HHSC Accounting has implemented the reporting of Early Childhood Intervention (ECI) expenditures on Line 16 of the Administration for Children and Families (ACF) 196R. The HHSC Accounting policies and procedures related to the ACF 196R were revised and corrected for all ope...
Corrective action plan: HHSC Accounting has implemented the reporting of Early Childhood Intervention (ECI) expenditures on Line 16 of the Administration for Children and Families (ACF) 196R. The HHSC Accounting policies and procedures related to the ACF 196R were revised and corrected for all open years. Implementation date(s): August 31, 2022 Responsible persons: Manager, State and Federal Reporting
Corrective action plan: The Office of Data Analytics and Performance (DAP) will continue to work with IT - Social Services Applications (IT SSA) to determine the root cause of the errors. Once that has been established, corrective action will be implemented to correct that root cause. After correcti...
Corrective action plan: The Office of Data Analytics and Performance (DAP) will continue to work with IT - Social Services Applications (IT SSA) to determine the root cause of the errors. Once that has been established, corrective action will be implemented to correct that root cause. After corrections are made, DAP will continue to work with IT SSA to ensure the corrective action has eliminated the errors. Implementation date(s): August 31, 2024 Responsible persons: Director, Strategic Decision Support Director, DAP Aging & Disability
Corrective action plan: DFPS will revise its policies and procedures related to the ACF-196R report review process to ensure all expenditure amounts are being properly classified. Implementation date(s): May 31, 2023 Responsible persons: Maura Flores
Corrective action plan: DFPS will revise its policies and procedures related to the ACF-196R report review process to ensure all expenditure amounts are being properly classified. Implementation date(s): May 31, 2023 Responsible persons: Maura Flores
EA Application/Determination Corrective action plan: DFPS will ensure that INV/AR staff receive ongoing communication/training regarding EA and how to correctly document and record income within the IMPACT. DFPS will update the current EA policy and publishing a new resource guide for staff. DFPS ...
EA Application/Determination Corrective action plan: DFPS will ensure that INV/AR staff receive ongoing communication/training regarding EA and how to correctly document and record income within the IMPACT. DFPS will update the current EA policy and publishing a new resource guide for staff. DFPS staff will be provided training, tip sheets and ongoing support regarding the new policy and resource guide. The policy will be published by April 1, 2023. DFPS will continue to strengthen our internal quality assurance review of cases eligible for EA to ensure that INV/AR staff are complying with federal guidelines and internal policies. DFPS has submitted an IT ticket request to resolve the condition for the participant that had the incorrect income range of $0-$10,000 selected to the correct income range of $20,550 to $40,549 to align with the investigation report. The participant remains eligible for assistance regardless as the family unit makes less than $63,000. CPI will initiate a request for an IT project to conduct analysis of any limitations with verifying Emergency Assistance eligibility in the IMPACT system regarding why two of the three EA statements now show not answered. DFPS staff will be researching the issue to determine next steps by 2nd quarter FY 2024. Implementation date(s): Ongoing communication ? will vary, first communication by April 1, 2023; IMPACT research January 31, 2024. Responsible persons: Jerome Green PEAF Corrective action plan: DFPS uses an established recoupment process to address overpayments. A Kinship Development Worker writes a letter to the kinship caregiver regarding the overpayment and details the steps needed to return funds. This letter is also sent to accounting for follow up. DFPS maintains a proactive approach to strengthening/enhancing IMPACT limitations to ensure accurate data is maintained for accurate payments/disbursements through continuous program improvement. Implementation date(s): On January 13, 2023 ? staff initiated the above described recoupment process to recoup the second payment for the subject children. Responsible persons: Debbie Bouldin
View Audit 28519 Questioned Costs: $1
Corrective action plan: Management will strengthen agency?s existing internal control over the review of project IDs to ensure all approvals are obtained on the project allocation percentage forms. Implementation date(s): May 31, 2023 Responsible persons: Maura Flores
Corrective action plan: Management will strengthen agency?s existing internal control over the review of project IDs to ensure all approvals are obtained on the project allocation percentage forms. Implementation date(s): May 31, 2023 Responsible persons: Maura Flores
Corrective action plan: DSHS will continue to utilize the updated procedure and FFATA checklist that was implemented on March 1, 2022 to ensure the verification of FFATA reports are formally documented prior to submission. DSHS will continue to maintain all relevant documentation to support that t...
Corrective action plan: DSHS will continue to utilize the updated procedure and FFATA checklist that was implemented on March 1, 2022 to ensure the verification of FFATA reports are formally documented prior to submission. DSHS will continue to maintain all relevant documentation to support that the key data elements were reported within the required timeframes. Implementation date(s): March 1, 2022 Responsible persons: FFATA Coordinator
Corrective action plan: To strengthen requirements related to unique disaster funding, DSHS will amend DSHS Policy AA-3301: Monitoring and Management of the Operating Budget to establish roles and responsibilities for ensuring expenditures are reviewed and within grant parameters. We anticipate poli...
Corrective action plan: To strengthen requirements related to unique disaster funding, DSHS will amend DSHS Policy AA-3301: Monitoring and Management of the Operating Budget to establish roles and responsibilities for ensuring expenditures are reviewed and within grant parameters. We anticipate policy revisions to be drafted by July 31, 2023. Implementation date(s): July 31, 2023 Responsible persons: Chief Financial Officer
View Audit 28519 Questioned Costs: $1
Corrective action plan: To strengthen requirements related to unique disaster funding, DSHS will amend DSHS Policy AA-3301: Monitoring and Management of the Operating Budget to establish roles and responsibilities for ensuring expenditures are reviewed and within grant parameters. We anticipate poli...
Corrective action plan: To strengthen requirements related to unique disaster funding, DSHS will amend DSHS Policy AA-3301: Monitoring and Management of the Operating Budget to establish roles and responsibilities for ensuring expenditures are reviewed and within grant parameters. We anticipate policy revisions to be drafted by July 31, 2023. Implementation date(s): July 31, 2023 Responsible persons: Chief Financial Officer
View Audit 28519 Questioned Costs: $1
Corrective action plan: Program management adopted policies and procedures to ensure supporting documentation for federal submissions are maintained, including any reconciling calculations or adjustments to support information. Implementation date(s): Implemented as of February 8, 2023 Responsib...
Corrective action plan: Program management adopted policies and procedures to ensure supporting documentation for federal submissions are maintained, including any reconciling calculations or adjustments to support information. Implementation date(s): Implemented as of February 8, 2023 Responsible persons: Mariana Salazar, Texas Rent Relief Director
Corrective action plan: ? For Source Data, the program has developed policies and procedures to document source data. ? For Cumulative Calculations, auditors specifically requested from TDHCA reports submitted to the Treasury from different periods to specifically be able to calculate cumulative ...
Corrective action plan: ? For Source Data, the program has developed policies and procedures to document source data. ? For Cumulative Calculations, auditors specifically requested from TDHCA reports submitted to the Treasury from different periods to specifically be able to calculate cumulative figures for obligations and expenditures. TDHCA explained that the methodology the Treasury has requested for grantees to use will not allow the quarterly obligations and expenditures reported to be summed to equal the current cumulative amount due to adjustments for recaptured funds. This is an unavoidable reality of the Emergency Rental Assistance (ERA) program and federal reporting system and can only be rectified in the final report to Treasury. Certain aspects of the Treasury?s design of the program, most significantly the recapture of funds from beneficiaries, can cause the draw/transaction data for a given period, e.g. Q3 2022, to change after that quarter is complete. Per Treasury guidance, TDHCA will be able to resubmit expenditure and obligation figures for each quarter in the final report. For the December 2021 ERA 1 Monthly Compliance Report and November 2021 ERA 2 Monthly Compliance Report, the total number of households served were off by 0.4% and 0.05% due to inadvertently including households who were initially served but later had all of the funds recaptured and therefore should have been excluded. TDHCA has updated internal procedures for calculating these reports to ensure these are excluded from future reports. Implementation date(s): Implemented as of February 8, 2023 Responsible persons: David Johnson, Project Manager ? Process Mgmt. /Data Analytics
« 1 385 386 388 389 456 »