Corrective Action Plans

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CONDITION: During the calendar year 2024, the City did not record the necessary adjustments to the various ‘Fund’ general ledgers of the City to properly reconcile the balance sheet accounts, such as cash, receivables, payables, and payroll-related liabilities to the underlying supporting documentat...
CONDITION: During the calendar year 2024, the City did not record the necessary adjustments to the various ‘Fund’ general ledgers of the City to properly reconcile the balance sheet accounts, such as cash, receivables, payables, and payroll-related liabilities to the underlying supporting documentation available at the City (which includes reconciliations of cash prepared independently by City personnel but do not agree to amounts reported in the various general ledgers). This included ‘Funds” containing significant federal funding such as the City’s Community Development Block Grant (CDBG) Program and American Rescue Plan Act (ARPA) funding known as the Coronavirus State and Local Fiscal Recovery Fund.CONDITION (Continued): As a result, the financial position and results of operations as shown throughout the calendar year were inaccurately stated. However, it should be noted that the Community Development Department of the City and other City personnel maintain separate financial reporting for these federal funds, independent of the aforementioned ‘Fund’ general ledgers sufficient to ascertain the revenues and expenditures of the federal programs. This is a repeat finding (2023-001) for the prior year. CRITERIA: Prudent internal control procedures in the areas of general ledger management and financial reporting include the reconciliation of all general ledger account balances to underlying supporting documentation monthly with independent oversight and approval as part of the process. In specific as it relates to federal programs, Section 2 CFR 200.403(g) of the Uniform Guidance requires that federal costs must be adequately documented which would include the applicable general ledgers of the City. MANAGEMENT’S CORRECTIVE ACTION PLAN: Management of the City is continuing their review of the recommended options as presented by the Audit Firm’s recommendation for feasibility considering current manpower, expertise, and budgetary constraints. In addition, the City plans to ensure that written procedures for all accounting functions are implemented, reviewed and updated as necessary with the objective of ensuring that all balance sheet account balances are supported by the underlying documentation available at the City. The timeframe for completion of this review will occur during the first nine months of calendar year 2026 with the intention of having the City be in full compliance with Section 2 CFR 200.403(g) of the Uniform Guidance which requires federal costs to be adequately documented which would include the applicable general ledgers of the City.
Finding Number: 2024‐001 Program Names/Assistance Listing Titles: Assistance Listing Numbers: Community Project Funding Congressionally Directed Spending 20.534 Federal Transit Cluster 20.507, 20.526 Contact Person: Megan Coons, Finance Director Anticipated Completion Date: March 31, 2026 Planned Co...
Finding Number: 2024‐001 Program Names/Assistance Listing Titles: Assistance Listing Numbers: Community Project Funding Congressionally Directed Spending 20.534 Federal Transit Cluster 20.507, 20.526 Contact Person: Megan Coons, Finance Director Anticipated Completion Date: March 31, 2026 Planned Corrective Action: The Authority will develop formal written procedures and standardized templates to support real‐time monitoring and reconciliation of accounting transactions and account balances. All finance staff will also attend formal training sessions sponsored by the Authority's accounting system vendor to ensure that all transactions are properly recorded in the system in accordance with GAAP. Lastly, the Authority will develop an audit timeline and checklist of year‐end procedures to ensure timely single audit completion.
#2024-003: Grant Program: Department of Health and Human Services – National Institutes for Health Research and Development Cluster – Cancer Control – Assistance Listing #93.599 – Untimely Filed Data Collection Form Corrective Action Plan: We agree with the recommendation. MCC has developed a Single...
#2024-003: Grant Program: Department of Health and Human Services – National Institutes for Health Research and Development Cluster – Cancer Control – Assistance Listing #93.599 – Untimely Filed Data Collection Form Corrective Action Plan: We agree with the recommendation. MCC has developed a Single Audit Policy to address this finding. Responsibilities of the MCC Director as outlined in the Single Audit Policy include the following: • Contract with an independent CPA firm to obtain the audit by the close of the MCC fiscal year. • Work with the bookkeeper to prepare the Schedule of Expenditures of Federal Awards. • Work with the CPA firm to ensure a timely submission of the audit. • Develop and maintain strong internal controls • Address any prior audit findings with a corrective action plan Timeline: This was implemented on December 1, 2025. Responsible Parties: MCC Director
Clearinghouse (Significant Deficiency and Noncompliance)-(Repeat Finding) Condition: The Authority failed to timely submit the collection form or audit reporting package to the Federal Audit Clearinghouse for the period ending September 30, 2024. Views of Responsible Officials and Planned Corrective...
Clearinghouse (Significant Deficiency and Noncompliance)-(Repeat Finding) Condition: The Authority failed to timely submit the collection form or audit reporting package to the Federal Audit Clearinghouse for the period ending September 30, 2024. Views of Responsible Officials and Planned Corrective Actions: In 2024, the Authority continued to face challenges with staffing shortages and turnover in key financial positions. These challenges resulted in delays in performing and completing accounting functions and issuing financial statements in a timely manner. However, the Finance Department now has both a Controller and Accounting Supervisor and these positions should provide talent and experience to ensure accounting functions and processes are performed and completed in a timely matter. Moreover, processes are now in place to ensure accounting procedures are performed timely and those processes require signoff for reviews by top Accounting and Finance officials. Our personnel and process enhancements will enable the Authority to submit the reporting package to the Federal Audit Clearinghouse by the prescribed due date. Contact Person Responsible for Corrective Action: Glenn Dickerson, CPA — Chief Financial Officer Anticipated Completion Date: October 2025
Name of auditee: Columbia Opportunities, Inc. TIN: 14-1627038 Name of audit firm: EFPR Group, CPAs, PLLC Period covered by audit: November 1, 2023 - October 31, 2024 CAP prepared by: Tina Sharpe tsharpe@columbiaopportunities.org Finding 2024-004 Corrective Action Plan The Organization acknowledges a...
Name of auditee: Columbia Opportunities, Inc. TIN: 14-1627038 Name of audit firm: EFPR Group, CPAs, PLLC Period covered by audit: November 1, 2023 - October 31, 2024 CAP prepared by: Tina Sharpe tsharpe@columbiaopportunities.org Finding 2024-004 Corrective Action Plan The Organization acknowledges and is aware of this finding. Management and fiscal departments are responsible for timely reporting. Management will follow its comprehensive policies and procedures and complete reporting submissions on time for future periods.
Name of auditee: Columbia Opportunities, Inc. TIN: 14-1627038 Name of audit firm: EFPR Group, CPAs, PLLC Period covered by audit: November 1, 2023 - October 31, 2024 CAP prepared by: Tina Sharpe tsharpe@columbiaopportunities.org Finding 2024-003 Corrective Action Plan The Organization acknowledges a...
Name of auditee: Columbia Opportunities, Inc. TIN: 14-1627038 Name of audit firm: EFPR Group, CPAs, PLLC Period covered by audit: November 1, 2023 - October 31, 2024 CAP prepared by: Tina Sharpe tsharpe@columbiaopportunities.org Finding 2024-003 Corrective Action Plan The Organization acknowledges and is aware of this finding. Management and fiscal departments are responsible for timely reporting. Management will follow its comprehensive policies and procedures and complete reporting submissions on time for future periods.
Name of auditee: Columbia Opportunities, Inc. TIN: 14-1627038 Name of audit firm: EFPR Group, CPAs, PLLC Period covered by audit: November 1, 2023 - October 31, 2024 CAP prepared by: Tina Sharpe tsharpe@columbiaopportunities.org Finding 2024-002 Corrective Action Plan The Organization acknowledges a...
Name of auditee: Columbia Opportunities, Inc. TIN: 14-1627038 Name of audit firm: EFPR Group, CPAs, PLLC Period covered by audit: November 1, 2023 - October 31, 2024 CAP prepared by: Tina Sharpe tsharpe@columbiaopportunities.org Finding 2024-002 Corrective Action Plan The Organization acknowledges and is aware of this finding. Management and fiscal departments are responsible for timely reporting. Management will follow its comprehensive policies and procedures and complete reporting submissions on time for future periods.
2024-001 Highway Planning and Construction; Coronavirus State and Local Fiscal Recovery Funds; Local Assistance and Tribal Consistency Fund. We recommend that the County Departments provide the County Auditor with accurate federal expenditure information prior to the beginning of audit fieldwork. Ma...
2024-001 Highway Planning and Construction; Coronavirus State and Local Fiscal Recovery Funds; Local Assistance and Tribal Consistency Fund. We recommend that the County Departments provide the County Auditor with accurate federal expenditure information prior to the beginning of audit fieldwork. Management's Response: The County concurs with the finding. Responsible Individual: Luis Mercado, Auditor. Corrective Action Plan: The Auditor's Office will work with County departments to ensure federal expenditure information is accurate. Anticipated Completion Date: Fiscal Year 2024-2025.
Person Responsible: Josie Ayon Estimated Completion Date: 3/31/2026 Planned Corrective Action: The organization converted from the Cash Basis of Accounting to the Accrual Basis of Accounting (GAAP) in fiscal year 2023. Additionally, the organization converted to a new accounting system and hired out...
Person Responsible: Josie Ayon Estimated Completion Date: 3/31/2026 Planned Corrective Action: The organization converted from the Cash Basis of Accounting to the Accrual Basis of Accounting (GAAP) in fiscal year 2023. Additionally, the organization converted to a new accounting system and hired outside consultants to assist with data entry and financial reporting. The audit for June 30, 2025 is planned to start in December 2025, which will provide adequate time to comply with this requirement.
Condition: The CDBG Cluster and Federal Transit Cluster expenditures on the schedule of expenditures of federal awards (SEFA) initially presented for audit were not complete and accurate. Planned Corrective Action: Due to turn-over and the loss of a long-term employee new processes were implemented ...
Condition: The CDBG Cluster and Federal Transit Cluster expenditures on the schedule of expenditures of federal awards (SEFA) initially presented for audit were not complete and accurate. Planned Corrective Action: Due to turn-over and the loss of a long-term employee new processes were implemented to prepare reporting and documentation processes for the Federal Transit Cluster. Written Standard Operating Procedures have been generated and will be updated as necessary. Reporting and draw processes have been updated to include written signatures of approval for the documentation. The staff in transit and finance work closely together to ensure the completeness of records. City of Greeley will also be organizing a formalized grants team that will be dedicated to all grant activities including the SEFA and correcting the prior staffing insufficiencies. Contact person responsible for corrective action: Rebecca Romero, Grant Accountant Anticipated Completion Date: 03/01/2026
Finding Reference: 2024-004 Views of Responsible Officials and Planned Corrective Actions The Agency agrees with this finding and recommendation as presented. In some contexts, the Agency experienced significant turnover in the Finance department during the third quarter, and a new Finance Director ...
Finding Reference: 2024-004 Views of Responsible Officials and Planned Corrective Actions The Agency agrees with this finding and recommendation as presented. In some contexts, the Agency experienced significant turnover in the Finance department during the third quarter, and a new Finance Director was hired during the fourth quarter of fiscal year 2024. The turnover in fiscal staff hindered the accounting processes and oversight that included journal entry review and postings and account reconciliations promptly. As a corrective measure to ensure adhering to a closing schedule and maintaining timely account reconciliations, the Agency reevaluated the fiscal department’s needs and hired new staff, including a finance director, accounts payable, part-time fiscal support specialist, and contracted with a CPA to assist with the following scope of work:  Review all trial fund balance processes.  Prepare a closing schedule that includes reporting and data processing deadlines.  Reconcile all balance sheet accounts in the general ledger chart of accounts.  Timely prepare and file all financial reports required by each award.  Work with the independent auditor to implement an interim audit fieldwork schedule to reduce required work subsequent to fiscal year-end. Name of the contact person responsible for corrective action: Michael Young, President, (301) 274-4474. Planned completion date for corrective action plan: December 31, 2025
Finding Reference: 2024-002 Views of Responsible Officials and Planned Corrective Actions The Agency agrees with this finding and recommendation as presented. Management has implemented procedures to enhance fiscal efforts in reconciling its grants receivable accounts before preparing the SEFA. The ...
Finding Reference: 2024-002 Views of Responsible Officials and Planned Corrective Actions The Agency agrees with this finding and recommendation as presented. Management has implemented procedures to enhance fiscal efforts in reconciling its grants receivable accounts before preparing the SEFA. The agency reevaluated the fiscal department’s needs and hired new staff, including a finance director, account payables, and part-time fiscal support specialist, and contracted with a CPA to assist with the following scope of work:  Close out accounts receivable and payable.  Account for any grants received during the fiscal year.  Monitor budget-to-actual program expenditures throughout the grant year.  Reconcile grants receivable balances to the general ledger. Name of the contact person responsible for corrective action: Michael Young, President, (301) 274-4474. Corrective action completed as of : December 31, 2024.
Statement of Condition #2024-001: The Form SF-SAC Single Audit Data Collection Form for the year ended March 31, 2024 was not submitted to the federal audit clearinghouse in the required timeframe. Recommendation: The Corporation should submit the Form SF-SAC Single Audit Data Collection Form for th...
Statement of Condition #2024-001: The Form SF-SAC Single Audit Data Collection Form for the year ended March 31, 2024 was not submitted to the federal audit clearinghouse in the required timeframe. Recommendation: The Corporation should submit the Form SF-SAC Single Audit Data Collection Form for the year ended March 31, 2024 as soon as practical. Action(s) taken or planned on the finding: Agreed. The Agent concurs with the finding and recommendation.
Implement an internal reporting calendar for all SLFRF reporting deadlines, including automated reminders for preparers and approvers. Establish a formal internal control process for P&E Report preparation. Train all relevant staff on SLFRF reporting guidance. Correct prior inaccurate filings by sub...
Implement an internal reporting calendar for all SLFRF reporting deadlines, including automated reminders for preparers and approvers. Establish a formal internal control process for P&E Report preparation. Train all relevant staff on SLFRF reporting guidance. Correct prior inaccurate filings by submitting amended P&E Reports for fiscal year 2024 and fiscal year 2025 to ensure proper classification of expenditures. Conduct quarterly internal reviews of SLFRF expenditures to ensure correct categorization and timely reporting, with findings documented.
The Village will add additional procedures or controls to ensure all components of reporting federal expenditures are accurately reported.
The Village will add additional procedures or controls to ensure all components of reporting federal expenditures are accurately reported.
Planned Corrective Action: Management understands the due date for single audit reporting package submission to the Federal Audit Clearinghouse and will file the single audit reporting package as soon as possible.
Planned Corrective Action: Management understands the due date for single audit reporting package submission to the Federal Audit Clearinghouse and will file the single audit reporting package as soon as possible.
We concur with the audit findings, and management has taken steps to improve internal controls over financial reporting and compliance by ensuring that FFR reporting is completed accurately and on time. These changes include updates of internal financial processes, including the implementation of mo...
We concur with the audit findings, and management has taken steps to improve internal controls over financial reporting and compliance by ensuring that FFR reporting is completed accurately and on time. These changes include updates of internal financial processes, including the implementation of month-end close reporting schedules, the monthly preparation and review of the award status, and the hiring of key financial staff.
Auditee Response and Corrective Action Plan: Management concurs with the finding. The Organization will update its year-end and audit procedures to designate a responsible party for monitoring and completing the FAC submission process. The Organization will also include the due date as part of its a...
Auditee Response and Corrective Action Plan: Management concurs with the finding. The Organization will update its year-end and audit procedures to designate a responsible party for monitoring and completing the FAC submission process. The Organization will also include the due date as part of its audit closing checklist to ensure future submissions are made timely.
Auditee Response and Corrective Action Plan: Management concurs with the finding. The Organization should design and implement a comprehensive review process for all significant general ledger accounts to ensure that they are reconciled to underlying supporting documentation in a continuous and time...
Auditee Response and Corrective Action Plan: Management concurs with the finding. The Organization should design and implement a comprehensive review process for all significant general ledger accounts to ensure that they are reconciled to underlying supporting documentation in a continuous and timely manner throughout the fiscal year.
In 2024 we received funding from 22 different counties for foster care. These counties are required to provide documentation of the federal funds that were paid out to each agency. We received letters from 4 counties. We rely on these county agencies to provide us with accurate data. In many instanc...
In 2024 we received funding from 22 different counties for foster care. These counties are required to provide documentation of the federal funds that were paid out to each agency. We received letters from 4 counties. We rely on these county agencies to provide us with accurate data. In many instances we receive conflicting information from both counties and other funding agencies. It is our opinion that it is not in our best financial interest to question the agencies that provide us with both income and this data. We will make more inquiries to seek to obtain the correct data from our funding sources in the future. We will work diligently to provide a more accurate and complete SEFA report by the end of 2025 audit period including a secondary review process. Every effort is made to obtain California state issued letters presenting annual federal to state ratios of Foster Care.
Finding Number: 2024-001 Planned Corrective Action: City of Norton will comply with all federal grant compliance requirements – including reporting requirements and deadlines. Anticipated Completion Date: June 2025 Responsible Contact Person: Pamela Keener, Finance Director
Finding Number: 2024-001 Planned Corrective Action: City of Norton will comply with all federal grant compliance requirements – including reporting requirements and deadlines. Anticipated Completion Date: June 2025 Responsible Contact Person: Pamela Keener, Finance Director
Finding: Material weakness in internal control over Schedule of Expenditures of Federal Awards (SEFA) reporting Corrective action: Pacific Forum will ensure all new grants, including pass-through awards, are properly reviewed to ensure they are included in the SEFA, if necessary. The requirement to ...
Finding: Material weakness in internal control over Schedule of Expenditures of Federal Awards (SEFA) reporting Corrective action: Pacific Forum will ensure all new grants, including pass-through awards, are properly reviewed to ensure they are included in the SEFA, if necessary. The requirement to reconcile federal grant expenditures with federal financial reporting and cash draws will be incorporated into PFI financial reporting and cash management policy guidelines. Completion Date: February 1, 2026 Responsible Individual: Executive Director
Finding: Significant deficiency in internal control for late submission of data control form and Single Audit report package. Corrective action: Pacific Forum has authorized its outsourced accounting service to take on a larger role in fulfilling auditor requests to ensure the information submitted ...
Finding: Significant deficiency in internal control for late submission of data control form and Single Audit report package. Corrective action: Pacific Forum has authorized its outsourced accounting service to take on a larger role in fulfilling auditor requests to ensure the information submitted is accurate and complete. PFI has also consolidated financial management policies and other required documentation in a secure cloud network. PFI has also adopted more features available through Bill.com, which has enhanced documentation of expenditures and management reviews. Procedures for filing documents and utilizing financial management procedures available through Bill.com will be integrated into PFI financial management policy guidelines. Completion Date: February 1, 2026 Responsible Individual: Executive Director
Management will complete the audit filing with the federal audit clearinghouse by the deadline going forward.
Management will complete the audit filing with the federal audit clearinghouse by the deadline going forward.
VIEWS OF RESPONSIBLE OFFICIALS As part of the Corrective Action Plan to address the identified findings, the following measures will be implemented: • We are currently in the process of drafting the corresponding administrative order, for which a preliminary draft has already been prepared. This doc...
VIEWS OF RESPONSIBLE OFFICIALS As part of the Corrective Action Plan to address the identified findings, the following measures will be implemented: • We are currently in the process of drafting the corresponding administrative order, for which a preliminary draft has already been prepared. This document aims to clearly and systematically establish the necessary processes and procedures, including those related to the identified deficiencies, to ensure the implementation of enhanced controls that guarantee regulatory compliance and operational efficiency. • A fiscal section within the Office of Federal Affairs will be established to manage the fiscal process of federal funds. This structure will ensure that all transactions, corrections, and journal entries are recorded in a timely and accurate manner in the federal accounting accounts. IMPLEMENTATION DATE Fiscal Year 2025-2026 RESPONSIBLE PERSON Maritza Torres López
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