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Corrective Action Plans

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Finding 23714 (2022-038)
Significant Deficiency 2022
State of Michigan
MI
Reporting Subrecipient Monitoring
Finding 2022-038 WIOA Cluster, ALN 17.258, 17.259, and 17.278 - FFATA Reporting Management Views LEO agrees with the finding. Planned Corrective Action LEO Finance will implement a tracking log to record FFATA reporting deadlines and will send reminders to staff on upcoming deadlines. In addition,...
Finding 2022-038 WIOA Cluster, ALN 17.258, 17.259, and 17.278 - FFATA Reporting Management Views LEO agrees with the finding. Planned Corrective Action LEO Finance will implement a tracking log to record FFATA reporting deadlines and will send reminders to staff on upcoming deadlines. In addition, LEO Finance will establish a timeline with staff responsible for FFATA reporting that allows ample time for supervisory review and approval prior to submission. Anticipated Completion Date September 30, 2023 Responsible Individual(s) Lora MacKay, LEO
View Audit 20093
Finding 23706 (2022-035)
Significant Deficiency 2022
State of Michigan
MI
Subrecipient Monitoring Reporting
Finding 2022-035 Community Development Block Grants/State?s Program, ALN 14.228 - FFATA Reporting Management Views MSF agrees with the finding. Planned Corrective Action MSF subsequently reported the two Community Development Block Grant subawards noted in the finding, and potential grantees are n...
Finding 2022-035 Community Development Block Grants/State?s Program, ALN 14.228 - FFATA Reporting Management Views MSF agrees with the finding. Planned Corrective Action MSF subsequently reported the two Community Development Block Grant subawards noted in the finding, and potential grantees are now required to have a Unique Entity Identifier as part of the grant application process. MSF also routinely reconciles the data that is reported in the Federal Subaward Reporting System to its financial and program reporting systems to ensure accuracy. MSF Financial Services will update existing procedures to ensure ongoing compliance with FFATA reporting requirements. In addition, MSF Financial Services will conduct supervisory oversight of the process, including a monthly comparison to the information reported on USASpending.gov to the monthly data upload file obtained from the MSF program reporting system to ensure accuracy, completeness, and timely submission. Anticipated Completion Date September 30, 2023 Responsible Individual(s) Alex Fox, MSF Paul Onan, MSF
View Audit 20093
Finding 23705 (2022-034)
Significant Deficiency 2022
State of Michigan
MI
Reporting Subrecipient Monitoring HUD Housing Programs
Finding 2022-034 Community Development Block Grants/State?s Program, ALN 14.228 - Timeliness of Performance Reporting Management Views MSHDA agrees with the finding. Planned Corrective Action To ensure timely submission of the Consolidated Annual Performance and Evaluation Report (CAPER), MSHDA w...
Finding 2022-034 Community Development Block Grants/State?s Program, ALN 14.228 - Timeliness of Performance Reporting Management Views MSHDA agrees with the finding. Planned Corrective Action To ensure timely submission of the Consolidated Annual Performance and Evaluation Report (CAPER), MSHDA will develop a multi-agency (MSHDA, MSF, MEDC, and MDHHS) Microsoft Teams schedule of action steps to ensure that the reporting deadline is met. This action step calendar will be created in a Microsoft Teams shared workspace. Each agency will be assigned tasks to complete in advance of the deadline, to ensure that the submission deadline is met. The action step schedule will include all items necessary to meet the reporting timeline of September 30 of each year. Action steps will begin the first week of July, with a draft CAPER due for public comment period in mid-August, and the public comment period occurring thereafter. Per the U.S. Department of Housing and Urban Development regulations, and MSHDA?s citizen participation plan, the public comment period is required for at least 15 days before the final CAPER is submitted. A final copy of the CAPER will be submitted within the Integrated Disbursement and Information System one week prior to the due date to ensure no delays occur. Anticipated Completion Date The Microsoft Teams action step calendar will be implemented by July 7, 2023. Responsible Individual(s) Tonya Joy, MSHDA
View Audit 20093
Finding 23703 (2022-002)
Significant Deficiency 2022
State of Michigan
MI
Internal Control / Segregation of Duties Subrecipient Monitoring Reporting § 200.303
Finding 2022-002 SIGMA High-Risk Activity Monitoring Management Views DTMB agrees with the finding. Planned Corrective Action DTMB immediately, after the issue was identified in August 2022, reinstated processes to review transactions that have been bypassed and overridden in SIGMA and perform tas...
Finding 2022-002 SIGMA High-Risk Activity Monitoring Management Views DTMB agrees with the finding. Planned Corrective Action DTMB immediately, after the issue was identified in August 2022, reinstated processes to review transactions that have been bypassed and overridden in SIGMA and perform tasks according to the requirements. Furthermore, DTMB will continue to review their self-imposed limit for the number of users that have access to perform authorized bypass and override actions in SIGMA for DMVA and MSP. Anticipated Completion Date Completed Responsible Individual(s) Brenda Sprunger, DTMB
View Audit 20093
Finding 23697 (2022-032)
Significant Deficiency 2022
State of Michigan
MI
Reporting Matching / Level of Effort / Earmarking § 200.334
Finding 2022-032 Pandemic EBT Food Benefits, ALN 10.542 - Report of Disaster Supplemental Nutrition Assistance Benefit Issuance Management Views MDHHS disagrees that federal regulations require MDHHS to maintain copies or screenshots of the Report of Disaster Food Stamp Benefit Issuance (FNS-292B)...
Finding 2022-032 Pandemic EBT Food Benefits, ALN 10.542 - Report of Disaster Supplemental Nutrition Assistance Benefit Issuance Management Views MDHHS disagrees that federal regulations require MDHHS to maintain copies or screenshots of the Report of Disaster Food Stamp Benefit Issuance (FNS-292B) information reported on the federal website. MDHHS normally has the ability to access the information on the federal system. However, during audit fieldwork, the FNS-292B information that MDHHS submitted on the federal website was not viewable to the auditors because the reports were under federal review. MDHHS did not a retain a copy or screen prints of the submitted reports; however, MDHHS did maintain the underlying reports used to compile the submitted FNS-292B reports and this was provided to the auditors during fieldwork. Planned Corrective Action Although MDHHS disagrees that federal regulations require MDHHS to maintain copies or screenshots of FNS-292B information reported on the federal website, MDHHS will maintain screenshots of the report submission going forward. Anticipated Completion Date Completed Responsible Individual(s) Dawn Sweeney, MDHHS
View Audit 20093
Finding 23677 (2022-030)
Material Weakness 2022
State of Michigan
MI
Special Tests & Provisions Subrecipient Monitoring Material Weakness
Finding 2022-030 Food Distribution Cluster, ALN 10.565, 10.568, and 10.569 - Accountability for USDA Foods Management Views MDE agrees with the finding. During fiscal year 2022, MDE determined that The Emergency Food Assistance Program (TEFAP) State Plan was inefficient and discontinued reviewing e...
Finding 2022-030 Food Distribution Cluster, ALN 10.565, 10.568, and 10.569 - Accountability for USDA Foods Management Views MDE agrees with the finding. During fiscal year 2022, MDE determined that The Emergency Food Assistance Program (TEFAP) State Plan was inefficient and discontinued reviewing eligible recipient agencies (ERA) as outlined in the plan. MDE modified its TEFAP State Plan for fiscal year 2023 to be more reflective of TEFAP inventory movement and still meet the requirements of federal regulation 7 CFR 251.10(e). Planned Corrective Action MDE revised the fiscal year 2023 Michigan TEFAP State Plan, effective October 2022, to require MDE to review ERAs that are considered ?subdistributing agencies? onsite annually and all TEFAP ERAs to submit inventory records and TEFAP foods documentation to MDE as requested twice a year. The change was announced to TEFAP ERAs during the annual All Agency Meetings at the end of August 2022 and through follow up emails and communications. Anticipated Completion Date MDE has already completed the majority of fiscal year 2023 desk and on-site reviews under the revised process and will have completed all of the required fiscal year 2023 inventory reviews by July 31, 2023. Responsible Individual(s) Aimee Alaniz, MDE
View Audit 20093
Finding 23654 (2022-027)
Significant Deficiency 2022
State of Michigan
MI
Allowable Costs / Cost Principles Special Tests & Provisions Reporting
Finding 2022-027 SNAP Cluster, ALN 10.551 and 10.561 - System and Organization Controls Management Views MDHHS agrees with the finding. Planned Corrective Action MDHHS will annually obtain and review the SOC reports for providers that perform key control activities on behalf of MDHHS. In May 202...
Finding 2022-027 SNAP Cluster, ALN 10.551 and 10.561 - System and Organization Controls Management Views MDHHS agrees with the finding. Planned Corrective Action MDHHS will annually obtain and review the SOC reports for providers that perform key control activities on behalf of MDHHS. In May 2023, MDHHS reviewed the FMG SOC report review requirements and, after further evaluation, determined that a review is not needed for 1 of the 2 SOC reports identified in part b. and both of the SOC reports identified in part c. because they did not perform key control activities on behalf of MDHHS, which will be documented on the required OIAS review template for future SOC report reviews. The review of the SOC reports for the remaining providers is now primarily conducted by the MDHHS Compliance Division. MDHHS will work with other State agencies to identify best practices and document a centralized process to monitor the completion of SOC report reviews. MDHHS will work with OIAS to provide training as necessary. Anticipated Completion Date MDHHS plans to document the centralized process by August 31, 2023 and implement additional monitoring of SOC report reviews by September 30, 2023. Responsible Individual(s) Jim Bowen, MDHHS Andrew Piper, MDHHS
View Audit 20093
Finding 23651 (2022-006)
Material Weakness 2022
State of Michigan
MI
Questioned Costs Eligibility Material Weakness
Finding 2022-006 Income Eligibility and Verification System Management Views MDHHS and DTMB agree with parts c., d., e., and g. of the finding. MDHHS and DTMB disagree with parts a., b., and f. of the finding. For parts a. and b., MDHHS agrees with the recommendations. However, MDHHS disagrees wi...
Finding 2022-006 Income Eligibility and Verification System Management Views MDHHS and DTMB agree with parts c., d., e., and g. of the finding. MDHHS and DTMB disagree with parts a., b., and f. of the finding. For parts a. and b., MDHHS agrees with the recommendations. However, MDHHS disagrees with the exceptions identified for 1 of the 6 cited interfaces. For one interface, that impacted three cases, the interface updated appropriately, as designed, where needed. The interface did not need to update the case for citizenship and worker action was not required because citizenship was verified appropriately using another method and citizenship was not in question. For part f., MDHHS disagrees that Income Eligibility Verification System (IEVS) information is required to be requested and obtained for modified adjusted gross income (MAGI) based recipients since eligibility is verified upon determination through the MAGI eligibility determination process and then granted for a 12-month continuous eligibility period. Requesting and obtaining IEVS information throughout the eligibility period would be irrelevant since eligibility is continuous. Planned Corrective Action For parts a., b., and c., MDHHS?s ESA will continue to provide training and policy support to ensure that the local office specialists appropriately utilize the IEVS interface information in determining recipients? eligibility when applicable. ESA is developing and prioritizing a technical solution that will ensure the IEVS information is being addressed timely and used correctly in eligibility determinations. For part d., MDHHS is collaborating with other work areas to facilitate the match process for the IEVS interfaces for recipients funded by Temporary Assistance for Needy Families adoption subsidies. For part e., DTMB will review the process of how it receives the Public Assistance Reporting Information System (PARIS) file from their partners and transmits it to MDHHS Bridges. DTMB will investigate potential process improvements to limit the likelihood of the PARIS file not being transmitted. For part f., MDHHS disagrees with the finding and does not intend to take further action. For part g., MDHHS, with U.S. Department of Agriculture (USDA) Food and Nutrition Service guidance, will explore opportunities with Treasury, Tribal partners, and independent casinos to determine the feasibility of a gaming data match. Anticipated Completion Date a., b., and c. Training and policy support is ongoing. MDHHS anticipates that the technical solution will be completed by December 31, 2023. d. September 30, 2024 e. DTMB anticipates the process improvements will be implemented by September 30, 2023. f. Not applicable g. September 30 2024 Responsible Individual(s) a., b., c., and g. Dawn Sweeney, MDHHS d. Kathonya Rice, MDHHS e. Nathan Buckwalter, DTMB f. Logan Dreasky, MDHHS
View Audit 20093 Questioned Costs: $1
Finding 23648 (2022-003)
Significant Deficiency 2022
State of Michigan
MI
Eligibility Reporting Internal Control / Segregation of Duties § 200.303
Finding 2022-003 Bridges Interface Controls Management Views DTMB disagrees with part a. of the finding. MDHHS agrees with part b. of the finding. For part a., DTMB disagrees the interface over the Bridges Integrated Automated Eligibility Determination System (Bridges) data exchanges is not operat...
Finding 2022-003 Bridges Interface Controls Management Views DTMB disagrees with part a. of the finding. MDHHS agrees with part b. of the finding. For part a., DTMB disagrees the interface over the Bridges Integrated Automated Eligibility Determination System (Bridges) data exchanges is not operating as needed. For one interface, the auditors sampled 27 different daily batches, including 9,945 records, and only four records (0.04 percent) were cited by the auditors as having inconsistencies. DTMB reviewed these four records and determined they were processed in accordance with business rules and the reporting inconsistency identified did not impact the accuracy of the reconciliation. Additionally, the auditors did not identify inconsistencies in the other eight interfaces sampled across multiple days, which totaled more than 2.95 million records. Therefore, the interface controls are effective and reasonably ensure that data transferred from a source system to a receiving system is processed accurately, completely, and timely. Planned Corrective Action For part a., DTMB disagrees with the finding and does not intend to take further action. For part b., MDHHS, in collaboration with the business program area, will work to establish all missing agreements. Anticipated Completion Date a. Not applicable b. September 30, 2023 Responsible Individual(s) a. Heather Frick and Nathan Buckwalter, DTMB b. James Bowen and Candy Calvert, MDHHS
View Audit 20093
Finding 23647 (2022-001)
Significant Deficiency 2022
Wausau Community Development Authority
WI
HUD Housing Programs Subrecipient Monitoring Reporting
Unaudited REAC Reporting Recommendation: CLA recommends the CDA develops an internal control monitoring system to ensure unaudited REAC filings are submitted on time. Explanation of disagreement with audit finding: There is no disagreement with the audit finding. Action taken in response to finding:...
Unaudited REAC Reporting Recommendation: CLA recommends the CDA develops an internal control monitoring system to ensure unaudited REAC filings are submitted on time. Explanation of disagreement with audit finding: There is no disagreement with the audit finding. Action taken in response to finding: Management will work closely with our outside accountant to ensure timely REAC reporting, securing a submission confirmation email. Management will also further confirm submission via HUD online systems. Name(s) of the contact person(s) responsible for corrective action: Betty Noel, Assistant Director Planned completion date for corrective action plan: April 18, 2023
View Audit 18342
Dolton West School District 148
IL
Questioned Costs Reporting Internal Control / Segregation of Duties
Condition: School District did not comply with the requirements of filing quarterly reports that support the accounting records. Plan: The District will strengthen there controls to make sure supporting documentation agrees with the accounting records and the claims to ISBE. Anticipated Date of Comp...
Condition: School District did not comply with the requirements of filing quarterly reports that support the accounting records. Plan: The District will strengthen there controls to make sure supporting documentation agrees with the accounting records and the claims to ISBE. Anticipated Date of Completion: June 30, 2023. Name of Contact Person: Dr. Kevin J. Nohelty, Superintendent. Management Response: The District experienced turnover for key employees within the grant reporting process and is currently strengthening internal control procedures over grant reporting and monitoring.
View Audit 27423 Questioned Costs: $1
Dolton West School District 148
IL
Questioned Costs Reporting Internal Control / Segregation of Duties
Condition: School District did not comply with the requirements of filing quarterly reports that support the accounting records. Plan: The District will strengthen there controls to make sure supporting documentation agrees with the accounting records and the claims to ISBE. Anticipated Date of Comp...
Condition: School District did not comply with the requirements of filing quarterly reports that support the accounting records. Plan: The District will strengthen there controls to make sure supporting documentation agrees with the accounting records and the claims to ISBE. Anticipated Date of Completion: June 30, 2023. Name of Contact Person: Dr. Kevin J. Nohelty, Superintendent. Management Response: The District experienced turnover for key employees within the grant reporting process and is currently strengthening internal control procedures over grant reporting and monitoring.
View Audit 27423 Questioned Costs: $1
Dolton West School District 148
IL
Reporting Subrecipient Monitoring
Condition: The District did not comply with the requirements of filing quarterly and final reports by the due dates set by ISBE. Plan: The District will monitor these filing requirements more closely when the filing deadline approaches. Anticipated Date of Completion: June 30, 2023. Name of Contact ...
Condition: The District did not comply with the requirements of filing quarterly and final reports by the due dates set by ISBE. Plan: The District will monitor these filing requirements more closely when the filing deadline approaches. Anticipated Date of Completion: June 30, 2023. Name of Contact Person: Dr. Kevin J. Nohelty, Superintendent. Management Response: The District experienced turnover for key employees within the grant reporting process and is currently strengthening internal control procedures over grant reporting and monitoring.
View Audit 27423
Dolton West School District 148
IL
Reporting Subrecipient Monitoring
Condition: The District did not comply with the requirements of filing quarterly and final reports by the due dates set by ISBE. Plan: The District will monitor these filing requirements more closely when the filing deadline approaches. Anticipated Date of Completion: June 30, 2023. Name of Contact ...
Condition: The District did not comply with the requirements of filing quarterly and final reports by the due dates set by ISBE. Plan: The District will monitor these filing requirements more closely when the filing deadline approaches. Anticipated Date of Completion: June 30, 2023. Name of Contact Person: Dr. Kevin J. Nohelty, Superintendent. Management Response: The District experienced turnover for key employees within the grant reporting process and is currently strengthening internal control procedures over grant reporting and monitoring.
View Audit 27423
City of Poplar Housing Authority
MT
Equipment & Real Property Management Special Tests & Provisions Reporting
FEDERAL AWARDS FINDING CORRECTIVE ACTION PLAN Year ended December 31, 2022 Finding 2022-005 Federal assistance listing number and name: 10.415 Rural Rent Housing Loans Awards numbers and years: 2022 Federal agency: United States Department of Agriculture Compliance Requirement: Special tests and pro...
FEDERAL AWARDS FINDING CORRECTIVE ACTION PLAN Year ended December 31, 2022 Finding 2022-005 Federal assistance listing number and name: 10.415 Rural Rent Housing Loans Awards numbers and years: 2022 Federal agency: United States Department of Agriculture Compliance Requirement: Special tests and provisions, Reporting, Equipment and real property management Questioned Costs: None Name of Contact Person and Title: Susie Kirker, Board Chair Criteria: The Projects are required to prepare proper certifications for all tenants as well as close open maintenance items in a timely manner. Condition and Context: The Projects are in a non-compliance workout plan with RD due to various non-compliance findings. Effect: The Project is operating in non-compliance with RD rules and regulations. Cause: The prior management did not comply with RD rules and regulations relating to improper maintenance of the buildings, certification of tenants, and the insurance reserve not being established. Management Response: Management will continue to work to bring the Projects in compliance with RD rules and regulations in 2023. Status: In progress Anticipated Completion Date: Estimated 2023
View Audit 26071
Finding 23580 (2022-001)
Material Weakness 2022
Federal Way School District No. 210
WA
Subrecipient Monitoring Internal Control / Segregation of Duties Special Tests & Provisions
Finding ref number: 2022-001 Finding caption: The District did not have adequate internal controls for ensuring compliance with wage rate requirements. Name, address, and telephone of District contact person: Jeri Carlson 33330 8th Ave S Federal Way, WA 98003 253.945.2045 During the course of the...
Finding ref number: 2022-001 Finding caption: The District did not have adequate internal controls for ensuring compliance with wage rate requirements. Name, address, and telephone of District contact person: Jeri Carlson 33330 8th Ave S Federal Way, WA 98003 253.945.2045 During the course of the audit, the District immediately took steps to obtain and review all certified payroll documents from the beginning of the project to current and verified that the contractor was compliant with federal prevailing wage rules. This information was provided to the Auditors. The District has already taken steps to ensure the additional compliance steps are followed for federally funded construction projects. The District will also ensure staff are appropriately trained on these requirements.
View Audit 17953
Horizon Education Centers
OH
Reporting Matching / Level of Effort / Earmarking
Finding 2022-001 Summary: Although Horizon?s data collection form for the year end ended December 31, 2021 was not submitted to the FAC within the 30 days after the receipt of the auditor?s reports, that was more than nine months after the end of the audit period. The firm engaged by Horizon to p...
Finding 2022-001 Summary: Although Horizon?s data collection form for the year end ended December 31, 2021 was not submitted to the FAC within the 30 days after the receipt of the auditor?s reports, that was more than nine months after the end of the audit period. The firm engaged by Horizon to prepare the report was hard hit with staffing issues and Covid and they were severely behind schedule. Corrective Action: Horizon has engaged a different firm to prepare the 2022 report. They plan to provide the report to Horizon in August, 2023 and Horizon will submit the data collection form within 30 days thereafter in compliance with the law. Contact Person: Sharon Knaggs, CFO Anticipated Completion Date: August 31, 2023.
View Audit 19400
Finding 23564 (2022-075)
Significant Deficiency 2022
State of Rhode Island
RI
Reporting
The Agency acknowledges the finding and recommendation. The Agency will review finding and recommendation with the Federal Disaster Grant award agency. The Agency will outline the Disaster Grant Process and adjust reporting requirements as required. Anticipated Completion Date: September 1, 2023 ...
The Agency acknowledges the finding and recommendation. The Agency will review finding and recommendation with the Federal Disaster Grant award agency. The Agency will outline the Disaster Grant Process and adjust reporting requirements as required. Anticipated Completion Date: September 1, 2023 Contact Person: Armand Randolph, Recovery Branch Chief Rhode Island Emergency Management Agency armand.randolph@ema.ri.gov
View Audit 23102
Finding 23523 (2022-070)
Material Weakness 2022
State of Rhode Island
RI
Eligibility Subrecipient Monitoring Reporting
In collaboration with DLT and its IES vendor, EOHHS has made plans to move the RI Bridges PEV data query to a later date in the month to ensure PEV occurs after the quarterly DLT SWICA refresh date. This will ensure EOHHS is capturing more delinquent wage records (reported late by employers) before...
In collaboration with DLT and its IES vendor, EOHHS has made plans to move the RI Bridges PEV data query to a later date in the month to ensure PEV occurs after the quarterly DLT SWICA refresh date. This will ensure EOHHS is capturing more delinquent wage records (reported late by employers) before the file is sent. EOHHS and DLT are also assessing an option to add a monthly SWICA update file in addition to the existing quarterly file. Furthermore, EOHHS is pursuing system enhancements to integrate state wage data provided by Equifax?s The Work Number (TWN) to RI Bridges. Adding TWN data, which is provided by pay period, to quarterly SWICA files would enable RI Bridges to process renewals and validate post-eligibility income with more frequently available wage data. Anticipated Completion Date: To Be Determined. EOHHS and DLT continue to discuss technical aspects of a monthly update file exchange. System requirements to integrate Equifax TWN data is included in Medicaid?s SFY24 Annual Planning process and will be scheduled for deployment later in CY2024. Contact Person: Brian Tichenor, RIBridges Medicaid Administrator Executive Office of Health and Human Services brian.tichenor@ohhs.ri.gov
View Audit 23102
Finding 23521 (2022-068)
Significant Deficiency 2022
State of Rhode Island
RI
Reporting Allowable Costs / Cost Principles Cash Management
2022-068a ? EOHHS addressed issues with the TPL loopback file between MMIS and RI Bridges with a permanent system fix. 2022-068b ? EOHHS will assess the current process of Medicaid Administration claiming and develop a revised process to require HHS agencies to submit the reconciliations of their q...
2022-068a ? EOHHS addressed issues with the TPL loopback file between MMIS and RI Bridges with a permanent system fix. 2022-068b ? EOHHS will assess the current process of Medicaid Administration claiming and develop a revised process to require HHS agencies to submit the reconciliations of their quarterly reports to reported expenditures in RIFANS. In addition, the RIFANS documentation will be reviewed and approved prior to submission of the federal report. 2022-068c ? EOHHS will conduct this analysis and create a process to report the MCO tax on the CMS 64.11A. Anticipated Completion Date: December 2023; TPL loopback deployed into RI Bridges production on 5/19/2022. Contact Persons: Brian Tichenor, RIBridges Medicaid Administrator Executive Office of Health and Human Services brian.tichenor@ohhs.ri.gov Allison Shartrand, Assistant Director Financial and Contract Management Executive Office of Health and Human Services allison.shartrand@ohhs.ri.gov Chaz Plungis, Chief of Strategic Planning, Monitoring and Evaluation Executive Office of Health and Human Services charles.plungis@ohhs.ri.gov
View Audit 23102
Finding 23520 (2022-067)
Material Weakness 2022
State of Rhode Island
RI
Questioned Costs Allowable Costs / Cost Principles Internal Control / Segregation of Duties
2022-067a ? In amendment 5 with the health plans, signed in the fall of 2021, EOHHS strengthened its contractual requirements with the health plans by requiring the plans to reconcile differences between claims submitted and accepted via the encounter submission process to encounterable claims as re...
2022-067a ? In amendment 5 with the health plans, signed in the fall of 2021, EOHHS strengthened its contractual requirements with the health plans by requiring the plans to reconcile differences between claims submitted and accepted via the encounter submission process to encounterable claims as reported in the quarterly financial data cost reports within 0.1%. The contract at section 2.13.02.04 includes the following language: ?Contractor is responsible to reconcile Financial Data Cost Report (FDCR) cost allocations and the File Submission Report (FSR), which contains the encounter data reporting outlined above. The reported Incurred Expenditures submitted in the File Submission Report must align with the sum of the Direct Paid, Non-State Plan Paid, and Subcapitated Proxy Paid expenditures submitted in the Financial Data Cost Report for each state fiscal year within the point one percent (.1%) threshold. The FSR and FDCR used for this comparison will include the same paid run-out period. Failure to meet threshold will result in financial penalty and/or corrective action by EOHHS as outlined in ?Rhode Island Medicaid Managed Care Encounter Data Methodology, Thresholds and Penalties for Non-Compliance.?? Achieving this level of compliance has proven more difficult than anticipated. To date, EOHHS has not imposed any financial penalties as a result of this new requirement. We have, however, worked proactively with the health plans to resolve outstanding issues and reconcile differences. EOHHS staff meet with managed care staff regularly throughout the month to resolve issues that arise during the claims submission process and to determine the root cause for claim rejections. This work is ongoing. EOHHS plans to further strengthen its oversight and improve plan compliance with the procurement of the managed care contracts. That revised encounter data quality plan, which is subject to further modification into the fall as we prepare the revised procurement documentation, is available on EOHHS?s website, here: https://eohhs.ri.gov/sites/g/files/xkgbur226/files/2021-10/4.1-rhode-island-medicaid-managed-care-encounter-data-quality-measurement-20210826.pdf Anticipated Completion Date: Ongoing Contact Person: Bill McQuade, Chief of Program Analytics Executive Office of Health and Human Services bill.mcquade@ohhs.ri.gov 2022-067b ? Over the course of the last two FY audits, EOHHS continued to make improvements to automatically identify and terminate Medicaid eligibility for deceased individuals. EOHHS has completed root cause analysis and has submitted business requirements for SFY24 Annual Planning to resolve downstream issues in the MMIS when Date of Death (DoD) is not received from RI Bridges or associated interface. EOHHS has submitted both an interim business plan (IBP) and permanent system interface modification to align date of death data between RI Bridges and MMIS. Anticipated Completion Date: Ongoing. IBP is scheduled for implementation in June 2023, while the permanent system modification will be scheduled later in CY2024 post SFY24 annual planning decisions. Contact Person: Brian Tichenor, RIBridges Medicaid Administrator Executive Office of Health and Human Services brian.tichenor@ohhs.ri.gov
View Audit 23102 Questioned Costs: $1
Finding 23496 (2022-002)
Significant Deficiency 2022
Autonomous Municipality of Caguas
PR
Procurement, Suspension & Debarment Reporting Significant Deficiency § 200.1
Management concurs with the finding. The year-end closing process has improved significantly over the past years and we will continue to strengthen controls over financial reporting to reduce the time required to perform year-end analyses and the closing process. Specifically, analyses and adjustmen...
Management concurs with the finding. The year-end closing process has improved significantly over the past years and we will continue to strengthen controls over financial reporting to reduce the time required to perform year-end analyses and the closing process. Specifically, analyses and adjustments to contract obligations and purchase orders will be performed on a quarterly basis to complete the reconciliation of year-end balances and transactions in July, within the time constraint. In addition, the Municipality immediately implemented a three-step quality control to the quarterly report?s submission (Preparer / Reviewer / Approval) to ensure that the amounts reported are in accordance with the accounting records. IMPLEMENTATION DATE Ongoing Process RESPONSIBLE PERSON Finance Department
View Audit 19310
Finding 23495 (2022-001)
Significant Deficiency 2022
Autonomous Municipality of Caguas
PR
Subrecipient Monitoring Procurement, Suspension & Debarment Reporting
The Municipality will be evaluating possible training alternatives so that personnel from different Offices such as the Planning Office, Municipal Secretary, Internal Audit and Department of Housing can take them. In turn, the following link will be provided: https://www. Hudexchange.infor/trainings...
The Municipality will be evaluating possible training alternatives so that personnel from different Offices such as the Planning Office, Municipal Secretary, Internal Audit and Department of Housing can take them. In turn, the following link will be provided: https://www. Hudexchange.infor/trainings/cources/ffata-subaward-reporting-system-webinar-for-cdbg-grantees1/, which is a one hour training course that is on the HUD Exchange platform on the FFATA Reporting System. IMPLEMENTATION DATE During fiscal year 2023 RESPONSIBLE PERSON Zaid Diaz Isaac, Program Director
View Audit 19310
Finding 23462 (2022-058)
Significant Deficiency 2022
State of Rhode Island
RI
Reporting Internal Control / Segregation of Duties § 200.303
Thoroughly review requirements of Higher Education Emergency Relief Funds, HEERF Student Aid Portion Public Reporting Requirements, 86 FR 26213. Adjust website to ensure that all reporting requirements are properly posted. Identify and document roles and applicable procedures as it related to HEERF...
Thoroughly review requirements of Higher Education Emergency Relief Funds, HEERF Student Aid Portion Public Reporting Requirements, 86 FR 26213. Adjust website to ensure that all reporting requirements are properly posted. Identify and document roles and applicable procedures as it related to HEERF federal reporting to ensure continuity as employee responsibilities change. As part of the procedures, institute a cross-departmental approval process to ensure new or existing HEERF federal reporting requirements are met. Anticipated Completion Date: March 31, 2023 Contact Person: Victoria McNeil, Senior Associate Director, Enrollment Services University of Rhode Island victoria.mcneil@uri.edu
View Audit 23102
Finding 23461 (2022-057)
Significant Deficiency 2022
State of Rhode Island
RI
Reporting Matching / Level of Effort / Earmarking
Rhode Island College has provided additional training to the employee responsible for timely reporting and documentation of the reports. Additionally, the College has set up additional reviews and reminders to ensure that the data reported is timely and documented. Anticipated Completion Date: Com...
Rhode Island College has provided additional training to the employee responsible for timely reporting and documentation of the reports. Additionally, the College has set up additional reviews and reminders to ensure that the data reported is timely and documented. Anticipated Completion Date: Completed Contact Person: Nelia Kruger, Controller Rhode Island College nkruger@ric.edu
View Audit 23102
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