Corrective Action Plans

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Finding 538272 (2023-001)
Significant Deficiency 2023
CORRECTIVE ACTION PLAN FOR FINDINGS REPORTED UNDER UNIFORM GUIDANCE Town of Eatonville January 1, 2023 through December 31, 2023 This schedule presents the corrective action the Town is planning to take for findings included in this report in accordance with Title 2 U.S. Code of Federal Regulations...
CORRECTIVE ACTION PLAN FOR FINDINGS REPORTED UNDER UNIFORM GUIDANCE Town of Eatonville January 1, 2023 through December 31, 2023 This schedule presents the corrective action the Town is planning to take for findings included in this report in accordance with Title 2 U.S. Code of Federal Regulations (CFR) Part 200, Uniform Administrative Requirements, Cost Principles, and Audit Requirements for Federal Awards (Uniform Guidance). Finding ref number: 2023-001 Finding caption: The Town did not have adequate internal controls for ensuring compliance with federal procurement requirements. Name, address, and telephone of Town contact person: Miranda Doll 201 Center St. W Eatonville, WA 98328 (360) 832-3361 Corrective action the auditee plans to take in response to the finding: The Town commits to developing written procurement standards in Uniform Guidance (2 CFR 200.318-327) and implementing internal controls to ensure compliance with federal procurement requirements at the Town staff level rather than relying so heavily on consultants. Anticipated date to complete the corrective action: July 1, 2025
Views of Responsible Officials and Planned Corrective Actions: The Organization will develop, implement, and consistently apply a policy that governs how shared services are calculated and charged to all funds. This policy will be developed by the Executive Director, with the assistance of the DAC ...
Views of Responsible Officials and Planned Corrective Actions: The Organization will develop, implement, and consistently apply a policy that governs how shared services are calculated and charged to all funds. This policy will be developed by the Executive Director, with the assistance of the DAC Finance Committee, and approved by the DAC Board of Directors. Monique Johnson, Executive Director of Allen County Drug & Alcohol Consortium, is responsible for this corrective action. The anticipated completion date is June 30, 2025.
Views of Responsible Officials and Planned Corrective Actions: The Organization will update policy to ensure that all payments made in any form have appropriate documentation. Additionally, policy on review of invoices prior to payment will be reviewed by Executive Director and Business Manager. M...
Views of Responsible Officials and Planned Corrective Actions: The Organization will update policy to ensure that all payments made in any form have appropriate documentation. Additionally, policy on review of invoices prior to payment will be reviewed by Executive Director and Business Manager. Monique Johnson, Executive Director of Allen County Drug & Alcohol Consortium, is responsible for this corrective action. The anticipated completion date is May 31, 2025.
Views of Responsible Officials and Planned Corrective Actions: The Organization will establish policies and procedures for composing and reviewing financial and performance reports before submission to grantors, including electronic storage of all reports. Monique Johnson, Executive Director of All...
Views of Responsible Officials and Planned Corrective Actions: The Organization will establish policies and procedures for composing and reviewing financial and performance reports before submission to grantors, including electronic storage of all reports. Monique Johnson, Executive Director of Allen County Drug & Alcohol Consortium, is responsible for this corrective action. The anticipated completion date is May 31, 2025.
Views of Responsible Officials and Planned Corrective Actions: The Organization will prepare a current Scheduel of Expenditures of Federal Awards, listing awards by federal agency, total federal awards expended, name of pass-through entity, assistance listing number, and total amount provided to su...
Views of Responsible Officials and Planned Corrective Actions: The Organization will prepare a current Scheduel of Expenditures of Federal Awards, listing awards by federal agency, total federal awards expended, name of pass-through entity, assistance listing number, and total amount provided to subrecipients. Monique Johnson, Executive Director of Allen County Drug & Alcohol Consortium, is responsible for this corrective action. The anticipated completion date is April 15, 2025.
The school is required to prepare financial statements in accordance with generally accepted accounting principles (GAAP). This is the responsibility of the School’s management. The preparation of the financial statements in accordance with GAAP requires internal controls over both maintaining inter...
The school is required to prepare financial statements in accordance with generally accepted accounting principles (GAAP). This is the responsibility of the School’s management. The preparation of the financial statements in accordance with GAAP requires internal controls over both maintaining internal books and records and reporting the external financial statements and the related footnotes. The current staffing of the School does not allow the School to have an internal control system in place designed to provide for the preparation of the financials and related footnotes being audited. The School requested that the external auditors draft the financial statements and accompanying notes as a result. Statement of Concurrence or Nonconcurrence: It is correct that due to the cost and other considerations, the School has requested that their auditors draft the financial statement and related footnotes. Corrective Action: The School has evaluated the cost vs. benefit of establishing internal controls over the preparation of financial statements in accordance with GAAP and determined that it is in the best interest of the School to outsource this task to its external auditors, and to carefully review the draft financial statements and notes prior to approving them and accepting responsibility for their content and preparation. The School will continue to evaluate the cost vs. benefit of having someone in management capable of preparation and/or of the financial statements in accordance with GAAP. Projected Completion Date: Due to funding issues, the school is unable at this time to correct this finding.
We agree and will continue to monitor monthly financial results and accounting information as correction is not practical.
We agree and will continue to monitor monthly financial results and accounting information as correction is not practical.
Beginning with the March 2024 reporting period, the City implemented a formal control framework designed to segregate the duties associated with the preparation, review, and submission of ARPA Project and Expenditure reports, in alignment with SEFA (Schedule of Expenditures of Federal Awards) report...
Beginning with the March 2024 reporting period, the City implemented a formal control framework designed to segregate the duties associated with the preparation, review, and submission of ARPA Project and Expenditure reports, in alignment with SEFA (Schedule of Expenditures of Federal Awards) reporting requirements. This enhanced control structure ensures that no single individual is responsible for all stages of the reporting process, thereby strengthening the City's internal control over federal awards. Furthermore, the City has adopted a strict reporting schedule to guarantee the timely submission of all ARPA-related reports. Responsible Person: Finance Manager Expected Implementation Date: April 2024
Recommendation: We recommend that the Organization implements policies and procedures to properly calculate and allocate payroll, including review and approval of time and effort. Explanation of disagreement with audit finding: There is no disagreement with the audit finding. Action taken in respons...
Recommendation: We recommend that the Organization implements policies and procedures to properly calculate and allocate payroll, including review and approval of time and effort. Explanation of disagreement with audit finding: There is no disagreement with the audit finding. Action taken in response to finding: Although they were not documented, checks and balances were in place for approval and time allocation. We have implemented formal policies and procedures to be in compliance with proper time and effort federal regulations over wages. We have also implemented a formal review and approval process for payroll and allocations with a new payroll software. Name(s) of the contact person(s) responsible for corrective action: Jordan Ruiz, Executive Director Planned completion date for corrective action plan: December 01, 2024
Condition: The School does not have evidence that exit counseling was provided to students who withdrew or graduated as required by 34 CFR 682.604. Planned Corrective Action: The Iliff School of Theology has contracted with a professional, third-party processing company to administer its student ai...
Condition: The School does not have evidence that exit counseling was provided to students who withdrew or graduated as required by 34 CFR 682.604. Planned Corrective Action: The Iliff School of Theology has contracted with a professional, third-party processing company to administer its student aid programs. The school has also ensured that this third-party processor is properly coordinated with the registrar’s office to meet federal requirements for exit counseling when status changes are processed. Contact person responsible for corrective action: Jason Warr, VP for Business, Controller Anticipated Completion Date: May 2024
Condition: The School does not have written policies and procedures that incorporate the provisions of 34 CFR 668.51 through 668.61. Planned Corrective Action: The Iliff School of Theology has contracted with a professional, third-party processing company to administer its student aid programs. Al...
Condition: The School does not have written policies and procedures that incorporate the provisions of 34 CFR 668.51 through 668.61. Planned Corrective Action: The Iliff School of Theology has contracted with a professional, third-party processing company to administer its student aid programs. All verification procedures are established, and documentation will be maintained to demonstrate compliance. Contact person responsible for corrective action: Jason Warr, VP for Business, Controller Anticipated Completion Date: May 2024
Condition: The School does not have a documented Direct Loan quality assurance program. Planned Corrective Action: The Iliff School of Theology has contracted with a professional, third-party processing company to administer its student aid programs. The school will coordinate with this third-party...
Condition: The School does not have a documented Direct Loan quality assurance program. Planned Corrective Action: The Iliff School of Theology has contracted with a professional, third-party processing company to administer its student aid programs. The school will coordinate with this third-party processor to ensure that there is a documented quality assurance program that is regularly exercised for compliance purposes. All documentation will be maintained. Contact person responsible for corrective action: Jason Warr, VP for Business, Controller Anticipated Completion Date: May 2024
Condition: Our audit procedures identified an instance where the School could not locate evidence that the required R2T4 calculation under federal regulation was completed and another instance whereas the calculation was inaccurate. Planned Corrective Action: The Iliff School of Theology has contr...
Condition: Our audit procedures identified an instance where the School could not locate evidence that the required R2T4 calculation under federal regulation was completed and another instance whereas the calculation was inaccurate. Planned Corrective Action: The Iliff School of Theology has contracted with a professional, third-party processing company to administer its student aid programs. This third-party processor is adequately skilled to complete Return of Title IV calculations and includes an established review process for quality control. All documentation will be maintained. Contact person responsible for corrective action: Jason Warr, VP for Business, Controller Anticipated Completion Date: May 2024
View Audit 346899 Questioned Costs: $1
Condition: The School does not reconcile institutional records with Direct Loan funds received from the Secretary of the U.S. Department of Education and the Direct Loan disbursement records submitted to and accepted by the Secretary of the U.S. Department of Education. Planned Corrective Action: T...
Condition: The School does not reconcile institutional records with Direct Loan funds received from the Secretary of the U.S. Department of Education and the Direct Loan disbursement records submitted to and accepted by the Secretary of the U.S. Department of Education. Planned Corrective Action: The Iliff School of Theology has contracted with a professional, third-party processing company to administer its student aid programs who will ensure that direct loan reconciliations are conducted on a monthly basis in coordination with the business office. Contact person responsible for corrective action: Jason Warr, VP for Business, Controller Anticipated Completion Date: May 2024
Condition: Our audit procedures identified instances of inaccurate or untimely reporting of enrollment information to NSLDS. Planned Corrective Action: The Iliff School of Theology has contracted with a professional, third-party processing company to administer its student aid programs. The school ...
Condition: Our audit procedures identified instances of inaccurate or untimely reporting of enrollment information to NSLDS. Planned Corrective Action: The Iliff School of Theology has contracted with a professional, third-party processing company to administer its student aid programs. The school has also ensured that this third-party processor is properly coordinated with the registrar’s office to meet federal requirements for NSLDS enrollment reporting. Contact person responsible for corrective action: Jason Warr, VP for Business, Controller Anticipated Completion Date: May 2024
Condition: The School submitted a FISAP to the U.S. Department of Education that reported inaccurate information in several data fields within the report. In addition, there was no evidence that an individual other than the preparer reviewed the report. Planned Corrective Action: The Iliff School o...
Condition: The School submitted a FISAP to the U.S. Department of Education that reported inaccurate information in several data fields within the report. In addition, there was no evidence that an individual other than the preparer reviewed the report. Planned Corrective Action: The Iliff School of Theology has contracted with a professional, third-party processing company to administer its student aid programs. Preparation and submission of the FISAP will be completed with coordination between the VP of Business and the third-party processor. This includes a quality review process for accuracy. Contact person responsible for corrective action: Jason Warr, VP for Business, Controller Anticipated Completion Date: May 2024
Condition: Due to the limited number of personnel within the Financial Aid Department, the director of financial aid is solely responsible for packaging, awarding, and disbursing to student accounts Federal Student Financial Aid (Title IV) as well as calculating return of Title IV funds for students...
Condition: Due to the limited number of personnel within the Financial Aid Department, the director of financial aid is solely responsible for packaging, awarding, and disbursing to student accounts Federal Student Financial Aid (Title IV) as well as calculating return of Title IV funds for students who withdraw from the School to student accounts. The packaging of Title IV aid and the return of Title IV funds are complex calculations that are not formally reviewed by another employee. Planned Corrective Action: The Iliff School of Theology has contracted with a professional, third-party processing company to administer its student aid programs. This third-party processing company is structured to properly segregate financial processing and includes a quality review function. Contact person responsible for corrective action: Jason Warr, VP for Business, Controller Anticipated Completion Date: May 2024
Finding 528439 (2023-001)
Significant Deficiency 2023
CORRECTIVE ACTION PLAN FOR FINDINGS REPORTED UNDER UNIFORM GUIDANCE City of Ferndale January 1, 2023 through December 31, 2023 This schedule presents the corrective action the City is planning to take for findings included in this report in accordance with Title 2 U.S. Code of Federal Regulations (C...
CORRECTIVE ACTION PLAN FOR FINDINGS REPORTED UNDER UNIFORM GUIDANCE City of Ferndale January 1, 2023 through December 31, 2023 This schedule presents the corrective action the City is planning to take for findings included in this report in accordance with Title 2 U.S. Code of Federal Regulations (CFR) Part 200, Uniform Administrative Requirements, Cost Principles, and Audit Requirements for Federal Awards (Uniform Guidance). Finding ref number: 2023-001 Finding caption: The City did not have adequate internal controls for ensuring compliance with federal procurement requirements. Name, address, and telephone of City’s contact person: Finance Director Danielle Ingham 2095 Main Street Ferndale, WA 98248 (360) 384-4302 Corrective action the auditee plans to take in response to the finding: The City is currently in the process of adopting a comprehensive purchasing and procurement policy, with the goal of implementing the major components of these policies by the end of April 2025. Although the City has consistently followed established purchasing procedures, including redundant reviews and purchasing limits, these practices have occasionally varied across departments and have not been formally codified. The City acknowledges that formal adoption of purchasing policies not only ensures consistency in procurement practices across the organization but also serves as a valuable resource for employee training, particularly when making purchasing decisions that are uncommon for the jurisdiction. In recent years, the City has reexamined its broad range of financial responsibilities, including procurement, and has considered delaying the adoption of new policies until the landscape of these changes stabilizes. However, in its ongoing commitment to continuous improvement, the City has determined that adopting purchasing and procurement policies that address the majority of the City’s procurement decisions is the most effective course of action. These policies will be subject to ongoing refinement and updates over time. The City remains receptive to insights and recommendations, such as those provided by the SAO, which contribute to the enhancement of its processes. Anticipated date to complete the corrective action: April 2025.
As we mentioned in the SA 2022 Corrective Action Plan, we have been working with Unified Contracts which is helping us achieve our goal. We will continue with a Unified Contract to ensure that SA 2024 can be released on or before June 2025. Lead Person for Action Item Completion: Miguel A. Padilla V...
As we mentioned in the SA 2022 Corrective Action Plan, we have been working with Unified Contracts which is helping us achieve our goal. We will continue with a Unified Contract to ensure that SA 2024 can be released on or before June 2025. Lead Person for Action Item Completion: Miguel A. Padilla Vázquez (Director of Administration)
A grant manager and grant-financial coordinator have been hired to work with the finance team to communicate the whole gamut of applicable elements of ASC 606. Also, we are purchasing a grant management system—not a manual Excel sheet- that can scan grants and identify conditions and restrictions.
A grant manager and grant-financial coordinator have been hired to work with the finance team to communicate the whole gamut of applicable elements of ASC 606. Also, we are purchasing a grant management system—not a manual Excel sheet- that can scan grants and identify conditions and restrictions.
The District agrees and has already implemented processes to ensure receivables are created with each claim created in CNIPS
The District agrees and has already implemented processes to ensure receivables are created with each claim created in CNIPS
View Audit 345656 Questioned Costs: $1
Finding 2023-003 Federal Agency Name: U.S. Department of Agriculture Federal Financial Assistance Listing: #10.766 Program Name: Community Facilities Loans and Grants Cluster, Community Facilities Loans and Grants Compliance Requirement: Special Tests and Provisions Finding Summary: The Hospital did...
Finding 2023-003 Federal Agency Name: U.S. Department of Agriculture Federal Financial Assistance Listing: #10.766 Program Name: Community Facilities Loans and Grants Cluster, Community Facilities Loans and Grants Compliance Requirement: Special Tests and Provisions Finding Summary: The Hospital did not sufficiently fund their reserve account. As of December 31, 2023, the Hospital should have USDA debt reserves at least equal to $389,998. Responsible Individuals: Doug B. Lewis, Chief Financial Officer Corrective Action Plan: Management will review the reserve account requirements and ensure appropriate contributions are made during the fiscal year.
Condition: The City submitted the required Project and Expenditure Report, but the amount reported in March 2023 as cumulative expenditures was the City's total award amount rather than the amount spent to date. Planned Corrective Action: The City will correct the reports that have been submitted an...
Condition: The City submitted the required Project and Expenditure Report, but the amount reported in March 2023 as cumulative expenditures was the City's total award amount rather than the amount spent to date. Planned Corrective Action: The City will correct the reports that have been submitted and review future reports to ensure the appropriate expenditures are disclosed. Contact person responsible for corrective action: Robert McMahon, City Administrator Anticipated Completion Date: 09/30/2025
Condition: The City did not submit the required annual report related to use of program income. Planned Corrective Action: The City will work with the EPA to determine how to report the use of program income. Contact person responsible for corrective action: Robert McMahon, City Administrator Antici...
Condition: The City did not submit the required annual report related to use of program income. Planned Corrective Action: The City will work with the EPA to determine how to report the use of program income. Contact person responsible for corrective action: Robert McMahon, City Administrator Anticipated Completion Date: 09/30/2025
Condition: The schedule of expenditures of federal awards (SEFA) was not accurate. Planned Corrective Action: The City will review its process for identifying and communicating Federal Grant expenditures to its auditors. Contact person responsible for corrective action: Robert McMahon, City Administ...
Condition: The schedule of expenditures of federal awards (SEFA) was not accurate. Planned Corrective Action: The City will review its process for identifying and communicating Federal Grant expenditures to its auditors. Contact person responsible for corrective action: Robert McMahon, City Administrator Anticipated Completion Date: 09/30/2025
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