Corrective Action Plans

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Finding 2023-002 Responsible Party Name: Tamara Wallace Position: Executive Director – Management Agent Telephone Number: 816-233-4250 Federal Agency U.S. Department of Agriculture Federal Program Rural Rental Housing Loans (Section 515) Compliance Requirements E - Eligibili...
Finding 2023-002 Responsible Party Name: Tamara Wallace Position: Executive Director – Management Agent Telephone Number: 816-233-4250 Federal Agency U.S. Department of Agriculture Federal Program Rural Rental Housing Loans (Section 515) Compliance Requirements E - Eligibility Finding Type Federal Awards Auditee’s Comments on Finding We agree with the auditors’ finding. Corrective Action(s) We will follow procedures to ensure tenant eligibility and will review the accuracy / completeness of the documentation being processed in the tenant files on a periodic basis. Anticipated Completion Date June 30, 2024
CORRECTIVE ACTION PLAN FOR THE YEAR ENDED DECEMBER 31, 2023 Title 2, U.S. Code of Federal Regulations Part 200, Uniform Administrative Requirements, Cost Principles, and Audit Requirements for Federal Awards (Uniform Guidance), Subpart F, Section 511 – Audit Findings Follow-up requires the auditee...
CORRECTIVE ACTION PLAN FOR THE YEAR ENDED DECEMBER 31, 2023 Title 2, U.S. Code of Federal Regulations Part 200, Uniform Administrative Requirements, Cost Principles, and Audit Requirements for Federal Awards (Uniform Guidance), Subpart F, Section 511 – Audit Findings Follow-up requires the auditee to prepare a corrective action plan to address each audit finding included in the current year auditor’s reports. The Corrective Action Plan for Current Year Findings present our corrective action plan for the Financial Statement and/or Federal Award Findings described in the accompanying Schedule of Findings and Questioned Costs for the period ended December 31, 2023. Finding 2023-001 Responsible Party Name: Tamara Wallace Position: Executive Director – Management Agent Telephone Number: 816-233-4250 Federal Agency U.S. Department of Agriculture Federal Program Rural Rental Housing Loans (Section 515) Compliance Requirements A/B – Activities Allowed or Unallowed and Allowable Costs/Costs Principles and N – Special Tests and Provisions Finding Type Financial Statement and Federal Awards Auditee’s Comments on Finding We agree with the auditors’ finding. Corrective Action(s) We will ensure that processes and procedures are established for compliance with the USDA guidelines and generally accepted accounting principles. Anticipated Completion Date June 30, 2024
Finding 538272 (2023-001)
Significant Deficiency 2023
CORRECTIVE ACTION PLAN FOR FINDINGS REPORTED UNDER UNIFORM GUIDANCE Town of Eatonville January 1, 2023 through December 31, 2023 This schedule presents the corrective action the Town is planning to take for findings included in this report in accordance with Title 2 U.S. Code of Federal Regulations...
CORRECTIVE ACTION PLAN FOR FINDINGS REPORTED UNDER UNIFORM GUIDANCE Town of Eatonville January 1, 2023 through December 31, 2023 This schedule presents the corrective action the Town is planning to take for findings included in this report in accordance with Title 2 U.S. Code of Federal Regulations (CFR) Part 200, Uniform Administrative Requirements, Cost Principles, and Audit Requirements for Federal Awards (Uniform Guidance). Finding ref number: 2023-001 Finding caption: The Town did not have adequate internal controls for ensuring compliance with federal procurement requirements. Name, address, and telephone of Town contact person: Miranda Doll 201 Center St. W Eatonville, WA 98328 (360) 832-3361 Corrective action the auditee plans to take in response to the finding: The Town commits to developing written procurement standards in Uniform Guidance (2 CFR 200.318-327) and implementing internal controls to ensure compliance with federal procurement requirements at the Town staff level rather than relying so heavily on consultants. Anticipated date to complete the corrective action: July 1, 2025
The Organization hired a new executive director during the last fiscal year and has recently procured a new accounting service that can provide the expertise and oversight needed to the executive director to help ensure the Organization can accomplish timely and accurate financial reporting
The Organization hired a new executive director during the last fiscal year and has recently procured a new accounting service that can provide the expertise and oversight needed to the executive director to help ensure the Organization can accomplish timely and accurate financial reporting
Views of Responsible Officials and Planned Corrective Actions: The Organization will establish policies and procedures for composing and reviewing financial and performance reports before submission to grantors, including electronic storage of all reports. Monique Johnson, Executive Director of All...
Views of Responsible Officials and Planned Corrective Actions: The Organization will establish policies and procedures for composing and reviewing financial and performance reports before submission to grantors, including electronic storage of all reports. Monique Johnson, Executive Director of Allen County Drug & Alcohol Consortium, is responsible for this corrective action. The anticipated completion date is May 31, 2025.
Views of Responsible Officials and Planned Corrective Actions: The Organization will prepare a current Scheduel of Expenditures of Federal Awards, listing awards by federal agency, total federal awards expended, name of pass-through entity, assistance listing number, and total amount provided to su...
Views of Responsible Officials and Planned Corrective Actions: The Organization will prepare a current Scheduel of Expenditures of Federal Awards, listing awards by federal agency, total federal awards expended, name of pass-through entity, assistance listing number, and total amount provided to subrecipients. Monique Johnson, Executive Director of Allen County Drug & Alcohol Consortium, is responsible for this corrective action. The anticipated completion date is April 15, 2025.
Management acknowledges the audit finding regarding the submission of the required data collection form and reporting package for the year ended June 30, 2023, within the required period.The PRCCDA initiated an immediate review of its reporting procedures to identify areas requiring attention and im...
Management acknowledges the audit finding regarding the submission of the required data collection form and reporting package for the year ended June 30, 2023, within the required period.The PRCCDA initiated an immediate review of its reporting procedures to identify areas requiring attention and implement corrective actions to address identified deficiencies. As part of these efforts, additional staff training and development is being provided to ensure personnel involved in the reporting process fully understand reporting guidelines, accurate data entry requirements, and the importance of meeting established deadlines. Furthermore, communication protocols are being enhanced to improve the dissemination of reporting requirements, timelines, and procedural updates to all relevant stakeholders. To strengthen oversight, the Deputy Executive Director has been designated to monitor compliance with federal award reporting requirements, ensuring adherence to established standards and timely submissions. The anticipated completion date is FY 2024.
The school is required to prepare financial statements in accordance with generally accepted accounting principles (GAAP). This is the responsibility of the School’s management. The preparation of the financial statements in accordance with GAAP requires internal controls over both maintaining inter...
The school is required to prepare financial statements in accordance with generally accepted accounting principles (GAAP). This is the responsibility of the School’s management. The preparation of the financial statements in accordance with GAAP requires internal controls over both maintaining internal books and records and reporting the external financial statements and the related footnotes. The current staffing of the School does not allow the School to have an internal control system in place designed to provide for the preparation of the financials and related footnotes being audited. The School requested that the external auditors draft the financial statements and accompanying notes as a result. Statement of Concurrence or Nonconcurrence: It is correct that due to the cost and other considerations, the School has requested that their auditors draft the financial statement and related footnotes. Corrective Action: The School has evaluated the cost vs. benefit of establishing internal controls over the preparation of financial statements in accordance with GAAP and determined that it is in the best interest of the School to outsource this task to its external auditors, and to carefully review the draft financial statements and notes prior to approving them and accepting responsibility for their content and preparation. The School will continue to evaluate the cost vs. benefit of having someone in management capable of preparation and/or of the financial statements in accordance with GAAP. Projected Completion Date: Due to funding issues, the school is unable at this time to correct this finding.
The Municipality should star the process of compiling and preparing the financial information to complete the Governmental-Wide and Governmental Funds Financial Statements and the schedule of Expenditures of Federal Awards with enough time to assure that such information available for the audit proc...
The Municipality should star the process of compiling and preparing the financial information to complete the Governmental-Wide and Governmental Funds Financial Statements and the schedule of Expenditures of Federal Awards with enough time to assure that such information available for the audit process, before March 31, and to provide it with enough time so the audit process can be completed before such due date
·         Corrective Action Plan: The City has completed submitted its single audit reporting package for fiscal year September 30, 2023 as required by Rule 2 CFR section 200.512 (a) of the Federal Compliance Supplement. The Finance Department understands the reporting requirement. The Finance Depar...
·         Corrective Action Plan: The City has completed submitted its single audit reporting package for fiscal year September 30, 2023 as required by Rule 2 CFR section 200.512 (a) of the Federal Compliance Supplement. The Finance Department understands the reporting requirement. The Finance Department will endeavor to close the City books in a timely manner to facilitate the completion of the annual financial statement audit to allow for the submission of the audit report as required by rule 2 CFR section 200.512 (a) of the Federal Compliance Supplement.
Management hired a new staff accountant and hired additional support to manage the accounting needs. The organization had a 20% increase in staff in 2024. In addition, the implementation of the accounting software was completed. Management has also hired a third-party accounting service to help moni...
Management hired a new staff accountant and hired additional support to manage the accounting needs. The organization had a 20% increase in staff in 2024. In addition, the implementation of the accounting software was completed. Management has also hired a third-party accounting service to help monitor financial reports and activities of Minnesota Humanities Center to ensure proper recording.
Management and the Board will regularly monitor financial reports and activities of MHC.
Management and the Board will regularly monitor financial reports and activities of MHC.
Management and the Board will regularly monitor financial reports and activities of MHC. In addition, management hired additional staff in 2024, creating a 20% increase in staffing for the organization.
Management and the Board will regularly monitor financial reports and activities of MHC. In addition, management hired additional staff in 2024, creating a 20% increase in staffing for the organization.
Finding 529876 (2023-003)
Significant Deficiency 2023
In conjunction with the overall implementation and enhancement of financial processes and procedures to enhance financial reporting, the month-end reporting process will ensure that the financial aid and financial accounting systems are reconciled. The monthly reconciliation process and a review pro...
In conjunction with the overall implementation and enhancement of financial processes and procedures to enhance financial reporting, the month-end reporting process will ensure that the financial aid and financial accounting systems are reconciled. The monthly reconciliation process and a review process by proper Manor personnel prior to submission of the FISAP will minimize the risk of errors in the FISAP report and will assist tracking of student financial aid for each respective student receiving financial aid.
Corrective Action Planned: The City of Dillon has engaged a Certified Public Accountant (CPA) to prepare the fiscal year ended June 30, 2024 audit that is expected to be completed in summer 2025. Name(s) of Contact Person(s) Responsible for Corrective Action: City Clerk, Kami Hoerning. City Treasur...
Corrective Action Planned: The City of Dillon has engaged a Certified Public Accountant (CPA) to prepare the fiscal year ended June 30, 2024 audit that is expected to be completed in summer 2025. Name(s) of Contact Person(s) Responsible for Corrective Action: City Clerk, Kami Hoerning. City Treasurer, Karen Kipp. City Mayor, John McGinley. Anticipated Completion Date: Summer 2025
The AAFS staf is currently under employed by 50%. We are currently working towards having our finance team fully staffed within the next 60 days. We are currently meeting and reviewing all grants on a weekly basis to ensure vouchers and other required documents are submitted by the required due date...
The AAFS staf is currently under employed by 50%. We are currently working towards having our finance team fully staffed within the next 60 days. We are currently meeting and reviewing all grants on a weekly basis to ensure vouchers and other required documents are submitted by the required due date. Estimates Completion Date 12/31/2025
AAFS has designated a finance team member to be responsible for completing all general accounting duties, including closing the fiscal year and have all audit documentation available when requested. We have committed to having our 12/31/2024 audit cioplete by 6/30/2025
AAFS has designated a finance team member to be responsible for completing all general accounting duties, including closing the fiscal year and have all audit documentation available when requested. We have committed to having our 12/31/2024 audit cioplete by 6/30/2025
Finding 2023-003 The reporting package and data collection form for the 2022 audit was not filed by the September 30, 2023 deadline. This is a repeat of Finding 2022-001 from the 2022 audit. Auditors’ Recommendation NCST should ensure that its records are completed and reconciled in a timely manner,...
Finding 2023-003 The reporting package and data collection form for the 2022 audit was not filed by the September 30, 2023 deadline. This is a repeat of Finding 2022-001 from the 2022 audit. Auditors’ Recommendation NCST should ensure that its records are completed and reconciled in a timely manner, so that the single audit can be performed and completed on time, and the reporting package and data collection form can be submitted before the deadline. Corrective Action Taken To prevent future delays, NCST has streamlined financial reporting and established a timeline for federal and grant audit compliance. A Finance Director with extensive nonprofit experience has been hired, and a third-party accounting firm has been contracted for ongoing oversight, improved audit preparedness, and enhanced reporting accuracy. All financial reports are now being prepared and submitted by the deadlines, with continuous support and oversight by the third-party accounting firm and our internal Finance Director. Audit reconciliation and financial compliance processes have been significantly strengthened to ensure future deadlines are met without delay. Responsible Individual Executive Director, Rey Chavis Anticipated Completion Date March 2025.
Note: Finding noted by other auditors as finding 2023-002. Condition and Context – As of June 30, 2023, the restricted cash for the housing program does not exceed the ending housing assistance payment (HAP) restricted net position. Recommendation – The other auditors recommended management hire a...
Note: Finding noted by other auditors as finding 2023-002. Condition and Context – As of June 30, 2023, the restricted cash for the housing program does not exceed the ending housing assistance payment (HAP) restricted net position. Recommendation – The other auditors recommended management hire and retain competent individuals to calculate the restricted net position, HAP reserves and properly manage spending of funds. Contact Name: Rolanda Cephas, Housing Director Corrective Action Planned: The Housing Authority has recruited a Finance Manager who has demonstrated that she has strong financial skills and has sufficient knowledge and understanding of the factors that determine the Housing Authority's restricted net positions. Anticipated Completion Date: June 30, 2025
Finding 529336 (2023-101)
Significant Deficiency 2023
Condition and Context: Pinal County’s single audit reporting package for the fiscal year ended June 30, 2023, was not submitted to the Federal Audit Clearinghouse by the required deadline of March 31, 2024. Recommendation: The auditors recommended that Pinal County devote the necessary resources t...
Condition and Context: Pinal County’s single audit reporting package for the fiscal year ended June 30, 2023, was not submitted to the Federal Audit Clearinghouse by the required deadline of March 31, 2024. Recommendation: The auditors recommended that Pinal County devote the necessary resources to the accounting function to meet its reporting obligations. Doing so will improve the timeliness of Pinal County’s submittal to the Federal Audit Clearinghouse. Contact Name: Randee Stinson, Deputy Director Budget and Finance Corrective Action Planned: Historically, the Office of Budget and Finance was trying to complete all reconciliations and corrections centrally. County departments were not expected to, and did not have the training and resources needed to complete their accounting work correctly or reconciliation timely. In the last two years, the focus has been on educating, training, and providing tools for departments to accurately record and reconcile the general ledger for grants. This has had the effect of more accurate reporting, even though it has taken longer to complete financial statements. Some of the tools and resources that have been implemented include: 1. Utilizing outside accounting services to enhance the accounting and reporting team. 2. Adding additional accountants to the accounting and reporting team. 3. Creating a grants policy that requires monthly reconciliation for all grants. 4. Creating a position of grants manager to monitor and standardize grant compliance. 5. Monthly meetings with departments specifically discussing grant compliance and reconciliation. 6. Departmental education and training. This includes adding additional resources to educate newly hired staff members that have limited experience with governmental accounting. 7. Creation of a year-end closing check list. 8. Creation of a timeline to identify when closing tasks need to be completed in order to report timely. 9. Communication between the central accounting team and department leadership occurs to educate, inform and follow-up on closing tasks with the purpose of holding those responsible for the completion of tasks accountable. 10. Job duties and classifications for central accounting positions were reviewed and updated to ensure the proper level of expertise is assigned to the work. 11. Constant communication with management to ensure improvement and support is optimal. The Office of Budget and Finance has implemented the above and will need to continue to collaborate with county departments until we can achieve timely reconciliations and year end closeout. Anticipated Completion Date: June 30, 2026
The Authority strives always to meet all regulatory deadlines. This particular deadline for the Single Audit was complicated by the unprecedented nature of the COVID-19 pandemic (which, for many organizations such as ours, triggered a Single Audit requirement for the first time, and overwhelmed the...
The Authority strives always to meet all regulatory deadlines. This particular deadline for the Single Audit was complicated by the unprecedented nature of the COVID-19 pandemic (which, for many organizations such as ours, triggered a Single Audit requirement for the first time, and overwhelmed the audit profession with a surge of new Single Audits to conduct that did not exist previously). In the Authority’s case, the situation was further complicated by the fact that we were changing external audit firms moving into the prior reporting period (Fiscal 2022). By the time the incumbent audit firm had issued its Single Audit report for Fiscal 2021, and the successor audit firm could therefore begin the Fiscal 2022 and Fiscal 2023 Single Audits, it was already beyond the reporting deadline of March 31, 2023 for Fiscal 2022. By the time the Single Audit was issued by the successor audit firm for Fiscal 2022, the March 31, 2024 reporting deadline for the Fiscal 2023 Single Audit (this reporting period) had also lapsed. We are hoping to be able to work successfully with the successor audit firm in order to file our Single Audit for Fiscal 2024 timely on or before March 31, 2025 and also have timely filings thereafter.
The City will update amounts and descriptions within the Department of Treasury’s reporting portal to ensure all amounts expended are properly reported and proper revenue loss amounts are recognized.
The City will update amounts and descriptions within the Department of Treasury’s reporting portal to ensure all amounts expended are properly reported and proper revenue loss amounts are recognized.
Finding 529207 (2023-005)
Significant Deficiency 2023
RP has developed a Subrecipient Monitoring Checklist and will consistently complete it for each subrecipient organization. The checklist will document required oversight activities including financial and programmatic reviews and compliance verification. RP will require all subrecipient monitoring r...
RP has developed a Subrecipient Monitoring Checklist and will consistently complete it for each subrecipient organization. The checklist will document required oversight activities including financial and programmatic reviews and compliance verification. RP will require all subrecipient monitoring reports to be signed and reviewed by designated personnel to ensure accountability. Documentation will be saved in a centralized location to maintain complete and organized records of all subrecipient oversight activities. RP will develop a formalized communication process to ensure all subrecipients receive and acknowledge reporting timelines in accordance with federal grant requirements. Reminders and follow-ups will be scheduled to ensure timely submission and review of required reports.
Beginning with the March 2024 reporting period, the City implemented a formal control framework designed to segregate the duties associated with the preparation, review, and submission of ARPA Project and Expenditure reports, in alignment with SEFA (Schedule of Expenditures of Federal Awards) report...
Beginning with the March 2024 reporting period, the City implemented a formal control framework designed to segregate the duties associated with the preparation, review, and submission of ARPA Project and Expenditure reports, in alignment with SEFA (Schedule of Expenditures of Federal Awards) reporting requirements. This enhanced control structure ensures that no single individual is responsible for all stages of the reporting process, thereby strengthening the City's internal control over federal awards. Furthermore, the City has adopted a strict reporting schedule to guarantee the timely submission of all ARPA-related reports. Responsible Person: Finance Manager Expected Implementation Date: April 2024
To prevent the recurrence of financial statement inaccuracies that occurred in FY23, ROE#21 has implemented the following actions to be carried out during the preparation of FY24 financial statements: - Implementing new financial statement reconciliation procedures - Hiring local accounting consult...
To prevent the recurrence of financial statement inaccuracies that occurred in FY23, ROE#21 has implemented the following actions to be carried out during the preparation of FY24 financial statements: - Implementing new financial statement reconciliation procedures - Hiring local accounting consulting services with expertise in Illinois Regional Office of Education financial and operational guidelines - Expanding ROE#21 Professional Development opportunities through collaboration with professional governmental accounting trainers to provide continuing education to internal and regional bookkeepers.
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