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Corrective Action Plans

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Sistema Universitario Ana G. Mendez, Incorporado
PR
Student Financial Aid Reporting Matching / Level of Effort / Earmarking
During November 2023, the Enrollment Reporting Manual was revised. This guide states that the assistant registrar will draw a sample from the of the population to review the data submitted to NSLDS. A retraining session will be coordinated for the assistant registrar, to review the NSLDS certific...
During November 2023, the Enrollment Reporting Manual was revised. This guide states that the assistant registrar will draw a sample from the of the population to review the data submitted to NSLDS. A retraining session will be coordinated for the assistant registrar, to review the NSLDS certification process. This activity will be aligned to the recent updates of the electronic platform.
View Audit 305124
Sistema Universitario Ana G. Mendez, Incorporado
PR
Reporting
The reconciliation process and procedure of returned funds was reviewed by the accounting, bursar, and financial aid areas. The returned check process was reviewed and updated accordingly.
The reconciliation process and procedure of returned funds was reviewed by the accounting, bursar, and financial aid areas. The returned check process was reviewed and updated accordingly.
View Audit 305124
Finding 395309 (2023-004)
Significant Deficiency 2023
School District of Thorp
WI
Internal Control / Segregation of Duties Reporting School Nutrition Programs
The Bookkeeper will look at and sign off on all final food service claims before being submitted.
The Bookkeeper will look at and sign off on all final food service claims before being submitted.
View Audit 305106
Finding 395305 (2023-068)
Significant Deficiency 2023
State of Rhode Island
RI
Reporting
Finding 2023-068 – Corrective Action Plan 2023-068a – The sheer volume of projects, reimbursements and drawdowns has led to timing issues for FEMA 4505 DRRIP0000000 reporting which in turn led to variances between the federal and state accounting systems. The drawdowns and reimbursements are slowi...
Finding 2023-068 – Corrective Action Plan 2023-068a – The sheer volume of projects, reimbursements and drawdowns has led to timing issues for FEMA 4505 DRRIP0000000 reporting which in turn led to variances between the federal and state accounting systems. The drawdowns and reimbursements are slowing as the grant comes closer to the end of the period of performance and the agency is confident that these discrepancies will be limited moving forward. Quarterly federal reporting is supported by the drawdowns as noted in the federal grant system. Drawdowns that have not been received and journaled in the state system in the same reporting period would show as a variance. The agency will attempt to request drawdowns with enough time for them to be accounted for in the state system to limit these variances. 2023-068b – A revised SF-425 for the period in question has been submitted. Anticipated Completion Date: Completed Contact Person: Brian Riggs, Chief Financial Officer, Rhode Island Emergency Management Agency brian.j.riggs@ema.ri.gov
View Audit 305097
Finding 395289 (2023-064)
Material Weakness 2023
State of Rhode Island
RI
Questioned Costs Eligibility Cash Management
Finding 2023-064 – Corrective Action Plan 2023-064a – Death reporting: Permanent system fix will deploy 28 June 2024; enhancement will trigger a 1A code from RI Bridges to send date of death to MMIS when date of death is added on a case with closed eligibility. This fix should remedy audit finding...
Finding 2023-064 – Corrective Action Plan 2023-064a – Death reporting: Permanent system fix will deploy 28 June 2024; enhancement will trigger a 1A code from RI Bridges to send date of death to MMIS when date of death is added on a case with closed eligibility. This fix should remedy audit finding plus financial impact in the MMIS when members are not closed properly. Anticipated Completion Date: June 28, 2024 2023-064b – Death reporting addressed in response to 2023-064a. Residency/Out of State: State resumed PARIS residency verifications and is pursuing secondary residency checks with Accruint/Lexis Nexis data and automation of manual NCOA database verification process. Additionally, State will benefit from future use of The Work Number Employee Address data to verify residency. Anticipated Completion Date: August 1, 2024 Contact Person: Brian Tichenor, RIBridges Medicaid Administrator, Executive Office of Health & Human Services brian.tichenor@ohhs.ri.gov 2023-064c – EOHHS will identify and return any potential ineligible costs by end of the current Federal Fiscal Year (FFY). Anticipated Completion Date: September 30, 2024 Contact Person: Allison Shartrand, Assistant Director, Financial & Contract Management, Executive Office of Health & Human Services allison.shartrand@ohhs.ri.gov
View Audit 305097 Questioned Costs: $1
Finding 395270 (2023-063)
Significant Deficiency 2023
State of Rhode Island
RI
Allowable Costs / Cost Principles Subrecipient Monitoring Eligibility
Finding 2023-063 – Corrective Action Plan Each health plan reports TPL recoveries to EOHHS in its quarterly financial report (FDCR). These recoveries are used as a direct offset to medical expenses. As such, claims paid by the plans on behalf of a member with TPL will remain in the EOHHS encounte...
Finding 2023-063 – Corrective Action Plan Each health plan reports TPL recoveries to EOHHS in its quarterly financial report (FDCR). These recoveries are used as a direct offset to medical expenses. As such, claims paid by the plans on behalf of a member with TPL will remain in the EOHHS encounter data warehouse. Health plans do not void claims that have previously been paid to account for any TPL liability. Rather, they seek to recover from the third party any amount owed and report that amount to the state. In each of the last two fiscal years, this reduced medical expenditures by just under $8 million. EOHHS sent the MCOs a full TPL file in July 2023. EOHHS will start the process for a new file in June 2024. Anticipated Completion Date: Ongoing Contact Person: Jeffrey Schmeltz, Chief of Family Health Systems, Executive Office of Health & Human Services jeffery.schmelts@ohhs.ri.gov
View Audit 305097
Finding 395269 (2023-062)
Significant Deficiency 2023
State of Rhode Island
RI
Reporting
Finding 2023-062 – Corrective Action Plan 2023-062a – This finding was mitigated with permanent fix to the TPL loopback process between MMIS and RI Bridges to improve TPL accuracy on a large volume of cases. EOHHS continues to monitor. Anticipated Completion Date: Monitoring Contact Person: Bria...
Finding 2023-062 – Corrective Action Plan 2023-062a – This finding was mitigated with permanent fix to the TPL loopback process between MMIS and RI Bridges to improve TPL accuracy on a large volume of cases. EOHHS continues to monitor. Anticipated Completion Date: Monitoring Contact Person: Brian Tichenor, RIBridges Medicaid Administrator, Executive Office of Health & Human Services brian.tichenor@ohhs.ri.gov 2023-062b – EOHHS conducted a training in December 2023 with all agencies about admin reporting and required documentation, and as a result has received more backup from agencies. EOHHS will continue to improve the process in the coming quarters, including through implementation of a reconciliation process completed by all HHS agencies and ongoing trainings with HHS finance staff. Anticipated Completion Date: In Process 2023-062c – EOHHS started reporting the MCO Tax on 64.11A in December 2023. Anticipated Completion Date: Completed Contact Person: Allison Shartrand, Assistant Director, Financial & Contract Management, Executive Office of Health & Human Services allison.shartrand@ohhs.ri.gov
View Audit 305097
Finding 395268 (2023-061)
Material Weakness 2023
State of Rhode Island
RI
Allowable Costs / Cost Principles Cash Management Eligibility
Finding 2023-061 – Corrective Action Plan EOHHS has met expectations on aligning the FSR and FDCR reports, has updated files to Milliman, and continues to monitor compliance. EOHHS is currently in a maintenance phase and will continue monthly oversight going forward. Anticipated Completion Date: ...
Finding 2023-061 – Corrective Action Plan EOHHS has met expectations on aligning the FSR and FDCR reports, has updated files to Milliman, and continues to monitor compliance. EOHHS is currently in a maintenance phase and will continue monthly oversight going forward. Anticipated Completion Date: Current and Ongoing Contact Person: Bill McQuade, Chief of Program Analytics, Executive Office of Health & Human Services bill.mcquade@ohhs.ri.gov
View Audit 305097
Finding 395264 (2023-057)
Material Weakness 2023
State of Rhode Island
RI
Questioned Costs Eligibility Cash Management
Finding 2023-057 – Corrective Action Plan 2023-057a – Residency/Out of State: Rhode Island resumed PARIS residency verifications and is pursuing secondary residency checks with Accruint/Lexis Nexis data and automation of manual NCOA database verification process. Additionally, the State will benef...
Finding 2023-057 – Corrective Action Plan 2023-057a – Residency/Out of State: Rhode Island resumed PARIS residency verifications and is pursuing secondary residency checks with Accruint/Lexis Nexis data and automation of manual NCOA database verification process. Additionally, the State will benefit from future use of The Work Number Employee Address data to verify residency. Income/Wage Validation: EOHHS completed implementation of an interface on 23 March 2024 between The Work Number (TWN) and RI Bridges. Contract and budget actions for TWN services are in progress with a goal of initiating TWN wage verifications in July-August 2024. Anticipated Completion Date: September 1, 2024 2023-057b – EOHHS will return any potential ineligible costs by end of the Federal Fiscal Year (FFY). Anticipated Completion Date: September 30, 2024 Contact Person: Brian Tichenor, RIBridges Medicaid Administrator, Executive Office of Health & Human Services brian.tichenor@ohhs.ri.gov
View Audit 305097 Questioned Costs: $1
Finding 395246 (2023-053)
Significant Deficiency 2023
State of Rhode Island
RI
Reporting Significant Deficiency
Finding 2023-053 – Corrective Action Plan Management agrees with the finding. Reports are reviewed and certified by supervisors; however, the process will be enhanced to include a lookback for additional entries from prior quarters. Additionally, a procedure was created to ensure documentation wa...
Finding 2023-053 – Corrective Action Plan Management agrees with the finding. Reports are reviewed and certified by supervisors; however, the process will be enhanced to include a lookback for additional entries from prior quarters. Additionally, a procedure was created to ensure documentation was saved for all reports Anticipated Completion Date: June 30, 2024 Contact Person: Ben Quattrucci, Associate Director, Financial & Contract Management, Department of Human Services benjamin.a.quattrucci@dhs.ri.gov
View Audit 305097
Finding 395237 (2023-049)
Significant Deficiency 2023
State of Rhode Island
RI
Subrecipient Monitoring Reporting Significant Deficiency
Finding 2023-049 – Corrective Action Plan RIDOH agrees with the finding and recommendation. The unreported subawards of ELC funds were Memoranda of Understanding (MOU) agreements with Local Education Agencies and other schools in Rhode Island for the ELC COVID Reopening Schools award and were not ...
Finding 2023-049 – Corrective Action Plan RIDOH agrees with the finding and recommendation. The unreported subawards of ELC funds were Memoranda of Understanding (MOU) agreements with Local Education Agencies and other schools in Rhode Island for the ELC COVID Reopening Schools award and were not recognized as being subject to FFATA reporting. RIDOH will review all internal policies and procedures regarding both subawards and interagency agreements with federal funds (IAA-FF), and FFATA reporting thereof, to assure RIDOH is aligned with the statewide DOA policies for FFATA reporting. RIDOH will provide training to all contract managers, program managers for subawards, and staff responsible for reporting in FSRS to assure all subawarded funds are captured and reported appropriately. Anticipated Completion Date: December 31, 2024 Contact Persons: Alisha Colella, Chief Financial Officer, Rhode Island Department of Health alisha.colella@health.ri.gov Carla Lundquist, Deputy CFO / Federal Grants Manager, Rhode Island Department of Health carla.lundquist@health.ri.gov
View Audit 305097
Finding 395228 (2023-048)
Material Weakness 2023
State of Rhode Island
RI
Subrecipient Monitoring Material Weakness Reporting
Finding 2023-048 – Corrective Action Plan RIDE recognizes that CTE Program Monitoring did not reflect US DOE format and therefore developed a monitoring tool that meets USDOE layout and functionality. Using district provided CTE data, RIDE will review written documentation provided by the secondar...
Finding 2023-048 – Corrective Action Plan RIDE recognizes that CTE Program Monitoring did not reflect US DOE format and therefore developed a monitoring tool that meets USDOE layout and functionality. Using district provided CTE data, RIDE will review written documentation provided by the secondary/postsecondary districts being monitored. The monitoring will consist of both a desk audit and an onsite inspection of the subrecipients. After the review process is complete a report for subrecipients will be sent back to the subrecipients that were monitored. This may include next steps and the need (if any) for corrective action. Anticipated Completion Date: On May 1, 2024, and May 3, 2024, RIDE will begin monitoring a secondary and postsecondary Perkins recipient. RIDE will continue with subrecipient monitoring visits in each subsequent fiscal year to satisfy the requirements of the USDOE. Contact Person: Paul McConnell, Career & Technical Education Data Specialist, Department of Elementary & Secondary Education paul.mcconnell@ride.ri.gov
View Audit 305097
Finding 395204 (2023-038)
Significant Deficiency 2023
State of Rhode Island
RI
Subrecipient Monitoring Reporting Significant Deficiency
Finding 2023-038 – Corrective Action Plan Auditee Views: SFRF reporting utilized physical posted date pulled from PowerBI environment. The issue with physical posted date is that the report can change based on when pulled. PRO project was not detailed in Annual Report. The blank sections of the do...
Finding 2023-038 – Corrective Action Plan Auditee Views: SFRF reporting utilized physical posted date pulled from PowerBI environment. The issue with physical posted date is that the report can change based on when pulled. PRO project was not detailed in Annual Report. The blank sections of the downloaded reports are due to a US Treasury system issue that affects all States, not just Rhode Island. PRO began taking screenshots once it became aware of the problem and will continue to do so. There is a tedious review process that is completed for reporting on this data and information supplied to PRO by the entities. Corrective Actions: Modify the U.S. Treasury reporting process to utilize cash date to align with RIFANS federal transaction register both cumulatively and quarterly. Anticipated Completion Date: May 15, 2024 Add PRO project description to SFRF Annual report to U.S. Treasury. Anticipated Completion Date: July 31, 2024 Collect additional information from component unit agency to support provided reporting data. Anticipated Completion Date: June 30, 2024 Contact Person: Paul L. Dion, Ph.D., Director, Pandemic Recovery Office, Department of Administration paul.l.dion@doa.ri.gov
View Audit 305097
Finding 395197 (2023-035)
Material Weakness 2023
State of Rhode Island
RI
Special Tests & Provisions Material Weakness Reporting
Finding 2023-035 – Corrective Action Plan The auditee concurs with this finding. Anticipated Completion Date: December 31, 2024 Contact Person: Philip D’Ambra, Director, Income Support, Department of Labor & Training philip.l.dambra@dlt.ri.gov
Finding 2023-035 – Corrective Action Plan The auditee concurs with this finding. Anticipated Completion Date: December 31, 2024 Contact Person: Philip D’Ambra, Director, Income Support, Department of Labor & Training philip.l.dambra@dlt.ri.gov
View Audit 305097
Finding 395192 (2023-001)
Significant Deficiency 2023
Ucr of West Jackson, Ms, Inc. D/b/a Jackson Run
OH
HUD Housing Programs Reporting Significant Deficiency
Management acknowledges noncompliance in the current fiscal year and has addressed all of the health and safety issues as of January 25, 2023
Management acknowledges noncompliance in the current fiscal year and has addressed all of the health and safety issues as of January 25, 2023
View Audit 305094
Finding 395190 (2023-001)
Significant Deficiency 2023
Ucc Xvii, Inc. D/b/a Biimaadiiziiwiin
OH
HUD Housing Programs Reporting Significant Deficiency
Management acknowledges noncompliance in the current fiscal year and has addressed all of the health and safety issues as of February 1, 2024
Management acknowledges noncompliance in the current fiscal year and has addressed all of the health and safety issues as of February 1, 2024
View Audit 305085
Finding 395180 (2023-005)
Significant Deficiency 2023
The Shaw University, Inc.
NC
Internal Control / Segregation of Duties Subrecipient Monitoring Reporting
Name of Responsible Individual: Vice President of Finance and Administration (David Byrd) Corrective Action: The University concurs with the finding. The University will enhance and strengthen internal controls and procedures. As the university tightens internal controls and procedures, financial s...
Name of Responsible Individual: Vice President of Finance and Administration (David Byrd) Corrective Action: The University concurs with the finding. The University will enhance and strengthen internal controls and procedures. As the university tightens internal controls and procedures, financial statement reporting will be completed in a timely manner. Also, appropriate documentation retention will be maintained. This will result in compliance audits completed before the required deadline. Anticipated Completion Date: June 30, 2024
View Audit 305066
The Shaw University, Inc.
NC
Student Financial Aid Special Tests & Provisions Reporting
Name of Responsible Individual: University Registrar (Charee Ellison), Vice President of Academic Affairs (Dr. Renata Dusenbury) Corrective Action: The University concurs with this finding. This action is completed through a third party service (National Student Clearinghouse) which updates the NSL...
Name of Responsible Individual: University Registrar (Charee Ellison), Vice President of Academic Affairs (Dr. Renata Dusenbury) Corrective Action: The University concurs with this finding. This action is completed through a third party service (National Student Clearinghouse) which updates the NSLDS automatically. As student enrollment changes and awards are adjusted, the Director of Financial Aid updates the Registrar who makes adjustments in NSC and those adjustments are noted in NSLDS. The University Registrar will check behind NSC on a monthly basis to ensure that enrollment dates are correct and have been submitted to NSLDS in a timely manner. Anticipated Completion Date: June 30, 2024
View Audit 305066
The Shaw University, Inc.
NC
Student Financial Aid Allowable Costs / Cost Principles Reporting
Name of Responsible Individual: Director of Financial Aid (Dr. OJ Ifegwu) Vice President of Enrollment Management (Dr. Stacey Sowell) Corrective Action: The University concurs with this finding. The CARES Act allowed FWS funds to be transferred above the 10% threshold to SEOG. This program expired ...
Name of Responsible Individual: Director of Financial Aid (Dr. OJ Ifegwu) Vice President of Enrollment Management (Dr. Stacey Sowell) Corrective Action: The University concurs with this finding. The CARES Act allowed FWS funds to be transferred above the 10% threshold to SEOG. This program expired on May 11, 2023. The documentation for this program can be found on fsapartners.ed.gov, communication CB-22-13 and is dated August 1, 2022. The University did not complete the form in COD for this extended portion of the CARES Act. However, it was properly reported on the FISAP. This program has expired and the University will be at or below the 10% threshold going forward. Anticipated Completion Date: June 30, 2024
View Audit 305066
The Shaw University, Inc.
NC
Student Financial Aid Internal Control / Segregation of Duties Special Tests & Provisions
Name of Responsible Individual: Director of Financial Aid (Dr. OJ Ifegwu) Vice President of Enrollment Management (Dr. Stacey Sowell) Corrective Action: The University concurs with finding and will monitor internal controls to ensure that all student disbursement data occurs within 15 calendar days...
Name of Responsible Individual: Director of Financial Aid (Dr. OJ Ifegwu) Vice President of Enrollment Management (Dr. Stacey Sowell) Corrective Action: The University concurs with finding and will monitor internal controls to ensure that all student disbursement data occurs within 15 calendar days after payment or the University becomes aware of the need to make an adjustment. Internal controls will be maintained by reporting on a daily basis as disbursements are posted. Anticipated Completion Date: June 30, 2024
View Audit 305066
Finding 395118 (2023-001)
Significant Deficiency 2023
Polytechnic University of Puerto Rico, Inc.
PR
Reporting Matching / Level of Effort / Earmarking Internal Control / Segregation of Duties
Action item - Title 2023-001 – Updated Information Report Date Identified: March 2023 Status: (Open; In-process) Corrected Description: The University failed to upload the financial report related to the quarter ended March 31, 2023, within the ten days provided by the Department of Education. Grant...
Action item - Title 2023-001 – Updated Information Report Date Identified: March 2023 Status: (Open; In-process) Corrected Description: The University failed to upload the financial report related to the quarter ended March 31, 2023, within the ten days provided by the Department of Education. Grantee Required Action: Upload required reports before due date. Follow up with all service providers to ensure compliance with federal compliance requirements. Identified Root Cause: The University administration did not properly oversee the website’s administrator’s compliance process, which failed to meet the required guidelines and regulations by the scheduled deadline. Grantee resolution plan: Once the reports are sent to the person in charge of uploading the information to the institution's website, they will be followed up to corroborate that the task is completed and the institution is in compliance with all agencies. In addition, a copy of the report will be sent to the Department before the due date. Completion date: March 2023 Name and Title of contact person responsible for corrective action: Pablo Salom Portela- Director, Federal and State Funds Administration Office Phone: 787-622-8000 ext. 683 Email: psalom@pupr.edu
View Audit 305043
Town of Westport, Massachusetts
MA
Subrecipient Monitoring Reporting § 200.1
Condition: Obligations were overstated by approximately $800,000 on the March 31, 2023 Project and Expenditure report. Corrective Action Planned: Will adjust on March 31, 2024 Project and Expenditure report. Anticipated Completion Date: April 30, 2024 Contact: Nicole Pearsall, Town Accountant
Condition: Obligations were overstated by approximately $800,000 on the March 31, 2023 Project and Expenditure report. Corrective Action Planned: Will adjust on March 31, 2024 Project and Expenditure report. Anticipated Completion Date: April 30, 2024 Contact: Nicole Pearsall, Town Accountant
View Audit 305035
Finding 395112 (2023-002)
Significant Deficiency 2023
East Liberty Family Health Care Center INC
PA
Reporting Cash Management
Since taking over the financial management of ELFHCC in December 2022 we have hired an auditing firm (Louis Plung & Company) to perform the 2021, 2022, and 2023 Single Audit submissions and are now up to date. Moving forward, all audits will be completed before the submission due dates each year
Since taking over the financial management of ELFHCC in December 2022 we have hired an auditing firm (Louis Plung & Company) to perform the 2021, 2022, and 2023 Single Audit submissions and are now up to date. Moving forward, all audits will be completed before the submission due dates each year
View Audit 305032
Finding 395111 (2023-001)
Material Weakness 2023
East Liberty Family Health Care Center INC
PA
Subrecipient Monitoring Reporting Internal Control / Segregation of Duties
Since taking over the financial management of ELFHCC in December 2022 we have reorganized the financial reporting process and have been able to ensure meaningful analysis on a regular and continual basis. Policies and procedures have been created, changed, updated and Board approved. All financial r...
Since taking over the financial management of ELFHCC in December 2022 we have reorganized the financial reporting process and have been able to ensure meaningful analysis on a regular and continual basis. Policies and procedures have been created, changed, updated and Board approved. All financial reporting is prepared, analyzed and presented each month without delay.
View Audit 305032
Finding 395092 (2023-005)
Significant Deficiency 2023
City of South Portland, Maine
ME
Reporting Internal Control / Segregation of Duties
Management’s Response/Corrective Action Plan: Discrepancies noted above are due to the timing of transactions posting in the accounting system where period transactions are not posted until after the data is gathered for the report or even after the reporting period, but still has an effective dat...
Management’s Response/Corrective Action Plan: Discrepancies noted above are due to the timing of transactions posting in the accounting system where period transactions are not posted until after the data is gathered for the report or even after the reporting period, but still has an effective date within the period, so it is not picked up when reports are filed. They are corrected in the following quarterly report. For TRUCK/LFVNT, the amounts were correct but just not in the period reported, and were corrected in subsequent reports. We can try to have another person duplicate the calculation of amounts for the reporting, which will depend on staffing level and time of year. The reporting site is also difficult and in order to be able to file on time, we really need to start mid-month to make sure it’s working and allow time for contacting the helpdesk to resolve any technical issues.
View Audit 305015
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