Corrective Action Plans

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Finding 2023-002: Noncompliance and Material Weakness in internal control over compliance with allowable costs/cost principles requirements. Management Response: 1. For 2024 and onwared a payroll personnel activity report has been created and will be used to validate project hours worked after the f...
Finding 2023-002: Noncompliance and Material Weakness in internal control over compliance with allowable costs/cost principles requirements. Management Response: 1. For 2024 and onwared a payroll personnel activity report has been created and will be used to validate project hours worked after the fact. Person(s) Responsible: Chief of Staff, Rita Green; Ops Admin, Cochise Moore.
View Audit 329195 Questioned Costs: $1
Finding 509339 (2023-003)
Significant Deficiency 2023
Finding 2023-03- Compliance Requirement: Allowable Costs Currently all invoicing for expenses being charged to a contract or grant is split between the Accounting Manager and the Finance Director. HIV Alliance will implement a review process under which all invoices prepared by the Accounting Manage...
Finding 2023-03- Compliance Requirement: Allowable Costs Currently all invoicing for expenses being charged to a contract or grant is split between the Accounting Manager and the Finance Director. HIV Alliance will implement a review process under which all invoices prepared by the Accounting Manager will be reviewed by the Finance Director for accuracy and all invoice prepared by the Finance Director will be reviewed by the Accounting Manager for accuracy. This new process will help ensure the accuracy of all invoices regarding allowable costs.
View Audit 329124 Questioned Costs: $1
The Academy will ensure that only eligible expenses are included in the overhead calculation and that other rules and limitations are adhered to. The Academy increased the overhead rate to 10% default rate after learning of this overhead rule during the 2022 audit (mid-2023).
The Academy will ensure that only eligible expenses are included in the overhead calculation and that other rules and limitations are adhered to. The Academy increased the overhead rate to 10% default rate after learning of this overhead rule during the 2022 audit (mid-2023).
View Audit 329117 Questioned Costs: $1
Condition: The Authority did not utilize federal procurement requirements cited above for the tele-health services and SUD Peer Recovery Service contracted service providers utilized for the Certified Community Behavioral Health Clinics project. (no documentation for sole source, no proof that it wa...
Condition: The Authority did not utilize federal procurement requirements cited above for the tele-health services and SUD Peer Recovery Service contracted service providers utilized for the Certified Community Behavioral Health Clinics project. (no documentation for sole source, no proof that it was advertised, google search was provided from 7/24/24 is not sufficient, board cannot waive federal requirement). Recommendation: The Authority follow federal procurement as required in 2 CFR 200.319(d) for all contracts reimbursed with federal funds. Planned Corrective Action: Going forward the Authority will follow federal procurement as required in 2 CFR 200.319(d) for all contracts reimbursed with federal funds. Contact Person: Anthony Shaver, Chief Financial Officer Anticipated Completion Date: 9/30/2024
View Audit 329033 Questioned Costs: $1
Condition: Accrued PTO time was adjusted as of September 30, 2023, however certain employees were transferred over to the grant program that had accrued PTO as of September 30, 2022 that was not taken into account. As a result, the grant was charged PTO time for amounts that had been accrued in prio...
Condition: Accrued PTO time was adjusted as of September 30, 2023, however certain employees were transferred over to the grant program that had accrued PTO as of September 30, 2022 that was not taken into account. As a result, the grant was charged PTO time for amounts that had been accrued in prior years in other programs and activities. Recommendation: Schedule should be revised to take into account the PTO time employees have prior to being transferred into the grant activities Planned Corrective Action: A new schedule has been created that will calculate only the increase in PTO cost year over year per individual and used to accrue PTO cost at year end. Contact Person: Anthony Shaver, Chief Financial Officer Anticipated Completion Date: 9/30/2024
View Audit 329033 Questioned Costs: $1
Condition: The Authority allocated wages and fringe benefits to the program based on the grant budget, with no adjustment made to actual time spent. Recommendation: Implement a review process to ensure the amount charged to a federal award is based on the time the employees spend on providing the se...
Condition: The Authority allocated wages and fringe benefits to the program based on the grant budget, with no adjustment made to actual time spent. Recommendation: Implement a review process to ensure the amount charged to a federal award is based on the time the employees spend on providing the services. Planned Corrective Action: This process has been corrected and only timesheet hours will be used to allocate cost going forward. Contact Person: Anthony Shaver, Chief Financial Officer Anticipated Completion Date: 9/30/2024
View Audit 329033 Questioned Costs: $1
#1 - 1 case continued to receive monthly benefits during 2023 when records indicated that the case should have closed in 2022. Consolidated Report Listing FB021 will be reviewed by supervisor to ensure WFNJ cases are redetermined appropriately. #2 and #3 - 1 case was incorrectly coded as being exe...
#1 - 1 case continued to receive monthly benefits during 2023 when records indicated that the case should have closed in 2022. Consolidated Report Listing FB021 will be reviewed by supervisor to ensure WFNJ cases are redetermined appropriately. #2 and #3 - 1 case was incorrectly coded as being exempted from lifetime limit. 1 case was coded as being exempted from lifetime limit; however, the GCDSS cannot locate supporting documentation. Share Data Warehouse (SDW) ‘TANF and GA Clock’ report & SDW ‘WFNJ Clock’ report will be reviewed by supervisor to ensure correct exemption coding. #2 and #3 Staff will receive refresher DIMs case separator training. All clerical DIMs staff will receive refresher DIMs procedure and indexing training. In-house QC spot checks by Supervisors.
View Audit 328808 Questioned Costs: $1
Finding ref number: 2023-002 Finding caption: The District’s internal controls were inadequate for ensuring compliance with federal procurement requirements. Name, address, and telephone of District contact person: Tom Laufmann, Executive Director of Business Services 1601 Ave D Snohomish, WA 98...
Finding ref number: 2023-002 Finding caption: The District’s internal controls were inadequate for ensuring compliance with federal procurement requirements. Name, address, and telephone of District contact person: Tom Laufmann, Executive Director of Business Services 1601 Ave D Snohomish, WA 98290 360-563-7239 Corrective action the auditee plans to take in response to the finding: (If the auditee does not concur with the finding, the auditee must list the reasons for disagreement). For future contracts, the district will make sure to follow all policies and procedures. In particular, the district will ensure that multiple quotes will be obtained before entering any contract and that all staff involved in contract awards are re-educated and aware of this requirement. Anticipated date to complete the corrective action: 8/31/24
View Audit 328694 Questioned Costs: $1
Finding ref number: 2023-001 Finding caption: The District charged unallowable costs to the Supply Chain Assistance award of the Child Nutrition Cluster. Name, address, and telephone of District contact person: Tom Laufmann, Executive Director of Business Services 1601 Ave D Snohomish, WA 98290 3...
Finding ref number: 2023-001 Finding caption: The District charged unallowable costs to the Supply Chain Assistance award of the Child Nutrition Cluster. Name, address, and telephone of District contact person: Tom Laufmann, Executive Director of Business Services 1601 Ave D Snohomish, WA 98290 360-563-7239 Corrective action the auditee plans to take in response to the finding: (If the auditee does not concur with the finding, the auditee must list the reasons for disagreement). The district is making multiple checks for processed vs unprocessed foods claimed in the Supply Chain Assistance award. This includes multiple staff reviewing the claimed items and cross-checking against the 2022-23 claim. All items deemed processed are removed from the claim. Anticipated date to complete the corrective action: 8/31/2024
View Audit 328694 Questioned Costs: $1
Finding 508037 (2023-001)
Significant Deficiency 2023
2023-001: Significant Deficiency in Internal Controls and Compliance Finding -Child Nutrition Cluster ALN (10.553, 10.555,10.559): A competitive procurement process, which includes suspension and debarment certifications, was not properly performed by the Town for the purchase of school lunch food p...
2023-001: Significant Deficiency in Internal Controls and Compliance Finding -Child Nutrition Cluster ALN (10.553, 10.555,10.559): A competitive procurement process, which includes suspension and debarment certifications, was not properly performed by the Town for the purchase of school lunch food product. (Questioned Costs: $453,359) The Town of Clinton/School Department will maintain proper procurement procedures in compliance with Local, State and Federal laws and regulations. State procurement laws (MGL Chapter 30B for Goods and Services and MGL Chapter 149 Construction) are followed however the district is aware of the federal requirements. When there are exemptions from state procurement laws, or when federal regulations are stricter the district will use the strictest rules, under 2 CFR 200.318-327. These procedures have been updated in the Financial Procedures Manual (pages 231-240, under Section II Procurement System). The Town of Clinton/School Department has expanded membership with French River Education Center – Purchasing Cooperative to include several school lunch food products. The Town of Clinton/School Department will utilize two methods to determine if a potential vendor has been suspended or disbarred. Prior to approving a requisition for a contracted service in excess of $25,000 funded by a Federal grant, district will verify Sam.gov and will require the vendor to sign a Vendor Compliance Certification.
View Audit 328582 Questioned Costs: $1
2023-004 ACTIVITIES ALLOWED OR UNALLOWED Program: Education Stabilization Fund Federal Assistance Listing Number: 84.425 Federal Agency: U.S. Department of Education Pass-Through Agency: Arizona Department of Education Grantor Number: 21FESSII-111175-01A and 21FESIII-111175-01A Questioned Costs: $13...
2023-004 ACTIVITIES ALLOWED OR UNALLOWED Program: Education Stabilization Fund Federal Assistance Listing Number: 84.425 Federal Agency: U.S. Department of Education Pass-Through Agency: Arizona Department of Education Grantor Number: 21FESSII-111175-01A and 21FESIII-111175-01A Questioned Costs: $133,105 Type of Finding: Noncompliance (Other Matter), significant deficiency in internal control Compliance Requirement: A. Activities Allowed or Unallowed Condition/Context: During our testing of expenditures, it was noted that eleven expenditures with a total of $133,105 were not included within the Education Stabilization Fund budget as approved by the Arizona Department of Education. Corrective Action: The District will ensure all expenditures are approved by the SEA before purchase. Planned completion date for corrective action plan: For the period ending June 30, 2024. Name of the contact person responsible for corrective action: Dorene Mudrow, Superintendent
View Audit 328565 Questioned Costs: $1
2023-003 Twenty-First Century Community Learning Centers - Assistance Listing No. 84.287 Material Weakness in Internal Control Over Compliance and Noncompliance - A. Activities Allowed or Unallowed and B. Allowable Costs/Cost Principles Recommendation: The Auditor recommends that the Organization es...
2023-003 Twenty-First Century Community Learning Centers - Assistance Listing No. 84.287 Material Weakness in Internal Control Over Compliance and Noncompliance - A. Activities Allowed or Unallowed and B. Allowable Costs/Cost Principles Recommendation: The Auditor recommends that the Organization establish a formal documentation process to ensure personnel costs are adequately reviewed and allocated to the federal award. Planned Corrective Action: We agree with the recommendation and plan to have the corrective action implemented by December 31, 2024. An updated timesheet policy with the correct wording will be created by the Finance Board Subcommittee at the October meeting, presented to the full Board of Directors at the November Board meeting and voted on at the December 2024 Board meeting.
View Audit 328454 Questioned Costs: $1
Identify, solve, and prevent future payroll liability and payroll expenses over allocation charged to grantors. Identify and solve errors. Follow financial policy to verify the solution and prevent future noncompliance. Responsible person: Finance Dept. Identify over-allocation amounts for each...
Identify, solve, and prevent future payroll liability and payroll expenses over allocation charged to grantors. Identify and solve errors. Follow financial policy to verify the solution and prevent future noncompliance. Responsible person: Finance Dept. Identify over-allocation amounts for each grant in 2023. Responsible person: Finance Dept. Inform all funders affected. Responsible person: Executive Director. Determine whether policy/procedure need to be updated or established. Responsible Persons: Executive Director and Finance Dept. Monthly check-ins to assess progress on action steps. Reveiw the effectiveness of implemented changes at the end of the fiscal year.
View Audit 328359 Questioned Costs: $1
The District will ensure that all proposed capital expenditures originating from any Federal sources that are in excess of $5,000 are pre-approved by CDE prior to executing the proposed transaction.
The District will ensure that all proposed capital expenditures originating from any Federal sources that are in excess of $5,000 are pre-approved by CDE prior to executing the proposed transaction.
View Audit 328293 Questioned Costs: $1
Finding 507058 (2023-014)
Significant Deficiency 2023
Name of Responsible Individual: Brenda Willis, Senior Executive Director of Financial Grants & Contracts Corrective Action: The internal control procedures for federal expenditures will be reviewed and updated to ensure that they comply with federal regulations such as the Uniform Guidance (2 CFR ...
Name of Responsible Individual: Brenda Willis, Senior Executive Director of Financial Grants & Contracts Corrective Action: The internal control procedures for federal expenditures will be reviewed and updated to ensure that they comply with federal regulations such as the Uniform Guidance (2 CFR 200) and the Federal Acquisition Regulation (“FAR”). The roles and responsibilities of staff involved in managing and reviewing federal expenditures will be explicitly defined. All personnel handling federal funds will be trained on policies, compliance requirements, and how to detect red flags in grant activity. The approval workflow for federal expenditures will be assessed and updated by adding Sponsored Programs Office to the approval path to assist in preventing fraud and ensure compliance with regulations. The internal controls will be updated by December 2024 and training will commence in early 2025 Anticipated Completion Date: December 31, 2024
View Audit 328267 Questioned Costs: $1
Name of Responsible Individual: Bruce Jones, Senior Vice President of Research, Marchon Jackson, Associate Vice President of Research and Brenda Willis, Senior Executive Director of Financial Grants & Contracts Corrective Action: The process to review Payment Request Forms (“PRFs”), used for paymen...
Name of Responsible Individual: Bruce Jones, Senior Vice President of Research, Marchon Jackson, Associate Vice President of Research and Brenda Willis, Senior Executive Director of Financial Grants & Contracts Corrective Action: The process to review Payment Request Forms (“PRFs”), used for payment to vendors that do not require the use of a purchase order, will be improved by requiring the review of supporting documents to ensure expenses are allowable by the newly established Sponsored Program Office (“SPO”) post award team. This team will thoroughly review supporting documents to ensure expenses are allowable, allocable, and reasonable according to university policies and grant terms. PRFs will be reviewed by SPO and will serve as the key control point before transactions are forwarded to accounting to post to sponsored awards. The Director of Compliance will conduct spot checks on all sponsored transactional activity involving PRFs, especially for high-risk grants to provide an additional layer of oversight. The new review process and training for these responsibilities will be implemented by spring 2025 as part of the broader campus-wide workflow training and staffing up of the new SPO post-award office. The Director of Post Award Compliance will be hired by March 2025. As part of the compliance program, quarterly audit samples will be conducted of PRFs and other high risk sponsored research transactions. Anticipated Completion Date: March 31, 2025
View Audit 328267 Questioned Costs: $1
FINDING 2023-005 Finding Subject: COVID-19 – Education Stabilization Fund – Activities Allowed or Unallowed, Allowable Costs/Cost Principles. Summary of Finding: An effective internal control system was not in place at the School Corporation to ensure compliance with requirements related to the gran...
FINDING 2023-005 Finding Subject: COVID-19 – Education Stabilization Fund – Activities Allowed or Unallowed, Allowable Costs/Cost Principles. Summary of Finding: An effective internal control system was not in place at the School Corporation to ensure compliance with requirements related to the grant agreement and the Activities Allowed or Unallowed and Allowable Costs/Cost Principles compliance requirements. Across-the-board stipends were paid without documentation or justification for additional duties or work performed on which to base the stipends. Contact Person Responsible for Corrective Action: Tracey Haas, Deputy Treasurer Contact Phone Number and Email Address: thaas@mcas.k12.in.us (219)873-2000 ext. 8346 Views of Responsible Officials: We disagree with this finding. We did not offer an across the board stipend with ESSER II. We paid it to employees who had met certain length of employment requirements and effectiveness requirements. The IDOE guidance states that staff may be paid extra for added COVID-related work. However, this list is not exhaustive and we believe there are other reasons that allowed us to proceed. a. Incentives paid with federal funds must comply with 200.430(f). The federal regulations explicitly state that the bonus is allowed for efficient performance, which was our criteria. Explanation and Reasons for Disagreement: The USDOE gave what we did as a recommended best practice and example for others, of addressing staffing shortages and offering premium pay. In regards to Cafeteria workers please see this research brief released by USDOE regarding pandemic funds (ARP but also other federal pandemic funds, which would include ESSER II) State and Local Practices for Cafeteria and Custodial Staff • Waco Independent School District in Texas will give custodians and cafeteria workers up to $1,000 in bonuses, based on years served with the district. Those who have worked for 10 or more years will receive $1,000, divided in three payments beginning in December 2022. Those who have worked for five to nine years will get $750, and those with the district fewer than five years will get $500. The district expects $500 in bonuses to go to custodians and cafeteria workers. INDIANA STATE BOARD OF ACCOUNTS 46 • North Carolina is using ESSER funds to help local school nutrition operations across􀀃North􀀃Carolina􀀃 recruit􀀃and􀀃retain􀀃needed􀀃staff.􀀃 ESSER states, any activity authorized by the ESEA of 1965 (Titles I, II, III, IV IC Migrant, ID Neglected and Delinquent, 21st Century Community Learning Centers, and Rural and Low-Income Schools Grant) is allowable. Title II has explicit language about paying teachers and admin (but not cafeteria) more as a recruitment or retention bonus
View Audit 328262 Questioned Costs: $1
The Organization has strengthened its policies and procedures for the identification of Federal awards to ensure that the preparation of a complete and accurate SEFA is performed in a timely manner and in accordance with the requirements of Office of Management and Budget. Management has implemented...
The Organization has strengthened its policies and procedures for the identification of Federal awards to ensure that the preparation of a complete and accurate SEFA is performed in a timely manner and in accordance with the requirements of Office of Management and Budget. Management has implemented compliance procedures for obtaining confirmation from the federal agencies. Any entities developed in the future will be assess accordingly and their funding will be included in the preparation of a complete and accurate SEFA for the Diocesan Housing Services Corporation of the Diocese of Camden, Inc.
View Audit 328245 Questioned Costs: $1
Calhoun-Liberty Hospital Association, Inc., D/B/A Calhoun-Liberty Hopsital, (Hospital), respectfully submits the following corrective action plan for the year ended December 31, 2023. The finding from the December 31, 2023, Schedule of Findings and Questioned Costs is discussed below. The finding is...
Calhoun-Liberty Hospital Association, Inc., D/B/A Calhoun-Liberty Hopsital, (Hospital), respectfully submits the following corrective action plan for the year ended December 31, 2023. The finding from the December 31, 2023, Schedule of Findings and Questioned Costs is discussed below. The finding is numbered consistently with the numbers assigned in the schedule. FEDERAL AWARD PROGRAMS AUDIT FINDING Significant Deficiency - Noncompliance (2023-003) Recommendation: The Hospital should continue to improve its understanding of the reporting requirements as specified in the applicable loan document and create a process to ensure all USDA requirements are met. Planned Corrective Action: As of September 30, 2024, the Hospital will open a bank account with the Hospital's current banking relationship. This account will be a restricted account dedicated to holding the required reserve as described in the existing USDA loan documents. The required reserve balance will be recorded on the Hospital's trial balance. The reconciliation for such balance will be provided upon request. Emily Brown Chief Executive Officer
View Audit 328121 Questioned Costs: $1
Finding Number: 2023-007 Finding Title: Social Service Fund Reporting (DHS-2556) Program: 93.778 Medicaid Cluster Name of Contact Person Responsible for Corrective Action: Jennifer Bakkelund, Fiscal Supervisor Corrective Action Planned: After speaking with State Auditors and DHS, expenses that had b...
Finding Number: 2023-007 Finding Title: Social Service Fund Reporting (DHS-2556) Program: 93.778 Medicaid Cluster Name of Contact Person Responsible for Corrective Action: Jennifer Bakkelund, Fiscal Supervisor Corrective Action Planned: After speaking with State Auditors and DHS, expenses that had been listed as “other” are now part of services rendered. A change in process of backup reports will be done to make this move of costs in the future. Fiscal Year 2023 reports are being corrected to match this new requirement. Any reports that are past the year cut off I am working directly with DHS to correct. Anticipated Completion Date: December 31, 2024
View Audit 328062 Questioned Costs: $1
Finding Number: 2023-006 Finding Title: Activities Allowed or Unallowed and Allowable Costs/Cost Principles Program: 93.778 Medicaid Cluster Name of Contact Person Responsible for Corrective Action: Jennifer Bakkelund, Fiscal Supervisor Corrective Action Planned: 2556 reports are being corrected to ...
Finding Number: 2023-006 Finding Title: Activities Allowed or Unallowed and Allowable Costs/Cost Principles Program: 93.778 Medicaid Cluster Name of Contact Person Responsible for Corrective Action: Jennifer Bakkelund, Fiscal Supervisor Corrective Action Planned: 2556 reports are being corrected to reflect the required corrections. Worked with DHS to correct the expenditure not eligible for federal reimbursement. (corrected 9/26/2024). Auditors’ office has been making corrections of payroll to move the 3 supervisors out of SSTS RMS to non SSTS RMS codes. I will then go back and correct the 2023 2556 reports. Any that are past the year cut off, I will work with DHS directly to make the corrections. Salary splits for Passport time and Director salary for supervision of Circle program will be adjusted and corrected on the 2556 as well. In the future these activities may be removed from the Family Services area. Anticipated Completion Date: December 31, 2024
View Audit 328062 Questioned Costs: $1
Corrective Action Plan
Corrective Action Plan
View Audit 327862 Questioned Costs: $1
a. Contact person responsible for corrective action:
a. Contact person responsible for corrective action:
View Audit 327862 Questioned Costs: $1
• Name: Al Ladner
• Name: Al Ladner
View Audit 327862 Questioned Costs: $1
• Title: Business Manager
• Title: Business Manager
View Audit 327862 Questioned Costs: $1
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