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Corrective Action Plans

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Finding 40139 (2022-018)
Significant Deficiency 2022
State of North Carolina
NC
Questioned Costs Subrecipient Monitoring Reporting
FFATA Reporting Not Completed Department Name: Health and Human Services Contact Name / Telephone Number of Person Responsible for CAP: Lisa Allnutt - (919) 527-6854; Felicia Harris - (919) 527-6416; Candice Bailey - (919) 609-2100 Department-wide FFATA training was provided on August 12, 2022. In a...
FFATA Reporting Not Completed Department Name: Health and Human Services Contact Name / Telephone Number of Person Responsible for CAP: Lisa Allnutt - (919) 527-6854; Felicia Harris - (919) 527-6416; Candice Bailey - (919) 609-2100 Department-wide FFATA training was provided on August 12, 2022. In addition, the Department will implement a FFATA Data Reporting Form and provide communication to all divisions regarding the use of the form. Anticipated Completion Date: March 31, 2023. Division of Social Services The Business Operations Budget section filled three positions, two of which are assigned responsibilities for the FFATA reporting process. The FFATA reporting procedures were updated to ensure segregation of the review and approval processes and to include step by step instructions. The Business Operations Budget section will continue to hire additional positions to ensure FFATA duties are reassigned in the event of employee turnover. Anticipated Completion Date: March 31, 2023. Division of Child Development and Early Education DCDEE staff attended Department-wide FFATA training on August 12, 2022. DCDEE Contracts staff will be responsible for reporting TANF subawards administered through DCDEE contracts. Anticipated Completion Date: March 31, 2023.
View Audit 53638
Finding 40138 (2022-017)
Significant Deficiency 2022
State of North Carolina
NC
Eligibility Questioned Costs
Deficiencies in the TANF Eligibility Determination Process Department Name: Health and Human Services Contact Name / Telephone Number of Person Responsible for CAP: Allison Smith - (919) 527-6316 The Division of Social Services will provide targeted training and support for the two counties in error...
Deficiencies in the TANF Eligibility Determination Process Department Name: Health and Human Services Contact Name / Telephone Number of Person Responsible for CAP: Allison Smith - (919) 527-6316 The Division of Social Services will provide targeted training and support for the two counties in error and will continue to provide support to prevent future errors from occurring. Anticipated Completion Date: June 30, 2023.
View Audit 53638 Questioned Costs: $1
Finding 40137 (2022-016)
Significant Deficiency 2022
State of North Carolina
NC
Subrecipient Monitoring Reporting Questioned Costs
Errors in FFATA Reporting Department Name: Health and Human Services Contact Name / Telephone Number of Person Responsible for CAP: Jeneen Preciose - (919) 428-6102 The Division of Public Health (DPH) has updated the FFATA reporting policy to include report monitoring and standardization guidance. I...
Errors in FFATA Reporting Department Name: Health and Human Services Contact Name / Telephone Number of Person Responsible for CAP: Jeneen Preciose - (919) 428-6102 The Division of Public Health (DPH) has updated the FFATA reporting policy to include report monitoring and standardization guidance. In addition, DPH will establish a contingency plan to ensure FFATA reporting is completed during a public health emergency or other disruption. Anticipated Completion Date: March 31, 2023.
View Audit 53638
Finding 40136 (2022-015)
Significant Deficiency 2022
State of North Carolina
NC
Questioned Costs Procurement, Suspension & Debarment Subrecipient Monitoring
Immunization Funds Used for Unallowable Activities Department Name: Health and Human Services Contact Name / Telephone Number of Person Responsible for CAP: Jennifer Street - (919) 855-4856 The expenditures in question were reclassified in SFY 23. Department management has ensured through TEAMS call...
Immunization Funds Used for Unallowable Activities Department Name: Health and Human Services Contact Name / Telephone Number of Person Responsible for CAP: Jennifer Street - (919) 855-4856 The expenditures in question were reclassified in SFY 23. Department management has ensured through TEAMS calls/ verbal instruction that staff responsible for reviewing and approving program spending have a clear understanding of the funding sources. The Department has completed its work to ensure improved communication and awareness specific to this finding. Corrective Action was completed on: September 2022.
View Audit 53638 Questioned Costs: $1
Finding 40129 (2022-008)
Material Weakness 2022
State of North Carolina
NC
Subrecipient Monitoring Questioned Costs Reporting
Errors in FFATA Reporting Department Name: Public Instruction Contact Name / Telephone Number of Person Responsible for CAP: LaTricia Townsend - (984) 236-2787 The Office of Federal Programs will continue to interface with the federal agency regarding the technical difficulties of the system. A data...
Errors in FFATA Reporting Department Name: Public Instruction Contact Name / Telephone Number of Person Responsible for CAP: LaTricia Townsend - (984) 236-2787 The Office of Federal Programs will continue to interface with the federal agency regarding the technical difficulties of the system. A data entry plan will be developed and implemented to input required data as quickly as possible with system constraints. Staff will enter and track subaward information in accordance with the plan. Anticipated Completion Date: September 30, 2023.
View Audit 53638
Finding 40128 (2022-004)
Significant Deficiency 2022
State of North Carolina
NC
Questioned Costs Subrecipient Monitoring
Errors in Program Spending Department Name: Public Safety Contact Name / Telephone Number of Person Responsible for CAP: Amanda Stapleton - (919) 418-0554 The North Carolina Office of Recovery and Resiliency?s (NCORR) Compliance and Business Systems Department are actively working to reconcile the p...
Errors in Program Spending Department Name: Public Safety Contact Name / Telephone Number of Person Responsible for CAP: Amanda Stapleton - (919) 418-0554 The North Carolina Office of Recovery and Resiliency?s (NCORR) Compliance and Business Systems Department are actively working to reconcile the population of awards impacted by the errors identified. NCORR had already begun recapture efforts on many of the awards identified during this audit however, any remaining awards identified by NCORR will immediately enter the recapture process. In the event any recaptured amounts enter default, NCORR reserves the right to engage our federal partners and, additional resources, such as collections to recover the funds. Anticipated Completion Date: December 31, 2023.
View Audit 53638 Questioned Costs: $1
Finding 40126 (2022-002)
Significant Deficiency 2022
State of North Carolina
NC
Questioned Costs Allowable Costs / Cost Principles Internal Control / Segregation of Duties
Administration Funds Used for Unallowable Activities Department Name: Commerce Contact Name / Telephone Number of Person Responsible for CAP: Kevin Carlson - (984) 236-5933 The questioned nonautomation costs will be moved to an alternative funding source. In addition, new staff have been trained on ...
Administration Funds Used for Unallowable Activities Department Name: Commerce Contact Name / Telephone Number of Person Responsible for CAP: Kevin Carlson - (984) 236-5933 The questioned nonautomation costs will be moved to an alternative funding source. In addition, new staff have been trained on the internal controls that are in place to catch these types of errors. Additional monitoring on a quarterly basis will be instituted as well as identified during our federal fiscal year crossover process. Anticipated Completion Date: June 30, 2023.
View Audit 53638 Questioned Costs: $1
William Peace Universirty
NC
Special Tests & Provisions Questioned Costs Student Financial Aid
The Student Accounts Office will return funds to students within 14 days of the disbursement of Title IV funds when those funds create a credit balance on the student account. New procedures have been added within the department to review for credit balances upon their creation to ensure refunds are...
The Student Accounts Office will return funds to students within 14 days of the disbursement of Title IV funds when those funds create a credit balance on the student account. New procedures have been added within the department to review for credit balances upon their creation to ensure refunds are processed timely for all students owed a refund. Individuals Responsible for Corrective Action Plan: Susan Childs, Associate Vice President for Finance & Controller, 919-508-2033 Completion Date: September 2022
View Audit 53433
Finding 40112 (2022-001)
Significant Deficiency 2022
Midmichigan Health Services
MI
Questioned Costs HUD Housing Programs Significant Deficiency
Finding Number: 2022-001 Condition: The Company has a sliding fee discount policy that is based on income and family size in place. However, management did not follow the Company's policy for all patients during the period under audit. Planned Corrective Action: The Company will maintain a master r...
Finding Number: 2022-001 Condition: The Company has a sliding fee discount policy that is based on income and family size in place. However, management did not follow the Company's policy for all patients during the period under audit. Planned Corrective Action: The Company will maintain a master roster of all eligible and approved sliding fee patients. On a monthly basis the listing of patients who have received a sliding fee adjustment will be compared and verified against the master roster of all eligible and approved sliding fee patients. Any patient who received a sliding fee adjustment and is not on the master roster will be researched and corrected. Contact person responsible for corrective action: William E. Collin Anticipated Completion Date: 6/1/2023
View Audit 51007
Therapeutic Living Services, Inc. and Affiliates
NM
Questioned Costs Internal Control / Segregation of Duties § 200.512
To ensure audits get submitted in a timely manner to the Federal Audit Clearinghouse, TLS? current financial officer will start compiling all necessary documentation and schedule an independent audit in late summer or early fall. This will allow TLS to meet the required deadlines.
To ensure audits get submitted in a timely manner to the Federal Audit Clearinghouse, TLS? current financial officer will start compiling all necessary documentation and schedule an independent audit in late summer or early fall. This will allow TLS to meet the required deadlines.
View Audit 51005
Finding 40110 (2022-001)
Significant Deficiency 2022
Therapeutic Living Services, Inc. and Affiliates
NM
Questioned Costs HUD Housing Programs Significant Deficiency
TLS has implemented the following procedures to ensure a copy of lease agreements as supporting documents for rental assistance payments. The new CoC/HUD Programs Manager has been auditing all rental assistance clients to ensure each client has the proper documentation. TLS utilizes a flowchart to d...
TLS has implemented the following procedures to ensure a copy of lease agreements as supporting documents for rental assistance payments. The new CoC/HUD Programs Manager has been auditing all rental assistance clients to ensure each client has the proper documentation. TLS utilizes a flowchart to document all new rental assistance intakes. In addition, there are checklists in every file and a spreadsheet was created to track all documentation.
View Audit 51005
Finding 40105 (2022-002)
Material Weakness 2022
Assumption Parish Police Jury
LA
Questioned Costs Procurement, Suspension & Debarment Matching / Level of Effort / Earmarking
Personnel Manual and Internal Control document will be amended to include all the contract provisions for Non-Federal Entity contracts under Federal Awards required. Requirements will be reinforced to all staff and department heads for inclusion in all future federally funded contracts.
Personnel Manual and Internal Control document will be amended to include all the contract provisions for Non-Federal Entity contracts under Federal Awards required. Requirements will be reinforced to all staff and department heads for inclusion in all future federally funded contracts.
View Audit 48327
Finding 40104 (2022-001)
Material Weakness 2022
Assumption Parish Police Jury
LA
Questioned Costs Procurement, Suspension & Debarment Allowable Costs / Cost Principles § 200.319
Procurement of professional services for all federally funded projects will take place immediately. Police Jurors have been fully advised of the requirement and commit to adhering to the policies and procedures.
Procurement of professional services for all federally funded projects will take place immediately. Police Jurors have been fully advised of the requirement and commit to adhering to the policies and procedures.
View Audit 48327 Questioned Costs: $1
Finding 40099 (2022-001)
Significant Deficiency 2022
Providence St. Joseph Health
WA
Allowable Costs / Cost Principles Matching / Level of Effort / Earmarking Questioned Costs § 200.303
Providence Corrective Action Plan Year ended December 31, 2022 Contact: Nate Johnson, Senior Manager Finance nathaniel.johnson@providence.org Finding 2022-001 Statement of Condition: During testwork over allowability, a sample of 60 payments was selected for testing. Within the sample, 1 selection...
Providence Corrective Action Plan Year ended December 31, 2022 Contact: Nate Johnson, Senior Manager Finance nathaniel.johnson@providence.org Finding 2022-001 Statement of Condition: During testwork over allowability, a sample of 60 payments was selected for testing. Within the sample, 1 selection was identified where the charges submitted for reimbursement to HRSA were unallowable. Further, as the charges submitted were not properly reviewed this is an instance of the Health System?s internal control not operating as designed. Corrective Action Plan: Management will prioritize strengthening our processes and controls before proceeding. Management will add a layer of review for all potential new claims. All accounts will be audited by management prior to submission to ensure compliance. Management will do a post submission audit to confirm billing compliance on paid claims. This will be implemented by December 31, 2023.
View Audit 41243 Questioned Costs: $1
Finding 40098 (2022-001)
Significant Deficiency 2022
Aids Foundation Houston, Inc.
TX
Questioned Costs Reporting Significant Deficiency § 200.303
September 26, 2023 AIDS Foundation Houston, Inc. dba Allies in Hope respectfully submits the following corrective action plan in response to our single audit results for the year ended December 31, 2022. Carr, Riggs & Ingram, LLC Two Riverway, 15th Floor Houston, Texas 77056 Audit Period: Fiscal Yea...
September 26, 2023 AIDS Foundation Houston, Inc. dba Allies in Hope respectfully submits the following corrective action plan in response to our single audit results for the year ended December 31, 2022. Carr, Riggs & Ingram, LLC Two Riverway, 15th Floor Houston, Texas 77056 Audit Period: Fiscal Year January 1, 2022 ? December 31, 2022 The finding from the schedule of findings and questioned costs dated September 26, 2023, is discussed below. The finding is numbered consistently with the number assigned in the schedule. 2022-001 Internal Controls over Reporting (Significant Deficiency) Recommendation: The Foundation review its controls and ensure that the copies of the submission emails be part of the Foundation?s grant records. Corrective Action: Effective 10/1/23 we are using a shared system to house and track our reporting to our funders and will save emails sent to funders in this shared system in order to document the submission of the reports. Responsible Parties: Chief Financial Officer, Chief Program Officer, and Director of Compliance Date Expected to be Corrected: 10/1/23 If the U.S. Department of Housing and Urban Development has any questions regarding this plan, please contact Nicholas Williams, CFO at 713-623-6796 x285. Sincerely yours, Nicholas Williams Nicholas Williams Chief Financial Officer
View Audit 48673
Finding 40097 (2022-001)
Significant Deficiency 2022
Advanced Functional Fabrics of America, Inc.
MA
Questioned Costs Procurement, Suspension & Debarment Subrecipient Monitoring
3/28/2023 Board of Directors of Advanced Functional Fabrics of America, Inc.: Advanced Functional Fabrics of America, Inc. respectfully submits the following corrective action plan for the year ended June 30, 2022. Name and address of independent public accounting firm: AAFCPAs 160 Federal St. 16th ...
3/28/2023 Board of Directors of Advanced Functional Fabrics of America, Inc.: Advanced Functional Fabrics of America, Inc. respectfully submits the following corrective action plan for the year ended June 30, 2022. Name and address of independent public accounting firm: AAFCPAs 160 Federal St. 16th floor Boston, MA 02110 Audit period: July 1, 2021 ? June 30, 2022 The findings from the June 30, 2022, schedule of findings and questioned costs are discussed below. The findings are numbered consistently with the numbers assigned in the schedule. FINDINGS - FINANCIAL STATEMENT AUDIT FINDINGS SIGNIFICANT DEFICIENCY 20X2-001 Recommendation: AFFOA should develop and implement policies and controls for monitoring year end transactions as well as funding from the Federal and state governments to identify, document and track accurate expenditures for each year. Action Taken: We concur with the recommendation, particularly as it pertains to credit card transactions. During the current fiscal year, we have increased training and provide weekly reminders to all AFFOA employees that expense reports, including those related to credit card purchases, are to be submitted to Accounting in a timely manner (within 30 days of travel). In addition, we are reconciling the ?Clearing? account monthly. This account bridges the credit card payments and the employees? expense reports. With a monthly reconciliation of this account, we are better able to follow up with employees with overdue expense reports, and we will have a precise basis for any necessary accruals related to credit card purchases at year-end. If the Board has questions regarding this plan, please call Don Nadreau, CFO, at 603-702-3639. Sincerely yours, Don Nadreau, Chief Financial Officer
View Audit 45742
Finding 40080 (2022-002)
Significant Deficiency 2022
Marion Street Apartments, Inc.
OR
Questioned Costs Allowable Costs / Cost Principles
Finding No. 2022-002; Federal Assistance Listing Number 99.999 Statement of Condition: During the year ended December 31, 2022, the project paid expenses in the amount of $447 on behalf of an affiliate. The amount due to the project as of December 31, 2022 is $447 and is recorded as a receivable fro...
Finding No. 2022-002; Federal Assistance Listing Number 99.999 Statement of Condition: During the year ended December 31, 2022, the project paid expenses in the amount of $447 on behalf of an affiliate. The amount due to the project as of December 31, 2022 is $447 and is recorded as a receivable from affiliate at year ended December 31, 2022. Corrective Action: The receivable was repaid in March 2023. REACH will make process improvement to prevent this from re-occurring by raising more awareness with the fiscal staff to better understand the procedures and operational agreements and the uniform guidance.
View Audit 47410
Finding 40079 (2022-001)
Significant Deficiency 2022
Marion Street Apartments, Inc.
OR
HUD Housing Programs Questioned Costs Special Tests & Provisions
Finding No. 2022-001; Federal Assistance Listing Number 99.999 Statement of Condition: In connection with our lease file testing one out of one tenant files tested did not have a security deposit refunded timely. Corrective Action: Generally, security deposits are refunded timely unless there are un...
Finding No. 2022-001; Federal Assistance Listing Number 99.999 Statement of Condition: In connection with our lease file testing one out of one tenant files tested did not have a security deposit refunded timely. Corrective Action: Generally, security deposits are refunded timely unless there are unique circumstances. Management will follow appropriate procedures in refunding security deposits on a timely basis. Fiscal will work with property management department to notify them if a security deposit is outstanding after a tenant has moved in.
View Audit 47410
Finding 40066 (2022-005)
Significant Deficiency 2022
Legal Services Alabama, INC
AL
Questioned Costs Reporting Significant Deficiency § 200.303
Finding 2022-005 ? Internal Control over Reporting (Significant Deficiency) Corrective Action: LSA will resume a review and approval of every grant report and document the review as of the date of this audit report. Contact Person: David Roberson, Director of Finance; (334) 223-0251; droberson@al...
Finding 2022-005 ? Internal Control over Reporting (Significant Deficiency) Corrective Action: LSA will resume a review and approval of every grant report and document the review as of the date of this audit report. Contact Person: David Roberson, Director of Finance; (334) 223-0251; droberson@alsp.org
View Audit 45011
Finding 40065 (2022-004)
Significant Deficiency 2022
Legal Services Alabama, INC
AL
Questioned Costs Eligibility Significant Deficiency
Finding 2022-004 ? Eligibility (Significant Deficiency and Non-compliance) Corrective Action: Legal Services Alabama services provided services related to eviction proveedings and other legal services that aided in housing stability. LSA will continue its policies and procedures used for case accep...
Finding 2022-004 ? Eligibility (Significant Deficiency and Non-compliance) Corrective Action: Legal Services Alabama services provided services related to eviction proveedings and other legal services that aided in housing stability. LSA will continue its policies and procedures used for case acceptance and eligility requirements. LSA will review its policies for potential improvements. The review will be conducted by the second quarter of 2023 and any changes will be implemented by the third quarter of 2023. Contact Person: Michael Forton, Director of Advocacy; (256) 551-2671; mforton@alsp.org
View Audit 45011
Finding 40060 (2022-002)
Significant Deficiency 2022
Legal Services Alabama, INC
AL
Questioned Costs Eligibility Significant Deficiency
Finding 2022-002 ? Case Requirements (Significant Deficiency and Non-compliance) Corrective Action: LSA will provide training to all attorneys and support staff on the policies and procedures involved, with a particular emphasis on the documentation requirements. LSA will also be conducting periodic...
Finding 2022-002 ? Case Requirements (Significant Deficiency and Non-compliance) Corrective Action: LSA will provide training to all attorneys and support staff on the policies and procedures involved, with a particular emphasis on the documentation requirements. LSA will also be conducting periodic internal reviews of case files to ensure compliance with all required documentation requirements. These reviews should include a review of financial eligibility documentation, including exceptions, if any. Finally, LSA will review and update any necessary policies and procedures as needed to ensure compliance. Updates to policies and procedires and training will becompleted by the third quarter of 2023. Contact Person: Michael Forton, Director of Advocacy; (256) 551-2671; mforton@alsp.org
View Audit 45011
Finding 40058 (2022-004)
Significant Deficiency 2022
Knox County Government
TN
Questioned Costs Allowable Costs / Cost Principles Eligibility
Person(s) Responsible for Implementing the Corrective Action: Jenny Holden Senior Director, Grants and Community Development Corrective Action Planned: Management has implemented additional steps in the fraud prevention procedures previously implemented. Anticipated Completion Date of Correctiv...
Person(s) Responsible for Implementing the Corrective Action: Jenny Holden Senior Director, Grants and Community Development Corrective Action Planned: Management has implemented additional steps in the fraud prevention procedures previously implemented. Anticipated Completion Date of Corrective Action: Management has implemented the corrective actions during FY 2023.
View Audit 48802 Questioned Costs: $1
God's Bible School, College and Missionary Training Home
OH
Student Financial Aid Questioned Costs
FINDING 2022-008 ? Pell Award Calculation ALN and Program Expenditure: 84.063 ($484,684) Award Number: P063P213976 Federal Award Year: July 1, 2021 to June 30, 2022 Questioned Costs: $181 Condition Found: The amount of Pell grant awarded was calculated incorrectly for one of the twenty-nine s...
FINDING 2022-008 ? Pell Award Calculation ALN and Program Expenditure: 84.063 ($484,684) Award Number: P063P213976 Federal Award Year: July 1, 2021 to June 30, 2022 Questioned Costs: $181 Condition Found: The amount of Pell grant awarded was calculated incorrectly for one of the twenty-nine students who received Pell in our sample. The student was awarded Pell grant funds as if the student was enrolled full-time when the student was enrolled ? time. Corrective Action Plan: The School returned the $181 in question to the Department of Education in December 2022. Communication will be improved between the various offices on campus. Anticipated Completion Date: The corrective action was completed on December 13, 2022. Contact Person Valorie Quesenberry, Financial Aid Coordinator 513-763-6659
View Audit 48799 Questioned Costs: $1
Williamsville Cusd 15
IL
School Nutrition Programs Questioned Costs
Corrective Action Plan Finding No.: 2022-_ 005__ Condition: The District's lunch program net cash resources exceeded 3 months average expenditures for its nonprofit school food service. Plan: Formal calculation of the net cash resources of the nonprofit school foo...
Corrective Action Plan Finding No.: 2022-_ 005__ Condition: The District's lunch program net cash resources exceeded 3 months average expenditures for its nonprofit school food service. Plan: Formal calculation of the net cash resources of the nonprofit school food service should be periodically prepared to ensure compliance with 7 CFR 210.14. In the event of noncompliance, the District should incur allowable expenditures or reduce their food service prices as necessary. Anticipated Date of Completion: 6/30/2023 Name of Contact Person: Tip Reedy Management Response: Management will implement the auditor's recommendation for the fiscal year ending June 30, 2023.
View Audit 45838
Illinois Valley Community College Dist. No.513
IL
Questioned Costs Student Financial Aid Eligibility
2022-002: Missing Entrance Counseling Documentation - Student Financial Aid Cluster - Assistance Listing #s 84.007, 84.033, 84.063, 84.268 - Grant Period - Year Ended June 30, 2022 ...
2022-002: Missing Entrance Counseling Documentation - Student Financial Aid Cluster - Assistance Listing #s 84.007, 84.033, 84.063, 84.268 - Grant Period - Year Ended June 30, 2022 Condition Found: During our student file testing, we noted one student out of 40 did not have documentation in their file to verify that entrance counseling occurred before the disbursement of loans. We consider the missing entrance counseling to be an instance of noncompliance with the Eligibility Compliance Requirement. Corrective Action Plan: We have updated our Loan checklist procedures to include printing the Master Promissory Note and Entrance Counseling confirmation off of the Common Origination and Disbursement website. Those print outs will be included in the student loan application packet and will be kept with the other student loan documents in the student?s file. Responsible Person for Corrective Action Plan: Eric Johnson ? Director of Financial Aid Implementation Date of Corrective Action Plan: 10/6/2022
View Audit 44197
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