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Corrective Action Plans

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Thornton Fractional Township High School District No. 215
IL
Reporting Subrecipient Monitoring
Condition: The School District did not comply with the requirements of filing one quarterly report by the due date set by ISBE. Plan: Management will review its policies and procedures and implement changes to strengthen internal control over federal reporting. Anticipated Date of Completion: 6/30/2...
Condition: The School District did not comply with the requirements of filing one quarterly report by the due date set by ISBE. Plan: Management will review its policies and procedures and implement changes to strengthen internal control over federal reporting. Anticipated Date of Completion: 6/30/2024. Name of Contact Person: John Robinzine, Interim Superintendent. Management Response: The District will work with staff and review the reporting deadlines so reports moving forward are filed in a timely manner by the due dates.
View Audit 10114
Finding 7706 (2023-003)
Significant Deficiency 2023
Moore County, North Carolina
NC
Reporting Student Financial Aid Cash Management
Name of Contact Person: David Richmond, Interim Director Corrective Action/Management's Response: In response regarding the above mentioned finding for Moore County Social Services, please see the corrective action plan below: Training: • Accounting will develop and implement annual training for ...
Name of Contact Person: David Richmond, Interim Director Corrective Action/Management's Response: In response regarding the above mentioned finding for Moore County Social Services, please see the corrective action plan below: Training: • Accounting will develop and implement annual training for applicable DSS staff in conjunction with State required day sheet training. • This training will also be given to all new applicable staff in the orientation process. • DSS Accounting will maintain a record of all staff completing the training. Internal Reviews/Auditing by Unit Supervisors: • Each biweekly payroll is currently approved by supervisors prior to processing. • After each payroll the day sheets for that biweekly period will be reviewed by the supervisor to ensure proper coding and matching time to the payroll reports for each employee in their unit. • When this process is complete, they will send a report to DSS Accounting with their findings. Internal Reviews/Auditing by DSS Administration • DSS Accounting will monitor each reporting period to ensure each supervisor has submitted their bi-weekly report. • DSS Accounting will maintain files with these reports for additional follow-up as needed. • DSS Accounting and Payroll staff will work with necessary staff that have discrepancies to ensure corrections are completed. • In addition, at the end of each month (prior to submission of the 1571 State reimbursement report) DSS Accounting will spot check 3 random Services records for accuracy. Findings will be reported, and corrections completed/processed by the 15th of the month of review. Proposed Completion Date: The expected completion date to have corrective action implemented is December 15, 2023.
View Audit 10069
Finding 7693 (2023-002)
Significant Deficiency 2023
Fremont County School District #1
WY
Subrecipient Monitoring Reporting Internal Control / Segregation of Duties
Name of Contact Person Travis Sweeney, SFO Business Manager Corrective Action In the future, no matter how many different individuals are collecting data for reporting, all supporting documentation will be retained by Business Office personnel and kept in the audit file. Proposed Completion Dat...
Name of Contact Person Travis Sweeney, SFO Business Manager Corrective Action In the future, no matter how many different individuals are collecting data for reporting, all supporting documentation will be retained by Business Office personnel and kept in the audit file. Proposed Completion Date Fiscal year ended June 30, 2024
View Audit 10031
Calumet City School District 155
IL
Reporting Subrecipient Monitoring
Condition: School District did not comply with the requirements of filing period and quarterly reports by the due date set by ISBE. Plan: Management will review its policies and procedures and implement changes to strengthen internal control over federal reporting. Anticipated Date of Completion: 6/...
Condition: School District did not comply with the requirements of filing period and quarterly reports by the due date set by ISBE. Plan: Management will review its policies and procedures and implement changes to strengthen internal control over federal reporting. Anticipated Date of Completion: 6/30/2024. Name of Contact Person: Joe Zotto, Superintendent. Management Response: Management will work together with staff to verify that reporting deadlines are met moving forward.
View Audit 10020
Calumet City School District 155
IL
Reporting Subrecipient Monitoring
Condition: School District did not comply with the requirements of filing period and quarterly reports by the due date set by ISBE. Plan: Management will review its policies and procedures and implement changes to strengthen internal control over federal reporting. Anticipated Date of Completion: 6/...
Condition: School District did not comply with the requirements of filing period and quarterly reports by the due date set by ISBE. Plan: Management will review its policies and procedures and implement changes to strengthen internal control over federal reporting. Anticipated Date of Completion: 6/30/2024. Name of Contact Person: Joe Zotto, Superintendent. Management Response: Management will work together with staff to verify that reporting deadlines are met moving forward.
View Audit 10020
Finding 7629 (2023-003)
Significant Deficiency 2023
Ferndale Area School District
PA
Internal Control / Segregation of Duties Subrecipient Monitoring Cash Management
Nutrition Cluster – CFDA Nos. 10.553 and 10.555 Significant Deficiency: See Finding 2023-002
Nutrition Cluster – CFDA Nos. 10.553 and 10.555 Significant Deficiency: See Finding 2023-002
View Audit 10014
Ferndale Area School District
PA
Cash Management Reporting School Nutrition Programs
Nutrition Cluster – CFDA Nos. 10.553 and 10.555 Name of contact person – David Gates, Business Manager Recommendation: We recommend the Food Service Director more closely review all meal count information entered for reimbursement prior to submitting each monthly claim to ensure accuracy and consist...
Nutrition Cluster – CFDA Nos. 10.553 and 10.555 Name of contact person – David Gates, Business Manager Recommendation: We recommend the Food Service Director more closely review all meal count information entered for reimbursement prior to submitting each monthly claim to ensure accuracy and consistency with supporting documentation. We recommend that the Food Service Director review all monthly claims filed in fiscal year 2023-24 available for revisions to ensure reports were accurately filed. Further, we recommend that District management periodically monitor claim submissions for accuracy. Action Taken: Management agrees with the recommendations. The Food Service Director has reviewed all monthly claims submitted in school year 2023-24 and found no errors requiring revision. Further, management will implement a plan to periodically review claim submissions for accuracy. Proposed Completion Date: January 31, 2024
View Audit 10014
Cook County School District 130
IL
Reporting Subrecipient Monitoring
Condition: The School District did not comply with the requirements of filing period reports by the due dates set by ISBE. Plan: Management will review its policies and procedures and implement changes to strengthen internal control over federal reporting. Anticipated Date of Completion: June 30, 2...
Condition: The School District did not comply with the requirements of filing period reports by the due dates set by ISBE. Plan: Management will review its policies and procedures and implement changes to strengthen internal control over federal reporting. Anticipated Date of Completion: June 30, 2024. Name of Contact Person: Colleen McKay, Superintendent. Management Response: The District will review the reporting deadlines and file reports moving forward on a timely manner by the due dates.
View Audit 9995
Finding 7616 (2023-001)
Significant Deficiency 2023
Children's Trust Foundation Roanoke Valley, Inc.
VA
Reporting
The control weakness has been addressed by evaluating the Organization's current policies and procedures with dual controls and a review process.
The control weakness has been addressed by evaluating the Organization's current policies and procedures with dual controls and a review process.
View Audit 9993
Finding 7615 (2023-002)
Material Weakness 2023
Chicago Neighborhood Initiatives, INC
IL
Reporting
Management acknowledges that controls were not in place to properly monitor when Federal awards were expended in compliance with CDFI programs to accurately report to CDFI FUND, which will be addressed through comprehensive training with GAC’s CDFI award compliance consultants. The Vice President of...
Management acknowledges that controls were not in place to properly monitor when Federal awards were expended in compliance with CDFI programs to accurately report to CDFI FUND, which will be addressed through comprehensive training with GAC’s CDFI award compliance consultants. The Vice President of Finance, GAC’s Executive Director, and the accounting/loan servicing team will participate in multiple rounds of Federal award compliance training. Further, a compliance specialist with an accounting background will be engaged to meet regularly with the Executive Director and Vice President of Finance to ensure proper monitoring of Federal awards and accurate CDFI FUND reporting. In addition, the GAC team will meet regularly to discuss new loan closings and whether the funds deployed should be sourced to Federal awards or other non-Federal tranches of funds.
View Audit 9985
Finding 7611 (2023-001)
Material Weakness 2023
Rebuilding Together Silicon Valley
CA
Material Weakness Reporting Internal Control / Segregation of Duties
Management concurs with the recommendation. Management has implemented policies and procedures in Accounting Procedure Manual to ensure revenue would be recorded properly.
Management concurs with the recommendation. Management has implemented policies and procedures in Accounting Procedure Manual to ensure revenue would be recorded properly.
View Audit 9978
Finding 7582 (2023-002)
Material Weakness 2023
Franciscan Missionaries of Our Lady Health System, Inc.
LA
Reporting Matching / Level of Effort / Earmarking Internal Control / Segregation of Duties § 200.303
Corrective Action Plan The reconciliation review process will be enhanced for funding that applies to multiple funding periods. Anticipated Completion Date To be corrected with the Period 6 PRF portal submission Name of Contact Person for Corrective Action Rebecca Villar, Director of Accounting
Corrective Action Plan The reconciliation review process will be enhanced for funding that applies to multiple funding periods. Anticipated Completion Date To be corrected with the Period 6 PRF portal submission Name of Contact Person for Corrective Action Rebecca Villar, Director of Accounting
View Audit 9933
Finding 7575 (2023-003)
Material Weakness 2023
Bethany Lutheran Home for the Aged, Inc.
SD
Reporting Material Weakness Matching / Level of Effort / Earmarking
Finding 2023-003 Federal Agency Name: Department of Agriculture Program Name: Communities Facilities Loans and Grants Cluster Federal Financial Assistance Listing #10.766 Finding Summary: The Organization does not have an internal control system designed to provide for the preparation of the cons...
Finding 2023-003 Federal Agency Name: Department of Agriculture Program Name: Communities Facilities Loans and Grants Cluster Federal Financial Assistance Listing #10.766 Finding Summary: The Organization does not have an internal control system designed to provide for the preparation of the consolidated schedule of expenditures of federal awards (the schedule) and accompanying notes to the schedule. Responsible Individuals: Dalton Huber, Chief Financial Officer Corrective Action Plan: Lack of resources make this necessary. Anticipated Completion Date: Ongoing
View Audit 9917
City of Buffalo Section 8 Housing Assistance Payments Program Ny409
NY
Subrecipient Monitoring HUD Housing Programs Reporting
The City was unaware of the FFATA reporting requirements. As a result of this finding, we have reached out to HUD to obtain reporting instructions and have begun the process of gathering subrecipient information necessary for reporting. As soon as all pertinent information has been gathered, the Off...
The City was unaware of the FFATA reporting requirements. As a result of this finding, we have reached out to HUD to obtain reporting instructions and have begun the process of gathering subrecipient information necessary for reporting. As soon as all pertinent information has been gathered, the Office of Strategic Planning will begin filing all past due reports until we become current.
View Audit 9889
Finding 7546 (2023-001)
Material Weakness 2023
Fremont School District No. 79
IL
Cash Management Reporting
Condition: The District did not review the general ledger and ISBE expenditure reports to ensure grant expenditures were posted and reported correctly; Plan: District has implemented a change in staffing and its review procedures have been augmented to correct this condition; Anticipated Date of Com...
Condition: The District did not review the general ledger and ISBE expenditure reports to ensure grant expenditures were posted and reported correctly; Plan: District has implemented a change in staffing and its review procedures have been augmented to correct this condition; Anticipated Date of Completion: 10/31/2023; Name of Contact Person: Ivy Fleming; Management Response: N/A.
View Audit 9844
Finding 7545 (2022-001)
Material Weakness 2023
Fremont School District No. 79
IL
Cash Management Reporting
Condition: The District did not review the general ledger and ISBE expenditure reports to ensure grant expenditures were posted and reported correctly; Plan: District has implemented a change in staffing and its review procedures have been augmented to correct this condition; Anticipated Date of Com...
Condition: The District did not review the general ledger and ISBE expenditure reports to ensure grant expenditures were posted and reported correctly; Plan: District has implemented a change in staffing and its review procedures have been augmented to correct this condition; Anticipated Date of Completion: 10/31/2023; Name of Contact Person: Ivy Fleming; Management Response: N/A.
View Audit 9844
Rochester Institute of Technology
NY
Student Financial Aid Reporting Eligibility
Management Response and Corrective Action Plan OMB Uniform Guidance Audit for the fiscal year ended June 30, 2023 Finding 2023-001 - Non-Compliance with Timely Student Enrollment Change Submissions to the National Student Loan Data System (NSLDS) Management agrees with the finding and in concurren...
Management Response and Corrective Action Plan OMB Uniform Guidance Audit for the fiscal year ended June 30, 2023 Finding 2023-001 - Non-Compliance with Timely Student Enrollment Change Submissions to the National Student Loan Data System (NSLDS) Management agrees with the finding and in concurrence with the recommendations has developed and is implementing the following corrective action plans: 1. RIT will implement a process for students who are not expected to return in the fall semester and were enrolled in spring to update the enrollment status with the NSC, the third party that reports to the NSLDS for the University. The manual update to the NSC will be completed within 30 days from the date that RIT is notified that the student is confirmed to no longer be expected to return in the upcoming fall semester. This process will be implemented for the start of summer term 2024. 2. As of November 1, 2023, RIT has enhanced its degree certification process for late certifications to include the two steps which are now required by the NSC. RIT has also added to this process an additional verification to validate that the degree record is subsequently and correctly updated with the NSLDS. 3. The University has communicated with the helpdesk at the NSLDS to determine the reasons why the two identified records for which the student status changes were timely reported to the NSC; however, the data was not correctly captured by the NSLDS. The NSLDS has not been able to identify the root cause of the issue and are continuing to research the problem. They indicate that there is nothing that RIT can do to update these records at this time. Management concurs with the recommendation and will implement a periodic reconciliation processes between the NSLDS and the NSC to verify that the NSLDS timely and completely received communication of student changes. This will include a confirmation process for manual transactions with the NSC to ensure they were received by the NSLDS, which will begin January 2024. Responsible Individual: Joseph Loffredo, Associate Vice President for Academic Affairs & Registrar
View Audit 9841
Finding 7535 (2023-003)
Significant Deficiency 2023
Tri County Area Schools
MI
Reporting Internal Control / Segregation of Duties
Management and the Board will continue to designate competent staff to oversee and review the financial reports and approve them before issuance. However, it is not feasible or cost effective to odd staff with the competence to prepare these reports.
Management and the Board will continue to designate competent staff to oversee and review the financial reports and approve them before issuance. However, it is not feasible or cost effective to odd staff with the competence to prepare these reports.
View Audit 9835
Finding 7521 (2023-003)
Significant Deficiency 2023
Hays Medical Center, Inc.
KS
Reporting Significant Deficiency
Identification: 93.498 United States Department of Health and Human Services, Provider Relief Fund and American Rescue Plan Rural Distribution; Significant Deficiency; Reporting Compliance Requirement Corrective Action Plan: The Medical Center will strengthen procedures surrounding the reporting req...
Identification: 93.498 United States Department of Health and Human Services, Provider Relief Fund and American Rescue Plan Rural Distribution; Significant Deficiency; Reporting Compliance Requirement Corrective Action Plan: The Medical Center will strengthen procedures surrounding the reporting requirements related to Provider Relief Fund. The Medical Center will have a person independent of the reporting process review the reporting prior to submission. Anticipated Completion Date: The Medical Center intends to implement this immediately which will apply to any future reporting periods.
View Audit 9771
Finding 7515 (2023-001)
Material Weakness 2023
Realife Cooperative of Hibbing South
MN
Reporting Internal Control / Segregation of Duties
The finding from the October 31, 2023 schedule of findings and questioned costs and the summary schedule of prior audit findings is discussed below. The finding is numbered consistently with the number assigned in the schedules. Summary of audit results does not include findings and is not addressed...
The finding from the October 31, 2023 schedule of findings and questioned costs and the summary schedule of prior audit findings is discussed below. The finding is numbered consistently with the number assigned in the schedules. Summary of audit results does not include findings and is not addressed. Finding 2023-001 Recommendation: We recommend that the Cooperative continue to review the auditor prepared adjusting journal entries and financial statements with the intention of understanding and acceptance of responsibility for reporting under generally accepted accounting principles. Action Taken: The Cooperative will continue to review the auditor prepared adjusting journal entries and financial statements with the intention of understanding and acceptance of responsibility for reporting under generally accepted accounting principles.
View Audit 9742
Finding 7514 (2023-006)
Significant Deficiency 2023
School District of Cadott Community
WI
Reporting Significant Deficiency Internal Control / Segregation of Duties
The District has asked CESA 10 to send the Medicaid claims prior to submission to the District for approval. The District will have a staff member review the salary and fringe information provided to CESA 10. Responsible Person: Sue Shakal Anticipated Completion Date: Ongoing
The District has asked CESA 10 to send the Medicaid claims prior to submission to the District for approval. The District will have a staff member review the salary and fringe information provided to CESA 10. Responsible Person: Sue Shakal Anticipated Completion Date: Ongoing
View Audit 9733
Finding 7509 (2023-005)
Significant Deficiency 2023
School District of Cadott Community
WI
Internal Control / Segregation of Duties Reporting Significant Deficiency
Due to its size, it is not cost effective to hire additional staff to complete necessary reporting. Reviews and checks will be put into place prior to claim submissions with existing staff members. Responsible Person: Sue Shakal Anticipated Completion Date: Ongoing
Due to its size, it is not cost effective to hire additional staff to complete necessary reporting. Reviews and checks will be put into place prior to claim submissions with existing staff members. Responsible Person: Sue Shakal Anticipated Completion Date: Ongoing
View Audit 9733
Finding 7499 (2023-003)
Significant Deficiency 2023
School District of Cadott Community
WI
School Nutrition Programs Allowable Costs / Cost Principles Eligibility
The District will assign someone in the Business Office to review the Child Nutrition claims. Due to the size of the District, it is not cost effective to have more than one person in the food service department working with the claims. A school business official will review all claims. Responsi...
The District will assign someone in the Business Office to review the Child Nutrition claims. Due to the size of the District, it is not cost effective to have more than one person in the food service department working with the claims. A school business official will review all claims. Responsible Person: Sue Shakal Anticipated Completion Date: Ongoing
View Audit 9733
Rensselaer Polytechnic Institute
NY
Reporting
Grantor: Department of Homeland Security (DHS) Program Name: COVID-19 Disaster Grants – Public Assistance (Presidentially Declared Disasters) Award Year: 7/1/2022 - 6/30/2023 Award Number: PA-02-NY-4480-PW-00788 Assistance Listing Numbers: 97.036 Management concurs that it omitted $620K of FEMA ...
Grantor: Department of Homeland Security (DHS) Program Name: COVID-19 Disaster Grants – Public Assistance (Presidentially Declared Disasters) Award Year: 7/1/2022 - 6/30/2023 Award Number: PA-02-NY-4480-PW-00788 Assistance Listing Numbers: 97.036 Management concurs that it omitted $620K of FEMA reimbursement from the Schedule of Expenditures of Federal Awards (SEFA) in fiscal 2022. The reimbursement was obligated in in fiscal 2022 but paid in fiscal 2023. The 2023 compliance supplement clarified the appropriate reporting of these funds. Management has implemented a review process to determine the appropriate reporting period going forward. Kelli Perry Associate Vice President for Finance and Controller
View Audit 9729
Finding 7471 (2023-006)
Significant Deficiency 2023
Harris-Stowe State University
MO
Student Financial Aid Matching / Level of Effort / Earmarking Subrecipient Monitoring
Finding 2023-006 Personnel Responsible for Corrective Action: Registrar – Yolanda Kenton Anticipated Completion Date: December 2023 Corrective Action Plan: The University filled the Registrar position which had been vacant for 6 months. In addition, the Registrar’s Office implemented a control...
Finding 2023-006 Personnel Responsible for Corrective Action: Registrar – Yolanda Kenton Anticipated Completion Date: December 2023 Corrective Action Plan: The University filled the Registrar position which had been vacant for 6 months. In addition, the Registrar’s Office implemented a control that includes running a monthly enrollment status report allowing for changes to be reported within the 60 day window. The current Registrar has also done Registrar training with the American Association of Collegiate Registrars and Admissions Officers (AACRAO).
View Audit 9669
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