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Corrective Action Plans

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Finding 388161 (2023-003)
Significant Deficiency 2023
McKendree University
IL
Matching / Level of Effort / Earmarking Questioned Costs Eligibility § 200.303
2023-003 Student Financial Assistance Cluster Federal Supplemental Educational Opportunity Grants – Assistance Listing No. 84.007 Federal Work-Study Program – Assistance Listing No. 84.033 Federal Pell Grant Program – Assistance Listing No. 84.063 Federal Direct Loans – Assistance Listing No. 84.268...
2023-003 Student Financial Assistance Cluster Federal Supplemental Educational Opportunity Grants – Assistance Listing No. 84.007 Federal Work-Study Program – Assistance Listing No. 84.033 Federal Pell Grant Program – Assistance Listing No. 84.063 Federal Direct Loans – Assistance Listing No. 84.268 Teacher Education Assistance for College and Higher Education Grants– Assistance Listing No. 84.379 Recommendation: We recommend the University evaluate its procedures around disbursements of loans and ensure that notifications of disbursements are sent and contain all the required elements outlined in the FSA handbook. Explanation of disagreement with audit finding: There is no disagreement with the audit finding. Action taken in response to finding: The university had a large turnover in employees during the 2022-2023 academic year and missed sending some notifications on loan disbursements. The department has been fully staffed since June 2023. Processes were corrected in Spring 2023 to address this in the future. Name of the contact person responsible for corrective action: Patrick Michael Planned completion date for corrective action plan: June 30, 2024
View Audit 299965
Finding 388155 (2023-002)
Significant Deficiency 2023
McKendree University
IL
Special Tests & Provisions Questioned Costs Subrecipient Monitoring § 200.303
2023-002 Student Financial Assistance Cluster Federal Supplemental Educational Opportunity Grants – Assistance Listing No. 84.007 Federal Work-Study Program – Assistance Listing No. 84.033 Federal Pell Grant Program – Assistance Listing No. 84.063 Federal Direct Loans – Assistance Listing No. 84.268...
2023-002 Student Financial Assistance Cluster Federal Supplemental Educational Opportunity Grants – Assistance Listing No. 84.007 Federal Work-Study Program – Assistance Listing No. 84.033 Federal Pell Grant Program – Assistance Listing No. 84.063 Federal Direct Loans – Assistance Listing No. 84.268 Teacher Education Assistance for College and Higher Education Grants– Assistance Listing No. 84.379 Recommendation: We recommend that the University review the updated GLBA requirements and ensure their written information security plan (WISP) includes all required elements. Explanation of disagreement with audit finding: There is no disagreement with the audit finding. Action taken in response to finding: The current WISP is under review to ensure all required elements set forth in the updated GLBA requirements are included. Name of the contact person responsible for corrective action: Christine Tweedy Planned completion date for corrective action plan: June 30, 2024
View Audit 299965
Finding 388133 (2023-005)
Material Weakness 2023
Indianapolis Private Industry Council D/b/a Employindy
IN
Questioned Costs Allowable Costs / Cost Principles Matching / Level of Effort / Earmarking § 200.303 § 200.403
Description of Corrective Action Plan: Prior to the completion of this audit, EmployIndy already made a number of changes to its financial operations. It parted ways with its Chief Financial Officer and procured the services of an outside Certified Public Accounting firm to begin the process of rev...
Description of Corrective Action Plan: Prior to the completion of this audit, EmployIndy already made a number of changes to its financial operations. It parted ways with its Chief Financial Officer and procured the services of an outside Certified Public Accounting firm to begin the process of reviewing and updating its financial operations. In addition, it hired an Executive Vice President of Finance and Operations to lead the final development and implementation of updated financial processes. The Executive Vice President of Finance and Operations has worked with EmployIndy’s Board of Directors and Finance Committee to document a plan for improving EmployIndy’s financial operations across the board by the 2nd quarter of Calendar Year 2024. As part of the improvement to financial operations, EmployIndy will provide updated training to all staff covering the proper process for submitting, reviewing, approving, and retaining supporting documents for expenditures. The existing procedure includes a multi-step review and approval process for all expenditures, including those in the WIOA and other federal funding clusters. Additionally, EmployIndy’s Financial Operations, Grants & Contracts, and Program Management teams will provide guidance and training to EmployIndy’s subrecipients and contractors covering the proper process for submitting supporting documentation with invoices or accrued expenditure reports. These documentation requirements will ensure that supporting information directly and clearly ties back to invoices and/or accrued expense reports. Responsible Party and Timeline for Completion: Corrective Activity Responsible Party Timeline for Completion Develop training for the timely submission and proper submission, review, and approval of accrued expenditure reports and invoices, and appropriate documentation requirements Controller and Associate Director of Grants & Contracts 1st Quarter of Calendar Year 2024 Train internal EmployIndy staff and external subrecipient and contractor staff on properly submitting, reviewing, and approving accrued expenditure reports and invoices, and including proper documentation supporting expenditures Controller, Associate Director of Grants & Contracts, and EmployIndy Program Leadership By 2nd Quarter of Calendar Year 2024 Hold Financial Operations, Program Leadership, and subrecipient and contractor staff accountable for following established processes Executive Vice President for Finance and Operations Ongoing
View Audit 299959 Questioned Costs: $1
Finding 388132 (2023-005)
Significant Deficiency 2023
Gilchrist County District School Board
FL
Questioned Costs Procurement, Suspension & Debarment Special Tests & Provisions
Planned Corrective Action - Vendors cited for the 22-23 fiscal year have been solicited for wage records as per the Davis-Bacon act. Once they have been provided, they will be issued to the State Auditors General's Office. All future projects occurring on Federal Funds of $2,000 or more will requi...
Planned Corrective Action - Vendors cited for the 22-23 fiscal year have been solicited for wage records as per the Davis-Bacon act. Once they have been provided, they will be issued to the State Auditors General's Office. All future projects occurring on Federal Funds of $2,000 or more will require copies of the prevailing wage records by vendors. Anticipated Completion Date - For the 22-23 fiscal year records, we hope to have copies in April of 2024. For all future charges, these records are being collected as the costs are incurred. Responsible Contact Person - Alethea Geiger & Dorota Micale
View Audit 299949 Questioned Costs: $1
Finding 388120 (2023-008)
Significant Deficiency 2023
Delaware State Housing Authority
DE
Matching / Level of Effort / Earmarking Questioned Costs Eligibility
DSHA will ensure accurate calculation of applicant income. This will include implementing standardized procedures for verifying income sources, documenting calculations, and reviewing income determinations for accuracy. Additional training will be available to the processing team responsible for cal...
DSHA will ensure accurate calculation of applicant income. This will include implementing standardized procedures for verifying income sources, documenting calculations, and reviewing income determinations for accuracy. Additional training will be available to the processing team responsible for calculating applicant income. This will focus on proper methods for verifying income, calculating income eligibility, and identifying common errors that may lead to overpayments. The HAF Program Manager will coordinate with the Vendor to ensure accuracy of income calculations and prevent overpayments on assistance received. This corrective plan will be implemented immediately. Responsible Official: Brian Rossello, Director of Housing Finance Completion Date: March 2024
View Audit 299937 Questioned Costs: $1
Finding 388119 (2023-007)
Significant Deficiency 2023
Delaware State Housing Authority
DE
Questioned Costs Cash Management § 200.305
DSHA will establish robust internal controls to monitor and manage the funds held by our organization. We will include regular reconciliations and review to identify any interest accrued and ensure timely remittance to the Department of Health and Human Services. The HAF Program Manager and Financia...
DSHA will establish robust internal controls to monitor and manage the funds held by our organization. We will include regular reconciliations and review to identify any interest accrued and ensure timely remittance to the Department of Health and Human Services. The HAF Program Manager and Financial & Reporting Section Manager will coordinate with the Director of Housing Finance and the Director of Financial Management to oversee this process and address any discrepancies in a timely manner. This corrective action plan will be implemented immediately to prevent any future delays. Responsible Official: Brian Rossello, Director of Housing Finance Completion Date: March 2024
View Audit 299937 Questioned Costs: $1
Finding 388118 (2023-006)
Significant Deficiency 2023
Delaware State Housing Authority
DE
Questioned Costs Allowable Costs / Cost Principles § 200.406
DSHA has implemented the process of requiring the reduction of applicable credits to be applied to all future payment batches and be utilized to fund assistance. This as a result, will eliminate the funds being held by the vendor and remove the need to report as a federal expenditure. The responsibi...
DSHA has implemented the process of requiring the reduction of applicable credits to be applied to all future payment batches and be utilized to fund assistance. This as a result, will eliminate the funds being held by the vendor and remove the need to report as a federal expenditure. The responsibility for implementing this corrective action lies with the following DSHA staff: HAF Program Manager, Director of Housing Finance, Financial Accounting & Reporting Section Manager, and the Director of Financial Management. They will oversee the necessary adjustments to the process and ensure that future payment batches adhere to the revised guidelines. Responsible Official: Brian Rossello, Director of Housing Finance Completion Date: December 2023
View Audit 299937 Questioned Costs: $1
Finding 388117 (2023-005)
Significant Deficiency 2023
Delaware State Housing Authority
DE
Special Tests & Provisions Questioned Costs Allowable Costs / Cost Principles § 200.303
DSHA has contracted with a third-party vendor that will work in tandem with an Internal DSHA ERA Staff person to submit UST reports. DSHA will work to update its policies related to UST reports to include capturing uploaded reports, documents, and dates that information is submitted, saving informat...
DSHA has contracted with a third-party vendor that will work in tandem with an Internal DSHA ERA Staff person to submit UST reports. DSHA will work to update its policies related to UST reports to include capturing uploaded reports, documents, and dates that information is submitted, saving information to internal files as some information submitted to the UST Portal is not accessible for review after the reporting period has ended and report submission has been approved by UST. Responsible Official: Devon Manning, Director of Policy & Planning
View Audit 299937
Finding 388116 (2023-004)
Significant Deficiency 2023
Delaware State Housing Authority
DE
Questioned Costs Allowable Costs / Cost Principles Eligibility
DSHA recognizes that there were cases where cases were paid more than allowable under UST Program Guidelines. In future direct assistance programs, DSHA will update policies and procedures to add an internal DSHA staff review of any case that is approved for payment to ensure that program recipient...
DSHA recognizes that there were cases where cases were paid more than allowable under UST Program Guidelines. In future direct assistance programs, DSHA will update policies and procedures to add an internal DSHA staff review of any case that is approved for payment to ensure that program recipients are not approved for payments extending the UST’s current eighteen (18) months of assistance. DSHA will incorporate measures that regulate how direct payments are coded within its accounting department to ensure that all outgoing payments are made from the associated ERA account. Responsible Official: Devon Manning, Director of Policy and Planning. Completion Date: July 2023
View Audit 299937 Questioned Costs: $1
Finding 388112 (2023-008)
Significant Deficiency 2023
University of Illinois
IL
Student Financial Aid Matching / Level of Effort / Earmarking Questioned Costs § 200.303
Finding 2023-008 Error in Return of Title IV Funds Calculation Plan: Registrar Office has implemented regular report generation to identify any future scenarios where the effective date used on a student withdrawal is not correctly entered on the SFAWDRL form for Student Financial Aid Office’s use. ...
Finding 2023-008 Error in Return of Title IV Funds Calculation Plan: Registrar Office has implemented regular report generation to identify any future scenarios where the effective date used on a student withdrawal is not correctly entered on the SFAWDRL form for Student Financial Aid Office’s use. Expected Implementation Date: October 19, 2023Contact: Donna Butler Sr. Associate Registrar University of Illinois Urbana-Champaign dbutler@illinois.edu 217-244-9078
View Audit 299935
Finding 388111 (2023-007)
Significant Deficiency 2023
University of Illinois
IL
Matching / Level of Effort / Earmarking Questioned Costs Student Financial Aid § 200.303
Finding 2023-007 Errors in Reporting for NSLDS Plan: An update to the university’s student information system fixed the error which stemmed from a production defect. Expected Implementation Date: June 4, 2023 Contact: Christopher Sayer Acting Registrar University of Illinois Chicago Csayre2@uic.edu ...
Finding 2023-007 Errors in Reporting for NSLDS Plan: An update to the university’s student information system fixed the error which stemmed from a production defect. Expected Implementation Date: June 4, 2023 Contact: Christopher Sayer Acting Registrar University of Illinois Chicago Csayre2@uic.edu 312-996-3077
View Audit 299935
Finding 388093 (2023-001)
Significant Deficiency 2023
Elizabeth City Housing Authority
NC
Questioned Costs Eligibility HUD Housing Programs
Corrective Action Plan For the year ended june 30,2023 Section II - Financial Statement Findings None Reported Section III - Federal Award Findings and Questioned Costs Finding 2023-001 Name of Contact Person: Sandra Perry Executive Director Corrective Action: We will implement proper internal c...
Corrective Action Plan For the year ended june 30,2023 Section II - Financial Statement Findings None Reported Section III - Federal Award Findings and Questioned Costs Finding 2023-001 Name of Contact Person: Sandra Perry Executive Director Corrective Action: We will implement proper internal control procedures for the Low Rent Public Housing eligibility requirements. Proposed Completion Date: Immediately.
View Audit 299931
Finding 388089 (2023-001)
Significant Deficiency 2023
Delta Human Resource Agency
TN
Questioned Costs Cash Management Internal Control / Segregation of Duties
Person Responsible for Implementing the Corrective Action: Adrienne McGarity, Executive Director. Aniticipated Completion Date of Corrective Action: June 30, 2024. Repeated Findings: Yes. Planned Corrective Action: We concur with this finding. Policies will be adjusted, where deemed necessary. Extra...
Person Responsible for Implementing the Corrective Action: Adrienne McGarity, Executive Director. Aniticipated Completion Date of Corrective Action: June 30, 2024. Repeated Findings: Yes. Planned Corrective Action: We concur with this finding. Policies will be adjusted, where deemed necessary. Extra care will be taken to ensure amounts are transferred correctly. We will take extra caution reviewing employees time as it relates to each program.
View Audit 299919 Questioned Costs: $1
Finding 388047 (2023-091)
Material Weakness 2023
State of Maine
ME
Special Tests & Provisions Questioned Costs Material Weakness § 200.303
Department: Health and Human Services Title: Internal control over Medicaid Nursing Facility audits needs improvement Questioned Costs: None Status: Corrective action in progress Corrective Action: The Department will check with HR weekly for new applicants, interview qualified candidates as soon a...
Department: Health and Human Services Title: Internal control over Medicaid Nursing Facility audits needs improvement Questioned Costs: None Status: Corrective action in progress Corrective Action: The Department will check with HR weekly for new applicants, interview qualified candidates as soon as possible, and hire and train qualified individuals. The Department will complete the COVID audits. The Department will reassign COVID auditors to the LTC program audits. Completion Date: Ongoing (first item), June 30, 2024 (second item) and July 1, 2024 (third item) Agency Contact: Herb Downs, Director, Division of Audit, DHHS, 207-287-2778
View Audit 299909
Finding 388043 (2023-028)
Significant Deficiency 2023
State of Maine
ME
Questioned Costs Significant Deficiency Special Tests & Provisions
Department: Redacted Title: ________ over the ________ needs improvement Questioned Costs: Redacted Status: Corrective action in progress Corrective Action: The Department agrees with the finding. The Department’s corrective action plan has been excluded to protect confidential information. The comp...
Department: Redacted Title: ________ over the ________ needs improvement Questioned Costs: Redacted Status: Corrective action in progress Corrective Action: The Department agrees with the finding. The Department’s corrective action plan has been excluded to protect confidential information. The complete corrective action plan has been provided to the Office of the State Auditor under separate cover. Completion Date: March 29, 2024 and June 30, 2024 respectively Agency Contact: Shirley Browne, Deputy State Controller, Office of the State Controller, 207-626-8423
View Audit 299909
Finding 388042 (2023-027)
Significant Deficiency 2023
State of Maine
ME
Questioned Costs Significant Deficiency Special Tests & Provisions
Department: Redacted Title: ________ over ________ needs improvement Questioned Costs: Redacted Status: Corrective action in progress Corrective Action: The Department agrees with the finding. The Department’s corrective action plan has been excluded to protect confidential information. The complete...
Department: Redacted Title: ________ over ________ needs improvement Questioned Costs: Redacted Status: Corrective action in progress Corrective Action: The Department agrees with the finding. The Department’s corrective action plan has been excluded to protect confidential information. The complete corrective action plan has been provided to the Office of the State Auditor under separate cover. Completion Date: March 29, 2024, August 1, 2024, August 30, 2024, and December 31, 2025 respectively Agency Contact: Shirley Browne, Deputy State Controller, Office of the State Controller, 207-626-8423
View Audit 299909
Finding 388025 (2023-086)
Material Weakness 2023
State of Maine
ME
Questioned Costs Allowable Costs / Cost Principles Eligibility § 200.303 § 200.403
Department: Health and Human Services Title: Internal control over the Foster Care – Title IV-E eligibility and benefit determination process needs improvement Questioned Costs: Known: $8,006 Likely: $220,373 Status: Corrective action in progress Corrective Action: The Department’s Title IV-E Progra...
Department: Health and Human Services Title: Internal control over the Foster Care – Title IV-E eligibility and benefit determination process needs improvement Questioned Costs: Known: $8,006 Likely: $220,373 Status: Corrective action in progress Corrective Action: The Department’s Title IV-E Program Manager will educate and train the FRS staff on the proper completion of Title IV-E Initial Determination checklists for their FRS files. The Department’s Title IV-E Program Manager will include a verification of this item in our Internal Quality Assurance review checklist. The Title IV-E Program Manager will educate and train the FRS staff on this update to the review tool. The Department’s Title IV-E Program Manager will update the FRS Manual to describe the proper completion of the "Title IV-E Determination Checklist". The Title IV-E Program Manager will educate and train the FRS staff on this update to the manual. Completion Date: April 1, 2024 Agency Contact: Manisha Donahue, Title IV-E Program Manager, OCFS, DHHS, 207-592-1268
View Audit 299909 Questioned Costs: $1
Finding 388020 (2023-085)
Significant Deficiency 2023
State of Maine
ME
Internal Control / Segregation of Duties Special Tests & Provisions Questioned Costs § 200.303
Department: Health and Human Services Title: Internal control over CCDF provider health and safety requirements needs improvement Questioned Costs: None Status: Corrective action in progress Corrective Action: The Department’s CLIS Program Manager will update the standard operating procedures to mor...
Department: Health and Human Services Title: Internal control over CCDF provider health and safety requirements needs improvement Questioned Costs: None Status: Corrective action in progress Corrective Action: The Department’s CLIS Program Manager will update the standard operating procedures to more explicitly detail the requirements for an annual inspection and will add steps for the Licensing Specialists and Supervisors to take in the event that there may be a delay. This will include reassignment to another Licensing Specialist when necessary. The Department’s standard operating procedure updates will be provided to all child care licensing staff and reviewed during the monthly staff meeting. Completion Date: April 1, 2024 and May 1, 2024 respectively Agency Contact: Janet Whitten, CLIS Program Manager, DHHS, 207- 441-2259
View Audit 299909
Finding 388017 (2023-083)
Significant Deficiency 2023
State of Maine
ME
Questioned Costs Allowable Costs / Cost Principles Internal Control / Segregation of Duties § 200.303 § 200.403
Department: Health and Human Services Title: Internal control over CCDF provider payments needs improvement Questioned Costs: Known: $3,101 Likely: $32,099 Status: Corrective action in progress Corrective Action: The Department’s Program Managers will review findings with the CCAP program staff. Th...
Department: Health and Human Services Title: Internal control over CCDF provider payments needs improvement Questioned Costs: Known: $3,101 Likely: $32,099 Status: Corrective action in progress Corrective Action: The Department’s Program Managers will review findings with the CCAP program staff. The Department’s Program Managers will update the FRS Manual (standard operating procedures). The Department’s QA team will be informed of findings and updates to the CCAP manual. Completion Date: May 13, 2024 Agency Contact: John Feeney, Chief Operating Officer, OCFS, DHHS, 207- 626-8614
View Audit 299909 Questioned Costs: $1
Finding 388015 (2023-082)
Material Weakness 2023
State of Maine
ME
Questioned Costs Material Weakness Special Tests & Provisions
Department: Redacted Title: ________ over ________ and ________ needs improvement Questioned Costs: Redacted Status: Corrective action complete Corrective Action: The Department agrees with the finding. The Department’s corrective action plan has been excluded to protect confidential information. Th...
Department: Redacted Title: ________ over ________ and ________ needs improvement Questioned Costs: Redacted Status: Corrective action complete Corrective Action: The Department agrees with the finding. The Department’s corrective action plan has been excluded to protect confidential information. The complete corrective action plan has been provided to the Office of the State Auditor under separate cover. Completion Date: January 31, 2024 Agency Contact: Shirley Browne, Deputy State Controller, Office of the State Controller, 207-626-8423
View Audit 299909
Finding 388014 (2023-081)
Significant Deficiency 2023
State of Maine
ME
Internal Control / Segregation of Duties Special Tests & Provisions Questioned Costs § 200.303
Department: Health and Human Services Title: Internal control over TANF performance reporting and work participation procedures needs improvement Questioned Costs: None Status: Corrective action in progress Corrective Action: The Department’s staff will meet internally to review system protocols and...
Department: Health and Human Services Title: Internal control over TANF performance reporting and work participation procedures needs improvement Questioned Costs: None Status: Corrective action in progress Corrective Action: The Department’s staff will meet internally to review system protocols and discuss possible changes to increase reporting accuracy. The Department will meet with Fedcap technical staff to discuss possible system information exchange improvements. If applicable, implementation of system improvements. Completion Date: March 31, 2024, April 30, 2024 and June 30, 2024 respectively Agency Contact: Ian Yaffe, Director, Office for Family Independence, DHHS, 207- 592-1481
View Audit 299909
Finding 388013 (2023-080)
Significant Deficiency 2023
State of Maine
ME
Internal Control / Segregation of Duties Special Tests & Provisions Questioned Costs § 200.303
Department: Health and Human Services Title: Internal control over TANF client child support sanction procedures needs improvement Questioned Costs: None Status: Management’s opinion is that corrective action is not required Corrective Action: The Department disagrees with this finding. The audit ob...
Department: Health and Human Services Title: Internal control over TANF client child support sanction procedures needs improvement Questioned Costs: None Status: Management’s opinion is that corrective action is not required Corrective Action: The Department disagrees with this finding. The audit objective identified in the Compliance Supplement is to "Determine whether, after notification by the state Title IV-D agency, the TANF agency has taken necessary action to reduce or deny TANF assistance." One of the two suggested audit procedures is to "Test a sample of cases referred by the Title IV-D agency to the TANF agency to ascertain if benefits were reduced or denied as required." The Department spent a lot of time and effort attempting to validate for OSA that it had a testable population, and the Department believes that the Office of State Auditor can perform this procedure either with the DSER-provided report of referrals or with that report in conjunction with the additional material the Department has pulled and analyzed for OSA. In the absence of that review nothing in the Department’s records, data, or discussions with OSA could reasonably be interpreted to suggest a “significant deficiency” in its Internal Controls over this aspect of the TANF program. There has not been any evidence that referrals made from DSER to OFI are getting lost, ignored, or misapplied. All 38 cases that the Department analyzed for completeness purposes reflect a well-functioning and substantively accurate sanction referral and case-action process, and this record does not support the OSA's conclusion to the contrary. Completion Date: N/A Agency Contact: Ian Yaffe, Director, Office for Family Independence, DHHS, 207- 592-1481
View Audit 299909
Finding 388012 (2023-079)
Material Weakness 2023
State of Maine
ME
Questioned Costs Material Weakness Special Tests & Provisions
Department: Redacted Title: ________ over the ________ needs improvement Questioned Costs: Redacted Status: Corrective action in progress Corrective Action: The Department agrees with the finding. The Department’s corrective action plan has been excluded to protect confidential information. The comp...
Department: Redacted Title: ________ over the ________ needs improvement Questioned Costs: Redacted Status: Corrective action in progress Corrective Action: The Department agrees with the finding. The Department’s corrective action plan has been excluded to protect confidential information. The complete corrective action plan has been provided to the Office of the State Auditor under separate cover. Completion Date: March 31, 2024 and June 30, 2024 respectively Agency Contact: Shirley Browne, Deputy State Controller, Office of the State Controller, 207-626-8423
View Audit 299909
Finding 388009 (2023-076)
Material Weakness 2023
State of Maine
ME
Special Tests & Provisions Questioned Costs Eligibility § 200.303
Department: Health and Human Services Title: Internal control over Income Eligibility and Verification System procedures needs improvement Questioned Costs: None Status: Management’s opinion is that corrective action is not required Corrective Action: The Department’s existing IEVS reports are part ...
Department: Health and Human Services Title: Internal control over Income Eligibility and Verification System procedures needs improvement Questioned Costs: None Status: Management’s opinion is that corrective action is not required Corrective Action: The Department’s existing IEVS reports are part of an Integrated Eligibility System whose format is in compliance with federal regulations. Completion Date: N/A Agency Contact: Ian Yaffe, Director, Office for Family Independence, DHHS, 207- 592-1481
View Audit 299909
Finding 388008 (2023-075)
Material Weakness 2023
State of Maine
ME
Questioned Costs Allowable Costs / Cost Principles Internal Control / Segregation of Duties § 200.303 § 200.403
Department: Health and Human Services Title: Internal control over payments made to and on behalf of TANF clients needs improvement Questioned Costs: Known: $4,721 Likely:$279,992 Status: Management’s opinion is that corrective action is not required Corrective Action: OFI disagrees with this findin...
Department: Health and Human Services Title: Internal control over payments made to and on behalf of TANF clients needs improvement Questioned Costs: Known: $4,721 Likely:$279,992 Status: Management’s opinion is that corrective action is not required Corrective Action: OFI disagrees with this finding. OSA's interpretation of federal regulation regarding the recoupment of overpaid funds is incorrect, and benefit overpayments are identified and processed by OFI in compliance with federal regulation and policy. Overpayments are required to be recouped in the shortest timeframe possible, but the recoupment amount cannot exceed the standards as set by policy. Neither state policy nor federal regulation requires an overpayment to be recouped within the same state fiscal year it is identified, so it was not appropriate for OSA to include as questioned costs on that basis the two cases where recoupment did not occur in the same fiscal year that the overpayment was established. Further, OFI disputes how OSA calculated the questioned costs. Three of the payments tested by OSA were found to be correct at the time of issuance. OSA then reviewed all payments during the state fiscal year for the three cases and stated that parent fees should have been adjusted based on documentation in DocuWare. Transitional Child Care does not require changes in income to be reported during the certification period unless the gross income exceeds 250% of the federal poverty level (MPAM, Ch. V, A, (6)), and adjustment of the parent fees were not required for these cases. They should not be included in the list of exceptions. While OSA cites MPAM, Ch. V, A (6), "TCC payments remain constant until a redetermination is completed, or until the recipient or child care provider reports a change that affects the amount of TCC benefits (emphasis added)" the reported change did not affect the amount of TCC benefits. Completion Date: N/A Agency Contact: Ian Yaffe, Director, Office for Family Independence, DHHS, 207- 592-1481
View Audit 299909 Questioned Costs: $1
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