Corrective Action Plans

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2023-001 – Special Tests and Provisions Corrective action planned: Minneola Healthcare will open a new bank account that will hold the debt reserve amount. A deposit into the debt reserve account will be made monthly via auto transfer on the 10th of each month till December 2027. There will be one w...
2023-001 – Special Tests and Provisions Corrective action planned: Minneola Healthcare will open a new bank account that will hold the debt reserve amount. A deposit into the debt reserve account will be made monthly via auto transfer on the 10th of each month till December 2027. There will be one withdrawal from this account done yearly to transfer funds to a CD. The yearly payment amount will have its own account with the amount of the next years payment needed. Anticipated completion date: November 30th, 2024 Contact person responsible for corrective action: Controller
The County has corrected the material understatement of expenditures of federal awards in the current fiscal year and does not foresee this as an ongoing weakness in its internal controls. The County will review its policies and procedures on an annual basis.
The County has corrected the material understatement of expenditures of federal awards in the current fiscal year and does not foresee this as an ongoing weakness in its internal controls. The County will review its policies and procedures on an annual basis.
There was significant turnover in the finance department, including the CFO and the finance director. These turnovers affected the ability of the organization to produce the information on time for the auditors. The Organization is working with external consultants to improve the timeliness of recon...
There was significant turnover in the finance department, including the CFO and the finance director. These turnovers affected the ability of the organization to produce the information on time for the auditors. The Organization is working with external consultants to improve the timeliness of reconciliations and audit preparation and recruiting vacant positions. We completed accounting policy changes which will correct the issues noted. Management is confident that the issues that have been noted will be rectified in the fiscal year ending September 30, 2024.
CORRECTIVE ACTION PLAN FOR THE YEAR ENDED JUNE 30, 2023 Title 2, U.S. Code of Federal Regulations Part 200, Uniform Administrative Requirements, Cost Principles, and Audit Requirements for Federal Awards (Uniform Guidance), Subpart F, Section 511 – Audit Findings Follow-up requires the auditee to pr...
CORRECTIVE ACTION PLAN FOR THE YEAR ENDED JUNE 30, 2023 Title 2, U.S. Code of Federal Regulations Part 200, Uniform Administrative Requirements, Cost Principles, and Audit Requirements for Federal Awards (Uniform Guidance), Subpart F, Section 511 – Audit Findings Follow-up requires the auditee to prepare a corrective action plan to address each audit finding included in the current year auditor’s reports. The Corrective Action Plan for Current Year Findings present our corrective action plan for the Financial Statement and/or Federal Award Findings described in the accompanying Schedule of Findings and Questioned Costs for the period ended June 30, 2023. Finding 2023-001 Responsible Party Name: Myra Cerna Position: Project Accountant Telephone Number: (816) 608-1799 x 259 Federal Agency Department of Housing and Urban Development Federal Program Supportive Housing for Persons with Disabilities (Sec 811) Compliance Requirements A/B - Activities Allowed or Unallowed and Allowable Costs/Cost Principles, C – Cash Management, E – Eligibility, and N – Special Tests and Provisions Finding Type Financial Statement and Federal Awards Auditee’s Comment on Finding We agree with the auditor’s finding. Corrective Action Management reported that the failure(s) involved records related to the period managed by the predecessor management company. We will request and keep all required documentation from HUD and establish processes and procedures to ensure compliance with the Regulatory Agreement or Capital Advance Use Agreement. Anticipated Completion Date June 30, 2024
Finding 504244 (2023-006)
Material Weakness 2023
2023-006 - Medical Assistance Program – Children’s Long-Term Support (CLTS) – The County is aware it has not implemented formal controls related to ensuring activities allowed requirements and will take necessary action to implement procedures for compliance. Responsible Official – Beata Haug, PhD –...
2023-006 - Medical Assistance Program – Children’s Long-Term Support (CLTS) – The County is aware it has not implemented formal controls related to ensuring activities allowed requirements and will take necessary action to implement procedures for compliance. Responsible Official – Beata Haug, PhD – CFO Anticipated Completion Date – The County will remedy this in the subsequent fiscal year.
View Audit 326748 Questioned Costs: $1
Corrective Action Plan: • Housing service leadership staff will ensure that each unit lease served through NWYS will have on file documentation of reasonable rental rates and residential use at the time of lease signing or renewal, to ensure compliance with all grant requirements. Responsible Divi...
Corrective Action Plan: • Housing service leadership staff will ensure that each unit lease served through NWYS will have on file documentation of reasonable rental rates and residential use at the time of lease signing or renewal, to ensure compliance with all grant requirements. Responsible Division/Office and Individual: • NWYS Housing leadership staff – Luis Reyna, Andy Johnson, Rebecca Pendergraft, Addison Ausley • Finance leadership staff – Stephanie Wagner, Dianne Ersser Estimated Completion Date: 9/30/2024
View Audit 326689 Questioned Costs: $1
Finding 504204 (2023-002)
Material Weakness 2023
Condition: The Organization is required to submit a quarterly narrative report within 30 days following the end of the calendar quarter to the granting agency The Organization was awarded the grant funds in September 2023 and did not complete the one required narrative reporting requirement due in J...
Condition: The Organization is required to submit a quarterly narrative report within 30 days following the end of the calendar quarter to the granting agency The Organization was awarded the grant funds in September 2023 and did not complete the one required narrative reporting requirement due in January 2024. Planned Corrective Action: Management will update its review process to ensure all required reporting is completed timely, and correspond with the granting agency to complete any missed reporting requirements they request. Management has noted that the nature through which the grant was issued resulted in some confusion regarding time periods and critical reporting requirements related to the grant program. Contact person responsible for corrective action: Adam Kinder, CFO Anticipated Completion Date: October 15, 2024
Finding 504203 (2023-001)
Material Weakness 2023
Condition: The Organization has engaged a subrecipient as part of this grant program, which was subsequently determined, but did not have an executed agreement with the subrecipient and as a result did not meet the requirements of having performed formal risk assessment procedures. Planned Correctiv...
Condition: The Organization has engaged a subrecipient as part of this grant program, which was subsequently determined, but did not have an executed agreement with the subrecipient and as a result did not meet the requirements of having performed formal risk assessment procedures. Planned Corrective Action: Management has drafted and is finalizing an agreement with the identified subrecipient, and implement formalized policies and procedures to ensure no risk factors for non-compliance exist and to properly monitor the subrecipient activity. The identified subrecipient has met all documentation and submission requirements to support reporting and appropriate usage of grant funds related to the grant program. Contact person responsible for corrective action: Adam Kinder, CFO Anticipated Completion Date: October 11, 2024
Finding 2023-002 - Schedule of Expenditures of Federal Awards (Material Weakness) CFDA Title and Number 84.425 Education Stabilization Fund Name of Federal Agency: U.S. Department of Education CFDA Title and Number 10.555 National School Lunch Program cluster Name of Federal Agency: U.S. Dep...
Finding 2023-002 - Schedule of Expenditures of Federal Awards (Material Weakness) CFDA Title and Number 84.425 Education Stabilization Fund Name of Federal Agency: U.S. Department of Education CFDA Title and Number 10.555 National School Lunch Program cluster Name of Federal Agency: U.S. Department of Agriculture Compliance/Internal Control over Compliance: Auditee Responsibilities Criteria: CFR Part 200.508, CFR Part 200.510, Auditee Responsibilities state that the auditee must prepare the Schedule of Expenditures of Federal Awards, which must list individual Federal awards by Federal Agency, including the total Federal awards expended, name of the pass-through entity, CFDA number, and total amount provided to subrecipients. The information contained in the Schedule of Expenditures of Federal Awards should be derived from and relate directly to the underlying accounting and other records used to prepare the financial statements. Condition: The Schedule of Expenditures of Federal Awards (SEFA) was presented for audit with values that were not reconciled with the general ledger. Cause: The District relied on individuals with insufficient training or support to prepare the SEFA and ensure that it was reconciled with general ledger amounts. District management did not have sufficient training or monitoring policies to recognize and correct the deficiency. Effect or Potential Effect: Expenditures of federal awards and not be detected and corrected. Because the Auditee’s SEFA was completed incorrectly, and not reconciled to the general ledger the SEFA was materially misstated, prior to auditors’ correction recommendations.   Questioned Cost: No Context: Lack of adequate controls over the Schedule of Expenditures of Federal Awards and related accounting resulted in the following: • SEFA was originally presented for auditors with incorrect information. • No reconciliation between federal expenditures reported on the GL and the SEFA was presented. Repeat of a Prior-Year Finding: No Recommendation: We recommend that the District establish policies and procedures to ensure that all Federal awards are identified and reported accurately on future SEFAs. Internal controls should be designed to prevent, detect, or correct errors in a timely manner by performing periodic reconciliations of the SEFA information to the general ledger throughout the fiscal year. The District should provide appropriate training to staff who are assigned to prepare and review the SEFA. District’s Response: The District acknowledges the deficiencies. Corrective Action Plan: The District will establish policies and procedures to ensure that all Federal awards are identified and reported accurately on future SEFAs. Planned Implementation Date: October 1, 2024 Responsible Person: Director of Business Services, Yamhill County School District No. 8
FINDING 2023-007 Finding Subject: COVID-19 – Education Stabilization Fund – Equipment and Real Property Management Summary of Finding: The School Corporation maintained a detailed listing of capital assets; however, the asset records provided for audit did not include three of the six assets paid fo...
FINDING 2023-007 Finding Subject: COVID-19 – Education Stabilization Fund – Equipment and Real Property Management Summary of Finding: The School Corporation maintained a detailed listing of capital assets; however, the asset records provided for audit did not include three of the six assets paid for with federal funds. The School Corporation utilized COVID-19 - Education Stabilization Fund awards, totaling $153,484, to purchase an air handler unit, a generator, planter equipment, auto pilot software, a carpet cleaner, and a floor cleaner. The software, carpet cleaner, and floor cleaner were not included in the capital asset records. Additionally, the capital asset listing provided did not identify which assets were purchased with federal dollars, a serial number or other identification number, who holds title, the location of the asset, nor the use and condition of the property. Contact Person Responsible for Corrective Action: Kelly McPike Contact Phone Number:765-689-9131 Views of Responsible Official: We concur with the finding Description of Corrective Action Plan: An effective internal control will be developed to include a description of the property, a serial number or other identifying number, the source of the funding for the property, the award identification number, who holds the title, the acquisition cost, and the cost of the property. This will ensure all asset reports include all of the necessary information and new assets are added properly. Anticipated Completion Date: April 2024
FINDING 2023-006 Finding Subject: Education Stabilization Fund - Reporting Summary of Finding: The School Corporation had not properly designed or implemented a system of internal controls, which would include proper segregation of duties, that would likely be effective in preventing, or detecting a...
FINDING 2023-006 Finding Subject: Education Stabilization Fund - Reporting Summary of Finding: The School Corporation had not properly designed or implemented a system of internal controls, which would include proper segregation of duties, that would likely be effective in preventing, or detecting and correcting, noncompliance. The School Corporation was required to submit annual data reports to the Indiana Department of Education (IDOE) via JotForm, a form/report builder. Data to be submitted included, but was not limited to, current period expenditures, prior period expenditures, and expenditures per activity. During the audit period the School Corporation submitted two ESSER I reports, two ESSER II reports and two ESSER III reports, for a total of six reports. The annual data reports were complied, prepared and submitted by one employee without documentation to support an oversight or review process in place to prevent, or detect and correct, errors. In addition, because the unit was unable to provide supporting documentation for the information contained in the six reports submitted during the audit period, three of these reports contained errors. Contact Person Responsible for Corrective Action: Kelly McPike Contact Phone Number:765-689-9131 Views of Responsible Official: We concur with the finding Description of Corrective Action Plan: An effective internal control will be developed to ensure supporting documentation is used and retained for all required reports submitted on behalf of the Education Stabilization Program Funds. The reports will be compiled, prepared, and submitted by more than one employee to support any possible oversight or errors. Anticipated Completion Date: April 2024
FINDING 2023-005 Finding Subject: Child Nutrition Cluster – Reporting, Special Tests and Provisions – Verification of Free and Reduced Price Applications (NSLP) Summary of Finding: The School Corporation had not designed or implemented effective internal controls to ensure that reimbursement request...
FINDING 2023-005 Finding Subject: Child Nutrition Cluster – Reporting, Special Tests and Provisions – Verification of Free and Reduced Price Applications (NSLP) Summary of Finding: The School Corporation had not designed or implemented effective internal controls to ensure that reimbursement requests were accurately submitted. The reimbursement requests were prepared by one employee based on meals served without evidence of an oversight or review process. The School Corporation had not designed or implemented effective internal controls to ensure the Verification of Free and Reduced Price Applications were accurately completed. One employee selected and verified the required sample of approved free and reduced-price applications without an oversight or review process. Contact Person Responsible for Corrective Action: Juli Windsor Contact Phone Number:765-689-9131 Views of Responsible Official: We concur with the finding Description of Corrective Action Plan: The management of the School Corporation will establish a system of internal controls related to the grant agreement for the reporting and provisions to verify the free and reduced-price applications meet the compliance requirements. There will be responsible officials in place to comply with the report. Anticipated Completion Date: April 2024
FINDING 2023-003 Finding Subject: Child Nutrition Cluster - Eligibility Summary of Finding: The School Corporation had not properly designed or implemented a system of internal controls, which would include appropriate segregation of duties, that would likely be effective in preventing, or detecting...
FINDING 2023-003 Finding Subject: Child Nutrition Cluster - Eligibility Summary of Finding: The School Corporation had not properly designed or implemented a system of internal controls, which would include appropriate segregation of duties, that would likely be effective in preventing, or detecting and correcting, noncompliance related to the eligibility determination of a child receiving meals. The School Corporation could not provide documentation supporting the eligibility for 10 of 40 students that received free or reduced-price meals for fiscal year 2022-2023. Of the 30 students for which documentation was provided, the School Corporation could not provide documentation that the one student’s benefits were calculated properly. Due to the lack of supporting documentation we were unable to determine the School Corporation's compliance with the Eligibility compliance requirement. Contact Person Responsible for Corrective Action: Juli Windsor Contact Phone Number:765-689-9131 Views of Responsible Official: We concur with the finding Description of Corrective Action Plan: This will include all reimbursements which are submitted to the treasurer must be signed by the school cafeteria managers and the food service director. The school will also implement policies to ensure that the Verification of Free and Reduced-Price applications have an adequate internal control to ensure the validity of the free and reduced applications. This will provide for segregation of duties to ensure appropriate reviews, approvals, and oversight are taking place. Anticipated Completion Date: April 2024
Recommendation: We recommend procedures to maintain records related to eligibility determinations be implemented/strengthened. Explanation of disagreement with audit finding: There is no disagreement with the audit finding. Action taken in response to finding: The Adult Education department will now...
Recommendation: We recommend procedures to maintain records related to eligibility determinations be implemented/strengthened. Explanation of disagreement with audit finding: There is no disagreement with the audit finding. Action taken in response to finding: The Adult Education department will now scan in the physical intake form that Adult ESL students self-report their eligibility status for MA DESE ACLS as well as have the student sign that form. This form will be stored electronically in addition to the information from the form being entered into the Adult ESL Access database and LACES . Name(s) of the contact person(s) responsible for corrective action: Dr. Kevin O’Connor, Claudia Castro Alves and Kate Fiore Planned completion date for corrective action plan: Effective as of 08/01/2024
Recommendation: We recommend procedures to maintain records that accurately reflect the work performed for payroll charges to the grant be implemented/strengthened. Explanation of disagreement with audit finding: There is no disagreement with the audit finding. Action taken in response to finding: T...
Recommendation: We recommend procedures to maintain records that accurately reflect the work performed for payroll charges to the grant be implemented/strengthened. Explanation of disagreement with audit finding: There is no disagreement with the audit finding. Action taken in response to finding: The Adult Education department will be collecting the Time and Effort certifications for staff on Federal grants. Name(s) of the contact person(s) responsible for corrective action: Dr. Kevin O’Connor, Claudia Castro Alves and Kate Fiore Planned completion date for corrective action plan: Effective as of 10/10/2024 so will have Time and Effort certifications for all FY25 staff on Federal grant #2340
View Audit 326124 Questioned Costs: $1
2023-003 Name of Contact Person: Matthew Roy Corrective Action: Greenheart is in the process of establishing a timecard system for all staff who work on grants and have their time allocated to a grant. In the meantime, in early 2024, the Grants Director worked directly with payroll and department le...
2023-003 Name of Contact Person: Matthew Roy Corrective Action: Greenheart is in the process of establishing a timecard system for all staff who work on grants and have their time allocated to a grant. In the meantime, in early 2024, the Grants Director worked directly with payroll and department leaders to review and update the list of personnel who are working on the grant. This was a documented process. Proposed Completion Date: Management considers this finding resolved as of August 2024.
View Audit 326064 Questioned Costs: $1
Finding 2023-001: Internal Control over Compliance Type of finding: Internal Control (material weakness) and Compliance (noncompliance) Recommendation: The Organization should strengthen its internal controls over year-end financial close and reporting with adopted policies and procedures to ensure ...
Finding 2023-001: Internal Control over Compliance Type of finding: Internal Control (material weakness) and Compliance (noncompliance) Recommendation: The Organization should strengthen its internal controls over year-end financial close and reporting with adopted policies and procedures to ensure compliance with the Report submission portion of the Uniform Administrative Requirements, Cost Principles, and Audit Requirements section. Action Taken: The Organization plans to strengthen internal controls by adopting methods that allow for better tracking of restricted versus unrestricted funding, in addition to creating internal methods of tracking income, expense, and reporting of restricted funds throughout the year. The Organization took action with a change in management and a new external bookkeeper, which will allow the above processes to be completed with oversight from both internal and external sources. If there are questions regarding this plan, please call the responsible party listed below. Thank you, Laura Cusick Executive Director Rio Grande Headwaters Land Trust Laura@Rightslv.org (719)657-0800
SafeQuest Solano will implement stronger internal controls and procedures to ensure timely submission of the DCF. This will include designating a responsible party for tracking and submitting the DCF, creating a timeline and checklist for required submissions, and conducting periodic reviews to ensu...
SafeQuest Solano will implement stronger internal controls and procedures to ensure timely submission of the DCF. This will include designating a responsible party for tracking and submitting the DCF, creating a timeline and checklist for required submissions, and conducting periodic reviews to ensure compliance with deadlines. Additionally, SafeQuest Solano will provide training to relevant staff on the importance of meeting federal compliance requirements. SafeQuest Solano has already implemented a new database system.
View Audit 325788 Questioned Costs: $1
SafeQuest Solano will revise its procedures for recording expenditures to ensure compliance with Uniform Guidance, particularly with regard to the timing of expense recognition. SafeQuest Solano will implement controls that prevent expenditure from being recorded before the related checks are cashed...
SafeQuest Solano will revise its procedures for recording expenditures to ensure compliance with Uniform Guidance, particularly with regard to the timing of expense recognition. SafeQuest Solano will implement controls that prevent expenditure from being recorded before the related checks are cashed. Accounting staff will receive additional training on these requirements and consider implementing periodic internal reviews to ensure ongoing compliance.
View Audit 325788 Questioned Costs: $1
Recommendation: We recommend that the Organization implement procedures to document and maintain the documentation to support the controls over compliance are not only properly designed but are working. Explanation of disagreement with audit finding: There is no disagreement with the audit finding. ...
Recommendation: We recommend that the Organization implement procedures to document and maintain the documentation to support the controls over compliance are not only properly designed but are working. Explanation of disagreement with audit finding: There is no disagreement with the audit finding. Action taken in response to finding: Waldorf has established procedures that instead of a second person simply reviewing the first person’s work, that we sign off and date at the time of review. If we cannot sign off in person, we will send an email for confirmation of the review for later documentation. We had the controls in place but lacked the proper documentation. We believe with implementing these items as our procedure will resolve this finding. Name(s) of the contact person(s) responsible for corrective action: Duane Polsdofer Planned completion date for corrective action plan: Immediately
Finding 503523 (2023-004)
Significant Deficiency 2023
Recommendation: We recommend that the Organization review its procedures related to outstanding student refund checks to ensure they are being returned to the Department of Education after 240 days. Explanation of disagreement with audit finding: There is no disagreement with the audit finding. Ac...
Recommendation: We recommend that the Organization review its procedures related to outstanding student refund checks to ensure they are being returned to the Department of Education after 240 days. Explanation of disagreement with audit finding: There is no disagreement with the audit finding. Action taken in response to finding: Waldorf experienced 100% turnover in the Business Office personnel. The new personnel established new policies and procedures while training on new financial software SageIntacct. New payroll software, Inova, and working to learn two existing ERP systems that were not synced. The Business Office help identify uncashed stipend checks in a timely manner. The new systems and new reports created will assist in the identification of these uncashed checks so they can be corrected. The Financial Aid Office and Business Office leadership are working closely together on this continuous endeavor. We believe together with new personnel this matter will be resolved. Name(s) of the contact person(s) responsible for corrective action: Duane Polsdofer Planned completion date for corrective action plan: November 1, 2024
Recommendation: We recommend that the Organization immediately start searching for a replacement controller and potentially look into outsourcing that position if necessary. There is no disagreement with the audit finding. Action taken in response to finding: Waldorf University posted, interviewed...
Recommendation: We recommend that the Organization immediately start searching for a replacement controller and potentially look into outsourcing that position if necessary. There is no disagreement with the audit finding. Action taken in response to finding: Waldorf University posted, interviewed, and hired an accountant who will begin duties on September 9, 2024. The university has also contracted with a CPA firm for additional software training, audit prep, and regulations. Name(s) of the contact person(s) responsible for corrective action: Daisy Halvorson Planned completion date for corrective action plan: September 9, 2024 and continuous.
Finding 503387 (2023-011)
Material Weakness 2023
Views of Responsible Officials and Planned Corrective Action - The County has created a documented process in the new policy and procedures manual for federal guidelines. Separation of duties has been implemented. Robert Placencio, Finance Director will be reviewing and approving these reimbursement...
Views of Responsible Officials and Planned Corrective Action - The County has created a documented process in the new policy and procedures manual for federal guidelines. Separation of duties has been implemented. Robert Placencio, Finance Director will be reviewing and approving these reimbursements moving forward. Responsible Official - Andrea Montoya, Deputy County Manager and Robert Placencio, Finance Director Timeline and Estimated Completion Date - October 10, 2024.
2023-005: U.S. Department of Agriculture - Soil and Water Conservation - Assistance Listing #10.902 Reporting: Material Weakness in Internal Control over Compliance and Material Non-Compliance Finding Summary: Due to an error with the online submission portal, Wallowa Resources was unable to submit...
2023-005: U.S. Department of Agriculture - Soil and Water Conservation - Assistance Listing #10.902 Reporting: Material Weakness in Internal Control over Compliance and Material Non-Compliance Finding Summary: Due to an error with the online submission portal, Wallowa Resources was unable to submit the required information to FSRS. Corrective Action Pan: USDA fixed the online submission portal in September 2024, and Wallowa Resources immediately submitted the required information to FSRS. Wallowa Resources will ensure that any future obligations to first-tier subrecipients will be reported via FSRS in a timely manner. Responsible Individual(s): Joni Maasdam, Finance Manager. Anticipated Completion Date: Completed September 2024.
View Audit 325232 Questioned Costs: $1
Condition: A Single Audit was not timely completed for the fiscal reporting years noted. The years ending December 31, 2023, and 2022. Planned Corrective Action: The Comstock Community Center has established internal guidelines for identifying future Single Audit requirements and will seek clarific...
Condition: A Single Audit was not timely completed for the fiscal reporting years noted. The years ending December 31, 2023, and 2022. Planned Corrective Action: The Comstock Community Center has established internal guidelines for identifying future Single Audit requirements and will seek clarification with any federal granting agencies related to filing requirements each year. Additionally, as evidenced by the filing of this report, the Comstock Community Center has performed the audit for the year ending December 31, 2023. Contact person responsible for corrective action: Mary T. Gustas, Executive Director, Michelle WhitePaster, Account Manager Anticipated Completion Date: The necessary adjustments have been made to the Community Center’s records and are appropriately presented in the financial statements. Accordingly, no further corrective action is deemed necessary.
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