Corrective Action Plans

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2023-003 Uniform Guidance Written Policies and Procedures Significant Deficiency in Internal Control and Compliance According to the USDA-RD, the Tongue River Valley Joint Powers Board/The Tongue River Gas distribution project is exempt from being compliant with the Davis Bacon Labor Laws. Therefore...
2023-003 Uniform Guidance Written Policies and Procedures Significant Deficiency in Internal Control and Compliance According to the USDA-RD, the Tongue River Valley Joint Powers Board/The Tongue River Gas distribution project is exempt from being compliant with the Davis Bacon Labor Laws. Therefore, the Board believes this finding is not applicable. The bidding and bonding process for the construction of the Natural Gas Distribution system complied with all Federal Regulations. The current activities are funded by user fee which are in part used to make loan payments.
View Audit 322395 Questioned Costs: $1
Subject: Hennepin County’s 2023 Corrective Action Plan Finding# 2023-004 Significant Deficiency in Internal Control—Schedule of Expenditures of Federal Awards (SEFA) Program(s): National Bioterrorism Hospital Preparedness Program (ALN 93.889); Immunization Cooperative Agreements (ALN 93. 268); COV...
Subject: Hennepin County’s 2023 Corrective Action Plan Finding# 2023-004 Significant Deficiency in Internal Control—Schedule of Expenditures of Federal Awards (SEFA) Program(s): National Bioterrorism Hospital Preparedness Program (ALN 93.889); Immunization Cooperative Agreements (ALN 93. 268); COVID-19 Epidemiology and Laboratory Capacity for Infectious Diseases (ELC)(ALN 93. 323); Child Support Services (ALN 93. 563); State Administrative Matching Grants for the Supplemental Nutrition Assistance Program (ALN 10.561) Type of Finding: Significant Deficiency in Internal Control over Compliance; Other Matter Compliance Finding Condition: While testing the SEFA, we noted that internal controls were not operating effectively over the preparation of the SEFA. In addition, we noted the following errors in the original SEFA we received for the audit: • $1,284,631 of expenditures were improperly included in ALN 93.889 when the amount should have been included in ALN 93.268. • $30,394 of expenditures was improperly included in ALN 93.889 when the amount should have been included in ALN 93.323. • $626,894 of expenditures related to ALN 93.563 was missing from the schedule. • $61,290 of expenditures related to ALN 10.561 was missing from the schedule. Hennepin County’s Corrective Action Planned in Response to Finding: The County will continue to strengthen controls over the preparation of the SEFA. Hennepin County Employee Responsible for the CAP: Elena Doran Planned Completion Date for CAP: September 30, 2024
Subject: Hennepin County’s 2023 Corrective Action Plan Finding# 2023-010 Reporting Program: Congressional Directives (ALN 93.493) Type of Finding: Significant Deficiency in Internal Control over Compliance Condition: The county hospital could not provide documentation that review and approval...
Subject: Hennepin County’s 2023 Corrective Action Plan Finding# 2023-010 Reporting Program: Congressional Directives (ALN 93.493) Type of Finding: Significant Deficiency in Internal Control over Compliance Condition: The county hospital could not provide documentation that review and approval of the semi-annual progress report was conducted prior to the report being submitted. Hennepin County’s Corrective Action Planned in Response to Finding: The semi-annual report information was provided by both program staff and the Grants Accounting Department and submitted by the Grants Director. However, there was no documentation kept of a review. Management has implemented a process to document the review and approval prior to the semi-annual report being submitted. Hennepin County Employee Responsible for the CAP: Mark Willmert Planned Completion Date for CAP: December 31, 2024
Subject: Hennepin County’s 2023 Corrective Action Plan Finding# 2023-009 Cash Management Program: Congressional Directives (ALN 93.493) Type of Finding: Significant Deficiency in Internal Control over Compliance Condition: The county hospital could not provide documentation that a review and ...
Subject: Hennepin County’s 2023 Corrective Action Plan Finding# 2023-009 Cash Management Program: Congressional Directives (ALN 93.493) Type of Finding: Significant Deficiency in Internal Control over Compliance Condition: The county hospital could not provide documentation that a review and approval of grant reimbursement requests was conducted prior to the request being submitted for payment. Hennepin County’s Corrective Action Planned in Response to Finding: Hennepin Healthcare System, Inc. (HHS) has processes in place to review and approve grant reimbursement requests however this was not documented for this grant in 2023. HHS will review all current grants as well as new grants to ensure this documentation is being captured. Hennepin County Employee Responsible for the CAP: Mark Willmert Planned Completion Date for CAP: December 31, 2024
Subject: Hennepin County’s 2023 Corrective Action Plan Finding# 2023-008 Activities Allowed or Unallowed; Allowable Costs/Cost Principles; Eligibility Program: Foster Care Title IV-E (ALN 93.658) Type of Finding: Significant Deficiency in Internal Control over Compliance Condition: While we were...
Subject: Hennepin County’s 2023 Corrective Action Plan Finding# 2023-008 Activities Allowed or Unallowed; Allowable Costs/Cost Principles; Eligibility Program: Foster Care Title IV-E (ALN 93.658) Type of Finding: Significant Deficiency in Internal Control over Compliance Condition: While we were able to test manual compensating controls over activities allowed or unallowed, allowable costs/cost principles and eligibility, we were not able to review and test the automated application controls and the related ITGCs within the MAXIS and SSIS systems that reside within the State of Minnesota, but are utilized by the County, to determine whether the system controls are adequately designed and implemented and operating effectively. Hennepin County’s Corrective Action Planned in Response to Finding: Hennepin County will encourage the State to provide an independent audit of the design and implementation of MAXIS and SSIS system controls for the benefit of all counties. Hennepin County Employee Responsible for the CAP: Andra Roethler Planned Completion Date for CAP: December 31, 2024
Subject: Hennepin County’s 2023 Corrective Action Plan Finding# 2023-005 Eligibility Program: WIC Special Supplemental Nutrition Program for Women, Infants, and Children (WIC) (ALN 10.557) Type of Finding: Significant Deficiency in Internal Control over Compliance Condition: While we were able t...
Subject: Hennepin County’s 2023 Corrective Action Plan Finding# 2023-005 Eligibility Program: WIC Special Supplemental Nutrition Program for Women, Infants, and Children (WIC) (ALN 10.557) Type of Finding: Significant Deficiency in Internal Control over Compliance Condition: While we were able to test manual compensating controls over eligibility determination, we were not able to review and test the automated application controls and the related information technology general controls (ITGCs) within the HuBERT system, a state system that is administered by the state and required to be used by the County for eligibility determination, to determine whether controls are adequately designed and implemented and operating effectively. Hennepin County’s Corrective Action Planned in Response to Finding: Hennepin County will encourage the State to provide an independent audit of the design and implementation of HuBERT system controls for the benefit of all counties. Hennepin County Employee Responsible for the CAP: Andra Roethler Planned Completion Date for CAP: December 31, 2024
View of Responsible Official: On September 25, 2024, we notified AmeriCorps of this finding and are seeking concurrence from the AmeriCorps SCP Advisory Council for our programs. Finding resolved timeline: October 15, 2024. Designated of employee position responsible for meeting this deadline: Bruce...
View of Responsible Official: On September 25, 2024, we notified AmeriCorps of this finding and are seeking concurrence from the AmeriCorps SCP Advisory Council for our programs. Finding resolved timeline: October 15, 2024. Designated of employee position responsible for meeting this deadline: Bruce Young-Candelaria, president and Authorized Representative.
View of Responsible Official: We have undertaken additional training and review of regulations in this area to assure compliance. Finding resolved timeline: December 1, 2024. Designated of employee position responsible for meeting this deadline: Bruce Young-Candelaria, President and program Authoriz...
View of Responsible Official: We have undertaken additional training and review of regulations in this area to assure compliance. Finding resolved timeline: December 1, 2024. Designated of employee position responsible for meeting this deadline: Bruce Young-Candelaria, President and program Authorized Representative
View Audit 322381 Questioned Costs: $1
Recommendation: The Authority should review and enhance its internal controls to ensure every timesheet is reviewed and approved by the hourly employee's supervisor. Explanation of disagreement with audit finding: There is no disagreement with the audit finding. Action taken in response to finding: ...
Recommendation: The Authority should review and enhance its internal controls to ensure every timesheet is reviewed and approved by the hourly employee's supervisor. Explanation of disagreement with audit finding: There is no disagreement with the audit finding. Action taken in response to finding: The Authority will review and enhance our policies and procedures over payroll processing, to ensure all timesheets have visual approval by supervisor, and employee files obtain copy of the annual board approved salary worksheet. Name(s) of the contact person(s) responsible for corrective action: Don Bibb, Executive Director Planned completion date for corrective action plan: December 31, 2024
Controls over Allowable Costs Condition: The YMCA is responsible for ensuring that support for all federal expenditures is properly maintained. Criteria: Internal controls need to be sufficient to ensure that support for federal expenditures is available, including receipts that agree to amounts ...
Controls over Allowable Costs Condition: The YMCA is responsible for ensuring that support for all federal expenditures is properly maintained. Criteria: Internal controls need to be sufficient to ensure that support for federal expenditures is available, including receipts that agree to amounts charged to federal grants. Cause: The YMCA experienced turnover in the accounting department and the CFO position. Receipts including purpose were not available for all expenditures charged to the federal grant. Effect: Proper documentation was not available for the audit. Recommendation: We recommend the YMCA institute an internal policy that requires expenditures related to federal awards be retained, including purpose, receipts/invoices, coding, and review of approval. Views of Responsible Officials and Planned Corrective Action: The CFO, along with the financial team will review federal awards and expenses charged to federal programs to ensure amounts are coded in the appropriate manner. The CFO and financial team will ensure that support is retained and available for all expenses charged to federal programs.
View Audit 322351 Questioned Costs: $1
Housing Choice Voucher Cluster – Assistance Listing No. 14.871 and 14.879 Recommendation: We recommend that the Authority review its system of internal control related to the policies and procedures in place to mitigate the risk of noncompliance with the requirements of the stated criteria. Explanat...
Housing Choice Voucher Cluster – Assistance Listing No. 14.871 and 14.879 Recommendation: We recommend that the Authority review its system of internal control related to the policies and procedures in place to mitigate the risk of noncompliance with the requirements of the stated criteria. Explanation of disagreement with audit finding: There is no disagreement with the audit finding. Action taken in response to finding: In order to remedy and mitigate audit findings that have been building over the past several years, PHA has moved to a task-based model, and have begun using production trackers for transparency. After a program management staffing change in March 2024, PHA is now pulling SEMAP reports monthly and conducting internal file audits to monitor program compliance. Name(s) of the contact person(s) responsible for corrective action: Deborah Madsen, Executive Director Planned completion date for corrective action plan: 12/31/2024
Housing Choice Voucher Cluster – Assistance Listing No. 14.871 and 14.879 Recommendation: We recommend that the Authority review its system of internal control related to the policies and procedures in place to mitigate the risk of noncompliance with the requirements of the stated criteria. Explanat...
Housing Choice Voucher Cluster – Assistance Listing No. 14.871 and 14.879 Recommendation: We recommend that the Authority review its system of internal control related to the policies and procedures in place to mitigate the risk of noncompliance with the requirements of the stated criteria. Explanation of disagreement with audit finding: There is no disagreement with the audit finding. Action taken in response to finding: In order to remedy and mitigate audit findings that have been building over the past several years, PHA has moved to a task-based model, and have begun using production trackers for transparency. After a program management staffing change in March 2024, PHA is now pulling SEMAP reports monthly and conducting internal file audits to monitor program compliance. Name(s) of the contact person(s) responsible for corrective action: Deborah Madsen, Executive Director Planned completion date for corrective action plan: 12/31/2024
Housing Choice Voucher Cluster – Assistance Listing No. 14.871 and 14.879 Recommendation: We recommend that the Authority review its system of internal control related to the policies and procedures in place to mitigate the risk of noncompliance with the requirements of the stated criteria. Explanat...
Housing Choice Voucher Cluster – Assistance Listing No. 14.871 and 14.879 Recommendation: We recommend that the Authority review its system of internal control related to the policies and procedures in place to mitigate the risk of noncompliance with the requirements of the stated criteria. Explanation of disagreement with audit finding: There is no disagreement with the audit finding. Action taken in response to finding: In order to remedy and mitigate audit findings that have been building over the past several years, PHA has moved to a task-based model, and have begun using production trackers for transparency. After a program management staffing change in March 2024, PHA is now pulling SEMAP reports monthly and conducting internal file audits to monitor program compliance. Name(s) of the contact person(s) responsible for corrective action: Deborah Madsen, Executive Director Planned completion date for corrective action plan: 12/31/2024
Housing Choice Voucher Cluster – Assistance Listing No. 14.871 and 14.879 Recommendation: We recommend that the Authority review its system of internal control related to the policies and procedures in place to mitigate the risk of noncompliance with the requirements of the stated criteria. Explanat...
Housing Choice Voucher Cluster – Assistance Listing No. 14.871 and 14.879 Recommendation: We recommend that the Authority review its system of internal control related to the policies and procedures in place to mitigate the risk of noncompliance with the requirements of the stated criteria. Explanation of disagreement with audit finding: There is no disagreement with the audit finding. Action taken in response to finding: In order to remedy and mitigate audit findings that have been building over the past several years, PHA has moved to a task-based model, and have begun using production trackers for transparency. After a program management staffing change in March 2024, PHA is now pulling SEMAP reports monthly and conducting internal file audits to monitor program compliance. Name(s) of the contact person(s) responsible for corrective action: Deborah Madsen, Executive Director Planned completion date for corrective action plan: 12/31/2024
Finding 499470 (2023-002)
Significant Deficiency 2023
In 2024, the Corporation implemented a process to obtain single audit affirmation letters annually from subrecipients, if applicable, and confirm as per current understanding and discussions with subreceipients during due diligence process that their funding from US federal government sources during...
In 2024, the Corporation implemented a process to obtain single audit affirmation letters annually from subrecipients, if applicable, and confirm as per current understanding and discussions with subreceipients during due diligence process that their funding from US federal government sources during the agreement period will not exceed $750,000 annually. These steps will ensure proper subrecipient monitoring in alignment with federal regulations.
The Garden is in the process of reviewing its policy surrounding the review process for federal expenditures. The Garden will be implementing an approval process for all expenses on credit cards and other federal charges. Accounting will only charge the expense to the grants once it has verified t...
The Garden is in the process of reviewing its policy surrounding the review process for federal expenditures. The Garden will be implementing an approval process for all expenses on credit cards and other federal charges. Accounting will only charge the expense to the grants once it has verified the expense has gone through the proper approval channels.
Medical Assistance Program – Assistance Listing No. 93.778 Wisconsin Medicaid Cost Reporting (WIMCR) – State ID N/A Recommendation: CLA recommends the County develop and implement a process to require formal review and approval of the WIMCR reports prior to the submission of the report to the stat...
Medical Assistance Program – Assistance Listing No. 93.778 Wisconsin Medicaid Cost Reporting (WIMCR) – State ID N/A Recommendation: CLA recommends the County develop and implement a process to require formal review and approval of the WIMCR reports prior to the submission of the report to the state to help ensure that the data reported are accurate and complete. Explanation of disagreement with audit finding: There is no disagreement with the audit finding. Action taken in response to finding: Upon the prior year finding 2022-001, staff implemented the County’s existing review and approval process for grants administration for WIMCR program reporting effective September 27, 2023. However, the WIMCR report reviewed was submitted on August 5, 2023, prior to the corrective action. Name(s) of the contact person(s) responsible for corrective action: Jennifer Jossie Planned completion date for corrective action plan: September 27, 2023
Contact Person Dara A. Lee, Executive Director Corrective Action Plan The Authority plans to review and make the necessary changes to its year-end financial closing procedures to ensure its financial records are reconciled and available in order to submit its financial data within a timely manner. P...
Contact Person Dara A. Lee, Executive Director Corrective Action Plan The Authority plans to review and make the necessary changes to its year-end financial closing procedures to ensure its financial records are reconciled and available in order to submit its financial data within a timely manner. Planned Completion Date for CAP December 31, 2024
Finding 2023-001- Special Tests Contact Person: William Bane Management Response: Management acknowledges that there were not sufficient controls in place prior to September 28, 2023, to ensure written consent from HUD prior to incurring new debt or lease arrangements. The three lease arrangements i...
Finding 2023-001- Special Tests Contact Person: William Bane Management Response: Management acknowledges that there were not sufficient controls in place prior to September 28, 2023, to ensure written consent from HUD prior to incurring new debt or lease arrangements. The three lease arrangements in question were all entered prior to the controls put in place on September 28, 2023. Current Management had previously established effective controls to ensure written consent is obtained prior to incurring any new debt or lease arrangements.
Finding 499352 (2023-002)
Significant Deficiency 2023
The Cudahy Health Department acknowledges that while the secondary review of grant reports has been standard practice, the process was not documented. Moving forward we created a document and we will maintain annually. Inquiries regarding this plan should be sent to Kelly Sobieski.
The Cudahy Health Department acknowledges that while the secondary review of grant reports has been standard practice, the process was not documented. Moving forward we created a document and we will maintain annually. Inquiries regarding this plan should be sent to Kelly Sobieski.
Finding 499324 (2023-003)
Significant Deficiency 2023
We reviewed how we entered the information regarding both CSLFR expenditures for Centennial Park and S. Main Street. We identified that it should have shown: 2023 Report – Nothing for Centennial Park as a part of a total budget of $400,000 2024 Report - $400,000 for Centennial Park as a part of a t...
We reviewed how we entered the information regarding both CSLFR expenditures for Centennial Park and S. Main Street. We identified that it should have shown: 2023 Report – Nothing for Centennial Park as a part of a total budget of $400,000 2024 Report - $400,000 for Centennial Park as a part of a total budget of $1,812,697. 2023 Report – Nothing for South Main 2024 Report - $585,884 for South Main as a part of a total budget of $$860,665 If it is deemed that an amended report needs to be submitted, we will do that. The City of Hartford contact official is Ms. Jeralyn Multhauf.
Finding 499322 (2023-002)
Significant Deficiency 2023
2023-002 U.S. Department of Housing and Urban Development– Assistance Listing # 14.239 Home Investment Partnerships Program Lack of Segregation of Duties – Significant Deficiency Condition & Criteria: The condition reported as item 2023-001 above also applies to the Township’s internal control o...
2023-002 U.S. Department of Housing and Urban Development– Assistance Listing # 14.239 Home Investment Partnerships Program Lack of Segregation of Duties – Significant Deficiency Condition & Criteria: The condition reported as item 2023-001 above also applies to the Township’s internal control over compliance with the requirements of federal programs. Planned Corrective Action: The Township acknowledges the potential effects of this condition. However, for such a small organization as we are, the Township believes that it would not be cost beneficial to hire additional personnel to provide for adequate segregation of duties at this time. The Board of Supervisors continues to closely monitor the financial transaction processes and has several control procedures in place to provided for as much segregation of duties as possible given the size of the Township’s staff. The following are the control procedures over federal programs that the Township currently has in place: • One Township supervisor is involved in the day-to-day activities of the federal program as he serves as the project manager for all Township projects. • The three Township supervisors personally review and formally approve the list of all bills proposed for payment (including those for federal programs and projects) at their monthly public meetings. In addition, the Township has a requirement that all checks require two authorized signatures, one of which must be a Township supervisor. • Each month’s complete financial statements are reviewed by the three supervisors at the monthly public meetings, and grant activities and updates are presented and discussed as well.
Finding 499321 (2023-001)
Significant Deficiency 2023
2023-001 Internal Control over Financial Reporting - Lack of Segregation of Duties – Significant Deficiency Condition & Criteria: The small size of the Township’s office staff does not allow for adequate segregation of duties. Standard practice regarding the design of a good system of internal cont...
2023-001 Internal Control over Financial Reporting - Lack of Segregation of Duties – Significant Deficiency Condition & Criteria: The small size of the Township’s office staff does not allow for adequate segregation of duties. Standard practice regarding the design of a good system of internal controls relies at least in part on a system of checks and balances accomplished by having different employees performing various functions within the accounting cycle. These checks and balances are not possible when the same person performs all of an interrelated series of tasks. Although the Township does have some compensating controls in place, there are still a number of situations where one person is responsible for all aspects of a transaction. Planned Action: The Township acknowledges the potential effects of this condition. However, for such a small organization as we are, the Township believes that it would not be cost beneficial to hire additional personnel in order to provide for adequate segregation of duties. As a compensating control, the Board continues to closely monitor the financial transaction process and has a number of control procedures in place to provide for the segregation of duties as much as possible given the size of the Township’s staff.
Finding 499311 (2023-004)
Significant Deficiency 2023
Root Cause Analysis: 1. Lack of awareness of federal requirements. Corrective Action(s): 1. Create and maintain detailed equipment logs for all federally funded equipment purchases and obtain training on the proper procedures for equipment record keeping, emphasizing the importance of these logs in ...
Root Cause Analysis: 1. Lack of awareness of federal requirements. Corrective Action(s): 1. Create and maintain detailed equipment logs for all federally funded equipment purchases and obtain training on the proper procedures for equipment record keeping, emphasizing the importance of these logs in federal fund management. 2. Action Item: o Description: Reach out to our Federal grants liaison for recommendation on best training to attend and when they will occur in FY25. Create and maintain a detailed equipment log for all federally funded equipment purchased. o Responsible Person/Department: Director Finance for the Randolph Public Schools. o Expected Completion Date: Training via DESE PD opportunities. Equipment log will be created by 9/2024. o Description:The equipment log will be created and maintained by the Director of Finance for the Randolph Public Schools. o Responsible Person/Department: Director Finance for the Randolph Public Schools. o Expected Completion Date: Log will be created by September 2024.
Finding 499309 (2023-002)
Significant Deficiency 2023
Issue Date: May 23,2024 Audit Reference: 23-002 ARPA P&E Reports Non-Compliance Issue: Intemal Control over Compliance - Significant Deficiency Root Cause: There was a misunderstanding betu'een the Town and its engaged consultants related to the Town's allocation of ARPA funds regarding which entity...
Issue Date: May 23,2024 Audit Reference: 23-002 ARPA P&E Reports Non-Compliance Issue: Intemal Control over Compliance - Significant Deficiency Root Cause: There was a misunderstanding betu'een the Town and its engaged consultants related to the Town's allocation of ARPA funds regarding which entity was fulfilling the reporting requirements to Treasury. The consultants were filing state related reports and it was assumed that the firm was also fiting the required reports to Treasury. Corrective Action(s): l. Action ltem: a. The Town will be responsible for filing required reports to Treasury. b. The accounting office and the Director of Finance/Town Accountant will be responsible for this task. c. The required report for period ending 3131124 was filed timely.
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