Corrective Action Plans

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Finding: 2023-002 – Special Tests and Provisions – Wage Rate Requirements U.S. Department of Education – COVID-19 - Education Stabilization Fund (ALN 84.425D and 84.425U); Passed through the Michigan Department of Education; All project numbers. Auditor Description of Condition and Effect: Three o...
Finding: 2023-002 – Special Tests and Provisions – Wage Rate Requirements U.S. Department of Education – COVID-19 - Education Stabilization Fund (ALN 84.425D and 84.425U); Passed through the Michigan Department of Education; All project numbers. Auditor Description of Condition and Effect: Three of the contracts selected for testing that were subject to the Wage Rate Requirements did not include the required provision, and the District did not obtain the required certified payrolls. The District did not follow federal requirements to include the prevailing wage rate provision in its contract. Auditor Recommendation: We recommend that the District reviews its policies to ensure that applicable prevailing wage requirements are included in construction contracts whenever federal funds are used and certified payrolls are obtained. Corrective Action: District officials will ensure that construction contracts contain these requirements during the bidding and/or proposal process. Responsible Person: Rebecca Jones, Superintendent and Tara Newman, Business Manager Anticipated Completion Date: June 30, 2024
View Audit 14327 Questioned Costs: $1
BOULDER VALLEY SCHOOL DISTRICT CORRECTIVE ACTION PLAN YEAR ENDED JUNE 30, 2023 Boulder Valley School District respectfully submits the following corrective action plan for the year ended June 30, 2023. Audit period: July 1, 2022 – June 30, 2023 The finding from the schedule of findings and ques...
BOULDER VALLEY SCHOOL DISTRICT CORRECTIVE ACTION PLAN YEAR ENDED JUNE 30, 2023 Boulder Valley School District respectfully submits the following corrective action plan for the year ended June 30, 2023. Audit period: July 1, 2022 – June 30, 2023 The finding from the schedule of findings and questioned costs is discussed below. The finding is numbered consistently with the number assigned in the schedule. FINDINGS—FEDERAL AWARD PROGRAMS AUDITS Department of Education 2023-001 COVID-19 – Education Stabilization Fund – Assistance Listing No. 84.425U Recommendation: We recommend the District add a review process into their controls to ensure all employees’ time being charged to the grant is accurately captured. Additionally, we recommend the District review and adjust all final time and effort certifications in a timely manner, based on the final adjusted and allowable personnel expenditures charged to the grant. Explanation of disagreement with audit finding: There is no disagreement with the audit finding. Action taken in response to finding: The District will take the following actions in response to the finding:  Missing time and effort certifications have been obtained from the 3 employees.  Adjustments will be made to ensure the grant is charged the correct amount of eligible personnel costs.  To align with the timing of semi-annual time and effort certifications in December and June each year, the District will implement the following procedures in February and September, related to each preceding 6-month period: o Review personnel costs charged to each grant on an employee-by-employee basis to ensure the amount charged to the grant is accurate. o Review time and effort certifications for all employees, compared to the final actual personnel costs charged to each grant.  Assess and implement functionality in the Infor ERP system to: o Maintain time and effort records and have employees certify their time within the Infor ERP system. This process is currently manual and outside of the ERP system. o Develop, test and implement grant reporting capabilities in the Infor ERP system, to assist in monitoring all District grants. Efforts to date with Infor consultants to develop grant reports have not achieved the desired results. Current reports must be manually generated. Name of the contact person responsible for corrective action: Bill Sutter, CFO Planned completion date for corrective action plan: September 2024 If the Colorado Department of Education has questions regarding this plan, please call Bill Sutter, CFO at 720-561-5019.
View Audit 14270 Questioned Costs: $1
Rogers Behavioral Health System, Inc. and Subsidiaries CORRECTIVE ACTION PLAN YEAR ENDED July 31, 2023 Identifying Number: 2023-001 Finding: In the internal tracking of eligible COVID-19 related expenses applied to the Period 4 PRF receipts for Rogers Behavioral Health System, Inc. and Subsidiari...
Rogers Behavioral Health System, Inc. and Subsidiaries CORRECTIVE ACTION PLAN YEAR ENDED July 31, 2023 Identifying Number: 2023-001 Finding: In the internal tracking of eligible COVID-19 related expenses applied to the Period 4 PRF receipts for Rogers Behavioral Health System, Inc. and Subsidiaries (the Health System), the Health System calculated invoice amounts related to legal services incurred as part of the Health System’s response to COVID-19 in a manner that increased legal expenses applied to PRF funds by the percent discount given by legal counsel rather than decreasing legal expenses applies to PRF funds. Calculating the identified eligible legal expenses in this manner occurred for legal expenses incurred and applied to PRF funds from August 2021 to February 2022. Additionally, for one month, the Health System included the eligible expenses twice in the internal tracking of eligible COVID-19 related expenses. Corrective Actions Taken or Planned: Rogers ensured there were enough valid qualifying expense to support the funds received. Future assignments of costs will be reviewed for reasonableness and appropriateness to ensure only proper allowable costs are submitted to support funds received. This will be achieved by the utilization of work tag assignments on allowable costs. Due to a recent financial system implementation, Rogers will be able to use enhanced tools to track costs more accurately. Person Responsible: Emily Russart, Controller Anticipated Completion Date: March 31, 2024
View Audit 14135 Questioned Costs: $1
Recommendation: YWCA of Western Massachusetts Inc.’s internal control procedures should be revised to ensure an adequate review process is in place to ensure expenditures incurred are allowable under the terms of the grant. ...
Recommendation: YWCA of Western Massachusetts Inc.’s internal control procedures should be revised to ensure an adequate review process is in place to ensure expenditures incurred are allowable under the terms of the grant. Views of Responsible Officials: Despite DPH's mandate to remove all personally identifiable information from these funding requests, the YWCA reconstructed every ERAP request using identifying vendor numbers. The YWCA ultimately identified how and where the three former employees illegally used ERAP funds to pay their bills as well as some of their family members or friends. They stole ERAP funds to illegally pay such bills as electricity, water and sewer bills, rent, car insurance payments, and credit card payments. As soon as the YWCA discovered these thefts, the YWCA immediately notified the appropriate authorities (such as the YWCA's Board of Directors, the police, and DPH) and kept them updated. Additionally, the employment ended for the three YWCA employees responsible for this fraud and theft. As of this audit issue date, all three former employees have been indicted for multiple felonies such as credit card fraud over $1300, larceny over $1200, and false entry in corporate books. Their criminal cases are pending in Hampden County Superior Court. The YWCA maintains an expectation that justice will be served. Finally, to prevent future theft and misuse of any grant funding, the YWCA has implemented some new policies and procedures. One, the YWCA will not hire close relatives. Two, a thorough review of all financial policies and procedures is in process to ensure that the appropriate checks and balances are in place. Three, any supervisor, who has access to YWCA funds, will be required to participate in a background check to ensure that do not have any personal or financial problems.
View Audit 14119 Questioned Costs: $1
2023-001: Student Eligibility and Awarding Recommendation: We recommend the District to evaluate its procedures related to the manual input of information from the student loan request. Action taken in response to finding: This issue was the result of using the Solano completed unit level, rather th...
2023-001: Student Eligibility and Awarding Recommendation: We recommend the District to evaluate its procedures related to the manual input of information from the student loan request. Action taken in response to finding: This issue was the result of using the Solano completed unit level, rather than the cumulative number that includes transfer units, when awarding a student in our small BS Biotechnology program. Student had completed 43.5 credits at Solano by the beginning of the aid year. As a result, the student was awarded a second-year subsidized amount when they were eligible for the third year and beyond amount. This resulted in the student receiving $1,000 less subsidized loans than they were eligible for. In July 2023, we trained the team to watch for this issue and evaluated the procedure log that we use for processing Direct Loans. This log now includes two checks that are relevant to ensuring subsidized loan amounts are correct: 1. Confirm the level of the student. If the student is in our BS Biotechnology program, they may have additional eligibility than the standard first-year and second-year loans that we normally process as a community college. 2. If the loan is a single-term loan, is the full subsidized eligibility exhausted before awarding any unsubsidized loan amounts? The student’s file was corrected on COD on 8/3/2023 to reflect a $5,500 subsidized award. Names of the contact persons responsible for corrective action: Patrick Scott, Dean – Financial Aid, and Kate Larot, Financial Aid Specialist Planned completion date for corrective action plan: August 2023
View Audit 14106 Questioned Costs: $1
Auditee Response: The Board of Directors and management worked with the auditors to submit and certify to the FAC the Single Audit Reporting Packages for the years ended April 30, 2022 and 2021. This was completed on July 31, 2023. The Audit Committee of the Board of Directors will insure that fu...
Auditee Response: The Board of Directors and management worked with the auditors to submit and certify to the FAC the Single Audit Reporting Packages for the years ended April 30, 2022 and 2021. This was completed on July 31, 2023. The Audit Committee of the Board of Directors will insure that future Single Audit Reporting Packages for the year ending April 30, 2023 and beyond with be remitted in accordance with federal regulations. The Board of Directors and management will work with the prior auditors to insure that missing FAC submissions for the years ended April 30, 2020 and prior will be submitted and certified as applicable and in accordance with federal regulation.
View Audit 14064 Questioned Costs: $1
Finding 10392 (2023-003)
Material Weakness 2023
Management will seek approval from the funding Agency for the questioned costs and return funds if costs are not approved.
Management will seek approval from the funding Agency for the questioned costs and return funds if costs are not approved.
View Audit 14054 Questioned Costs: $1
Finding 10391 (2023-002)
Material Weakness 2023
Management will seek approval from the funding Agency for the questioned costs and return funds if costs are not approved.
Management will seek approval from the funding Agency for the questioned costs and return funds if costs are not approved.
View Audit 14054 Questioned Costs: $1
Moving forward, we will implement procedures to reduce the amount of retirement expenditures recorded to federal grants by the amount we are reimbursed from the State.
Moving forward, we will implement procedures to reduce the amount of retirement expenditures recorded to federal grants by the amount we are reimbursed from the State.
View Audit 14048 Questioned Costs: $1
The Federation has instituted a system of review for all allocations. The initial allocations are prepared by the Senior Accounting Specialist or the Staff Accountant. These allocations are also calculated independently by the Director of Accounting. Any differences are resolved to ensure that the p...
The Federation has instituted a system of review for all allocations. The initial allocations are prepared by the Senior Accounting Specialist or the Staff Accountant. These allocations are also calculated independently by the Director of Accounting. Any differences are resolved to ensure that the proper allocations method has been used. The anticipated completion date is July 1, 2023
View Audit 13968 Questioned Costs: $1
Statement of condition 2023-001: During the year ended September 30, 2023, the Project paid expenses totaling $695 on behalf of an entity under common management without HUD approval. Recommendation: Management should have the other project reimburse $695. Action(s) taken or planned on the findi...
Statement of condition 2023-001: During the year ended September 30, 2023, the Project paid expenses totaling $695 on behalf of an entity under common management without HUD approval. Recommendation: Management should have the other project reimburse $695. Action(s) taken or planned on the finding: On December 18, 2023, the finding was cleared as $695 was repaid to the Project. Completion date: December 18, 2023
View Audit 13940 Questioned Costs: $1
Management agrees, and is working to realign the grant process from formalizing the administration and determining the involvement of staff members. A timeline will be initiated between all involved staff to oversee, track, report and manage all of the Center's grant awards. Timeline will ensure tha...
Management agrees, and is working to realign the grant process from formalizing the administration and determining the involvement of staff members. A timeline will be initiated between all involved staff to oversee, track, report and manage all of the Center's grant awards. Timeline will ensure that budgets, reporting requirements and purchases are handled in a timely manner. Management is also revising the quarter ending September 30, 2022 report and the 2022 annual report and working with the U.S. Department of Education regarding the resolution of this matter.
View Audit 13921 Questioned Costs: $1
Pell This finding is the result of manual awarding and revisions by staff that are no longer employed by WWCC. To prevent Pell underpayment, Colleague was reconfigured for 2023-2024 to accurately award and revise awards when students add courses prior to the census date. Additionally, a regular revi...
Pell This finding is the result of manual awarding and revisions by staff that are no longer employed by WWCC. To prevent Pell underpayment, Colleague was reconfigured for 2023-2024 to accurately award and revise awards when students add courses prior to the census date. Additionally, a regular review of the Pell Eligibility Variance Report in Colleague (which displays students with a Colleague calculated Pell that differs from what the student has been awarded) will identify any student not awarded to their full Pell eligibility. Loan This finding is the result of a miscalculation of single term costs of attendances (COA) for students enrolling spring only. To address the 2022-2023 overpayments identified, all students enrolled for the spring single term while receiving Title IV funding had their COA recalculated, financial need determined using the four (4) month EFC, and SEOG, and subsidized/unsubsidized loan eligibility recalculated. Where required, the SEOG, and subsidized/unsubsidized loans were adjusted to actual eligibility and the student account and COD updated. Documentation that this action was completed has been provided to the auditor. For 2023-2024, Colleague was reconfigured to calculate COA components at a per term level, instead of at an annual level (which was used in 2022-2023). Colleague was also reconfigured to calculate the EFC for a single term student so that the financial need could be determined correctly. As a result, single term students will receive a single term COA and EFC to accurately the student’s financial need. SEOG and subsidized/unsubsidized loans will be awarded based on financial need and remaining costs. Anticipated Completion Date: December 31, 2023 Contact Person: Amy Murphy, Dean of Outreach and Workforce Development & Interim Dean of Enrollment Management
View Audit 13919 Questioned Costs: $1
Management will make the deposit of $165 to the security deposit bank account.
Management will make the deposit of $165 to the security deposit bank account.
View Audit 13917 Questioned Costs: $1
Finding 10253 (2023-009)
Significant Deficiency 2023
2023-009 – Special Tests and Provisions – Return of Title IV Funds (R2T4) – Significant Deficiency in Internal Controls over Compliance Recommendation: The auditors recommend the University review their policies and procedures to ensure that all withdrawals have the appropriate documentation to su...
2023-009 – Special Tests and Provisions – Return of Title IV Funds (R2T4) – Significant Deficiency in Internal Controls over Compliance Recommendation: The auditors recommend the University review their policies and procedures to ensure that all withdrawals have the appropriate documentation to support the withdrawal date used in the calculation. Planned corrective actions: In order to make sure that all withdrawals have the proper evidence to support the withdrawal date used in the computation, the University will evaluate its rules and procedures. Name of Responsible Party: 1. Mary Neal, Registrar 2. Financial Aid Director 3. Melissa Hill, Provost 4. VP of Administration/CFO 5. Dr. Andrew Sund, President Anticipated completion date: 6/30/2024
View Audit 13897 Questioned Costs: $1
2023-002 – Activities Allowed or Unallowed and Allowable Costs/Cost Principles – Material Weakness in Internal Controls over Compliance and Material Noncompliance Recommendation: The auditors recommend the University implement an internal control policy that requires employees whose compensation i...
2023-002 – Activities Allowed or Unallowed and Allowable Costs/Cost Principles – Material Weakness in Internal Controls over Compliance and Material Noncompliance Recommendation: The auditors recommend the University implement an internal control policy that requires employees whose compensation is charged to a federal award to complete time and effort reporting to accurately reflect the work performed on each federal award and ensure supporting documentation is maintained for those who do charge time and agrees to amount allocated to the award. Planned Corrective Action: Heritage University will implement a new internal control policy that requires employees whose compensation is charged to federal awards to complete time and effort to accurately reflect the work performed on each federal award. Heritage University is using the time and effort forms to allocate the correct hours to each federal award during the payroll process period. Each pay period an employee must fill out the time and effort to show actual hours worked. The form is signed by the employee and supervisor before turning it in to the payroll department. An email will be sent out to all employees outlining the new process required by employees whose hours are charged to a federal award. Name of Responsible Party: 1. Yolanda Maltos, Grant Accountant 2. Terri Slack, Fiscal Agent 3. Melissa Hill, Provost 4. Alysia Stevens, Controller 5. VP of Administration/CFO 6. Dr. Andrew Sund, President Anticipated Completion Date: 6/30/2024
View Audit 13897 Questioned Costs: $1
In 2022-23, ail staff salary, wages and benefits were updated to the work completed and charged to the appropriate grants. The funding for the district changed during the year, and pars were not updated. When MDE finalized the allocations/ the Director of Finance updated the sources staff were paid ...
In 2022-23, ail staff salary, wages and benefits were updated to the work completed and charged to the appropriate grants. The funding for the district changed during the year, and pars were not updated. When MDE finalized the allocations/ the Director of Finance updated the sources staff were paid from based on the work performed. In 2023-24, the district will have staff paid with federal funds sign each semester they were paid with federal dollars.
View Audit 13892 Questioned Costs: $1
SEE SEFA REPORT FOR CAP ON FINDING 2023-001
SEE SEFA REPORT FOR CAP ON FINDING 2023-001
View Audit 13808 Questioned Costs: $1
The files in question will be adjusted during the tenant’s annual recertification. The housing managers (along with internal audit team members) will attend yearly rent recalculation refresher courses and check for errors when recalculating rent. For the first file in question, the total overpayment...
The files in question will be adjusted during the tenant’s annual recertification. The housing managers (along with internal audit team members) will attend yearly rent recalculation refresher courses and check for errors when recalculating rent. For the first file in question, the total overpayment of $1,430 has been credited to the tenant’s account. The internal audit team will conduct internal tenant file reviews monthly. The Housing Director will discuss file management during monthly staff meetings. The Authority plans to implement these procedures effective January 1, 2024.
View Audit 13675 Questioned Costs: $1
Condition: When filing expenditure report the District used the remaining budget amount from the spreadsheet they use to track expenditures and reported the remaining budget amount instead of using the actual expenditure amount to report as expenditures. Plan: Management will review and implement pr...
Condition: When filing expenditure report the District used the remaining budget amount from the spreadsheet they use to track expenditures and reported the remaining budget amount instead of using the actual expenditure amount to report as expenditures. Plan: Management will review and implement procedures to make sure this does not happen in the future. Anticipated Date of Completion: 6/30/2024 Name of Contact Person: Denise Levendoski, Business Manager/Treasurer/CSBO Management Response: N/A
View Audit 13565 Questioned Costs: $1
2023-001 Return to Title IV Recommendation: We recommend that the College review and implement procedures to ensure that withdrawals are properly communicated to all departments and processed timely. Explanation of disagreement with audit finding: There is no disagreement with the audit finding. ...
2023-001 Return to Title IV Recommendation: We recommend that the College review and implement procedures to ensure that withdrawals are properly communicated to all departments and processed timely. Explanation of disagreement with audit finding: There is no disagreement with the audit finding. Action taken in response to finding: The College will implement a plan to require faculty to update the last date of attendance at the end of the term in the portal for students attending distance learning classes. This date will be used by the Registrar’s Office and Financial Aid Office for reporting. Name(s) of the contact person(s) responsible for corrective action: Dr. Tracy Tedder Planned completion date for corrective action plan: August 2023
View Audit 13554 Questioned Costs: $1
2023-003 – Student Financial Aid Cluster – (a) Federal Supplemental Educational Opportunity Grants (b) Federal Work Study Program (c) Federal Perkins Loan Program – Federal Capital Contributions (d) Federal Pell Grant Program (e) Federal Direct Student Loans (f) Teacher Education Assistance for Coll...
2023-003 – Student Financial Aid Cluster – (a) Federal Supplemental Educational Opportunity Grants (b) Federal Work Study Program (c) Federal Perkins Loan Program – Federal Capital Contributions (d) Federal Pell Grant Program (e) Federal Direct Student Loans (f) Teacher Education Assistance for College and Higher Education (TEACH), Assistance Listing No. (a) 84.007 (b) 84.033 (c) 84.038 (d) 84.063 (e) 84.268 (f) 84.379 – Year Ended June 30, 2023 Condition: During our testing of forty individuals receiving federal work study, we noted 2 individuals (5%) that either had timecards for hours worked that were not approved by a supervisor or had incorrect time entry. We consider this condition to be an instance of noncompliance relating to the Activities Allowed or Unallowed compliance requirement. Statistical sampling was not used in making sample selections. Management Response: There were 2 individuals improperly paid. In the first incident an electronic student timecard was submitted in error and not approved by the supervisor. The payroll administrator erroneously paid the employee for the time in the amount of $82 without supervisor approval. In the second incident the employee submitted a manual timecard with the incorrect number of hours indicated per shift. The supervisor and the payroll administrator both missed the incorrect calculation in the amount of $72. Corrective Action Plan: The University has implemented electronic timecards that will mitigate manual errors in calculation. A new payroll administrator has been hired and the University is focused on documentation of student-payroll procedures and supervisor training. Responsible Person: Student Payroll Accounting Specialist Implementation Date: September 5, 2023.
View Audit 13525 Questioned Costs: $1
2023-002 – Student Financial Aid Cluster – (a) Federal Supplemental Educational Opportunity Grants (b) Federal Work Study Program (c) Federal Perkins Loan Program – Federal Capital Contributions (d) Federal Pell Grant Program (e) Federal Direct Student Loans (f) Teacher Education Assistance for Coll...
2023-002 – Student Financial Aid Cluster – (a) Federal Supplemental Educational Opportunity Grants (b) Federal Work Study Program (c) Federal Perkins Loan Program – Federal Capital Contributions (d) Federal Pell Grant Program (e) Federal Direct Student Loans (f) Teacher Education Assistance for College and Higher Education (TEACH), Assistance Listing No. (a) 84.007 (b) 84.033 (c) 84.038 (d) 84.063 (e) 84.268 (f) 84.379 – Year Ended June 30, 2023 Condition: The University did not properly calculate the refunds for no passing grades withdrawal students for 1 out of the 16 students tested (6.3%) due to excluding SEOG Grant from the calculation. We consider this finding to be an instance of noncompliance in relation to Special Tests and Provisions. Statistical sampling was not used. Management Response: Student Identifier 6 - The student was identified after the conclusion of the term to have earned no passing grades and a determination was made as to when the student stopped attending classes for the term. The determined last date of attendance required a manual return of Title IV funds to be calculated. The calculation and subsequent return of funds was performed timely, however, an SEOG award of $250 was not included in error when the calculation was made. Corrective Action Plan: Student Identifier 6 - When notified of the finding by auditors, the return of Title IV funds calculation was performed with the $250 SEOG funds included. The corrected calculation resulted in an additional $127 in PELL grant funds to return. The return was corrected and completed on October 12, 2023. A secondary review of all manual Return of Title IV calculations has been implemented to mitigate manual errors. Responsible Person: Director, Student Financial Services Implementation Date: Fall 2023 term.
View Audit 13525 Questioned Costs: $1
The following steps have been implemented regarding the Education for Homeless Chidren and Youth grants: All gift cards have been secured at the Putnam County Board of Education central office in a secured area and in a locked safe. All gift cards are being signed out with documentation. Supporting ...
The following steps have been implemented regarding the Education for Homeless Chidren and Youth grants: All gift cards have been secured at the Putnam County Board of Education central office in a secured area and in a locked safe. All gift cards are being signed out with documentation. Supporting documentats are now being returned to the accounting department. Supporting documents are being stored within the accounting system. Supporting documents are being categorized in the correct grant. Reimbursement requests will not be made until after the final purchase of any goods or services have transpired. No purchases of gift cards will take place at the end of the year unless the final purchases of any goods or services will be able to take place before the end of the fiscal year.
View Audit 13488 Questioned Costs: $1
Finding: 2023-003 – Special Tests and Provisions – Wage Rate Requirements Auditor Description of Condition and Effect: The amounts tested that were subject to the Wage Rate Requirements did not include the required provision, and the District did not obtain the required certified payrolls. The Dist...
Finding: 2023-003 – Special Tests and Provisions – Wage Rate Requirements Auditor Description of Condition and Effect: The amounts tested that were subject to the Wage Rate Requirements did not include the required provision, and the District did not obtain the required certified payrolls. The District did not follow federal requirements to include the prevailing wage rate provision in its contract. Auditor Recommendation: We recommend that the District reviews its policies to ensure that applicable prevailing wage requirements are included in construction contracts whenever federal funds are used and certified payrolls are obtained. Corrective Action: District officials will ensure that construction contracts contain these requirements during the bid process. Responsible Person: Mike Beltnick, CFO Anticipated Completion Date: June 30, 2024
View Audit 13486 Questioned Costs: $1
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