Corrective Action Plans

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Corrective Action Planned: In September of 2022, the Chief Financial Officer left the health center, and a replacement was not hired until a month (February 20, 2023) before the end of the fiscal year on March 31, 2023. While the accounting staff have been with the health center for more than three ...
Corrective Action Planned: In September of 2022, the Chief Financial Officer left the health center, and a replacement was not hired until a month (February 20, 2023) before the end of the fiscal year on March 31, 2023. While the accounting staff have been with the health center for more than three years, they lacked guidance while the search for a replacement Chief Financial Officer was going on. The Chief Financial Officer who left the health center was the only one who was handling and administering the indirect cost rate to Federal grants but when he left the accounting staff had no clue that the new indirect cost rate needed to be administered. The new Chief Financial Officer has experience in the use and application of indirect cost rates and has cross trained the Controller in the use and application of indirect cost rates. This finding will never reoccur in future. Name(s) of Contact Person(s) Responsible for Corrective Action: Frackson Sakala Anticipated Completion Date: 12/31/2023
View Audit 8436 Questioned Costs: $1
Corrective Action Planned: In September of 2022, the Chief Financial Officer left the health center, and a replacement was not hired until a month (February 20, 2023) before the end of the fiscal year on March 31, 2023. While the accounting staff have been with the health center for more than three ...
Corrective Action Planned: In September of 2022, the Chief Financial Officer left the health center, and a replacement was not hired until a month (February 20, 2023) before the end of the fiscal year on March 31, 2023. While the accounting staff have been with the health center for more than three years, they lacked guidance while the search for a replacement Chief Financial Officer was going on. The accounting staff were not trained in HRSA grant reporting and this led to missing the grant reporting due dates. The new Chief Financial Officer is experienced in HRSA grants reporting and has put in place a tracking system for all grants including HRSA Federal grants so that lapses in grants reporting do not happen again. Name(s) of Contact Person(s) Responsible for Corrective Action: Frackson Sakala Anticipated Completion Date: 12/31/2023
DTC shall assign one responsible party to complete the Schedule of Expenditures of Federal Awards (SEFA). The SEFA shall be prepared and presented to auditors as required.
DTC shall assign one responsible party to complete the Schedule of Expenditures of Federal Awards (SEFA). The SEFA shall be prepared and presented to auditors as required.
Finding 2023-001: Delay in submitting the unaudited FDS to HUD Corrective Action Plan: Management has hired a new qualified staff member to fill the gap left by the previous critical employee at the time of financial closing. Management will continue to closely monitor and review financial transa...
Finding 2023-001: Delay in submitting the unaudited FDS to HUD Corrective Action Plan: Management has hired a new qualified staff member to fill the gap left by the previous critical employee at the time of financial closing. Management will continue to closely monitor and review financial transaction recordings in a timely manner making sure the data is accurate and complete. Management will continue reviewing, comparing, and reconciling the financial data that will be used as an input for the FDS reporting. Name of Responsible Person: Worku Alem, Director of Finance Projected Completion Date: March 31, 2024
2023-004 Internal Controls over Compliance of Federal Awards (Education Stabilization Fund 84.425) Condition: 1) During testing of compliance over disbursements, we noted the following: a. Eight (8) transactions totaling $474,924 appeared to be for capital purchases that did not have prior approval ...
2023-004 Internal Controls over Compliance of Federal Awards (Education Stabilization Fund 84.425) Condition: 1) During testing of compliance over disbursements, we noted the following: a. Eight (8) transactions totaling $474,924 appeared to be for capital purchases that did not have prior approval by the SEA b. Six (6) transactions totaling $52,117 were incurred where the District appeared to be subject to Davis-Bacon prevailing wage requirements but no documentation was retained. Additionally, a formal policy for complying with Davis-Bacon requirements is not in place for individual expenditures less than $25,000. 2) During testing of compliance over reporting, we noted the following: a. Expenditure reports were completed based on budgeted amounts rather than actual expenditures. In total, expenditure reports exceeded amounts reported in the District’s general ledger by $726,653. Plan: The District will appoint an individual that is knowledgeable, or provide the appropriate training, of the federal compliance requirements set forth in the Code of Federal Regulation to oversee the District’s federal programs to ensure the District is in compliance with all applicable federal compliance requirements. Anticipated Date of Completion: Immediately upon learning of issue. Name of Contact Person: Lorraine Bailey, Superintendent
View Audit 8413 Questioned Costs: $1
Finding 6450 (2023-004)
Significant Deficiency 2023
Finding Number: 2023-004 Review and Approval Of the Schedule of Expenditures Of Federal Awards (SEFA) Corrective Action Plan: While there was a review of the SEFA, the documentation of said review did not occur properly. Management has put in place a process to document preparation/review of the ...
Finding Number: 2023-004 Review and Approval Of the Schedule of Expenditures Of Federal Awards (SEFA) Corrective Action Plan: While there was a review of the SEFA, the documentation of said review did not occur properly. Management has put in place a process to document preparation/review of the SEFA evidenced by signature and date. Personnel Responsible for Corrective Action: Nachum Golodner, Academica Director of Accounting Anticipated Completion Date: June 30, 2024
The finding was due in part to the lack of a process to correctly backdate administrative withdrawals when a student is awarded a grade of W after the stated date. This resulted in inconsistent dates reported to NSLDS and in the academic file. Management has met to address this issue. The Offices...
The finding was due in part to the lack of a process to correctly backdate administrative withdrawals when a student is awarded a grade of W after the stated date. This resulted in inconsistent dates reported to NSLDS and in the academic file. Management has met to address this issue. The Offices of Campus Technology, Financial Planning and Registrar have met to discuss processes in place and create new methods by which administrative withdrawals will be handled going forward. Additionally, management is working with Jenzabar to ensure the dates are consistent with the withdrawal option, specifically the awarding of W grades and the related date of last attendance. This process will assist the University in the following ways: students will be reported on the NSLDS report in the appropriate timeframe, a uniform withdrawal date will be recorded in the Offices of the Registrar and Financial Planning and students receive the appropriate grade as indicated by the official academic calendar. This action has been implemented for the final grading period ending on Monday, December 11, 2023. Management will continue to submit enrollment reports to the NSLDS on the schedule submitted annually, ensuring that any changes to student enrollment will be reported as required. The corrective action plan will be undertaken by the Office of the Registrar, under the supervision of the University Registrar and Director of Institutional Research and Effectiveness, Kendra Woodson (Kendra.woodson@converse.edu).
The District will strengthen and improve its existing controls over the processes for the Consolidated Application reporting. Specifically, the District will ensure that the preparer and reviewer complete an internal control checklist before submission of the report to CDE. This includes the valid...
The District will strengthen and improve its existing controls over the processes for the Consolidated Application reporting. Specifically, the District will ensure that the preparer and reviewer complete an internal control checklist before submission of the report to CDE. This includes the validation and reconciliation of expenditure data that is reported in the Consolidated Application Report. Name: Arthur Malicdem Title: Assistant Budget Director, Budget Services & Financial Planning Telephone: (213) 241-2189
1. Accounting Controls team will continue to coordinate with Central Office/program coordinators to: a) Communicate the impact of questioned cost resulting from current year’s audit findings. b) Follow through on the sample testing performed on payroll documentations as a secondary control twice a y...
1. Accounting Controls team will continue to coordinate with Central Office/program coordinators to: a) Communicate the impact of questioned cost resulting from current year’s audit findings. b) Follow through on the sample testing performed on payroll documentations as a secondary control twice a year; and c) Provide feedback and training to the schools based on the result of sample testing. 2. The Accounting controls team will continue to collaborate with the MyPLN team to ensure effective monitoring and timely completion of the annual Mandatory Time and Effort Training. This essential training is mandatory for administrators, timekeepers, and supervisors. Successful completion involves answering review questions at the conclusion of the course, with a 100% correct response rate necessary to obtain certification. 3. Each July, the LAUSD organizes the Principals' Leadership Institute, during which the Accounting Controls team and Central Office/program coordinators will present to principals and assistant principals the significance of completing Time and Effort documentation in a timely and accurate manner. 4. The Accounting Controls team will work with Organizational Excellence and Central Office/program coordinators to present to School Administrative Assistants at their scheduled meetings/trainings, at least once a year. Name: Bryant Gonzalez Title: Deputy Controller Email: bryant.gonzalez1@lausd.net
Finding 2023-003 Federal Agency Name: Department of Agriculture Federal Financial Assistance Listing #10.766 Program Name: Community Facilities Loans and Grants Cluster Compliance Requirement: Preparation of Schedule of Expenditures of Federal Awards Finding Summary: The Hospital does not have an i...
Finding 2023-003 Federal Agency Name: Department of Agriculture Federal Financial Assistance Listing #10.766 Program Name: Community Facilities Loans and Grants Cluster Compliance Requirement: Preparation of Schedule of Expenditures of Federal Awards Finding Summary: The Hospital does not have an internal control system designed to provide for the preparation of the schedule and notes to the schedule. We requested our auditors to assist with the preparation of the schedule and notes to the schedule. Responsible Individuals: Lisa Weisser, Director of Finance Corrective Action Plan: It is not cost effective to have an internal control system designed to provide for the preparation of the Schedule of Expenditures of Federal Awards. We requested that our auditors, Eide Bailly LLP, prepare the Schedule of Expenditures as part of their Single Audit. We have designated members of management to review the drafted Schedule and accompanying notes. Anticipated Completion Date: Ongoing
FINDINGS—FEDERAL AWARD PROGRAM AUDITS Significant Deficiencies Finding 2023-001 – Preparation of Schedule of Expenditures of Federal Awards (SEFA) Recommendation: We recommend Catholic Charities of the Diocese of Rockford establish controls to evaluate grant agreements to capture funds identified as...
FINDINGS—FEDERAL AWARD PROGRAM AUDITS Significant Deficiencies Finding 2023-001 – Preparation of Schedule of Expenditures of Federal Awards (SEFA) Recommendation: We recommend Catholic Charities of the Diocese of Rockford establish controls to evaluate grant agreements to capture funds identified as federal accurately and perform review of final SEFA to avoid any calculation related errors. Explanation of disagreement with audit finding: There is no disagreement with the audit finding. Action taken in response to finding: Management will implement a process to evaluate grant agreements and properly identify federal funding which will be reviewed to ensure the final SEFA is accurate and free of errors. Name of contact person responsible for corrective action: Jodi Rippon, Director for Finance & Administration Planned completion date for corrective action plan: December 31, 2023 If any questions regarding this plan, please call Jodi Rippon, Director for Finance & Administration, at 815-399-4300.
Condition: The School District did not comply with the requirements of filing quarterly and final 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:...
Condition: The School District did not comply with the requirements of filing quarterly and final 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: Stephen Geraci, Superintendent Management Response: The District will review the reporting deadlines and file reports moving forward in a timely manner by the due dates. Furthermore, the District submitted their final grant filing on time for project # 22-4998-D2 for the quarter ending 6/30/23 on 7/14/23.
Condition: The School District did not comply with the requirements of filing quarterly and final 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:...
Condition: The School District did not comply with the requirements of filing quarterly and final 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: Stephen Geraci, Superintendent Management Response: The District will review the reporting deadlines and file reports moving forward in a timely manner by the due dates.
Finding 2023-005: Activities Allowed or Unallowed and Allowable Costs/Cost Principles and Reporting Federal Agency Name: Department of Health and Human Services Program Name: COVID-19 Provider Relief Fund (PRF) and American Rescue Plan (ARP) Rural Distribution Federal Financial Assistance Listing Nu...
Finding 2023-005: Activities Allowed or Unallowed and Allowable Costs/Cost Principles and Reporting Federal Agency Name: Department of Health and Human Services Program Name: COVID-19 Provider Relief Fund (PRF) and American Rescue Plan (ARP) Rural Distribution Federal Financial Assistance Listing Number: 93.498 Finding Summary: The Medical Center included expenses in the Department of Health and Human Services (HHS) special report for Period 4 that were transcribed incorrectly or were preliminary amounts instead of final expenses which caused the HHS special report to be inaccurate. In addition, there was no evidence of formal review and approval over tracking of expenditures that were claimed for the program. In addition, there was no evidence retained that the Medical Center's special reports submitted to the Department of Health and Human Services for Period 4 TIN #426037888 were reviewed or approved by an individual separate from the preparer prior to submission. Responsible Individuals: Mark Wall, CFO Response: Management agrees with the finding and has reviewed the operating procedures of Greene County Medical Center. Management will continue to monitor the Medical Center's operations and procedures. Furthermore, we will continually review the assignment of duties to obtain the maximum internal control possible under the circumstances. Completion Date: Ongoing
Recommendation: We recommend that the Authority implements a control to ensure that the preliminary SEFA is mostly accurate so that the correct programs are tested. Explanation of disagreement with audit finding: There is no disagreement with the audit finding. Action taken in response to finding: I...
Recommendation: We recommend that the Authority implements a control to ensure that the preliminary SEFA is mostly accurate so that the correct programs are tested. Explanation of disagreement with audit finding: There is no disagreement with the audit finding. Action taken in response to finding: In order to facilitate timely and accurate preparation of the SEFA for the Harris County Housing Authority (HCHA) March 31 fiscal year end, a reconciliation of pass-thru revenues in the general ledger will be performed. In addition, HCHA will make sure to include grant-specific coding in the charts of accounts in order to identify specific and eligible items. The HCHA will also review grants included in the previous year’s SEFA to determine if they should be included in the current year SEFA. In situations where expenditures reported in the SEFA are not the same as the expenditures reported in the general ledger (due to outstanding loan balances, timing of grant awards, expenditures incurred in a prior period, etc.), a reconciliation will be provided to the as notes to the SEFA. Name(s) of the contact person(s) responsible for corrective action: Melissa Quijano, Executive Director Planned completion date for corrective action plan: March 31, 2024
The Purchase ADD has been going through a transition period between personnel, accounting software and audit firms the last three years. As a result, this transition has caused the ADD to continually adapt policies & procedures for correctness. The report to EDA by the loan staff included loans th...
The Purchase ADD has been going through a transition period between personnel, accounting software and audit firms the last three years. As a result, this transition has caused the ADD to continually adapt policies & procedures for correctness. The report to EDA by the loan staff included loans that had been approved in FY 2023 but not yet closed. In the future, loan staff and finance staff need to coordinate more closely what is being reported to avoid discrepencies. Fortunately, all funding as accounted for and used for its intended purpose.
Management Views and Corrective Action Plans 2023-001 – Inaccurate Submission of Student Enrollment Change Submissions to the National Student Loan Data System (NSLDS) Point of Contact – Jennifer Spiegel Goldberg, University Registrar, (646-592-6275) Management agrees with the current year finding a...
Management Views and Corrective Action Plans 2023-001 – Inaccurate Submission of Student Enrollment Change Submissions to the National Student Loan Data System (NSLDS) Point of Contact – Jennifer Spiegel Goldberg, University Registrar, (646-592-6275) Management agrees with the current year finding and the recommendations. The Office of the Registrar has recently been reorganized to create a dedicated, Records unit to assure that limited personnel will be responsible for leaves and withdrawals and who will use internal reports available to quality control data input before external reporting. All staff have been retrained to watch for the condition that led to this error when handling requests, including reminder of University policies and procedures. This retraining took place on September 6, 2023. The NSC Roster and NSLDS will be updated by December 29, 2023. We believe this finding will be remediated in fiscal 2024.
Finding 6227 (2023-003)
Significant Deficiency 2023
2023-003 U.S. Department of the Treasury COVID-19: Coronavirus State and Local Fiscal Recovery Funds, Assistance Listing #21.027 Reporting Significant Deficiency Finding Summary: The City of Sparks did not have adequate internal controls to ensure Project and Expenditure Reports were prepared in acc...
2023-003 U.S. Department of the Treasury COVID-19: Coronavirus State and Local Fiscal Recovery Funds, Assistance Listing #21.027 Reporting Significant Deficiency Finding Summary: The City of Sparks did not have adequate internal controls to ensure Project and Expenditure Reports were prepared in accordance with governing requirements. The City reported current obligations for the amount the City recognized as a payable, rather than the obligations (i.e., contracts) that were entered into during the reporting period. Responsible Person: Jeff Cronk, CPA, Chief Financial Officer Corrective Action Planned: Financial Services staff will correct the Project and Expenditure Report current obligations for the period ended December 31, 2023 to ensure only the obligations that were entered into during the reporting period are reported. Does the City Agree with the finding: Yes If No or Partial, please explain the reason(s) why: Anticipated completion date: 1/31/2024
Finding 6225 (2023-002)
Material Weakness 2023
2023-002: U.S. Department of Housing and Urban Development CDBG – Entitlement Grants Cluster: Community Development Block Grants/Entitlement Grant, Assistance Listing #14.218 Reporting Material Weakness in Internal Control over Compliance and Material Noncompliance Finding Summary: The Federal Fundi...
2023-002: U.S. Department of Housing and Urban Development CDBG – Entitlement Grants Cluster: Community Development Block Grants/Entitlement Grant, Assistance Listing #14.218 Reporting Material Weakness in Internal Control over Compliance and Material Noncompliance Finding Summary: The Federal Funding Accountability and Transparency Act (FFATA) requires direct recipients of certain federal awards to report subaward information by the end of the month following the month in which the prime awardee obligates a subgrant award equal to $30,000. Required subaward information was not reported in the FFATA Subaward Reporting System (FSRS). The City of Sparks did not have internal controls to ensure subaward information was submitted in accordance with the FFATA. Responsible Person: Jeff Cronk, CPA, Chief Financial Officer Corrective Action Planned: Financial Services staff are working to improve internal controls to ensure future subaward information will be submitted in accordance with the FFATA. All current subawards subject to the FFATA reporting requirements have been reported in the FFATA Subaward Reporting System (FSRS). Does the City Agree with the finding: Yes If No or Partial, please explain the reason(s) why: N/A Anticipated completion date: 3/31/2024
Enhance the internal control procedures for the Community Development Block Grant Program to specifically state the requirement for the PR29 Cash on Hand Quarterly Report to be submitted no later than 30 days following each completed quarter and communicate this requirement to the City's finance dep...
Enhance the internal control procedures for the Community Development Block Grant Program to specifically state the requirement for the PR29 Cash on Hand Quarterly Report to be submitted no later than 30 days following each completed quarter and communicate this requirement to the City's finance department employees and Senior Community Development Specialist. Doing so ensures the responsible parties are informed of the requirement and expands the number of responsible parties who are cognizant of and monitoring to ensure this action is completed on time. Additionally, the finance department employees and Senior Community Development Specialist have been advised of the importance of meeting this requirement.
U.S. Department of Health and Human Services Cedar County Memorial Hospital (“Organization”) respectfully submits the following corrective action plan for the year ended January 31, 2023. Audit period: February 1, 2022 – January 31, 2023 The findings from the schedule of findings and questioned cos...
U.S. Department of Health and Human Services Cedar County Memorial Hospital (“Organization”) respectfully submits the following corrective action plan for the year ended January 31, 2023. Audit period: February 1, 2022 – January 31, 2023 The findings from the schedule of findings and questioned costs are discussed below. The findings are numbered consistently with the numbers assigned in the schedule. FINDINGS— FINDINGS AND QUESTIONED COSTS – MAJOR FEDERAL PROGRAMS DEPARTMENT OF HEALTH AND HUMAN SERVICES 2023 – 003 COVID-19 Provider Relief Funding and American Rescue Plan Rural Distribution Recommendation: We recommend the Hospital design controls to ensure that reporting is completing in accordance with latest HHS guidelines. Explanation of disagreement with audit finding: There is no disagreement with the audit finding. Management misunderstood the input of the information to be on fiscal vs. calendar year end. Name of the contact person responsible for corrective action: Carla Gilbert, CFO. Planned completion date for corrective action plan: November 1, 2023 If the Department of Health and Human Services has questions regarding this plan, please call Carla Gilbert, CFO at (417) 876-3097.
Finding #2023-003 - Major Federal Award Finding - Reporting Significant Deficiency-in Internal Controls over Compliance Corrective Action Plan: Procedure(s) were drafted covering data collection, storage, and reporting of HEERF data, including setting alerts to comply with the reporting due dates, h...
Finding #2023-003 - Major Federal Award Finding - Reporting Significant Deficiency-in Internal Controls over Compliance Corrective Action Plan: Procedure(s) were drafted covering data collection, storage, and reporting of HEERF data, including setting alerts to comply with the reporting due dates, however, the VP of Finance did not adhere to them. The VP of Finance will meet with the Executive Vice President to set up an accountability structure to ensure that quarterly reports are reviewed and filed on or before the due date. A revised annual report for calendar 2022 will be submitted to the Department of Education.
Finding 2023-002 Reporting – Late REAC Submission 14.155 Mortgage Insurance for the Purchase or Refinancing of Existing Multifamily Housing Projects 14.195 Section 8 Housing Assistance Payments Program Material Weakness in Internal Control – Material Noncompliance Condition: The Organization’s ...
Finding 2023-002 Reporting – Late REAC Submission 14.155 Mortgage Insurance for the Purchase or Refinancing of Existing Multifamily Housing Projects 14.195 Section 8 Housing Assistance Payments Program Material Weakness in Internal Control – Material Noncompliance Condition: The Organization’s annual financial statement data was not submitted within the timeframes specified by HUD. The financial statement data was due by September 30, 2023, but was not filed until December 21, 2023. Auditor’s Recommendation: We recommend that the Organization make every effort to submit its annual financial statement data within the timeframe specified by HUD. Action Taken: The Organization has maintained contact with HUD and prioritized submitting the annual financial statement data after they were informed it was late. Effective Date: December 21, 2023 Contact Information: Kristy Hust, Director of Operations Northside Mental Health Center, Inc. Management Agent 12512 Bruce B Downs Blvd Tampa, FL 33612 (813) 977-8700
Inaccurate and Untimely Returns of Title IV Funds (R2T4) Planned Corrective Action: In conjunction with the Registrar’s Office, we have implemented the following corrective actions to improve our processes/timeframe for withdrawals: 1) This summer, the Financial Aid Office was added to the workfl...
Inaccurate and Untimely Returns of Title IV Funds (R2T4) Planned Corrective Action: In conjunction with the Registrar’s Office, we have implemented the following corrective actions to improve our processes/timeframe for withdrawals: 1) This summer, the Financial Aid Office was added to the workflow in Etrieve (document management system used by CIU) so that 2 of our counselors (one for UG trad and one for online) now receive notifications directly of every withdrawal received by the Registrar’s Office. This allows our office to begin the process of returning funds without the reliance of emails forwarded from the Registrar’s Office. 2) Director and Associate Directors of Financial Aid met with the Registrar and Assistant Registrar on 10/31/23 to discuss how communication and processes could improve between offices. The following are several action items the Registrar will complete on their end that can assist in accomplishing this goal. • Registrar will ask Deans to explain to their faculty that when a student completes an assignment after their module is complete, the date to be entered must be the last date of that module so that our reports will capture the date needed for the return to process correctly. • Registrar will review their current procedures for processing official withdrawals and tighten their turn around time so that the Financial Aid Office can return aid within the required 45 days. 3) CIU made the decision to convert all 5-week UG online classes to 8-week classes starting the 23-24 academic year. These modules now fall within our standard academic calendar which should greatly improve our ability to monitor and process withdrawals for this student population. Person Responsible for Corrective Action Plan: Patty Hix, Director of Financial Aid; Lynsay Shumpert, Associate Director for Online Studies; Elizabeth Haselden, Registrar Anticipated Date of Completion: A follow-up meeting has been set before the end of fall semester to discuss the progress of our action plans with the Registrar.
Response: The district will confirm the validity of grant expenditures, compliance with grant rules and regulations, and conduct management control reviews. The district will continue to prioritize quality internal controls relating to grant reimbursements. EDGAR manual procedures will be followed. ...
Response: The district will confirm the validity of grant expenditures, compliance with grant rules and regulations, and conduct management control reviews. The district will continue to prioritize quality internal controls relating to grant reimbursements. EDGAR manual procedures will be followed. The District has segregated the duties associated with managing and reimbursing grant programs to allow for more stringent oversight.
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