Corrective Action Plans

Browse how organizations respond to audit findings

Total CAPs
51,573
In database
Filtered Results
17,522
Matching current filters
Showing Page
8 of 701
25 per page

Filters

Clear
Active filters: Reporting
Corrective action Plan: Due to the termination of activities as mentioned in Note 8 of the financial statements, the Organization is unable to develop and implement a corrective action plan.
Corrective action Plan: Due to the termination of activities as mentioned in Note 8 of the financial statements, the Organization is unable to develop and implement a corrective action plan.
Finding 2025-001: Significant deficiency in internal controls over compliance and immaterial noncompliance Corrective Action Planned: Connected Lane County updated internal control processes, approved by the board on 05.21.25, which significantly reduced year end processing delays and the number of ...
Finding 2025-001: Significant deficiency in internal controls over compliance and immaterial noncompliance Corrective Action Planned: Connected Lane County updated internal control processes, approved by the board on 05.21.25, which significantly reduced year end processing delays and the number of corrections needed to complete the audit. The audit for fiscal year 2025 ending on June 30, 2025 was completed within seven months of the end of the fiscal year. Person(s) Responsible: Jesse Nelson, Executive Director and Mary Bell, Finance Manager Anticipated Completion Date: 09.01.2025
Finding 1172537 (2025-001)
Material Weakness 2025
Fatherhood Connection (FIRE) – Assistance Listing No. 93.086 Recommendation: The Center should implement a strategy of using time and effort documentation in determining payroll costs charged to grants. Explanation of disagreement with audit finding: There is no disagreement with the audit finding. ...
Fatherhood Connection (FIRE) – Assistance Listing No. 93.086 Recommendation: The Center should implement a strategy of using time and effort documentation in determining payroll costs charged to grants. Explanation of disagreement with audit finding: There is no disagreement with the audit finding. Action taken in response to finding: Management is in the process of implementing a policy to track time and effort of salaried employees. Name(s) of the contact person(s) responsible for corrective action: David Oppenlander, CFO Planned completion date for corrective action plan: January 31, 2026
Finding 2025-013: Schedule of Expenditures of Federal Awards (SEFA) Reporting Corrective Action: The District will implement formal procedures to ensure that the Schedule of Expenditures of Federal Awards (SEFA) is complete, accurate, and fully reconciled to the general ledger for all federal funds ...
Finding 2025-013: Schedule of Expenditures of Federal Awards (SEFA) Reporting Corrective Action: The District will implement formal procedures to ensure that the Schedule of Expenditures of Federal Awards (SEFA) is complete, accurate, and fully reconciled to the general ledger for all federal funds expended. Specific Actions: • Develop a written procedure to track federal grant expenditures, including ARP ESSER, Title programs, and other federal awards, throughout the fiscal year. • Reconcile all federal expenditures to the general ledger prior to preparing the SEFA. • Require supervisory review and approval of the SEFA to confirm completeness, accuracy, and proper reporting of all federal award expenditures. • Provide training to accounting staff on federal reporting requirements, including SEFA preparation and reconciliation procedures. • Maintain documentation of reconciliations and supporting records for audit purposes. Responsible Party: School Business Manager Anticipated Completion Date: Procedures implemented by March 31, 2026, with ongoing monitoring for each fiscal year thereafter.
Finding 2025-012: Untimely ARP ESSER Reporting Corrective Action: The District will establish a formal federal reporting compliance process to ensure timely, complete, and accurate submission of all required ARP ESSER and other federal reports. Specific Actions: • Develop a centralized federal compl...
Finding 2025-012: Untimely ARP ESSER Reporting Corrective Action: The District will establish a formal federal reporting compliance process to ensure timely, complete, and accurate submission of all required ARP ESSER and other federal reports. Specific Actions: • Develop a centralized federal compliance calendar that includes all required deadlines, including ARP ESSER FS-10F Final Expenditure Reports. • Create written procedures for periodic review and tracking of upcoming federal reporting deadlines. • Assign responsibility to designated staff to monitor reporting requirements and coordinate timely submission. • Conduct supervisory review of all federal reports prior to submission to ensure completeness and accuracy. • Provide training to staff responsible for federal reporting on deadlines, procedures, and compliance requirements. Responsible Party: School Business Manager Anticipated Completion Date: Procedures implemented by March 31, 2026, with ongoing monitoring thereafter.
Recommendation: We recommend the University reevaluate its procedures and review policies surrounding reporting status changes to NSLDS to put a process in place to ensure the student status changes are being reported timely. Explanation of disagreement with audit finding: There is no disagreement w...
Recommendation: We recommend the University reevaluate its procedures and review policies surrounding reporting status changes to NSLDS to put a process in place to ensure the student status changes are being reported timely. Explanation of disagreement with audit finding: There is no disagreement with the audit finding. Action taken in response to finding: The Registrar’s Office has put in place steps to ensure that any exception reports from the Clearinghouse are immediately reviewed and any exceptions are addressed and resubmitted. In addition, the Registrar’s Office has put in place steps to ensure that students are submitted to the Clearinghouse early enough so that they will still be submitted by the Clearinghouse to NSLDS timely, even if there are delays by the Clearinghouse. Name(s) of the contact person(s) responsible for corrective action: Kristin Dvorak, University Registrar; Kevin Moenkhaus, Associate Registrar Planned completion date for corrective action plan: January 2026
Condition: The same individual is responsible for preparing and submitting monthly reimbursement claims for the Child Nutrition Program without an independent review or approval prior to submission. Plan: A second person will compare the meal counts in the claim to: (1) the daily meal counts prepare...
Condition: The same individual is responsible for preparing and submitting monthly reimbursement claims for the Child Nutrition Program without an independent review or approval prior to submission. Plan: A second person will compare the meal counts in the claim to: (1) the daily meal counts prepared by cafeteria staff and (2) the monthly enrollment reports from the accounting software. The reviewer will then sign and date the supporting documentation before the meal claim is submitted. Anticipated date of completion: December 2025. Name of contact person: Jake Flowers, Superintendent. Management response: The corrective action plan was discussed with the employees responsible for filing the claim and the superintendent. After discussion, the plan was approved by the superintendent and will be adopted.
5. SA-2025-01 a. Deficiency: Employees funded with Title I grant funds should document their time worked for the grant in line with time and effort requirements of the grant. b. Cause: The District did not consistently meet Title I time and effort documentation requirements for certain employees dur...
5. SA-2025-01 a. Deficiency: Employees funded with Title I grant funds should document their time worked for the grant in line with time and effort requirements of the grant. b. Cause: The District did not consistently meet Title I time and effort documentation requirements for certain employees during the audit period. This occurred due to staffing changes and turnover within the federal grant which resulted in retro pay and funding corrections, which resulted in inconsistent time and effort documentation. In addition, there was a lack of centralized oversight to ensure that time and effort records were completed timely and retained in accordance with federal requirements. c. Corrective Action: The District has taken steps to review time and effort allocations, processes and requirements. Training will be provided to applicable employees and supervisors to reinforce federal requirements and expectations.
Item 2025-002 USDA Commodities Distributed Significant Deficiency Recommendation: The Organization should implement IT security measures, including offsite backups and disaster recovery testing, to ensure critical compliance documentation is preserved and accessible in the event of a system failure ...
Item 2025-002 USDA Commodities Distributed Significant Deficiency Recommendation: The Organization should implement IT security measures, including offsite backups and disaster recovery testing, to ensure critical compliance documentation is preserved and accessible in the event of a system failure or cyberattack. Management Views: Management agrees with the finding. Action Planned: In 2026 the Food Bank will begin a regular schedule of testing disaster recovery and backup recovery. Anticipated Completion date: April 30, 2026 Responsible Party: Karla Davis, Chief Financial Officer
Noncompliance with Enrollment Status Change Reporting. Auditor Description of Condition and Effect. Of 18 enrollment status changes tested, we noted 1 change that was not reported to the National Student Loan Data System (NSLDS) within 60 days due to a student being assigned a different coding struc...
Noncompliance with Enrollment Status Change Reporting. Auditor Description of Condition and Effect. Of 18 enrollment status changes tested, we noted 1 change that was not reported to the National Student Loan Data System (NSLDS) within 60 days due to a student being assigned a different coding structure within the College's system which resulted in the student being excluded from the standard status-change reporting process. As a result of university personnel using the incorrect semester start dates. As a result of this condition, the College was temporarily out of compliance with enrollment reporting requirements. Auditor Recommendation. We recommend the College review and update its enrollment reporting processes to ensure that all students-including those with unique or foreign-student coding-are captured in routine status-change monitoring and NSLDS reporting procedures. The College should implement controls to detect nonstandard coding and ensure that all enrollment changes are identified and reported within required federal timelines. Corrective Action. Bay College took swift action after determining some students were being excluded in our enrollment reporting. Our reporting process was excluding students who were noted as being a citizen of a foreign county. We now review these students prior to each reporting cycle to determine if they should be included in the reporting. The Financial Aid team reviews this report to determine if the student is eligible for federal student aid. Students who are eligible are indicated and provided to the Institutional Effectiveness team to include in the enrollment reporting. This process is completed prior to each reporting cycle. For students who were not included in our prior reporting, the Financial Aid team working directly with the Institutional Effectiveness team, determined which should be reported and completed their enrollment reporting directly through NSLDS. Responsible Person. Ruth Carlson, Director of Financial Aid. Anticipated Completion Date. June 30, 2026
Finding 2025-001: Reporting – Significant deficiency in internal controls over compliance. Management Response: The District’s Child Nutrition Assistant Director (AD) prepared the claims data submitted into the Tx-UNPS System to receive Child Nutrition federal funding. The claims data was submitted ...
Finding 2025-001: Reporting – Significant deficiency in internal controls over compliance. Management Response: The District’s Child Nutrition Assistant Director (AD) prepared the claims data submitted into the Tx-UNPS System to receive Child Nutrition federal funding. The claims data was submitted without management approval. The District will implement procedures to ensure that monthly claim reports are reviewed by the Chief Operations Officer (COO) prior to being submitted into Tx-UNPS System. The AD will prepare the claims report documentation, which includes the point of sale and attendance reports. The claims report and supporting documentation will be emailed to the COO. Once the reports are reviewed and determined to be accurate, the COO will email approval. Once the AD receives approval via email from the COO, the email will be printed or digitally saved with the claims reports. The AD will submit claims data into the Tx-UNPS System and print the NSLP Claim for Reimbursement Summary. The Summary will be sent to the COO for confirmation. The new process will begin in October 2025.
This segregation of duties weakness is impratical to totally correct due to the limited resources and staff available to the district. The District will continue to use other controls, where practical, to compensate for this limitation.
This segregation of duties weakness is impratical to totally correct due to the limited resources and staff available to the district. The District will continue to use other controls, where practical, to compensate for this limitation.
Subject: Management response to Fiscal Year 2025 Audit Findings The management of Village Tech Schools acknowledges receipt of the following findings for the FY25 audit and has developed a corrective action plan response to address the findings. Finding 2025-001: Reporting – Significant deficiency i...
Subject: Management response to Fiscal Year 2025 Audit Findings The management of Village Tech Schools acknowledges receipt of the following findings for the FY25 audit and has developed a corrective action plan response to address the findings. Finding 2025-001: Reporting – Significant deficiency in internal controls over compliance. Management Response: The District’s Child Nutrition Supervisor (CNS) prepared the claims data submitted into the Tx-UNPS System to receive Child Nutrition federal funding. The claims data was submitted without management approval. The District will implement procedures to ensure that monthly claim reports are reviewed by the Chief Operations Officer (COO) prior to being submitted into Tx-UNPS System. The CNS will prepare the claims report documentation, which includes the point of sale and attendance reports. The claims report and supporting documentation will be emailed to the COO. Once the reports are reviewed and determined to be accurate, the COO will email approval. Once the CNS receives approval via email from the COO, the email will be printed or digitally saved with the claims reports. The CNS will submit claims data into the Tx-UNPS System and print the NSLP Claim for Reimbursement Summary. The Summary will be sent to the COO for confirmation. The new process will begin in October 2025.
Magnolia Manor Corporation has taken steps to ensure that the Replacement Reserve account will not be underfunded by withdrawing funds to cover the Operating Account. The underfunded amount of $2,688.00 has been deposited on August 20, 2025, and $306.00 has been deposited on September 15, 2025. Magn...
Magnolia Manor Corporation has taken steps to ensure that the Replacement Reserve account will not be underfunded by withdrawing funds to cover the Operating Account. The underfunded amount of $2,688.00 has been deposited on August 20, 2025, and $306.00 has been deposited on September 15, 2025. Magnolia Manor Corporation has reviewed the auditors' recommendation and will ensure that more thorough monthly reviews will be implemented.
Effective immediately, ULGC will seek to engage an external financial consultant to provide formal training under the direction of Reginald F. Smith II, President and CEO. Training will be targeted to the accounting team, including the Director of Accounting, and will focus on GAAP compliance, timel...
Effective immediately, ULGC will seek to engage an external financial consultant to provide formal training under the direction of Reginald F. Smith II, President and CEO. Training will be targeted to the accounting team, including the Director of Accounting, and will focus on GAAP compliance, timely month-end closing procedures, grant revenue recognition, indirect cost allocation, accurate cash application to accounts receivable, and SEFA preparation.
Corrective Action Plan Matchbook Learning Schools of Indiana, Inc. Finding 2025-001 – Maintenance of Effort (MOE) Federal Program: Title I, Part A (84.010) Repeat Finding: Yes (Prior Audit Finding 2024-004) Corrective Action Plan Matchbook Learning Schools of Indiana, Inc. acknowledges the Maintenan...
Corrective Action Plan Matchbook Learning Schools of Indiana, Inc. Finding 2025-001 – Maintenance of Effort (MOE) Federal Program: Title I, Part A (84.010) Repeat Finding: Yes (Prior Audit Finding 2024-004) Corrective Action Plan Matchbook Learning Schools of Indiana, Inc. acknowledges the Maintenance of Effort (MOE) finding related to the accuracy of expenditures reported on the Form 9 cash-basis report submitted to the Indiana Department of Education (IDOE). This finding is a repeat finding from the prior audit period. The School recognizes that prior corrective actions were not sufficient to fully address the reliability of Form 9 reporting. As a result, the School has enhanced and formalized internal controls surrounding Form 9 preparation, review, and submission to ensure compliance with IDOE guidelines and to prevent recurrence of this issue. Corrective Actions Implemented 1. Formal Form 9 Reconciliation Process ○ The School has implemented a documented reconciliation process to compare internal cash-basis financial records to the Form 9 prior to submission. ○ This reconciliation ensures that only allowable cash expenditures are reported and that reported totals align with bank activity and supporting documentation. 2. Strengthened Review and Approval Controls ○ Preparation of the Form 9 is now subject to a multi-level review process. ○ The Form 9 will be reviewed by the School’s financial consultant and School leadership to confirm accuracy, compliance with IDOE reporting guidance, and consistency with underlying financial records prior to submission. 3. Written Procedures and Staff Training ○ Written internal procedures have been developed outlining Form 9 preparation requirements, including proper treatment of accruals, timing differences, and non-cash items. ○ Staff involved in financial reporting have received refresher training on IDOE Form 9 reporting requirements and maintenance of effort considerations. 4. Ongoing Monitoring and Communication ○ The School will perform periodic internal monitoring of cash-basis expenditures throughout the fiscal year to identify potential discrepancies prior to year-end reporting. ○ When necessary, the School will proactively communicate with IDOE to clarify reporting requirements before submission. Responsible Officials ● Board of Directors ● School Leadership ● Director of Finance Planned Completion Date ● Immediate and Ongoing These procedures have been implemented and will be applied to the current and all future reporting periods. Expected Results The implementation of these enhanced internal controls will ensure that Form 9 expense reporting is accurate, complete, and prepared in accordance with IDOE guidelines. This will support reliable Maintenance of Effort calculations by IDOE and is expected to prevent recurrence of this finding in future audit periods. Don Stewart COO Matchbook Learning
The board of trustees regularly reviews financial statements, bank reconciliations, and budget vs. actual information to help to mitigate the lack of ideal segregation of duties.
The board of trustees regularly reviews financial statements, bank reconciliations, and budget vs. actual information to help to mitigate the lack of ideal segregation of duties.
AUDIT FINDING Finding 2025-001 NSLDS Status Reporting Error MANAGEMENT'S COMMENTS ON FINDINGS AND RECOMMENDATIONS MANAGEMENT'S We concur with the auditor’s finding and identification of a deficiency in our internal controls. CORRECTIVE ACTION PLAN We will enact stronger controls to ensure that all f...
AUDIT FINDING Finding 2025-001 NSLDS Status Reporting Error MANAGEMENT'S COMMENTS ON FINDINGS AND RECOMMENDATIONS MANAGEMENT'S We concur with the auditor’s finding and identification of a deficiency in our internal controls. CORRECTIVE ACTION PLAN We will enact stronger controls to ensure that all future enrollment reporting is submitted timely. EMPLOYEE/ DIVISION RESPONSIBLE Financial Aid Director TIMELINE AND ESTIMATED COMPLETION DATE Immediately
SEE SEFA REPORT FOR CAP ON FINDING 2025-002
SEE SEFA REPORT FOR CAP ON FINDING 2025-002
SEE SEFA REPORT FOR CAP ON FINDING 2025-001
SEE SEFA REPORT FOR CAP ON FINDING 2025-001
Management implemented corrective actions to strengthen internal controls over the Data Collection Form submission process, including assigning responsibility to a designated individual and monitoring submission deadlines to ensure timely filing in future periods. Name of contact person responsible ...
Management implemented corrective actions to strengthen internal controls over the Data Collection Form submission process, including assigning responsibility to a designated individual and monitoring submission deadlines to ensure timely filing in future periods. Name of contact person responsible for corrective action plan: Renee Moynagh, Chief Financial Officer. Current Status: The finding has been corrected effective December, 2025.
Management acknowledges the missing internal control over the late submission of the updated financial model/plan for the fiscal year end June 30, 2024. Management has maintained an effective internal control tool for many years in the form of a master spreadsheet called the Annual Task Calendar tha...
Management acknowledges the missing internal control over the late submission of the updated financial model/plan for the fiscal year end June 30, 2024. Management has maintained an effective internal control tool for many years in the form of a master spreadsheet called the Annual Task Calendar that the entire Finance staff reviews at every biweekly Finance meeting, but the WIFIA deadlines were errantly not incorporated into that tool until January 2026. While management agrees with the finding, it should be noted that management was not operating without controls. Rather, the deadline being adhered to was just the wrong date. Management submitted updated financial model/plan by January 31, 2025, which was within the month following the close of the calendar year, similarly to the quarterly construction reports that are due 30 days after the end of the preceding quarter. In addition, the data on the annual model reflected current information near the time of release of the report, not June 30, 2024. So, in substance, management provided an even more current, relevant document. Management acknowledges the additional finding language that the June 30, 2025 quarterly construction monitoring report was submitted on day 31 rather than day 30 following the close of the quarter. Finally, management acknowledges that the annual updated financial model/plan for June 30, 2025, will be submitted in January 2026 as the internal control, as mentioned above, was not corrected until January 2026, which will result in the same finding on the Single Audit for June 30, 2026. However, management believes that we have taken the appropriate measures required to avoid ongoing replication. Responsible Official: Matt Zook, Finance Director
The Organization has set up a system to review transfers of federal funding by the Senior Asset Manager and Chief Financial Officer prior to the transfer taking place to ensure it is within the compliance requirements of the grant
The Organization has set up a system to review transfers of federal funding by the Senior Asset Manager and Chief Financial Officer prior to the transfer taking place to ensure it is within the compliance requirements of the grant
The security deposit discrepancy will be rectified
The security deposit discrepancy will be rectified
The Salvation Army submitted a BBRI which requested increased rents and releases from reserves to pay accounts payable as well as approval of loans from the Sponsor to cover accounts payable that could not be paid from reserves. This would enable the reserves to be paid on a go forward basis. In add...
The Salvation Army submitted a BBRI which requested increased rents and releases from reserves to pay accounts payable as well as approval of loans from the Sponsor to cover accounts payable that could not be paid from reserves. This would enable the reserves to be paid on a go forward basis. In addition, the next step will be a BBRI for the RAD for PRAC conversion.
« 1 6 7 9 10 701 »