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Corrective Action Plans

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Finding 57945 (2022-001)
Material Weakness 2022
Snohomish County Public Transportation Benefit Area
WA
Questioned Costs Procurement, Suspension & Debarment
See Corrective Action Plan for chart/table.
See Corrective Action Plan for chart/table.
View Audit 54453 Questioned Costs: $1
Finding 57944 (2022-002)
Significant Deficiency 2022
Butte County Office of Education
CA
Internal Control / Segregation of Duties Questioned Costs
Subsequent to this issue being identified, our Director of Maintenance and Operations contacted the contractor and requested that this information be submitted as required. The contractor has since submitted the information. In the future, our Director of Maintenance and Operations or their designee...
Subsequent to this issue being identified, our Director of Maintenance and Operations contacted the contractor and requested that this information be submitted as required. The contractor has since submitted the information. In the future, our Director of Maintenance and Operations or their designee will check to ensure that all contractors and subcontractors submit the required certified payrolls weekly. This will be done prior to the final payment for the associated job being released.
View Audit 54044
Finding 57939 (2022-001)
Significant Deficiency 2022
Bread for the City, Inc.
DC
Questioned Costs Reporting
The annual report will be corrected and resubmitted.
The annual report will be corrected and resubmitted.
View Audit 49421 Questioned Costs: $1
Finding 57938 (2022-003)
Material Weakness 2022
Dillard University
LA
Questioned Costs Student Financial Aid Subrecipient Monitoring
It was brought to our attention that we are unable to update our third transmittal to NSC due an uploading error with Jenzabar. Once we were notified of this error, we began communicating with NSC to find an alternative route to submit the third transmittal. The third transmittal was submitted but...
It was brought to our attention that we are unable to update our third transmittal to NSC due an uploading error with Jenzabar. Once we were notified of this error, we began communicating with NSC to find an alternative route to submit the third transmittal. The third transmittal was submitted but we later learned that the file was rejected. Unfortunately during that time, the notification of the error message was inadvertently overlooked due to the challenges we were faced with during the recovery period of Hurricane Ida. To mitigate this from occurring in the future, we have discussed changing how and when our enrollment transmittal data will be reported. Furthermore, we had participated in training and scheduled additional training opportunities with Jenzabar to create an errorless transmittal process.
View Audit 55858
Finding 57934 (2022-001)
Material Weakness 2022
Dillard University
LA
Questioned Costs Student Financial Aid Matching / Level of Effort / Earmarking
It was brought to our attention that we are unable to update our third transmittal to NSC due an uploading error with Jenzabar. Once we were notified of this error, we began communicating with NSC to find an alternative route to submit the third transmittal. The third transmittal was submitted but...
It was brought to our attention that we are unable to update our third transmittal to NSC due an uploading error with Jenzabar. Once we were notified of this error, we began communicating with NSC to find an alternative route to submit the third transmittal. The third transmittal was submitted but we later learned that the file was rejected. Unfortunately, during that time, the notification of the error message was inadvertently overlooked due to the challenges we were faced with during the recovery period of Hurricane Ida. To mitigate this from occurring in the future, we have discussed changing how and when our enrollment transmittal data will be reported. Furthermore, we had participated in training and scheduled additional training opportunities with Jenzabar to create an errorless transmittal process.
View Audit 55858 Questioned Costs: $1
Finding 57931 (2022-003)
Significant Deficiency 2022
The City of Oklahoma City
OK
Allowable Costs / Cost Principles Questioned Costs Significant Deficiency § 200.403
Corrective Action Plan Year Ended June 30, 2022 Finding 2022-003: (Significant Deficiency) AL# 97.036: Disaster Grants - Public Assistance (Presidentially Declared Disasters), Passed Thru the Oklahoma Department of Emergency Management, U.S. Department of Homeland Security, Award# PA-06-OK-PW-00187,...
Corrective Action Plan Year Ended June 30, 2022 Finding 2022-003: (Significant Deficiency) AL# 97.036: Disaster Grants - Public Assistance (Presidentially Declared Disasters), Passed Thru the Oklahoma Department of Emergency Management, U.S. Department of Homeland Security, Award# PA-06-OK-PW-00187, 2022 Condition: There were three instances in which an employee's pay rate used in calculating payroll expense was the current pay rate and not the pay rate in effective at the time the work was performed. Criteria or Specific Requirement: 2 CFR 200.403(g) states that costs must be adequately documented. Cause: Employees received pay increases between the time the service was performed and when costs were identified as being covered by the disaster grant. The pay rate used was the pay rate for those employees at the time the expenditures were identified. Effect: Not properly identifying the appropriate pay rates used in determining payroll expenses may cause the federal program to be overcharged. Corrective Action Plan: The City will implement the following steps: 1. The Parks and Recreation Department will immediately implement a process where the Parks & Grounds Superintendent (or designee) will review employee pay information that administrative staff prepares for entry into the federal grant website ensuring that it is properly formatted and accurately reflects the pay at the time the work was performed. 2. A procedure will be added to the FEMA section of the City's Grants Manual to include a second review to verify that the pay rates being used to determine payroll expenses are the rates that were in effect at the time the service was provided. This verification will be documented in the Grants database maintained by the Accounting Services Division.
View Audit 54638
Finding 57926 (2022-001)
Significant Deficiency 2022
Hampton University
VA
Procurement, Suspension & Debarment Equipment & Real Property Management Matching / Level of Effort / Earmarking § 200.313
The University did not have any prior audit findings with its equipment management, nor is there any questioned costs associated with this current year?s finding. The correction action plan for tagging equipment will include two components: (1) its current procedures will include additional training...
The University did not have any prior audit findings with its equipment management, nor is there any questioned costs associated with this current year?s finding. The correction action plan for tagging equipment will include two components: (1) its current procedures will include additional training of employees responsible for tagging equipment and; (2) a secondary physical review of a sample of equipment will be performed each month by the University?s internal auditor to ensure federal equipment is properly tagged.
View Audit 54634
Finding 57910 (2022-001)
Significant Deficiency 2022
Doctors of the World Usa, Inc.
NY
Allowable Costs / Cost Principles Internal Control / Segregation of Duties Questioned Costs § 200.430 § 200.516
Views of Responsible Officials: We have streamlined and consolidated the payroll allocation file so that such manual errors will not occur in the future. We will also institute a monthly review process of employee timesheets, and the Executive Director will review and approve timesheets on a quarter...
Views of Responsible Officials: We have streamlined and consolidated the payroll allocation file so that such manual errors will not occur in the future. We will also institute a monthly review process of employee timesheets, and the Executive Director will review and approve timesheets on a quarterly basis.
View Audit 55931
Finding 57900 (2022-001)
Significant Deficiency 2022
Northern Essex Community College
MA
Questioned Costs Cash Management
Finding number: 2022-001 Federal agency: U.S. Department of Education Programs: Higher Education Emergency Relief Fund Assistance Listing #: 84.425F Award year: 2022 Corrective Action Plan: We agree with the audit finding. We did not realize that under the HEERF III Issued...
Finding number: 2022-001 Federal agency: U.S. Department of Education Programs: Higher Education Emergency Relief Fund Assistance Listing #: 84.425F Award year: 2022 Corrective Action Plan: We agree with the audit finding. We did not realize that under the HEERF III Issued Guidelines/(FAQs) that as a grantee we were under an obligation to minimize the time between drawing down funds from G5 and paying obligations incurred by the college/grantee. We had thought that the related guidelines were similar to CARES/HEERF I and we wanted to ensure that we had drawn down the funds timely once they were awarded to the college. HEERF III institutional funds spent as of June 30, 2022 were $783,442 and total HEERF III institutional grant funds spent as of January 2023 total $3,214,528. The college management?s plan is to spend all HERRF III funds for plan identified activities by June 30, 2023. Going forward, the college will ensure full compliance with the issued drawn down of awarded funds guidelines. Timeline for Implementation of Corrective Action Plan: The corrective action plane was implemented December 7, 2022. Contact Person Anthony DeGregorio, Comptroller and Director of Fiscal Services
View Audit 54842 Questioned Costs: $1
Finding 57899 (2022-001)
Significant Deficiency 2022
Saint Mary's University of Minnesota
MN
Student Financial Aid Questioned Costs Matching / Level of Effort / Earmarking
Corrective Action: The two students whose information was not reported within 60 days was due to an internal failure to report the status change by the Financial Aid and Registrar's Office. The one student whose effective date varied between program and campus level stems from system limitations, as...
Corrective Action: The two students whose information was not reported within 60 days was due to an internal failure to report the status change by the Financial Aid and Registrar's Office. The one student whose effective date varied between program and campus level stems from system limitations, as the process to report this status change on the program level but not the enrollment level, as required by NSLDS, is a manual process. The University continues to refine the manual process required for reporting this type of status change. For the four students who never had their graduation status reported to the NSLDS, Management noted one actual failure to report and three instances where the status change was reported to the Clearinghouse, but not reflected on NSLDS. The University is working with the Clearinghouse to understand what went wrong and how to prevent it in the future. The University is in the middle of implementation of a new student information system which is expected to improve this and other processes. Implementation is anticipated to be complete by July 2023.
View Audit 54321
Finding 57898 (2022-002)
Significant Deficiency 2022
New Haven Legal Assistance Association, Inc.
CT
Questioned Costs Allowable Costs / Cost Principles Significant Deficiency
Coronavirus State and Local Fiscal Recovery Funds ? Assistance Listing No. 21.027 Recommendation: We recommend that the Organization retain records to satisfy the time and effort documentation as required by Uniform Guidance (2 CFR Part 200). Explanation of disagreement with audit finding: There is ...
Coronavirus State and Local Fiscal Recovery Funds ? Assistance Listing No. 21.027 Recommendation: We recommend that the Organization retain records to satisfy the time and effort documentation as required by Uniform Guidance (2 CFR Part 200). Explanation of disagreement with audit finding: There is no disagreement with the audit finding. Action taken in response to finding: Laura Clark, the Director of Finance, has met with the management team and LAA has revised its procedure for supervisors keeping time under the Right To Counsel program. Now, supervisors of the program are required to maintain separate time entries in our case management system for Right To Counsel cases. Before billing under the program, Laura Clark will run a Crystal Report, which captures time entered into the case management system, to ensure the percentage billed is correct. This has been discussed and implemented. Name of the contact person responsible for corrective action: Laura Clark, Director of Finance Planned completion date for corrective action plan: June 2023
View Audit 54852
Finding 57892 (2022-004)
Material Weakness 2022
Eastern Connecticut Regional Educational Service Center
CT
Questioned Costs Allowable Costs / Cost Principles
SINGLE AUDIT CORRECTIVE ACTION PLAN For the Fiscal Year Ended June 30, 2022 To Government Officials: SINGLE AUDIT FINDINGS: Finding 2022-004 Activities Allowed or Unallowed Description of Finding One transaction charged to the grant was not authorized per the employee agreement. Statement o...
SINGLE AUDIT CORRECTIVE ACTION PLAN For the Fiscal Year Ended June 30, 2022 To Government Officials: SINGLE AUDIT FINDINGS: Finding 2022-004 Activities Allowed or Unallowed Description of Finding One transaction charged to the grant was not authorized per the employee agreement. Statement of Concurrence or Nonconcurrence Management agrees with the finding. Corrective Action EASTCONN Chief Financial Officer will review procedures and strengthen controls to ensure that only allowed expenditures are charged to the grant. Name of Contact Person Eric S. Protulis, Executive Director Projected Completion Date September 2023
View Audit 54356 Questioned Costs: $1
Finding 57887 (2022-001)
Material Weakness 2022
Northshore University Healthsystem
IL
Questioned Costs Cash Management Eligibility
Corrective Action Plan Finding 2022-001 Assistance Listing #93.461 Internal Control over Compliance? Activities Allowed or Unallowed and Eligibility, Due to the evolving nature of the COVID-19 pandemic, and the rapid pace in which programs were implemented, documentation of controls related to the r...
Corrective Action Plan Finding 2022-001 Assistance Listing #93.461 Internal Control over Compliance? Activities Allowed or Unallowed and Eligibility, Due to the evolving nature of the COVID-19 pandemic, and the rapid pace in which programs were implemented, documentation of controls related to the reporting of COVID-19 uninsured patients was not maintained. However, controls were in place and proper submission of claims was accurate. As part of the prior year audit finding, NorthShore implemented a process as of January 2022 to document internal controls related to the quality review of claims to ensure patients meet the eligibility requirements. HRSA reviewed the documentation and determined that the finding had been satisfactorily resolved. Although the program has now ended, NorthShore will ensure the internal controls are documented should the HRSA program be reinstated. Responsible Official: John Skeans, Senior Vice President, Patient Financial Services.
View Audit 54355
Finding 57884 (2022-001)
Significant Deficiency 2022
Heartland Medical Clinic, Inc., D/b/a Heartland Community Health Center
KS
Questioned Costs HUD Housing Programs Internal Control / Segregation of Duties
Corrective Action Plan Year Ended April 30, 2022 To United States Department of Health and Human Services Heartland Community Health Center respectfully submits the following corrective action plan for the year ended April 30, 2022. CohnReznick, LLP 350 Church Street Hartford, CT 06103 Audit P...
Corrective Action Plan Year Ended April 30, 2022 To United States Department of Health and Human Services Heartland Community Health Center respectfully submits the following corrective action plan for the year ended April 30, 2022. CohnReznick, LLP 350 Church Street Hartford, CT 06103 Audit Period: April 30, 2022 The findings from the April 30, 2022 schedule of findings and questioned costs are discussed below. The findings are numbered consistently with the number assigned in the schedule. Federal Awards Findings: Finding 2022.001 - Sliding Fee Scale Discount Recommendation The Center should establish a system of internal controls to ensure that all sliding fee discounts are properly calculated. Action Taken ? Monthly Audits o The immediate supervisor of front office operations will routinely audit sliding fee verification on a monthly basis to verify that information has been captured and recorded correctly. These monthly audits will be adopted as standard protocol and procedure for front office operations, effective January 2023. Any findings through the audit process will be reported to the COO. At least five patient charts will be audited monthly. o In addition, the billing manager will also review audit findings or summaries to ensure adequate adjustment to patient accounts to correlate with the patient?s eligibility status. ? Staff Training o Although Heartland has offered periodic sliding fee scale procedure training, administration will be scheduling additional trainings with a focus on required documentation and proper set up sliding fee. o Supervisor of front office operations will review and implement and update standard operating procedure for sliding fee scale verification. o Employees will receive a copy of the sliding fee scale policy and sign that they have read the material. o Front office employees at all locations will complete a sliding fee schedule competency check-off sheet that will be reviewed by the immediate supervisor and billing manager. If there are any question regarding this plan, please e-mail Scott Burcher at sburcher@heartlandhealth.org. Sincerely, Scott Burcher Chief Financial Officer
View Audit 52958
State of Wisconsin
WI
Allowable Costs / Cost Principles Questioned Costs § 200.303 § 200.405 § 200.516
CAP for Finding: 2022-704 Finding 2022-704: Research and Development Cluster?Unallowable Costs Planned Corrective Action: We agree with the condition that expenditures noted by the auditors were posted to federal awards in error. Our institution has robust policies and procedures in place along with...
CAP for Finding: 2022-704 Finding 2022-704: Research and Development Cluster?Unallowable Costs Planned Corrective Action: We agree with the condition that expenditures noted by the auditors were posted to federal awards in error. Our institution has robust policies and procedures in place along with multiple levels of review for transactions that post to awards. However, there may be rare instances where a transaction posts to an award for which it is not allowable or allocable. As noted by the auditors, they sampled from a population of $86.9 million from certain expenditure codes and only questioned $650 in costs. These expenditures have now been transferred off the awards to non-sponsored funding. To help Research Administrators manage Research and Development Awards, RSP (Research and Sponsored Programs) offers a variety of tools. RSP maintains a website that houses policies and procedures related to all relevant Research Administration topics. In addition to this, the RSP website has FAQ (Frequently Asked Questions) pages on a variety of Research Administration topics. RSP also offers a comprehensive training program called RED (Research Education Development). We offer courses that include topics such as a basic introduction to research administration, closeout of awards, cost-share, cost-transfers, and many others. We will remind administrators and their staff of all the relevant information our website houses and that they should take any pertinent RED. Lastly, we will remind staff that they can retake courses if they haven?t taken them recently and want to refresh their knowledge. Anticipated Completion Date: 5/31/23 Person responsible for corrective action: Kyle Everard, Manager of NSF-DOE Team Research and Sponsored Programs Kyle.Everard@rsp.wisc.edu
View Audit 44861 Questioned Costs: $1
State of Wisconsin
WI
Allowable Costs / Cost Principles Questioned Costs § 200.402 § 200.403
CAP for Finding: 2022-300 DATE: March 20, 2023 TO: Erin Scharlau, Financial Audit Director Legislative Audit Bureau FROM: Barry Kasten, Director Bureau of Fiscal Services Department of Health Services SUBJECT: Corrective Action Plan ? Disaster Grants ? Public Assistance (Presidentially Declared Disa...
CAP for Finding: 2022-300 DATE: March 20, 2023 TO: Erin Scharlau, Financial Audit Director Legislative Audit Bureau FROM: Barry Kasten, Director Bureau of Fiscal Services Department of Health Services SUBJECT: Corrective Action Plan ? Disaster Grants ? Public Assistance (Presidentially Declared Disasters) ? Unallowable Costs Department staff has reviewed the Legislative Audit Bureau?s (LAB) interim audit memo for Finding 2022-300: Disaster Grants ? Public Assistance (Presidentially Declared Disasters) ? Unallowable Costs. This is the department?s Corrective Action Plan. ? Recommendation (2022-300): Disaster Grants ? Public Assistance (Presidentially Declared Disasters) ? Unallowable Costs We recommend the Wisconsin Department of Health Services: ? Work with the federal government to resolve the $855,368 in unallowable costs we identified. Wisconsin Department of Health Services Planned Corrective Action: DHS will reach out to the federal government as suggested to resolve this issue. Anticipated Completion Date: June 30, 2023 Person responsible for corrective action: Barry Kasten, Director Bureau of Financial Services, Division of Enterprise Services barry.kasten@dhs.wisconsin.gov
View Audit 44861 Questioned Costs: $1
Finding 53058 (2022-001)
Significant Deficiency 2022
State of Wisconsin
WI
Questioned Costs Significant Deficiency
CAP for Finding: 2022-001 DATE: November 16, 2022 TO: Lisa Kasel, Assistant Financial Audit Director Legislative Audit Bureau FROM: Barry Kasten, Director Bureau of Fiscal Services Department of Health Services SUBJECT: Corrective Action Plan ? Medical Assistance Program Third-Party Liability Depart...
CAP for Finding: 2022-001 DATE: November 16, 2022 TO: Lisa Kasel, Assistant Financial Audit Director Legislative Audit Bureau FROM: Barry Kasten, Director Bureau of Fiscal Services Department of Health Services SUBJECT: Corrective Action Plan ? Medical Assistance Program Third-Party Liability Department staff has reviewed the Legislative Audit Bureau?s (LAB) interim audit memo for Finding 2022-001: Medical Assistance Program Third-Party Liability. This is the department?s Corrective Action Plan. ? Recommendation (2022-001): Medical Assistance Program Third-Party Liability We recommend the Wisconsin Department of Health Services: ? Review and update the Medicaid Management Information System cost avoidance rules to properly identify and deny payment for claims that may be covered by third-party insurers. Wisconsin Department of Health Services Planned Corrective Action: DHS has completed an assessment of Medicaid Management Information System (MMIS) cost avoidance rules and will implement changes by December 31, 2022, necessary to properly identify and deny outpatient services when a participant is enrolled in Medicare or other third-party insurance at the time the service was provided. We recommend the Wisconsin Department of Health Services: ? Identify payments made during FY 2021-22 that may have been improper due to inaccurate cost avoidance rules and seek to recover these amounts; ? Return to the federal government recovered payment that may have been improper; and Wisconsin Department of Health Services Planned Corrective Action: DHS will attempt to recover $1,956 in improper payments for outpatient services not properly identified and denied under cost avoidance rules in MMIS by December 31, 2022, and return to the federal government the estimated federal share of $1,293. DHS will complete an assessment and identify paid claims by March 31, 2023, where cost avoidance rules were not appropriately applied for outpatient services when a participant was enrolled in Medicare or other third-party insurance with a date of service after July 1, 2021, and return to the federal government recovered payments that were improper. We recommend the Wisconsin Department of Health Services: ? Perform an assessment and implement additional procedures to review changes to cost avoidance rules in the future. Wisconsin Department of Health Services Planned Corrective Action: DHS will implement processes and procedures by December 31, 2022, for conducting production validation on any configuration changes impacting cost avoidance rules. Anticipated Completion Date: March 31, 2023 Person responsible for corrective action: Nick Havens, Director Bureau of System Management, Division of Medicaid Services Nicholas.Havens@dhs.wisconsin.gov
View Audit 44861 Questioned Costs: $1
State of Wisconsin
WI
Questioned Costs Allowable Costs / Cost Principles § 200.516
CAP for Finding: 2022-301 DATE: March 21, 2023 TO: Lisa Kasel, Assistant Financial Audit Director Legislative Audit Bureau FROM: Barry Kasten, Director Bureau of Fiscal Services Department of Health Services SUBJECT: Corrective Action Plan ? Medical Assistance Program ? Home and Community-Based Serv...
CAP for Finding: 2022-301 DATE: March 21, 2023 TO: Lisa Kasel, Assistant Financial Audit Director Legislative Audit Bureau FROM: Barry Kasten, Director Bureau of Fiscal Services Department of Health Services SUBJECT: Corrective Action Plan ? Medical Assistance Program ? Home and Community-Based Services Unallowable Costs Department staff has reviewed the Legislative Audit Bureau?s (LAB) interim audit memo for Finding 2022-301: Medical Assistance Program ? Home and Community-Based Services Unallowable Costs. This is the department?s Corrective Action Plan. ? Recommendation (2022-301): Medical Assistance Program ? Home and Community-Based Services Unallowable Costs We recommend the Wisconsin Department of Health Services: ? work with the fiscal employer agency that improperly approved the payment we identified to determine how this payment was made, assess whether changes to current processes are needed, document its assessment, and implement corrective actions, as appropriate. Wisconsin Department of Health Services Planned Corrective Action: Based on the LAB findings, the DMS Bureau of Quality and Oversight (BQO) will implement a Corrective Action Plan (CAP) with the IRIS Fiscal Employer Agent (FEA), iLIFE. A review of the LAB findings indicates that iLIFE inadvertently issued a payment to an IRIS participant-hired worker (PHW) based on a service authorization associated with a participant that the PHW did not support. The IRIS provider agreement indicates that FEA?s are responsible for verifying invoices, timesheets, and other claims for payment for services and periods of time authorized by participants? service plans. iLIFE indicated their system?s optical character recognition (OCR) misread a PHW?s employee identification number causing the payment to be sent to the wrong PHW resulting in an overpayment. iLIFE will be required to fix their OCR and review process to complete the CAP. BQO will issue a CAP notification to iLIFE by March 27, 2023. BQO will work with iLIFE to ensure the system errors are corrected to prevent further occurrences and anticipates the CAP will remain open for approximately 6 months. Anticipated Completion Date: September 2023 Person responsible for corrective action: Ann Lamberg, Deputy Director Bureau of Quality and Oversight, Division of Medicaid Services ann.lamberg@dhs.wisconsin.gov
View Audit 44861 Questioned Costs: $1
Finding 53053 (2022-101)
Significant Deficiency 2022
State of Wisconsin
WI
Questioned Costs Eligibility Significant Deficiency § 200.303
CAP for Finding: 2022-101 Auditor Recommendation: Establish and implement written procedures for making updates to the benefit calculation parameters in the Home Energy (HE) Plus application. Planned Corrective Action: The Wisconsin Department of Administration (Department or DOA) will establish and...
CAP for Finding: 2022-101 Auditor Recommendation: Establish and implement written procedures for making updates to the benefit calculation parameters in the Home Energy (HE) Plus application. Planned Corrective Action: The Wisconsin Department of Administration (Department or DOA) will establish and implement written procedures for entering and updating the benefit calculation parameters related to the Wisconsin Home Energy Assistance Program (WHEAP) in the HE Plus (HE+) System. The Department?s procedures will reflect that it incorporated a module for determining the LIHEAP heating maximum benefit in the HE+ System and eliminated the use of an external Microsoft Access database for that purpose subsequent to the period under audit (i.e., in state fiscal year [SFY] 2022-23). Anticipated Completion Date: May 1, 2023 Auditor Recommendation: Reassess its existing procedures for performing a review of the benefit calculation parameters entered into the Home Energy (HE) Plus application, make adjustments to its existing procedures as necessary, and document the performance of each review. Planned Corrective Action: The Department necessarily reassessed its procedures for reviewing the entry of benefit calculation parameters into the HE+ System when it incorporated a module for determining the LIHEAP heating maximum benefit in the HE+ System and eliminated the use of an external Microsoft Access database for that purpose subsequent to the period under audit (i.e., in state fiscal year [SFY] 2022-23). The development and implementation of the new system functionality, which was used for the determining the federal fiscal year (FFY) 2023 WHEAP program benefits, improved program integrity through the elimination of manual data entry of end result benefit factors and proxy values. Program integrity will be further strengthened through the creation of a form to document the review of the benefit calculation parameters entered into HE+. The form will be created by May 1, 2023, and implemented with the FFY24 benefit formula calculation scheduled to be completed in July 2023. Anticipated Completion Date: May 1, 2023 Auditor Recommendation: Complete its review of the 605 households that were underpaid heating benefits due to the error and issue supplemental heating benefit payments. Planned Corrective Action: DOA completed its review of the households that were underpaid heating benefits and will issue the supplemental heating benefit payments as soon as practical. Anticipated Completion Date: June 30, 2023 Person responsible for corrective action: Susan Brown, Administrator Division of Energy, Housing and Community Resources susan.brown@wisconsin.gov
View Audit 44861
State of Wisconsin
WI
Allowable Costs / Cost Principles Questioned Costs § 200.303
CAP for Finding: 2022-703 Finding 2022-703: Higher Education Emergency Relief Fund?UW-Superior Institutional Aid Allowable Costs Planned Corrective Action: UW-Superior will review all HEERF Institutional and Strengthening Institutions Program expenses and ensure there is adequate documentation and t...
CAP for Finding: 2022-703 Finding 2022-703: Higher Education Emergency Relief Fund?UW-Superior Institutional Aid Allowable Costs Planned Corrective Action: UW-Superior will review all HEERF Institutional and Strengthening Institutions Program expenses and ensure there is adequate documentation and that all expenses are allowable. The review will be documented and maintained in Business Services. Anticipated Completion Date: 7/31/23 Person responsible for corrective action: Name, Title: Shaun Marshall, Director of Business and Financial Services/Controller Division or Unit (If applicable): Business and Financial Services Email address: smarsha2@uwsuper.edu
View Audit 44861 Questioned Costs: $1
State of Wisconsin
WI
Allowable Costs / Cost Principles Questioned Costs § 200.303
CAP for Finding: 2022-702 DATE: March 15, 2023 TO: Sherry Haakenson Financial Audit Director 780 Regent St Madison, WI 53708 FROM: AJ Cogan, Controller UW ? Platteville 2208 Ullsvik Platteville, WI 53818 Corrective Action Plan Finding 2022-702: Higher Education Emergency Relief Fund?UW Platteville I...
CAP for Finding: 2022-702 DATE: March 15, 2023 TO: Sherry Haakenson Financial Audit Director 780 Regent St Madison, WI 53708 FROM: AJ Cogan, Controller UW ? Platteville 2208 Ullsvik Platteville, WI 53818 Corrective Action Plan Finding 2022-702: Higher Education Emergency Relief Fund?UW Platteville Institutional Aid Allowable Costs Planned Corrective Action: UW-Platteville management agrees with the finding regarding the $1,018 and in March 2023 a journal entry by the controller was made to reverse the expense and the funds have been refunded back. Though UW-Platteville continues to believe the $23,500 video costs are allowable, to quickly resolve the issue, UW-Platteville will remove the LAB-identified costs from the federal funding and replace them with other allowable costs. Anticipated Completion Date: 3/31/23 Person responsible for corrective action: Lynsey Schwabrow, Chief Business Officer Administrative Services schwabrowl@uwplatt.edu
View Audit 44861 Questioned Costs: $1
State of Wisconsin
WI
Allowable Costs / Cost Principles Questioned Costs § 200.303
CAP for Finding: 2022-701 Finding 2022-701: Higher Education Emergency Relief Fund?UW-La Crosse Institutional Aid Allowable Costs Planned Corrective Action: All identified unallowable costs were removed from the federal grant award in December 2022. UW-La Crosse will implement the recommendation of ...
CAP for Finding: 2022-701 Finding 2022-701: Higher Education Emergency Relief Fund?UW-La Crosse Institutional Aid Allowable Costs Planned Corrective Action: All identified unallowable costs were removed from the federal grant award in December 2022. UW-La Crosse will implement the recommendation of the Legislative Audit Bureau to add a sign-off requirement by the HEERF Fund Manager to the monthly HEERF expense review process to indicate costs have been reviewed for proper placement. Anticipated Completion Date: March 12, 2023 Person responsible for corrective action: Spencer Wyman-Green Assistant Controller Business Services UW-La Crosse sgreen@uwlax.edu
View Audit 44861 Questioned Costs: $1
Finding 52827 (2022-103)
Material Weakness 2022
Gila County
AZ
Questioned Costs Subrecipient Monitoring Reporting § 200.303
Assistance Listings number and program name: 21.027 COVID-19 Coronavirus State and Local Fiscal Recovery Fund Contact: Maryn Belling Anticipated completion date: May 31, 2023 Corrective Action Plan: The County will develop, implement, and maintain procedures requiring both the performance & docume...
Assistance Listings number and program name: 21.027 COVID-19 Coronavirus State and Local Fiscal Recovery Fund Contact: Maryn Belling Anticipated completion date: May 31, 2023 Corrective Action Plan: The County will develop, implement, and maintain procedures requiring both the performance & documentation of independent review and approval of all federal program reports prior to submitting them to the federal agency to ensure the reports are accurate, agree to County records, and contain only allowable expenditures. Program expenditures will be reconciled to the County?s accounting records. Errors identified will be reported to the federal agency in adjusted or resubmitted reports. Departmental training will be provided for staff responsible for preparing and reviewing reports for both data management, compliance with Uniform Guidance, 2 Code of Federal Regulations (CFR) ?200.510, and adherence to County?s policies and procedures.
View Audit 44835
Finding 52826 (2022-102)
Material Weakness 2022
Gila County
AZ
Questioned Costs Procurement, Suspension & Debarment § 200.303 § 200.318
Assistance Listings number and program name: 21.027 COVID-19 Coronavirus State and Local Fiscal Recovery Fund Contact: Maryn Belling Anticipated completion date: June 30, 2023 Corrective Action Plan: The County procurement officer will, in collaboration with responsible departments, follow Count...
Assistance Listings number and program name: 21.027 COVID-19 Coronavirus State and Local Fiscal Recovery Fund Contact: Maryn Belling Anticipated completion date: June 30, 2023 Corrective Action Plan: The County procurement officer will, in collaboration with responsible departments, follow County policies and procedures for determining and documenting each sole-source procurement including documenting the good-faith search for available sources, concluding a single source, and including the related documentation in the contract file. The Procurement Officer and departments responsible for procurement will participate in annual training about County policies and procedures regarding the determination and documentation of sole-source procurement.
View Audit 44835 Questioned Costs: $1
Finding 52682 (2022-001)
Material Weakness 2022
San Diego Society of Natural History
CA
Reporting Questioned Costs
The Museum has reviewed and revised its accounting processes and has hired adequate staff to process monthly billings and reconcile the account records on a timely basis. Anticipated completion date November 2022 and responsible contact person is Matt Jawlik
The Museum has reviewed and revised its accounting processes and has hired adequate staff to process monthly billings and reconcile the account records on a timely basis. Anticipated completion date November 2022 and responsible contact person is Matt Jawlik
View Audit 44552
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