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Corrective Action Plans

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Finding 35632 (2022-001)
Significant Deficiency 2022
City of Hope
CA
Questioned Costs Procurement, Suspension & Debarment
Management?s Corrective Action Plan In response to this finding City of Hope will implement the following: 1. Procurement Operations to provide training to reinforce current policy requirements. Training will also include Strategic Sourcing and Research personnel to emphasize procurement guideline...
Management?s Corrective Action Plan In response to this finding City of Hope will implement the following: 1. Procurement Operations to provide training to reinforce current policy requirements. Training will also include Strategic Sourcing and Research personnel to emphasize procurement guidelines prior to requisition submission. 2. Corporate Accounting will select a sample size of federally funded procurement spend to ensure controls have been appropriately remediated. 3. Procurement and Sourcing department will review current long-term contracts pertaining to federal funding to ensure adherence with documented compliance standards. 4. To ensure controls are operating effectively around suspension and debarment reviews, finance leadership will work with the purchasing department to update internal control policies to confirm there is a full review of all vendors engaged to work on federally funded programs. 5. Purchasing department will perform a review of existing contracts to ensure suspension and debarment reviews have been completed. Contact Person: Ryan Cabarrao, System Vice President, Sourcing and Procurement (Actions 1, 2, and 3) Tracy Karns, TGen Controller (Action 4 and 5) Expected Completion Date: September 30, 2023
View Audit 24227 Questioned Costs: $1
Finding 35629 (2022-001)
Significant Deficiency 2022
University of Massachusetts
MA
Matching / Level of Effort / Earmarking Questioned Costs Student Financial Aid § 200.303
Management?s Views and Corrective Action Plan 2022-001 ? Loan Disbursement Notifications Award Information Cluster: Student Financial Assistance Grantor: Department of Education Award Name: Federal Direct Student Loans Award Year: July 1, 2021 ? June 30, 2022 AL Number: 84.268 The University of Mass...
Management?s Views and Corrective Action Plan 2022-001 ? Loan Disbursement Notifications Award Information Cluster: Student Financial Assistance Grantor: Department of Education Award Name: Federal Direct Student Loans Award Year: July 1, 2021 ? June 30, 2022 AL Number: 84.268 The University of Massachusetts acknowledges that some students did not receive their notifications informing them of the 30 day right-to-cancel for their Federal Direct Loans within the prescribed timeframe of no later than 30 days before, but no later than 7 days after the date of disbursement. The University has implemented an automated communication process with built in internal reviews that will ensure all borrowers are notified within the required timeframe. For further details regarding the corrective action plan, contact the Assistant Vice President and University Controller, Patrick Hitchcock, at phitchcock@umassp.edu.
View Audit 25222
Finding 35626 (2022-007)
Significant Deficiency 2022
Vienna Public School District #55
IL
Questioned Costs Reporting Internal Control / Segregation of Duties
Finding Type: Significant Deficiency for 84.425D. Name of Contact Person: Greg Frehner, Superintendent. Recommendation: We recommend that the Superintendent review the quarterly expenditure reports and supporting documentation to ensure all costs are reported timely and accurately. Corrective ...
Finding Type: Significant Deficiency for 84.425D. Name of Contact Person: Greg Frehner, Superintendent. Recommendation: We recommend that the Superintendent review the quarterly expenditure reports and supporting documentation to ensure all costs are reported timely and accurately. Corrective Action: The Superintendent will review the quarterly reports submitted to ISBE and agree with the District's accounting software before they are submitted. Proposed Completion Date: Fiscal year 2023.
View Audit 24023
Finding 35625 (2022-006)
Material Weakness 2022
Vienna Public School District #55
IL
Questioned Costs
Finding Type: Material Weakness for 84.425D. Name of Contact Person: Greg Frehner, Superintendent. Recommendation: We recommend the District provide proper documentation of a supervisor's approval on the timesheet for payment of hourly employees. Corrective Action: A supervisor will begin not...
Finding Type: Material Weakness for 84.425D. Name of Contact Person: Greg Frehner, Superintendent. Recommendation: We recommend the District provide proper documentation of a supervisor's approval on the timesheet for payment of hourly employees. Corrective Action: A supervisor will begin noting approval with a signature on timecards. Proposed Completion Date: Fiscal year 2023.
View Audit 24023
Finding 35620 (2022-005)
Material Weakness 2022
Vienna Public School District #55
IL
Questioned Costs
Finding Type: Material Noncompliance for 10.553 and 10.555. Name of Contact Person: Greg Frehner, Superintendent. Recommendation: We recommend the District monitor the profit made by the food service program. All expenditures used to operate the food service program should be charged to the pr...
Finding Type: Material Noncompliance for 10.553 and 10.555. Name of Contact Person: Greg Frehner, Superintendent. Recommendation: We recommend the District monitor the profit made by the food service program. All expenditures used to operate the food service program should be charged to the program. In addition, the District needs to adopt a plan to spend the accumulated cash reserves. Corrective Action: The cafeteria will be billed indirect cost items based on the rate provided by the Illinois State Board of Education to eliminate the surplus. The cafeteria will also make a plan to spend the carryover amount. Proposed Completion Date: Fiscal year 2023.
View Audit 24023
Finding 35598 (2022-100)
Significant Deficiency 2022
Commonwealth of Virginia
VA
Questioned Costs Subrecipient Monitoring Reporting § 200.303
Responsible Contact Person(s): Naveen Abraham, Chief of Core Infrastructure Services Corrective Action Planned: 1. VITA, working with VITA multi-sourcing services integrator (MSI), opened a multi-supplier project to reduce and eliminate unpremeditated vulnerabilities. 2. With respect to agency acce...
Responsible Contact Person(s): Naveen Abraham, Chief of Core Infrastructure Services Corrective Action Planned: 1. VITA, working with VITA multi-sourcing services integrator (MSI), opened a multi-supplier project to reduce and eliminate unpremeditated vulnerabilities. 2. With respect to agency access to security log information, all logs are being monitored. VITA intends to further enhance services during the remainder of calendar year 2023. VITA is also working on additional tools and implementation of zero trust. Security compliance of enterprise IT services overall is assessed on an ongoing basis through System Security Plan (SSP) submission and review. Estimated Completion Date: 9/30/2023
View Audit 36377
Finding 35597 (2022-090)
Significant Deficiency 2022
Commonwealth of Virginia
VA
Internal Control / Segregation of Duties Questioned Costs Significant Deficiency § 200.303
Responsible Contact Person(s): Steve Hanoka, Chief Information Security Officer John Kissel, Deputy Director of Innovation and Technology Carla Bennett, Director of Procurement and Contract Management Susan Smith, Director of Internal Audit Corrective Action Planned: This finding was marked as FOIA ...
Responsible Contact Person(s): Steve Hanoka, Chief Information Security Officer John Kissel, Deputy Director of Innovation and Technology Carla Bennett, Director of Procurement and Contract Management Susan Smith, Director of Internal Audit Corrective Action Planned: This finding was marked as FOIA Exempt (FOIAE) and as a result, the State Comptroller has determined that the resulting corrective actions are FOIAE under ?2.2-3705.2 (9.) of the Code of Virginia. Federal awarding agencies and pass-through entities, please see the Appendix titled ?Applicable Management Contacts for Findings and Questioned Costs? to request the corrective action planned from the applicable entity. Estimated Completion Date: 4/30/2023
View Audit 36377
Finding 35596 (2022-066)
Significant Deficiency 2022
Commonwealth of Virginia
VA
Questioned Costs Significant Deficiency Internal Control / Segregation of Duties § 200.303
Responsible Contact Person(s): Mark McCreary, Director Centralized IT Security Audit Services Corrective Action Planned: 1. Regularly monitor audit workplan to ensure audit staff complete all IT security audits by the required deadlines; and, 2. Evaluate staffing levels and assess need to contract ...
Responsible Contact Person(s): Mark McCreary, Director Centralized IT Security Audit Services Corrective Action Planned: 1. Regularly monitor audit workplan to ensure audit staff complete all IT security audits by the required deadlines; and, 2. Evaluate staffing levels and assess need to contract with an outside audit firm to aid in completing IT security audits. Estimated Completion Date: 9/30/2023
View Audit 36377
Finding 35595 (2022-064)
Significant Deficiency 2022
Commonwealth of Virginia
VA
Questioned Costs Significant Deficiency Internal Control / Segregation of Duties § 200.303
Responsible Contact Person(s): Kevin Platea, Deputy Chief Information Officer Stephen Schleck, Associate Director of Enterprise Business Solutions Corrective Action Planned: This finding was marked as FOIA Exempt (FOIAE) and as a result, the State Comptroller has determined that the resulting correc...
Responsible Contact Person(s): Kevin Platea, Deputy Chief Information Officer Stephen Schleck, Associate Director of Enterprise Business Solutions Corrective Action Planned: This finding was marked as FOIA Exempt (FOIAE) and as a result, the State Comptroller has determined that the resulting corrective actions are FOIAE under ?2.2-3705.2 (9.) of the Code of Virginia. Federal awarding agencies and pass-through entities, please see the Appendix titled ?Applicable Management Contacts for Findings and Questioned Costs? to request the corrective action planned from the applicable entity. Estimated Completion Date: 12/31/2024
View Audit 36377
Finding 35594 (2022-060)
Significant Deficiency 2022
Commonwealth of Virginia
VA
Questioned Costs Significant Deficiency Internal Control / Segregation of Duties § 200.303
Responsible Contact Person(s): Kevin Platea, Deputy Chief Information Officer Corrective Action Planned: This finding was marked as FOIA Exempt (FOIAE) and as a result, the State Comptroller has determined that the resulting corrective actions are FOIAE under ?2.2-3705.2 (9.) of the Code of Virginia...
Responsible Contact Person(s): Kevin Platea, Deputy Chief Information Officer Corrective Action Planned: This finding was marked as FOIA Exempt (FOIAE) and as a result, the State Comptroller has determined that the resulting corrective actions are FOIAE under ?2.2-3705.2 (9.) of the Code of Virginia. Federal awarding agencies and pass-through entities, please see the Appendix titled ?Applicable Management Contacts for Findings and Questioned Costs? to request the corrective action planned from the applicable entity. Estimated Completion Date: 12/31/2024
View Audit 36377
Finding 35593 (2022-059)
Significant Deficiency 2022
Commonwealth of Virginia
VA
Questioned Costs Subrecipient Monitoring Reporting § 200.303
Responsible Contact Person(s): Barry Davis, Chief Information Security Officer Melinda Raines, Director of Human Resources Karen Holt, Human Resource Business Process Consultant Corrective Action Planned: An agency-wide work group will be established to determine the exact processes need to implemen...
Responsible Contact Person(s): Barry Davis, Chief Information Security Officer Melinda Raines, Director of Human Resources Karen Holt, Human Resource Business Process Consultant Corrective Action Planned: An agency-wide work group will be established to determine the exact processes need to implement the controls necessary to address this finding. Estimated Completion Date: 6/30/2023
View Audit 36377
Finding 35592 (2022-057)
Significant Deficiency 2022
Commonwealth of Virginia
VA
Questioned Costs Eligibility Significant Deficiency § 200.303
Responsible Contact Person(s): Steven Hanoka, Chief Information Security Officer John Kissel, Deputy Director of Innovation and Technology Sarah Haggie, Strategic Initiatives Advisor Mike Alston, HCD Division Director Cat Pelletier, Operations Lead for Finance Cindy Olson, Eligibility and Enrollment...
Responsible Contact Person(s): Steven Hanoka, Chief Information Security Officer John Kissel, Deputy Director of Innovation and Technology Sarah Haggie, Strategic Initiatives Advisor Mike Alston, HCD Division Director Cat Pelletier, Operations Lead for Finance Cindy Olson, Eligibility and Enrollment Director Corrective Action Planned: DMAS IT Access Control Policy was revised January 2023 to be compliant with the COV security standard. IM Security will revise security training to also reflect this change. Training and reminders will be provided to ensure the divisions and managers understand the importance of the system workflow and timely notification to initiate the process for disabling access. DMAS is in the process of updating the off-boarding system requirements to ensure system access is removed timely. Additional staff was requested to have system access removal rights to support the system access administration and resolve workload and staffing issues. Estimated Completion Date: 2/28/2023
View Audit 36377
Finding 35591 (2022-052)
Significant Deficiency 2022
Commonwealth of Virginia
VA
Questioned Costs Significant Deficiency Internal Control / Segregation of Duties § 200.303
Responsible Contact Person(s): Kevin Platea, Deputy Chief Information Officer Corrective Action Planned: This finding was marked as FOIA Exempt (FOIAE) and as a result, the State Comptroller has determined that the resulting corrective actions are FOIAE under ?2.2-3705.2 (9.) of the Code of Virginia...
Responsible Contact Person(s): Kevin Platea, Deputy Chief Information Officer Corrective Action Planned: This finding was marked as FOIA Exempt (FOIAE) and as a result, the State Comptroller has determined that the resulting corrective actions are FOIAE under ?2.2-3705.2 (9.) of the Code of Virginia. Federal awarding agencies and pass-through entities, please see the Appendix titled ?Applicable Management Contacts for Findings and Questioned Costs? to request the corrective action planned from the applicable entity. Estimated Completion Date: 12/31/2023
View Audit 36377
Finding 35590 (2022-030)
Significant Deficiency 2022
Commonwealth of Virginia
VA
Questioned Costs Subrecipient Monitoring Significant Deficiency § 200.303
Responsible Contact Person(s): Barry Davis, Chief Information Security Officer and Director of Information Security & Risk Management Dwayne Sneade, Assistant Director of Governance-ISRM Corrective Action Planned: This finding was marked as FOIA Exempt (FOIAE) and as a result, the State Comptroller ...
Responsible Contact Person(s): Barry Davis, Chief Information Security Officer and Director of Information Security & Risk Management Dwayne Sneade, Assistant Director of Governance-ISRM Corrective Action Planned: This finding was marked as FOIA Exempt (FOIAE) and as a result, the State Comptroller has determined that the resulting corrective actions are FOIAE under ?2.2-3705.2 (9.) of the Code of Virginia. Federal awarding agencies and pass-through entities, please see the Appendix titled ?Applicable Management Contacts for Findings and Questioned Costs? to request the corrective action planned from the applicable entity. Estimated Completion Date: 8/1/2023
View Audit 36377
Finding 35589 (2022-029)
Significant Deficiency 2022
Commonwealth of Virginia
VA
Questioned Costs Subrecipient Monitoring Significant Deficiency § 200.303
Responsible Contact Person(s): Kevin Platea, Deputy Chief Information Officer Corrective Action Planned: This finding was marked as FOIA Exempt (FOIAE) and as a result, the State Comptroller has determined that the resulting corrective actions are FOIAE under ?2.2-3705.2 (9.) of the Code of Virginia...
Responsible Contact Person(s): Kevin Platea, Deputy Chief Information Officer Corrective Action Planned: This finding was marked as FOIA Exempt (FOIAE) and as a result, the State Comptroller has determined that the resulting corrective actions are FOIAE under ?2.2-3705.2 (9.) of the Code of Virginia. Federal awarding agencies and pass-through entities, please see the Appendix titled ?Applicable Management Contacts for Findings and Questioned Costs? to request the corrective action planned from the applicable entity. Estimated Completion Date: 12/31/2024
View Audit 36377
Finding 35588 (2022-024)
Material Weakness 2022
Commonwealth of Virginia
VA
Questioned Costs Subrecipient Monitoring Material Weakness § 200.303
Responsible Contact Person(s): Steven Hanoka, Chief Information Security Officer John Kissel, Deputy Director of Innovation and Technology Corrective Action Planned: This finding was marked as FOIA Exempt (FOIAE) and as a result, the State Comptroller has determined that the resulting corrective act...
Responsible Contact Person(s): Steven Hanoka, Chief Information Security Officer John Kissel, Deputy Director of Innovation and Technology Corrective Action Planned: This finding was marked as FOIA Exempt (FOIAE) and as a result, the State Comptroller has determined that the resulting corrective actions are FOIAE under ?2.2-3705.2 (9.) of the Code of Virginia. Federal awarding agencies and pass-through entities, please see the Appendix titled ?Applicable Management Contacts for Findings and Questioned Costs? to request the corrective action planned from the applicable entity. Estimated Completion Date: 6/30/2023
View Audit 36377
Finding 35587 (2022-022)
Material Weakness 2022
Commonwealth of Virginia
VA
Questioned Costs Material Weakness Internal Control / Segregation of Duties § 200.303
Responsible Contact Person(s): Barry Davis, Chief Information Security Officer and Director of Information Security & Risk Management Kevin Platea, Deputy Chief Information Officer Corrective Action Planned: This finding was marked as FOIA Exempt (FOIAE) and as a result, the State Comptroller has de...
Responsible Contact Person(s): Barry Davis, Chief Information Security Officer and Director of Information Security & Risk Management Kevin Platea, Deputy Chief Information Officer Corrective Action Planned: This finding was marked as FOIA Exempt (FOIAE) and as a result, the State Comptroller has determined that the resulting corrective actions are FOIAE under ?2.2-3705.2 (9.) of the Code of Virginia. Federal awarding agencies and pass-through entities, please see the Appendix titled ?Applicable Management Contacts for Findings and Questioned Costs? to request the corrective action planned from the applicable entity. Estimated Completion Date: 8/1/2023
View Audit 36377
Finding 35586 (2022-018)
Significant Deficiency 2022
Commonwealth of Virginia
VA
Questioned Costs Eligibility Significant Deficiency
Responsible Contact Person(s): Sarah Hatton, Deputy Director of Administration Cindy Olson, Eligibility and Enrollment Division Director Corrective Action Planned: The final tally of the master out of state report listed 16,930 members. Of the 16,930 members, 11,719 members were closed (69%). The ...
Responsible Contact Person(s): Sarah Hatton, Deputy Director of Administration Cindy Olson, Eligibility and Enrollment Division Director Corrective Action Planned: The final tally of the master out of state report listed 16,930 members. Of the 16,930 members, 11,719 members were closed (69%). The remaining members were either already closed or validly open with an out of state address. The staff dedicated to this project have been reviewing the APA identified list of approximately 6,927 members with out of state addresses. The team has reviewed 98% of the cases, with only 1% requiring case action. When action to close a case is taken, standard notice requirements are followed. On February 6, 2023, the team also began reviewing the newest Out of State Data Match Report provided by the DMAS Office of Data Analytics. This new report includes approximately 7,261 individuals for review, with a targeted completion date of April 28, 2023. This report will continue to be generated quarterly to ensure that individuals no longer residing in Virginia are accurately closed out of their Virginia Medicaid coverage. Estimated Completion Date: 4/30/2023
View Audit 36377
Hainesport Township Board of Education
NJ
Questioned Costs Cash Management School Nutrition Programs
Purchase Needed Equipment
Purchase Needed Equipment
View Audit 34215
Finding 35581 (2022-001)
Material Weakness 2022
Cornerstones Inc, Cornerstones Housing Corporation & Rihc Partners, Lp
VA
Questioned Costs
Pending client
Pending client
View Audit 33333 Questioned Costs: $1
Finding 35573 (2022-002)
Significant Deficiency 2022
Stanley M. Isaacs Neighborhood Center, Inc.
NY
Questioned Costs
Factors contributing to the missing documentation include the difficult managing some processes and paperwork during the pandemic. Additionally, we moved the Stanley Isaacs employee files from the Isaacs Center to Goddard Riverside, and some of the files were sent to storage. As a solution, we are i...
Factors contributing to the missing documentation include the difficult managing some processes and paperwork during the pandemic. Additionally, we moved the Stanley Isaacs employee files from the Isaacs Center to Goddard Riverside, and some of the files were sent to storage. As a solution, we are in the process of scanning and storing electronically all employee personnel files. We are also conducting an internal audit to determine and correct any other deficiencies in Isaacs employee files.
View Audit 32000 Questioned Costs: $1
Finding 35572 (2022-001)
Significant Deficiency 2022
Stanley M. Isaacs Neighborhood Center, Inc.
NY
Questioned Costs
The delay in closing the audit was due to unprecedented difficulty in obtaining a confirmation statement for a 5% beneficial share of the perpetuity trust established by Eileen W. Bamberger that was contributed to Stanley Isaacs in 1989 which is held at Deutsche bank. This delay is attributed to the...
The delay in closing the audit was due to unprecedented difficulty in obtaining a confirmation statement for a 5% beneficial share of the perpetuity trust established by Eileen W. Bamberger that was contributed to Stanley Isaacs in 1989 which is held at Deutsche bank. This delay is attributed to the Bank's request to clarify on the trust as being Stanley Isaacs' as Meals-on-Wheels program, and the recent affiliation of Stanley Isaacs in contemplation of a merger with Goddard Riverside Community Center (Goddard). A law firm, acting pro bono, was retained to address the issues with Deutsche Bank as to the identity of the beneficiary as of June 30, 2022, and prospectively. The rest of the books and records were analyzed and provided to the audit prior to March 5, 2023.
View Audit 32000
Umass Memorial Health - Harrington, Inc.
MA
Questioned Costs Reporting
2022-001 Provider Relief Fund (?PRF?) Lost Revenue Reporting Cluster: Not applicable Grantor: Health Resources and Services Administration Award Name: COVID-19 - Provider Relief Fund and American Rescue Plan (ARP) Rural Distribution Award Year: PRF Period 3 Award Number: Not applicable Assista...
2022-001 Provider Relief Fund (?PRF?) Lost Revenue Reporting Cluster: Not applicable Grantor: Health Resources and Services Administration Award Name: COVID-19 - Provider Relief Fund and American Rescue Plan (ARP) Rural Distribution Award Year: PRF Period 3 Award Number: Not applicable Assistance Listing Number: 93.498 Based on guidance in Step 6 of the Steps on Reporting on Use of Funds section of the June 11, 2021 Provider Relief Fund (PRF) General and Targeted Distribution Post-Payment Notice of Reporting Requirements, Harrington?s quarterly revenues from January 1, 2019 to June 30, 2022 were reported for Period 2 on March 31, 2022 and Period 3 on September 30, 2022 to HHS via the PRF Reporting Portal. During the upload process to the Reporting Portal, the revenue amounts for two quarters were transposed when the data was entered. Management has reviewed the data reported via the Portal, the source documents, and the calculation of Lost Revenues and Unused Lost Revenues. Management has determined that the errors did not impact the funds received. Management has reached out to HHS regarding any further actions required. Any further submissions to the PRF Reporting Portal will undergo an appropriate detailed review of draft submissions and support by management prior to final submission. Primary responsibility of implementing the Corrective Action Plan for this finding rests with John Bronhard, CFO of UMass Memorial Health? Harrington, Inc., (508) 486-5804.
View Audit 25172
Finding 35550 (2022-004)
Significant Deficiency 2022
Family First Health Corporation
PA
Questioned Costs Reporting Significant Deficiency
Federal Agency: U.S. Department of Health and Human Services Federal Program Title: COVID-19 - Provider Relief Fund and American Rescue Plan (ARP) Rural Distribution Federal Assistance Listing Number: 93.498 Compliance Requirement: Reporting ...
Federal Agency: U.S. Department of Health and Human Services Federal Program Title: COVID-19 - Provider Relief Fund and American Rescue Plan (ARP) Rural Distribution Federal Assistance Listing Number: 93.498 Compliance Requirement: Reporting Views of Responsible Officials and Planned Corrective Actions: Procedures will be put in place to review accuracy of reporting prior to submission. Completion Date 2/1/23 Accounting Name of Contact Person: Jenny Englerth, President/CEO
View Audit 25106
Finding 35539 (2022-105)
Significant Deficiency 2022
Commonwealth of Virginia
VA
Questioned Costs Reporting Significant Deficiency § 200.303
Responsible Contact Person(s): Ida Witherspoon, Chief Financial Officer Corrective Action Planned: Prepare procedures that documents where the number of eligible individuals contained in the SSBG-Post expenditure are derived. Also include screen prints of the actual reports used to obtain the data ...
Responsible Contact Person(s): Ida Witherspoon, Chief Financial Officer Corrective Action Planned: Prepare procedures that documents where the number of eligible individuals contained in the SSBG-Post expenditure are derived. Also include screen prints of the actual reports used to obtain the data with the report as supporting documentation. Estimated Completion Date: 6/30/2023
View Audit 36377
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