Corrective Action Plans

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Suspension and Debarment - Significant Deficiency in Internal Control Over Compliance Recommendation: We recommend the Board review its policies and procedures to require documentation be maintained to verify vendors are not suspended or debarred prior to being paid with federal funds. Explanation o...
Suspension and Debarment - Significant Deficiency in Internal Control Over Compliance Recommendation: We recommend the Board review its policies and procedures to require documentation be maintained to verify vendors are not suspended or debarred prior to being paid with federal funds. Explanation of disagreement with audit finding: There is no disagreement with the audit finding. Action taken in response to finding: CCPS will require verification that an entity isn’t suspended or debarred through sam.gov for every purchase order issued. The documentation with headers and footers showing the date that it is verified will be attached to every purchase order before it is issued and before any payments are made. CCPS policy is to have purchase orders for all transactions except in the case of an emergency. If an accounts payable check is issued without a purchase order, accounts payable will get the sam.gov report from purchasing and attach the report before issuing the check. To ensure that all purchase orders have a suspension and debarment search, the Purchasing Assistant will update the desk reference to include the requirement for a suspension and debarment search to be completed before a purchase order can be issued and that it must be date stamped and attached to each purchase order. Name of the contact person responsible for corrective action: Nelson Sample Planned completion date for corrective action plan: July 2024 If the Department of the Treasury has questions regarding this plan, please call Sherri Fisher-Davis at 301-934-7352.
Finding 538769 (2024-002)
Significant Deficiency 2024
Official withdrawals will be calculated for potential R2T4 upon receipt of notification from the records department. Unofficial withdrawals will be completed within 45 days of receipt of notification from the records department. Financial Aid will keep a record of when a withdrawal is received and w...
Official withdrawals will be calculated for potential R2T4 upon receipt of notification from the records department. Unofficial withdrawals will be completed within 45 days of receipt of notification from the records department. Financial Aid will keep a record of when a withdrawal is received and when R2T4s are processed. This spreadsheet will be checked on a regular basis. R2T4 calculations will be checked for accuracy in Banner by the director or another staff member before submission.
View Audit 349478 Questioned Costs: $1
Finding 538768 (2024-001)
Significant Deficiency 2024
Annually update the college website with contract and/or cost information regarding the third-party provider. Provide contract information URL to ED for publication in the Cash Management Contracts Database.
Annually update the college website with contract and/or cost information regarding the third-party provider. Provide contract information URL to ED for publication in the Cash Management Contracts Database.
Finding 2024-002 – Documentation of Costs and Vendor Invoices – Financial Reporting and Internal Controls ALN 14.850 & 14.871– Noncompliance & Material Weakness Recommendation: We recommend that the Authority amend policies and procedures to better facilitate effective purchasing controls. A clear ...
Finding 2024-002 – Documentation of Costs and Vendor Invoices – Financial Reporting and Internal Controls ALN 14.850 & 14.871– Noncompliance & Material Weakness Recommendation: We recommend that the Authority amend policies and procedures to better facilitate effective purchasing controls. A clear audit trail should be maintained to ensure proper approval, as well as documentation to support the allowability and eligibility of costs. Explanation of disagreement with audit finding: There is no disagreement with the audit finding. Action taken in response to finding: We will enhance our internal controls over purchasing and Develop detailed procedures for creating, approving, and managing purchase orders. Name(s) of the contact person(s) responsible for corrective action: Navonya Kolani, Executive Director Planned completion date for corrective action plan: September 30, 2025.
FINDING 2024-002 Finding Subject: COVID-19 - Education Stabilization Fund - Equipment and Real Property Management Summary of Finding: The district did not have proper internal controls in place and documentation to track property or capital assets that were purchased with federal grant funds. Conta...
FINDING 2024-002 Finding Subject: COVID-19 - Education Stabilization Fund - Equipment and Real Property Management Summary of Finding: The district did not have proper internal controls in place and documentation to track property or capital assets that were purchased with federal grant funds. Contact Person Responsible for Corrective Action: Dawn Mason, Business Manager, DeKalb Co. Eastern CSD Contact Phone Number and Email Address: 260-868-2125; dmason@dkeschools.com Views of Responsible Officials: We concur with the findings. Description of Corrective Action Plan: As federal funds are used and expended, property and capital assets that meet or exceed the threshold will be entered on a spreadsheet by the Business Manager or Grant Administrator which will contain a description of the property, a serial number or other identification number, the source of funding for the property (including the federal award identification number (FAIN)), who holds title, the acquisition date, cost of the property, percentage of federal participation in the project costs for the federal award under which the property was acquired, the location, and use and condition of the property Anticipated Completion Date: All expenditures initiated after March 12, 2025
FINDING 2024-002 Finding Subject: Special Education Cluster (IDEA) - Earmarking Contact Person Responsible for Corrective Action: Bethany Cmar Contact Phone Number and Email Address: 765-641-2126 (Bcmar@acsc.net) Views of Responsible Officials: We concur with the finding. Description of Corrective A...
FINDING 2024-002 Finding Subject: Special Education Cluster (IDEA) - Earmarking Contact Person Responsible for Corrective Action: Bethany Cmar Contact Phone Number and Email Address: 765-641-2126 (Bcmar@acsc.net) Views of Responsible Officials: We concur with the finding. Description of Corrective Action Plan: When it comes to expenditures for non-public schools, ACS will assign a unique tracking number to each school, allowing expenditures to be easily traced for this requirement. The overall earmarking requirements will be compiled annually by the Special Education Director and sent to the CFO for review and approval, ensuring compliance with the requirements. Anticipated Completion Date: March 31, 2025
FINDING 2024-001 Finding Subject: Title I Grants to Local Educational Agencies - Eligibility Contact Person Responsible for Corrective Action: Pam Storm Contact Phone Number and Email Address: 765-641-2160 (Pstorm@acsc.net) Views of Responsible Officials: We concur with the finding. Description of C...
FINDING 2024-001 Finding Subject: Title I Grants to Local Educational Agencies - Eligibility Contact Person Responsible for Corrective Action: Pam Storm Contact Phone Number and Email Address: 765-641-2160 (Pstorm@acsc.net) Views of Responsible Officials: We concur with the finding. Description of Corrective Action Plan: For eligibility, the federal grants director will prepare the PE report and enrollment and poverty data, and will give to the Assistant Superintendent for review and approval via signature. Anticipated Completion Date: December 31, 2025
Condition: The College did not provide notifications to certain students related to direct loan disbursements. Planned Corrective Action: The Director of Financial Aid will work with our Information Technology department to ensure the criteria used for triggering the notification emails is correct a...
Condition: The College did not provide notifications to certain students related to direct loan disbursements. Planned Corrective Action: The Director of Financial Aid will work with our Information Technology department to ensure the criteria used for triggering the notification emails is correct and capturing all the necessary students. Additionally, an exception report will be created to identify students who have not been sent the notification email for the Financial Aid department to review to then send the appropriate notification. Contact person responsible for corrective action: Director of Financial Aid Anticipated Completion Date: May 31, 2025
Condition: The College did not have controls in place to ensure appropriate reporting to COD. Planned Corrective Action: The College has begun training additional individuals on the reconciliation process and has updated its procedures to include what documentation needs to be retained on a monthly ...
Condition: The College did not have controls in place to ensure appropriate reporting to COD. Planned Corrective Action: The College has begun training additional individuals on the reconciliation process and has updated its procedures to include what documentation needs to be retained on a monthly basis to ensure accuracy between the amount the College shows as disbursed and the amount the Department of Education shows has been disbursed. Contact person responsible for corrective action: Director of Financial Aid Anticipated Completion Date: June 30, 2025
Condition: Out of 60 students tested for return to Title IV, we identified 24 students whose calculations were performed incorrectly. Planned Corrective Action: The College will work with its Director of Financial Aid to ensure the semester end procedures include steps to identifying those students ...
Condition: Out of 60 students tested for return to Title IV, we identified 24 students whose calculations were performed incorrectly. Planned Corrective Action: The College will work with its Director of Financial Aid to ensure the semester end procedures include steps to identifying those students who unofficially withdrew. Once the students are identified, individuals with the appropriate skills and knowledge would be able to determine if a Return of Title IV calculation is necessary, and appropriately return any funds, as necessary. Contact person responsible for corrective action: Director of Financial Aid Anticipated Completion Date: June 30, 2025
View Audit 349445 Questioned Costs: $1
Corrective Action Plan HCAP’s current procedures require the selection of auditors at least every five years. The request for proposal and selection of auditors for the fiscal year ended March 31, 2024 audit caused unexpected complications and delays in completing the audit and ultimately the filing...
Corrective Action Plan HCAP’s current procedures require the selection of auditors at least every five years. The request for proposal and selection of auditors for the fiscal year ended March 31, 2024 audit caused unexpected complications and delays in completing the audit and ultimately the filing of the single audit report to the Federal Audit Clearinghouse. The single audit for the fiscal year ended March 31, 2024 is expected to be submitted prior to March 28, 2025. The lessons learned during the 2024 audit will contribute to an expeditious and timely 2025 audit. HCAP will work diligently with its audit firm to ensure that future single audit reports are filed timely with the Federal Audit Clearinghouse. Completion Date: Completion date of the CAP is expected to be prior to March 28, 2025. Contact Person Responsible: Lynnelle Hasegawa, Director of Finance.
MUNICIPALITY OF TOA ALTA CORRECTIVE ACTION PLAN SINGLE AUDIT REQUIREMENTS AS OF JUNE 30, 2024 FINDING 2024-006: U.S. DEPARTMENT OF HEALTH AND HUMAN SERVICES CHILD CARE AND DEVELOPMENT BLOCK GRANT (ALN 93.575) PASS-THROUGH P.R. DEPARTMENT OF FAMILY EARMARKING (G) SIGNIFICANT DEFICIENCY AND NONCOMPLIA...
MUNICIPALITY OF TOA ALTA CORRECTIVE ACTION PLAN SINGLE AUDIT REQUIREMENTS AS OF JUNE 30, 2024 FINDING 2024-006: U.S. DEPARTMENT OF HEALTH AND HUMAN SERVICES CHILD CARE AND DEVELOPMENT BLOCK GRANT (ALN 93.575) PASS-THROUGH P.R. DEPARTMENT OF FAMILY EARMARKING (G) SIGNIFICANT DEFICIENCY AND NONCOMPLIANCE Corrective Action: As part of the corrective action plan, we evaluated the approved budget by the pass-through entity for the current fiscal year (2024-2025). From the evaluation we validated that the amount assigned for the Quality Activities Category is 14.58% and the amount assigned for the Quality Infant and Toddler Category is a 5.43% from total approved budget. Therefore, the current approved budget complies with the minimum percentage required by the federal regulation of 9% and 3%, respectively. In addition, we will be evaluating the budget for the proposal of the program year 2025-2026 in order to be in compliance with federal regulation. For general knowledge, we want to make clear that the pass-through agency hasn’t made this questioning because it is the entity that approves the assigned funds. Statement of Concurrence and Responsible Persons: We concur with the auditors' finding. Eileen Rosario Lugo Program Director Implementation Date Fiscal year 2024-2025
The College implemented a policy on January 1, 2025, that clearly defines the proper enrollment status for the various programs offered. The policy has been reviewed by respective administrators. The staff member that is submitting student enrollment data to NSLDS has been trained accordingly. In a...
The College implemented a policy on January 1, 2025, that clearly defines the proper enrollment status for the various programs offered. The policy has been reviewed by respective administrators. The staff member that is submitting student enrollment data to NSLDS has been trained accordingly. In addition, reports have been created to check the accuracy of enrollment data prior to submission.
Planned Corrective Action: The two employees are no longer with America’s Finest Charter School (AFCS). However, AFCS will ensure that all Title I employees responsible for reviewing the Semiannual Certification Form will certify it after the pay period. We will continue to provide training for all ...
Planned Corrective Action: The two employees are no longer with America’s Finest Charter School (AFCS). However, AFCS will ensure that all Title I employees responsible for reviewing the Semiannual Certification Form will certify it after the pay period. We will continue to provide training for all employees funded by federal programs and for the HR Manager regarding the requirements for federal time accounting under 2 CFR §200.430. We will also review payroll records to ensure that payroll is accurately charged to the correct programs on a semimonthly basis.
View Audit 349389 Questioned Costs: $1
2024-001 Special Tests and Provisions Corrective action planned: Management has selected a General Ledger account, (associated to a separate Bank Account) identified and named specifically as the USDA Debt Reserve Account.Additionally, Financial Policies will be revised to include language related t...
2024-001 Special Tests and Provisions Corrective action planned: Management has selected a General Ledger account, (associated to a separate Bank Account) identified and named specifically as the USDA Debt Reserve Account.Additionally, Financial Policies will be revised to include language related to compliance of loan and debt covenants, to be reviewed and approved by the Board of Directors. Anticipated completion date: February 2025 Contact person responsible for corrective action: Dawn Weber, Interim CEO
Identifying Number: 2024-007: U.S. Department of Education: Federal Direct Student Loans – 84.268 Finding: During testing of enrollment reporting, it was noted that there were 16 instances in which the student’s status change was certified outside the 60-day reporting requirement. Corrective Action ...
Identifying Number: 2024-007: U.S. Department of Education: Federal Direct Student Loans – 84.268 Finding: During testing of enrollment reporting, it was noted that there were 16 instances in which the student’s status change was certified outside the 60-day reporting requirement. Corrective Action Taken or Planned: We learned that the current process for the submission to the National Student Clearinghouse is not pulling all students that it should be. We are now pulling additional reports to identify those students being missed and are manually reporting them to the Clearinghouse. Contact person: Megan Fischer, Vice President for Enrollment Management Status of finding – The above corrective actions will be implemented beginning January 1, 2025.
Identifying Number: 2024-006: U.S. Department of Education: Federal Direct Student Loans – 84.268 Finding: During testing over credit balances, it was noted that: 1) one student did not receive the refund on a timely basis; and 2) two students had amounts applied to a prior-year balance over $200. C...
Identifying Number: 2024-006: U.S. Department of Education: Federal Direct Student Loans – 84.268 Finding: During testing over credit balances, it was noted that: 1) one student did not receive the refund on a timely basis; and 2) two students had amounts applied to a prior-year balance over $200. Corrective Action Taken or Planned: All scheduled disbursements will be reviewed to ensure they are provided on a timely basis and are applied correctly to prior award years. Business Office procedures and processing will be reviewed to ensure that credit balances are processed within the regulatory timeframe. Contact person: Megan Fischer, Vice President for Enrollment Management Status of finding – The above corrective actions will be implemented beginning April 1, 2025.
Management concurs. The City will update the fiscal policies and procedures manual to incorporate and clearly define the control system of approvals.
Management concurs. The City will update the fiscal policies and procedures manual to incorporate and clearly define the control system of approvals.
Management concurs. The City will ensure responsible personnel will have a clear understanding of the reporting guidance. The City will implement policies and procedures to monitor and review all reports prepared and submitted by the Grants Department or its designee.
Management concurs. The City will ensure responsible personnel will have a clear understanding of the reporting guidance. The City will implement policies and procedures to monitor and review all reports prepared and submitted by the Grants Department or its designee.
Finding 538519 (2024-065)
Significant Deficiency 2024
Department: Health and Human Services Administrative and Financial Services Title: Internal control over the Foster Care – Title IV-E and Adoption Assistance – Title IV-E programs FMAP rates needs improvement Questioned Costs: None Status: Corrective action in progress Corrective Action: The Informa...
Department: Health and Human Services Administrative and Financial Services Title: Internal control over the Foster Care – Title IV-E and Adoption Assistance – Title IV-E programs FMAP rates needs improvement Questioned Costs: None Status: Corrective action in progress Corrective Action: The Information Services Unit Manager will organize an annual meeting to include the OCFS COO, the OCFS PFO and appropriate representatives from DAFS, on or about August 1st to formally discuss the FMAP and agree on its implementation. Meeting will be set as an auto reoccurring meeting updated annually to include the appropriate staff to attend. A Placeholder for the Annual FMAP update will be entered annually into Katahdin's life cycle management system (Octane) to allow the FMAP update activity to be formally tracked. A screenshot of the entered FMAP rate from Katahdin will be sent out to the same group after the meeting when the rate is entered into the Katahdin system. Completion Date: April 1, 2025, first and second item, and August 15, 2025, third item Agency Contact: Robert Blanchard, Associate Director, OCFS, DHHS, 207-624-7955
Finding 538508 (2024-060)
Significant Deficiency 2024
Department: Health and Human Services Title: Internal control over CCDF provider health and safety requirements needs improvement Questioned Costs: None Status: Corrective action in progress Corrective Action: The Office of Child and Family Services (OCFS) will launch a new data management system (B...
Department: Health and Human Services Title: Internal control over CCDF provider health and safety requirements needs improvement Questioned Costs: None Status: Corrective action in progress Corrective Action: The Office of Child and Family Services (OCFS) will launch a new data management system (Baxter) that includes mobile technology (eliminating paper inspections), has extensive reporting, data, tracking technology and system alerts to inform Licensing Specialists and Supervisors of inspection due dates. Enhanced technology will mitigate the risk associated w/ current manual procedures. OCFS will include an agenda item on the next Child Care Licensing Staff meeting regarding annual inspection completion. OCFS will update Standard Operating Procedures to reflect changes in workflow and processes because of the new data management system. Completion Date: May 19, 2025, April 1, 2025, and June 1, 2025 Agency Contact: Janet Whitten, OCFS, CLIS Program Manager, DHHS, 207-441-2259
Department: Health and Human Services Administrative and Financial Services Title: Internal control over CCDF financial reporting needs improvement Questioned Costs: Known: ALN 93.575 $3.7 million Likely: ALN 93.575 $3.7 million Status: Corrective action in progress Corrective Action: The DHHS Finan...
Department: Health and Human Services Administrative and Financial Services Title: Internal control over CCDF financial reporting needs improvement Questioned Costs: Known: ALN 93.575 $3.7 million Likely: ALN 93.575 $3.7 million Status: Corrective action in progress Corrective Action: The DHHS Financial Service Center will enhance policies and procedures for the CCDF grant by modifying the FSR Reviewer Checklist and add an additional layer of FSR reviewer The DHHS Financial Service Center will collaborate with the Office of Child and Family Services to make reporting line determinations. Completion Date: April 30, 2025, and September 1, 2025, respectively Agency Contact: Sarah Gove, Director, DHHS Service Center, DAFS, 207-458-6626
View Audit 349360 Questioned Costs: $1
Department: Health and Human Services Title: Internal control over Income Eligibility and Verification System procedures needs improvement Questioned Costs: None Status: Corrective action in progress Corrective Action: The Department will develop a standard operating procedure to include processing ...
Department: Health and Human Services Title: Internal control over Income Eligibility and Verification System procedures needs improvement Questioned Costs: None Status: Corrective action in progress Corrective Action: The Department will develop a standard operating procedure to include processing of State Wage Information Collection Agency reports beginning July of 2024. This work will be assigned to a TANF team member. Completion Date: June 30, 2025 Agency Contact: Ian Yaffe, Director, Office for Family Independence, DHHS, 207-592-1481
Finding 538487 (2024-048)
Significant Deficiency 2024
Department: Education Title: Internal control over Special Education level of effort needs improvement Questioned Costs: None Status: Corrective action in progress Corrective Action: The Office of Special Services & Inclusive Education (OSSIE) will assume responsibility and oversight of the State’s ...
Department: Education Title: Internal control over Special Education level of effort needs improvement Questioned Costs: None Status: Corrective action in progress Corrective Action: The Office of Special Services & Inclusive Education (OSSIE) will assume responsibility and oversight of the State’s Maintenance of State Financial Support (MSFS). This will allow for reporting to be centralized with OSSIE. OSSIE will develop and implement written procedures with the support of the School Finance team to include timelines for completion, processes including internal control checks, and assigned positions. Completion Date: March 17, 2025, and April 30, 2025, respectively Agency Contact: Barbara McGowen, Director of Financial Management, OSSIE, DOE, 207-624-6645
Department: Professional and Financial Regulation Title: Internal control over HAF Program reporting and earmarking needs improvement Questioned Costs: None Status: Corrective action in progress Corrective Action: The Department will require subrecipients to submit program and financial reports star...
Department: Professional and Financial Regulation Title: Internal control over HAF Program reporting and earmarking needs improvement Questioned Costs: None Status: Corrective action in progress Corrective Action: The Department will require subrecipients to submit program and financial reports starting with the March 2025 reporting period. The Department will document their review of the subrecipient reports. Completion Date: April 30, 2025, and May 15, 2025, respectively Agency Contact: Rachel Hendsbee, Director Administrative Services Division, PFR, 207-624-8500
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