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Corrective Action Plans

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Finding 375451 (2021-001)
Material Weakness 2021
On the Road Lending
TX
Reporting Matching / Level of Effort / Earmarking
We agree with the recommendation and will implement procedures to oversee the timely filing of the federal single audit or program specific audit reporting package.
We agree with the recommendation and will implement procedures to oversee the timely filing of the federal single audit or program specific audit reporting package.
View Audit 294504
Finding 375420 (2021-004)
Material Weakness 2021
Municipality of Morovis
PR
Subrecipient Monitoring Reporting Allowable Costs / Cost Principles § 200.302 § 200.403
We concur with the finding. The pandemic caused by the outbreak of COVID-19 disrupted and delayed many accounting and reporting processes during the fiscal years 2020 and 2021 since the Municipality had to shut down operations for various months. Consequently, several projects and tasks calendarized...
We concur with the finding. The pandemic caused by the outbreak of COVID-19 disrupted and delayed many accounting and reporting processes during the fiscal years 2020 and 2021 since the Municipality had to shut down operations for various months. Consequently, several projects and tasks calendarized were postponed or delayed, including certain reports and controls required by the Federal Regulations. As of the date of this Corrective Action Plan, the transaction detail of the Disaster Grant costs incurred on fiscal year ending on June 30, 2021 was produced, under alternate methods, from the Finance Department’s accounting system and submitted to the external auditor. Expected Implementation Date: The transaction details applicable to financial statements of fiscal periods ended June 30, 2021 were completed. Transactions detail analysis during the following fiscal years were already completed. Responsible Person: Finance Department Director and Federal Program Director.
View Audit 294483
Finding 375419 (2021-003)
Material Weakness 2021
Municipality of Morovis
PR
Subrecipient Monitoring Reporting Matching / Level of Effort / Earmarking § 200.302 § 200.403
We concur with the finding. The pandemic caused by the outbreak of COVID-19 disrupted and delayed many accounting and reporting processes during the fiscal years 2020 and 2021 since the Municipality had to shut down operations for various months. Consequently, several projects and tasks calendarized...
We concur with the finding. The pandemic caused by the outbreak of COVID-19 disrupted and delayed many accounting and reporting processes during the fiscal years 2020 and 2021 since the Municipality had to shut down operations for various months. Consequently, several projects and tasks calendarized were postponed or delayed, including certain reports and controls required by the Federal Regulations. As of the date of this Corrective Action Plan, the transaction detail of CDL costs incurred on fiscal year ending on June 30, 2021 was produced, under alternate methods, from the Finance Department’s accounting system and submitted to the external auditor. Expected Implementation Date: The transaction details applicable to financial statements of fiscal periods ended June 30, 2021 were completed. Transactions detail analysis during the following fiscal years were already completed.Responsible Person: Finance Department Director and Federal Program Director.
View Audit 294483
Finding 372637 (2021-002)
Material Weakness 2021
Housing Authority of the City of Annapolis
MD
Matching / Level of Effort / Earmarking
We are reviewing the cost allocation procedures between the various programs to ensure the COCC is not covering allowable and allocable federal expenses.
We are reviewing the cost allocation procedures between the various programs to ensure the COCC is not covering allowable and allocable federal expenses.
View Audit 293714
Finding 371939 (2021-004)
Significant Deficiency 2021
Martin University
IN
Matching / Level of Effort / Earmarking Student Financial Aid
Procedures used to identify students for the return of Title IV funds should be improved student financial aid cluster program. Corrective action: The University has implemented policy and procedures that require a review of all official and unofficial withdrawals to have R2T4 calculations on a real...
Procedures used to identify students for the return of Title IV funds should be improved student financial aid cluster program. Corrective action: The University has implemented policy and procedures that require a review of all official and unofficial withdrawals to have R2T4 calculations on a real time basis to ensure compliance with the Department of Education guidelines on a consistent and regular basis. Internal audits of the process will also be implemented for continuous improvement. Person responsible: Qiana Hall, Associate VP of Enrollment Services Anticipated Completion Date: March 31, 2024
View Audit 293212
Finding 371938 (2021-003)
Significant Deficiency 2021
Martin University
IN
Student Financial Aid Matching / Level of Effort / Earmarking Eligibility
Enrollment reporting procedures should be strengthened Corrective action: The University submitted a correction action plan that was acceptable by DOE. and implemented effective 9/1/2022. Person responsible: Qiana Hall, Associate VP of Enrollment Services Anticipated Completion Date: Completed
Enrollment reporting procedures should be strengthened Corrective action: The University submitted a correction action plan that was acceptable by DOE. and implemented effective 9/1/2022. Person responsible: Qiana Hall, Associate VP of Enrollment Services Anticipated Completion Date: Completed
View Audit 293212
Finding 371310 (2021-012)
Material Weakness 2021
City of Bethel, Alaska
AK
Subrecipient Monitoring Allowable Costs / Cost Principles Material Weakness § 200.303
Finding 2021‐012 Expenditure Approval – Activities Allowed and Unallowed, Allowable Costs – Material Weakness in Internal Control over Compliance Corrective Action Plan Management will implement policies and procedures to ensure expenditures are reviewed timely and approved prior to posting. Expecte...
Finding 2021‐012 Expenditure Approval – Activities Allowed and Unallowed, Allowable Costs – Material Weakness in Internal Control over Compliance Corrective Action Plan Management will implement policies and procedures to ensure expenditures are reviewed timely and approved prior to posting. Expected Completion Date Fiscal Year 2025.
View Audit 292985
Finding 370602 (2021-015)
Material Weakness 2021
Kickapoo Tribe in Kansas
KS
Material Weakness Significant Deficiency Matching / Level of Effort / Earmarking
Finding 2021-015 Commingling CRF and ARP Funds Individual(s) Responsible: Grace Ross, Tribal Treasurer, Accounting Director Action: Ensure that funds are separated so that federal funds are spent appropriately. Anticipated Completion Date: Ongoing
Finding 2021-015 Commingling CRF and ARP Funds Individual(s) Responsible: Grace Ross, Tribal Treasurer, Accounting Director Action: Ensure that funds are separated so that federal funds are spent appropriately. Anticipated Completion Date: Ongoing
View Audit 292271
Finding 370595 (2021-008)
Material Weakness 2021
Kickapoo Tribe in Kansas
KS
Matching / Level of Effort / Earmarking Internal Control / Segregation of Duties
Finding 2021-008 Matching, Level of Effort and Earmarking Individual(s) Responsible: Grace Ross, Tribal Treasurer, Department Director Action: Make sure all reporting requirements are met. Anticipated Completion Date: January 2022
Finding 2021-008 Matching, Level of Effort and Earmarking Individual(s) Responsible: Grace Ross, Tribal Treasurer, Department Director Action: Make sure all reporting requirements are met. Anticipated Completion Date: January 2022
View Audit 292271
Finding 370584 (2021-011)
Material Weakness 2021
Kickapoo Tribe in Kansas
KS
Allowable Costs / Cost Principles Material Weakness Significant Deficiency
Finding 2021-011 Allowable Costs and Activities Individual(s) Responsible: Grace Ross, Tribal Treasurer, Accounting Director Action: Current Tribal Council will ensure that all documentation is maintained as backup for all purchases and payroll items. Anticipated Completion Date: September 2023
Finding 2021-011 Allowable Costs and Activities Individual(s) Responsible: Grace Ross, Tribal Treasurer, Accounting Director Action: Current Tribal Council will ensure that all documentation is maintained as backup for all purchases and payroll items. Anticipated Completion Date: September 2023
View Audit 292271
Finding 370512 (2021-004)
Material Weakness 2021
Elmore County Commission
AL
Questioned Costs Allowable Costs / Cost Principles Cash Management § 200.303
The County also produced reimbursement requests well in excess of not only the subject amount referenced above, but also well over the state allocated CARES Act funds the County was eligible to receive in reimbursement. Regardless, the County will increase efforts to provide internal review of these...
The County also produced reimbursement requests well in excess of not only the subject amount referenced above, but also well over the state allocated CARES Act funds the County was eligible to receive in reimbursement. Regardless, the County will increase efforts to provide internal review of these type items to ensure clarity of reimbursement s and/or costs moving forward on state and federally funded projects.
View Audit 292133 Questioned Costs: $1
Finding 370054 (2021-009)
Material Weakness 2021
Delaware County
OK
Questioned Costs Allowable Costs / Cost Principles Matching / Level of Effort / Earmarking § 200.300 § 200.403
The Board of County Commissioners will take measures to ensure future compliance with all requirements of federal grants.
The Board of County Commissioners will take measures to ensure future compliance with all requirements of federal grants.
View Audit 291562 Questioned Costs: $1
Finding 370053 (2021-008)
Material Weakness 2021
Delaware County
OK
Allowable Costs / Cost Principles Period of Performance Matching / Level of Effort / Earmarking § 200.303
The Board of County Commissioners will work with all Count Officials to go over all grants and federal monies that the County receives to ensure that proper internal controls are implemented.
The Board of County Commissioners will work with all Count Officials to go over all grants and federal monies that the County receives to ensure that proper internal controls are implemented.
View Audit 291562
Finding 369845 (2021-010)
Material Weakness 2021
Trinity Community Housing CORP
IL
Questioned Costs HUD Housing Programs Matching / Level of Effort / Earmarking
Corrective Action Plan: The Corporation plans has hired a management agent company that will ensure that fidelity bond is available for examination purposes to determine that the Project has the proper fidelity bond coverage. Responsible party: Ken Dickerson, Chairman Planned completion date for ...
Corrective Action Plan: The Corporation plans has hired a management agent company that will ensure that fidelity bond is available for examination purposes to determine that the Project has the proper fidelity bond coverage. Responsible party: Ken Dickerson, Chairman Planned completion date for corrective action plan: Already remediated.
View Audit 291369 Questioned Costs: $1
Finding 369844 (2021-009)
Material Weakness 2021
Trinity Community Housing CORP
IL
Questioned Costs HUD Housing Programs Matching / Level of Effort / Earmarking
Corrective Action Plan: The Corporation plans has hired a management agent company that will ensure that insurance policies are available for examination purposes to determine that the Project has the proper insurance coverage. Responsible party: Ken Dickerson, Chairman Planned completion date fo...
Corrective Action Plan: The Corporation plans has hired a management agent company that will ensure that insurance policies are available for examination purposes to determine that the Project has the proper insurance coverage. Responsible party: Ken Dickerson, Chairman Planned completion date for corrective action plan: Already remediated.
View Audit 291369 Questioned Costs: $1
Finding 369842 (2021-007)
Material Weakness 2021
Trinity Community Housing CORP
IL
HUD Housing Programs Matching / Level of Effort / Earmarking
Corrective Action Plan: The Corporation plans has hired a management agent company that will ensure that insurance policies are available for examination purposes to determine that the Project has the proper insurance coverage. Responsible party: Ken Dickerson, Chairman Planned completion date fo...
Corrective Action Plan: The Corporation plans has hired a management agent company that will ensure that insurance policies are available for examination purposes to determine that the Project has the proper insurance coverage. Responsible party: Ken Dickerson, Chairman Planned completion date for corrective action plan: Already remediated.
View Audit 291369
Finding 369824 (2021-011)
Material Weakness 2021
Trinity Acres Housing Corporation
IL
Questioned Costs HUD Housing Programs Matching / Level of Effort / Earmarking
Corrective Action Plan: The Corporation plans has hired a management agent company that will ensure that all payroll records are available for examination purposes. Responsible party: Eric Dickerson, Chairman Planned completion date for corrective action plan: Already remediated.
Corrective Action Plan: The Corporation plans has hired a management agent company that will ensure that all payroll records are available for examination purposes. Responsible party: Eric Dickerson, Chairman Planned completion date for corrective action plan: Already remediated.
View Audit 291368 Questioned Costs: $1
Finding 369823 (2021-010)
Material Weakness 2021
Trinity Acres Housing Corporation
IL
Questioned Costs HUD Housing Programs Matching / Level of Effort / Earmarking
Corrective Action Plan: The Corporation plans has hired a management agent company that will ensure that fidelity bond is available for examination purposes to determine that the Project has the proper fidelity bond coverage. Responsible party: Ken Dickerson, Chairman Planned completion date for ...
Corrective Action Plan: The Corporation plans has hired a management agent company that will ensure that fidelity bond is available for examination purposes to determine that the Project has the proper fidelity bond coverage. Responsible party: Ken Dickerson, Chairman Planned completion date for corrective action plan: Already remediated.
View Audit 291368 Questioned Costs: $1
Finding 369821 (2021-008)
Material Weakness 2021
Trinity Acres Housing Corporation
IL
HUD Housing Programs Matching / Level of Effort / Earmarking
Corrective Action Plan: The Corporation plans has hired a management agent company that will ensure that fidelity bond is available for examination purposes to determine that the Project has the proper fidelity bond coverage. Responsible party: Ken Dickerson, Chairman Planned completion date for ...
Corrective Action Plan: The Corporation plans has hired a management agent company that will ensure that fidelity bond is available for examination purposes to determine that the Project has the proper fidelity bond coverage. Responsible party: Ken Dickerson, Chairman Planned completion date for corrective action plan: Already remediated.
View Audit 291368
Finding 369744 (2021-008)
Material Weakness 2021
New Vision Foundation
MN
Matching / Level of Effort / Earmarking Cash Management Material Weakness § 200.303
Child and Adult Care Food Program - Assistance Listing No. 10.558 Recommendation Auditor recommends the Organization retain clear documentation of meal count sheets, including labeling of the particular month they relate to. We also recommend the Organization reconcile the meal count sheets with the...
Child and Adult Care Food Program - Assistance Listing No. 10.558 Recommendation Auditor recommends the Organization retain clear documentation of meal count sheets, including labeling of the particular month they relate to. We also recommend the Organization reconcile the meal count sheets with the clicker reports, and retain specific documentation as to the variances. Explanation of disagreement with audit finding The Child and Adult Care Food Program was created as an emergency response during the COVID-19 pandemic. In such an emergent situation, management believes the federal government acted in good faith to meet the needs of the country by contracting with regional sponsoring organizations. New Vision Foundation was selected by the sponsoring organization to be a community-based food provider to culturally-specific populations. All activities related to the program were expressly approved by the sponsoring organization. The finding of material noncompliance is overstated. Management followed all guidelines and fulfilled all obligations outlined by Feeding Our Future. Documentation of meal count sheets and clicker reports were accepted and approved by the sponsoring organization. Additional documentation was not requested nor were any changes to management’s practices. Action taken in response to finding The program noted was discontinued at the end of 2021. If the Organization enters into any other federal funding, we will consult with experts on compliance requirements from the start of the grant. Name of the contact person responsible for corrective action Hussein Farah, Executive Director Planned completion date for corrective action plan N/A
View Audit 291230
Finding 369742 (2021-006)
Material Weakness 2021
New Vision Foundation
MN
Questioned Costs Matching / Level of Effort / Earmarking Procurement, Suspension & Debarment § 200.303
Child and Adult Care Food Program - Assistance Listing No. 10.558 Recommendation Auditor recommends the Organization attend training, review federal requirements, and fully understand the documentation and meal requirements of the program if they apply for funding with this program again. Explanatio...
Child and Adult Care Food Program - Assistance Listing No. 10.558 Recommendation Auditor recommends the Organization attend training, review federal requirements, and fully understand the documentation and meal requirements of the program if they apply for funding with this program again. Explanation of disagreement with audit finding The Child and Adult Care Food Program was created as an emergency response during the COVID-19 pandemic. In such an emergent situation, management believes the federal government acted in good faith to meet the needs of the country by contracting with regional sponsoring organizations. New Vision Foundation was selected by the sponsoring organization to be a community-based food provider to culturally-specific populations. All activities related to the program were expressly approved by the sponsoring organization. The auditor was provided meal logs, invoices and documents signed by program participants as evidence of meals delivered. However, this documentation was not accepted by the auditor even though it had been approved by the sponsor organization. The auditor requested delivery driver schedules and/or volunteer assignments for specific deliveries which were not available since the sponsor organization never requested such documents be kept. The finding of material noncompliance is overstated. Management followed all guidelines and fulfilled all obligations outlined by Feeding Our Future. Action taken in response to finding The program noted was discontinued at the end of 2021. If the Organization enters into any other federal funding, we will consult with experts on compliance requirements from the start of the grant. Name of the contact person responsible for corrective action Hussein Farah, Executive Director Planned completion date for corrective action plan N/A
View Audit 291230 Questioned Costs: $1
Finding 369487 (2021-004)
Significant Deficiency 2021
Ka Mana O Na Helu
HI
Procurement, Suspension & Debarment Reporting Matching / Level of Effort / Earmarking § 200.512 § 200.514
View of Responsible Officials and Planned Corretive Action Responsible Party: Executive Director The single audit requirement was new to KMNH as a result of ESG CV funding. KMNH completed the procurement process as required by HUD, but did not receive any response from qualified service providers de...
View of Responsible Officials and Planned Corretive Action Responsible Party: Executive Director The single audit requirement was new to KMNH as a result of ESG CV funding. KMNH completed the procurement process as required by HUD, but did not receive any response from qualified service providers despite proactive outreach on our part. We were informed that many of the audit firms were overwhelmed by the need to complete audits due to the increased level of federal funding due to COVID. KMNH has since been able to secure an audit firm to complete the audit after the stipulated due date. The same audit firm has been engaged to complete our audit for year ended December 31, 2022. The benefit to using the same audit firm is that their understanding of KMNH’s financial reporting and grant compliance processes learned during the 2021 audit should contribute to an expeditious 2022 audit. KMNH will work diligently with the audit firm with the goal of completing the audit as soon as possible.
View Audit 290718
Finding 369484 (2021-003)
Significant Deficiency 2021
Ka Mana O Na Helu
HI
Procurement, Suspension & Debarment Subrecipient Monitoring Allowable Costs / Cost Principles
Views of Responsible Officials and Corrective Action - Responsible Party: Director of Operations - KMNH has updated our draft policies and procedures to incorporate §200.318 through §200.327 of the Uniform Guidance procurement standards to ensure compliance with Federal standards. The policies and ...
Views of Responsible Officials and Corrective Action - Responsible Party: Director of Operations - KMNH has updated our draft policies and procedures to incorporate §200.318 through §200.327 of the Uniform Guidance procurement standards to ensure compliance with Federal standards. The policies and procedures will be sent for approval from the KMNH BOD during the next BOD meeting scheduled for April 26, 2024. ESG CV contractors selected were not impacted by the lack on inclusion of the procurement standards in our policies and procedures as KMNH was not responsible for the selection and/or procurement.
View Audit 290718
Finding 369391 (2021-003)
Material Weakness 2021
So Consortium
OH
Subrecipient Monitoring Reporting Matching / Level of Effort / Earmarking § 200.414 § 200.502 § 200.510
Planned Corrective Action: The Fiscal Agent and Board Management will review all grant and loan award documents in order to execute policies and procedures which help ensure compliance with grant agreements, including Schedule reporting requirements. The Consortium will implement a system to track ...
Planned Corrective Action: The Fiscal Agent and Board Management will review all grant and loan award documents in order to execute policies and procedures which help ensure compliance with grant agreements, including Schedule reporting requirements. The Consortium will implement a system to track all federal expenditures and related information separately from other expenditures and report federal expenditures with proper support including, but not limited to, grant agreements, calculation of the expenditures, and any federal reporting requirements. Anticipated Completion Date: March 31, 2024 Responsible Contact Person: Crystal Keaton
View Audit 290596
Saint Augustine's University
NC
Student Financial Aid Eligibility Internal Control / Segregation of Duties
Name of Responsible Individual: Denise Hicks-Mial, Director, Office of Financial Aid and Scholarships Corrective Action: The University contracted with Inceptia on 2/5/2020, and Inceptia started completing verification for SAU on 2/18/2020. Inceptia' s Verification Gateway platform provides an auto...
Name of Responsible Individual: Denise Hicks-Mial, Director, Office of Financial Aid and Scholarships Corrective Action: The University contracted with Inceptia on 2/5/2020, and Inceptia started completing verification for SAU on 2/18/2020. Inceptia' s Verification Gateway platform provides an automated solution to gather information and documentation required for Financial Aid Verification. Inceptia uses innovative technology to apply progressive rules for automatically or manually approving verification. Furthermore, it provides efficient and effective processes to help institutions remain compliant by organizing documents, streamlining award packaging, and allowing staff to manage the verification process. It provides the institution with the internal controls it needs over its Title IV funding. The Financial Aid Staff also can manually verify students if needed. With Colleague and Inceptia, SAU now has a more unified operating system for systematic processes. If a student has been flagged for verification, Colleague will not allow staff to award the student financial aid. One of the award eligibility rules is "Verification Complete." If students fail to pass this rule, they will not be awarded financial aid. Colleague gives the Financial Aid Staff greater control over the disbursal of Title IV funds and prevents the FAO from disbursing aid to students who are ineligible to receive it. Anticipated Completion Date: December 31, 2023
View Audit 290538
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