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Finding 382620 (2023-001)
Significant Deficiency 2023
Student Financial Aid Cluster – Special Tests and Provisions – NSLDS Recommendation: We recommend that the College continue to enhance its policies and procedures regarding enrollment reporting including additional monitoring over the third-party service provider to ensure that reporting is complet...
Student Financial Aid Cluster – Special Tests and Provisions – NSLDS Recommendation: We recommend that the College continue to enhance its policies and procedures regarding enrollment reporting including additional monitoring over the third-party service provider to ensure that reporting is completed accurately and timely. Explanation of disagreement with audit finding: There is no disagreement with the audit finding. Action taken in response to finding: The Office of the Registrar reports enrollment to NSLDS using the National Student Clearinghouse (NSC). The Registrar’s Office will collaborate with our Information Technology Department to identify and correct all students with erroneous program start dates. As recommended by CLA, the Registrar’s Office is reviewing its process for Clearinghouse submissions in collaboration with the Information Technology Department and Advising Office to ensure that the program-level enrollment effective dates are accurately reflected when a student submits a change of major. Names of the contact persons responsible for corrective action: Sheia Pleasant-Doine and Adam Doine Planned completion date for corrective action plan: May 3, 2024
Major Program: 93.568 - Low Income Home Energy Assistance (Grantor - Department of Health and Social Services) Condition: The 2023 program year heating funds reconciliation report was not completed and submitted to the State of Delaware in a timely manner. Corrective Action Plan: Charities DEAP prog...
Major Program: 93.568 - Low Income Home Energy Assistance (Grantor - Department of Health and Social Services) Condition: The 2023 program year heating funds reconciliation report was not completed and submitted to the State of Delaware in a timely manner. Corrective Action Plan: Charities DEAP program has revised and implemented reconciliation procedures to ensure the program year 2023 heating reconciliation benefit report is completed on April 6, 2024. The final reconciliation report for the 2023 heating benefit refund will be remitted to the State of Delaware Office of Community Services (OCS) in accordance with the established guidelines by April 14, 2024. Process of completion is performed manually: 1. The collection of delivered and non-delivered fuel vendors’ unexpended benefits reports has been obtained from the non-delivered vendors. Completed November 2023. 2. Inter-Agency households’ report of benefits returned to the State of Delaware OCS for the heating season 2023 by the county and by invoice number is in process of being manually completed. 3. The documents noted in procedures 1 and 2 must reconcile with the DEAP billing supervisor report of heating benefits issued - funded and refunded by the vendors. The agency finance unit reporting of paid benefits vs refunded benefits must be compared to the noted reports to verify all report totals equal. 4. The unused benefit report noting the total amount to be returned to the State OCS, is completed once the agency finance unit verification of totals reported in procedures 2 and 3 are accurate for the 2022-2023 heating reconciliation. The program year 2023 reconciliation report will be completed according to OCS’s format and submitted along with the check from the agency for the total amount of the refund. Contact Person Responsible for Corrective Action: Samantha Wallace, Interim Executive Director Anticipated Completion Date of Corrective Action: April 6, 2024
Major Program: 10.558 - Child and Adult Care Food Program (Grantor - Department of Agriculture) Condition: We tested 18 provider files and identified two billing errors within the May 2022 claim submissions. For each instance of error, the number of meals served was incorrectly determined and submit...
Major Program: 10.558 - Child and Adult Care Food Program (Grantor - Department of Agriculture) Condition: We tested 18 provider files and identified two billing errors within the May 2022 claim submissions. For each instance of error, the number of meals served was incorrectly determined and submitted for reimbursement. Corrective Action Plan: Catholic Charities Program Manager, Joanne Varnes, conducted a training on December 19, 2023 with all staff involved in the CACFP that included income eligibility/enrollment categorization and meal count accuracy. Catholic Charities staff will review each income form/enrollment and double check that children’s reimbursement rate is properly categorized based on their family’s income. Staff members will review each claim before it is entered for reimbursement to ensure the claim is accurate. Program Manager, Joanne Varnes, will oversee this process and conduct case record reviews quarterly for all providers under Catholic Charities Sponsorship. Contact Person Responsible for Corrective Action: Samantha Wallace, Interim Executive Director Anticipated Completion Date of Corrective Action: Immediately
Beginning January 31, 2024, DDAP started having internal discussions to determine the most effective and efficient methodology to evaluate the internal controls of the SCAs' data being reported to DDAP during the federal grant period and in the PPRs. Steps currently being taken by DDAP include updat...
Beginning January 31, 2024, DDAP started having internal discussions to determine the most effective and efficient methodology to evaluate the internal controls of the SCAs' data being reported to DDAP during the federal grant period and in the PPRs. Steps currently being taken by DDAP include updating the SCAs' monitoring process for the next annual monitoring cycle for FY 2023-24. The goal is to have a sound methodology with formalized policies and procedures in place by April 2024 to ensure the data collected is sampled for accuracy going forward. To ensure accuracy of the information reported by the SCAs, which is included on the PPRs, DDAP will add verification of this data to the current SCA monitoring process. Specifically, the Project Officers who conduct SCA monitoring will: - Add a question to the SCA Pre-Submission packet: ‘How does your SCA track SOR-funded clients in order to accurately report them on the SOR Report?’ The SCA must specifically state how they are accounting for these clients and how they arrive at the data reported to DDAP. If DDAP determines the process is not acceptable, the SCA will be required to revise and resubmit. - During the virtual monitoring call, Project Officers will review the SCA’s written answer to the question, and ensure they have a full understanding of where the SCA keeps data on SOR-funded clients, and how they access this data to complete the SOR reports. - During the onsite monitoring visit, the Project Officers will take the most recently submitted SOR report and ask the SCA staff to duplicate the steps they used to arrive at the reported numbers. * If the SCA is able to demonstrate how clients are tracked and the steps used to determine the reported numbers produce results consistent with what was submitted in the report, the SCA’s submitted data will be considered verified. * If the SCA is unable to demonstrate how clients are tracked, and the steps used to determine the reported numbers do not produce results consistent with what was submitted in the report, the SCA will be required to implement a process by which they can accurately track this data and report client numbers. Any SCA required to implement a new client-tracking system will be required to submit backup documentation with their SOR reports, until such time as they are able to demonstrate to DDAP that they are accurately tracking clients and can demonstrate the steps used to determine their reported numbers. - This review process and results will be added to the Monitoring Report sent to the SCA at the end of the monitoring cycle, to reflect the SCA’s compliance status. Anticipated Completion Date: 09/30/2024 Contact Names: Susan Duff, Chief, Program Monitoring Division; Autumn Croasmun, Project Director for State Opioid Response III Grant; Tia Roebuck, Director, Division of Budget and Procurement
View Audit 296143 Questioned Costs: $1
1. Upon receiving the annual 4th quarter ACF-196R from the Bureau of Financial Management, the Office of Income Maintenance (OIM) Bureau of Policy (BOP) replies with a confirmation receipt and a reminder to send any future revisions of the report with an email priority of important. 2. OIM, BOP up...
1. Upon receiving the annual 4th quarter ACF-196R from the Bureau of Financial Management, the Office of Income Maintenance (OIM) Bureau of Policy (BOP) replies with a confirmation receipt and a reminder to send any future revisions of the report with an email priority of important. 2. OIM, BOP updated the roles in the On-line Data Collections (OLDC) Grant Solutions portal. 3. OIM, BOP set up OLDC Grant Solutions to generate an email notification for any new submissions, revised submissions, or any previous submissions that are withdrawn. 4. OLDC Grant Solutions notifications received between the months of January and March will receive priority to ensure any necessary amendments to the TANF Annual report (ACF-204) are properly submitted by the March 31 deadline. Anticipated Completion Dates: 1 - 11/30/2024; 2, 3 - Completed; 4 - March 2024 Contact Name: Adam Riggs, Director, Division of Family Assistance, OIM, BOP
Office of Medical Assistance Programs’ Bureau of Data and Claims Management (BDCM) is currently negotiating an amendment to the PROMISe contract with Gainwell Technologies. The amendment will modify the NCCI performance requirement to include a statement equivalent to “Only a state Medicaid agency h...
Office of Medical Assistance Programs’ Bureau of Data and Claims Management (BDCM) is currently negotiating an amendment to the PROMISe contract with Gainwell Technologies. The amendment will modify the NCCI performance requirement to include a statement equivalent to “Only a state Medicaid agency has the discretion to release additional information for selected individual edits or limited ranges of edits from the files posted on the secure RISSNET portal.” Anticipated Completion Date: 06/30/2024 Contact Name: Toni Hoffecker, Dir., Div. of Systems, Monitoring and Oversight, BDCM
L&I: A request has been made to RSA for the correction of the report. A correction will be made by OB-OCO once the report is open. To avoid typographical errors in the future, the CFO and the Division Chief of Budget and Admin will review the report after submission by OB-OCO to ensure the submissio...
L&I: A request has been made to RSA for the correction of the report. A correction will be made by OB-OCO once the report is open. To avoid typographical errors in the future, the CFO and the Division Chief of Budget and Admin will review the report after submission by OB-OCO to ensure the submission is correct. Anticipated Completion Date: 04/15/2024 Contact Name: Zulqarnain Nasir, Chief Financial Officer, OVR, L&I OB-OCO: • General Accounting revised our procedures to include having both the reviewer and preparer match the PDF output to the final Excel spreadsheet. • General Accounting discussed this finding and procedure change with the applicable staff on February 28, 2024 and February 29, 2024. • OVR has requested that the USDE unlock the RSA-17 Report for editing. General Accounting will submit a revised RSA-17 report to USDE once the report is unlocked. Anticipated Completion Date: 04/15/2024 Contact Names: Carson Buck, Commw. Accountant Manager; Kathleen Bolick, Accountant 3
The final report for the grant H126A210056 has already been submitted to the RSA. No changes can be made to the RSA report at this point. A reconciliation process has been introduced which will eliminate period of performance (POP) violations for the current/future grants. Currently, OVR is using th...
The final report for the grant H126A210056 has already been submitted to the RSA. No changes can be made to the RSA report at this point. A reconciliation process has been introduced which will eliminate period of performance (POP) violations for the current/future grants. Currently, OVR is using this method to ensure correction of POP violations for the current VR grants (if any). Adjusting entries to correct the POP violation in SAP will be posted by 04/15/2024 subject to the approval of OB-OCO to open the closed internal orders of the grant. Anticipated Completion Date: 04/15/2024 Contact Name: Zulqarnain Nasir, Chief Financial Officer, OVR
View Audit 296143 Questioned Costs: $1
1. The role was removed from the users’ profiles after the audit period, once the auditors pointed out the issue. 2. Update the user access request form to clarify the circumstances under which privileged roles may be assigned to application users. 3. Evaluate if there is a need for a new role; and...
1. The role was removed from the users’ profiles after the audit period, once the auditors pointed out the issue. 2. Update the user access request form to clarify the circumstances under which privileged roles may be assigned to application users. 3. Evaluate if there is a need for a new role; and if there is not an existing role to accomplish existing job duties, then we can look to create new privileged roles that allow administrators to assign the lowest level of permission required. 4. The program area will perform quarterly periodic access reviews of privileged (admin) role users to include an assessment of the appropriateness of role assignments. 5. The program area will conduct a review of all OVR staff user roles to include an assessment of the appropriateness of role assignments on an annual basis. Anticipated Completion Dates: 1 - Completed; 2 - 06/30/2024; 3, 4, 5 - Ongoing Contact Name: William McLean Jr., Chief, Workforce Development and Information Division, OA-OIT
PEMA Capital Project Reporting: The PEMA Emergency Medical Services Recovery SLFRF Project (87374A) was reported to the federal government with $0 for capital expenditures because all recipients were beneficiaries. The SLFRF federal guidance states the following: 11. Subrecipient Monitoring. SLFRF...
PEMA Capital Project Reporting: The PEMA Emergency Medical Services Recovery SLFRF Project (87374A) was reported to the federal government with $0 for capital expenditures because all recipients were beneficiaries. The SLFRF federal guidance states the following: 11. Subrecipient Monitoring. SLFRF recipients that are pass-through entities as described under 2 CFR 200.1 are required to manage and monitor their subrecipients to ensure compliance with requirements of the SLFRF award pursuant to 2 CFR 200.332 regarding requirements for pass-through entities. First, your organization must clearly identify to the subrecipient: (1) that the award is a subaward of SLFRF funds; (2) any and all compliance requirements for use of SLFRF funds; and (3) any and all reporting requirements for expenditures of SLFRF funds. Recipients should also note that subrecipients do not include individuals and organizations that received SLFRF funds as end users. Such individuals and organizations are beneficiaries and not subject to audit pursuant to the Single Audit Act and 2 C.F.R. Part 200, Subpart F. U.S. Treasury, Compliance and Reporting Guidance, State and Local Fiscal Recovery Funds, Version 5.14, December 14, 2023, Pages 12-13. (This is the current version) Additionally, the U.S. Treasury states in their Quarterly Reporting User Guide Frequently Asked Questions (page 165 of the current edition): 1.20. Who are beneficiaries and are recipients required to report for them? The terms and conditions of federal awards flow down to subawards to subrecipients, requiring subrecipients to comply with all requirements of recipients such as the treatment of eligible uses of funds, procurement, and reporting requirements. Beneficiaries are not subject to the requirements placed on subrecipients in the Uniform Guidance, including audit pursuant to the Single Audit Act and 2 CFR Part 200, Subpart F or subrecipient reporting requirements. OB-GBO interpreted this to mean that reporting was not necessary, but we are seeking clarification from U.S. Treasury. Meanwhile, we will collaborate with PEMA to review grant materials and address capital expenditure questions by July 31, 2024. Capital Project In Excess Of $10M: The Quarter 1 2023 Project and Expenditure Report submitted by the Commonwealth of Pennsylvania did not capture the DCNR State Parks and Outdoor Recreation Grants Program (87360B) as a capital project in excess of $10M. The federal reporting portal inaccurately recorded the submission, and unfortunately, we cannot verify if this was due to a technical issue (there have been several instances we found where information we entered into the portal was reported differently in the U.S. Treasury generated report summary and had to be corrected by the U.S. Treasury after submission) or human error since access to older reports is blocked, nor does the abridged PDF version of the submission from the U.S. Treasury portal contain that specific information. While the error was noted in the Quarter 1 2023 report, it had been corrected in the Quarter 2 report. Currently, there is no further action we can take regarding the Quarter 1 2023 report. We consider this issue resolved. Capital Project Justification Did Not Include All Required Elements: The DCNR State Parks and Outdoor Recreation Grants Program (87360B) has been reported as a capital project. OB-GBO acknowledges that the capital project justification did not include all the required elements below: (i) Describe the harm or need to be addressed; (ii) Explain why a capital expenditure is appropriate; and (iii) Compare the proposed capital expenditure to at least two alternative capital expenditures and demonstrate why the proposed capital expenditure is superior. OB-GBO plans to collaborate with DCNR to ensure future reports include all necessary elements by July 31, 2024. Anticipated Completion Date: 07/31/2024 Contact Names: Michael Wood, Bureau Director, Bureau of Performance, Revenue, and Program Analysis, OB-GBO; Colleen Kling, Division Manager, Division of Programs and Performance, OB-GBO; Samantha Lockhart, Executive Budget Specialist, OB-GBO; Evelyn Madenford, Volunteer Loan Program Administrator, Office of State Fire Commissioner, PEMA; Mark Hansford, Division Manager, Division of Community and Conservation, DCNR
PDE agrees with the portion of the finding pertaining to the lack of required signature on an expenditure report. To address this error, PDE will retrain staff and update “Tool Tips” in PEARS so that it is clearer for field advisers. PDE disagrees with two of the conditions of the finding, as stat...
PDE agrees with the portion of the finding pertaining to the lack of required signature on an expenditure report. To address this error, PDE will retrain staff and update “Tool Tips” in PEARS so that it is clearer for field advisers. PDE disagrees with two of the conditions of the finding, as stated by the auditors. First, regulation 7 CFR 226.6 (o), cited and summarized by the auditors as requiring PDE to resolve and close reviews within a specific timeline, does not include this requirement in the text. The regulation requires that subrecipients resolve any issues with a timeframe specified in their corrective action. Second, the first bulleted condition, states that “these reviews did not include any complex findings that would have required more time to close.” PDE procedure for closing reviews states that “any exception must be communicated and approved by the Supervisor…” The procedure does not qualify or limit these exceptions to “complex findings.” Accordingly, PDE will continue to follow its procedures as written. Anticipated Completion Date: 06/30/2024 Contact Names: Vonda Ramp, Chief, Div. of Food & Nutr., Bur. of Bdgt. & Fiscal Management; Clayton Carroll, Audit Coord., Bur. of Bdgt. & Fiscal Management
View Audit 296143 Questioned Costs: $1
PDA, Bureau of Food Assistance (BFA) has already or will put the following steps in place to address this deficiency and noncompliance finding. 1. BFA, in coordination with our contractor, Hunger-Free Pennsylvania, has developed a mechanism to track the reviews of all 16 lead subrecipient agencies f...
PDA, Bureau of Food Assistance (BFA) has already or will put the following steps in place to address this deficiency and noncompliance finding. 1. BFA, in coordination with our contractor, Hunger-Free Pennsylvania, has developed a mechanism to track the reviews of all 16 lead subrecipient agencies for the Commodity Supplemental Food Program (CSFP). This tracking mechanism will help to ensure that CSFP monitoring reviews are scheduled and completed in a timely manner, in accordance with federal regulations pertaining to CSFP. 2. BFA has scheduled a comprehensive monitoring review of Food Helpers (formerly known as Greater Washington County Food Bank). The review is scheduled to begin March 2024, and should be completed no later than April 30, 2024. Anticipated Completion Dates: 1 - Completed; 2 - 04/30/2024 Contact Name: Caryn Long Earl, Director, Bureau of Food Assistance
View Audit 296143 Questioned Costs: $1
PDA strives to maintain accurate and complete records with respect to the receipt, distribution, and inventory of USDA donated foods, including end products processed from donated food. To that end, PDA has already or will put the following steps in place to strengthen procedures for future periods ...
PDA strives to maintain accurate and complete records with respect to the receipt, distribution, and inventory of USDA donated foods, including end products processed from donated food. To that end, PDA has already or will put the following steps in place to strengthen procedures for future periods to ensure any errors are identified and corrected when reconciling the Bureau of Food Assistance’s (BFA’s) Commodity Inventory Report: 1. The finding noted in the audit with regards to the Commodity Inventory Report has been corrected and no known issues remain. 2. BFA will cross-train an additional staff member (the NSLP Specialist) on the process of completing the monthly Commodity Inventory Report. This staff member will then serve as a back-up to the Processing Specialist and will be able to complete a monthly review of the completed Commodity Inventory Report to ensure accuracy. 3. In the event that the numbers in BFA’s Monthly Commodity Inventory Report don’t balance, the Processing Specialist will consult with the Technical Specialist managing PA Meals, who can assist with a technical review of the raw numbers. 4. Sent an email communication to select commodity processors and brokers reiterating the process for submitting Monthly Processing Reports (MPRs) to BFA and reminding them of their responsibility to provide prompt responses should questions arise. Anticipated Completion Dates: 1, 3, 4 - Completed; 2 - 06/30/2024 Contact Name: Caryn Long Earl, Director, Bureau of Food Assistance
Trinity University Corrective Action Plan June 30, 2023 Department of Education Trinity University respectfully submits that following corrective action plan for the year ended June 30, 2023. Brown Edwards 3906 Electric Road Roanoke, VA 24018 Audit Period: June 30, 2023 2023-001 Treatment of Title I...
Trinity University Corrective Action Plan June 30, 2023 Department of Education Trinity University respectfully submits that following corrective action plan for the year ended June 30, 2023. Brown Edwards 3906 Electric Road Roanoke, VA 24018 Audit Period: June 30, 2023 2023-001 Treatment of Title IV Funds when a Student Withdraws (Significant Deficiency), Department of Education, SFA Cluster Criteria: Returns of Title IV funds are required to be deposited or transferred into the SFA account or electronic fund transfers initiated to the Department of Education as soon as possible, but no later than 45 days after the date the institution determines that the student withdrew in accordance with 34 CFR Section 668.173(b). Condition: Nine of seventeen students selected for withdraw testing for the 2022-2023 academic year required a return of funds to the Department of Education. Calculation of R2T4 forms for two students were not completed when they were in fact due a refund. Action Taken: The University is modifying the withdrawal procedure to provide more specific rules and instructions related to R2T4 requirements and timeliness. A shared document has been created in order to identity and monitor students who have withdrawn and are due a refund to ensure that refunds are made in a timely manner. Responsible Party: Cathy Geier Contact Information: Vice President of Enrollment Services Office Phone: (202) 884-9545 Email Address: geierc@trinitydc.edu Expected date of correction: January 12, 2024
Finding Number: 2023-003 Prior Year Finding: No Federal Agency: U.S. Department of Education Federal Program: Title I, Part A Assistance Listing: 84.010 Pass-Through Entity: Maryland State Department of Education Pass-Through Award Number and Period: 201310-01 (7/1/19 – 9/30/21) 231095-01 (7/1/22 – ...
Finding Number: 2023-003 Prior Year Finding: No Federal Agency: U.S. Department of Education Federal Program: Title I, Part A Assistance Listing: 84.010 Pass-Through Entity: Maryland State Department of Education Pass-Through Award Number and Period: 201310-01 (7/1/19 – 9/30/21) 231095-01 (7/1/22 – 9/30/24) 211116-01 (7/1/20 – 9/30/22) 211303-01 (7/1/20 – 9/30/22) 221499-01 (7/1/21 – 9/30/23) 221769-01 (7/1/21 – 9/30/22) Compliance Requirement: Special Test Type of Finding: Significant Deficiency in Internal Control over Compliance, Other Matters Recommendation: We recommend that the Board revises the Student Participation process to include a step that includes matching the student grade level to the corresponding school type and a step to include a second review of the Title I School eligibility address and school type by a second staff member. Explanation of disagreement with audit finding: There is no disagreement with the audit finding. Action taken in response to finding: BCPS revised their procedures on Title I Equitable Services: Student Participation in early Fall 2023. Revisions outlined below will lessen the risk of potential audit findings in the future: - Revise the Student Participation process to include a step that includes matching the student grade level to the corresponding public school type. - Revise the Student Participation Process to include a second review of the Title I School eligibility address and school type by a second staff member. Name(s) of the contact person(s) responsible for corrective action: Michele Stansbury, Director of Title I Planned completion date for corrective action plan: For immediate implementation and ongoing.
2023-004 Program: COVID-19 Activities to Support State, Tribal, Local and Territorial (STLT) Health Department Response to Public Health or Healthcare Crises Federal Financial Assistance Listing Number: 93.391 Federal Grantor: U.S. Department of Health and Human Services Award No. and Year: 2022 Com...
2023-004 Program: COVID-19 Activities to Support State, Tribal, Local and Territorial (STLT) Health Department Response to Public Health or Healthcare Crises Federal Financial Assistance Listing Number: 93.391 Federal Grantor: U.S. Department of Health and Human Services Award No. and Year: 2022 Compliance Requirements: Allowable Activities and Allowable Costs and Cost Principles Type of Finding: Significant Deficiency in Internal Control Over Compliance Criteria: 2 CFR Section 200.303(a), Internal Controls, states that the non-Federal entity must establish and maintain effective internal control over the Federal award that provides reasonable assurance that the non-Federal entity is managing the Federal award in compliance with Federal statutes, regulations, and the terms and conditions of the Federal award. Condition: During our testing of the Health Care Agency’s (HCA) compliance with allowable activities and allowable costs and cost principles requirements, we noted for one (1) of forty-seven (47) transactions HCA did not retain evidence of the review and approval over the transaction. Cause: The transaction was with a specific vendor that requires orders to be placed on the vendor’s portal. At the time the order was placed, the vendor’s portal did not have a system control set up to require a separate approver for the order and HCA did not retain any other evidence to document the order’s review and approval. The vendor portal was later updated during the year to add the segregation of duties system control. Effect: The County’s control was not consistently followed, which requires transactions to be reviewed and approved by a separate individual prior to payment. Questioned Costs: No questioned costs were identified as a result of our procedures. Context/Sampling: A nonstatistical sample of forty-seven (47) of two hundred thirty-six (236) transactions were selected for HCA. The condition above was identified during our testwork of the HCA’s internal controls over allowable activities and allowable costs and cost principles. Repeat Finding from Prior Years: No. Recommendation: We recommend the HCA adhere to their policies and ensure the review and approval of transactions are clearly documented prior payment. Management Response and Corrective Action: Health Care Agency: 1. Person Responsible: Hieu Nguyen, HCA Office of Population Health and Equity Director 2. Corrective Action Plan: HCA Office of Population Health and Equity will implement procedures that ensure review/approval of the e-commerce transactions are documented prior to payment. 3. Anticipated Implementation Date: April 1, 2024
2023-003 Program: COVID-19 Activities to Support State, Tribal, Local and Territorial (STLT) Health Department Response to Public Health and Healthcare Crises Federal Financial Assistance Listing Number: 93.391 Federal Grantor: U.S. Department of Health and Human Services Award No. and Year: 2022 Co...
2023-003 Program: COVID-19 Activities to Support State, Tribal, Local and Territorial (STLT) Health Department Response to Public Health and Healthcare Crises Federal Financial Assistance Listing Number: 93.391 Federal Grantor: U.S. Department of Health and Human Services Award No. and Year: 2022 Compliance Requirements: Reporting Type of Finding: Significant Deficiency in Internal Control Over Compliance Criteria: 2 CFR Section 200.303(a), Internal Controls, states that the non-Federal entity must establish and maintain effective internal control over the Federal award that provides reasonable assurance that the non-Federal entity is managing the Federal award in compliance with Federal statutes, regulations, and the terms and conditions of the Federal award. Condition: During our testing of the Health Care Agency’s (HCA) compliance with reporting requirements, we noted for four (4) of four (4) reports the department did not retain evidence of the review and approval over the performance report. Cause: HCA personnel prepared program required performance reports and submitted the reports without retaining documented evidence that the reports were reviewed and approved by a separate individual prior to submission. Effect: The County did not document their review and approval of the report. Questioned Costs: No questioned costs were identified as a result of our procedures. Context/Sampling: The entire population of four (4) reports were selected for reporting testwork from HCA. Repeat Finding from Prior Years: No. Recommendation: We recommend the HCA to implement policies that ensure the review and approval of reports are clearly documented prior to the report’s submission. Management Response and Corrective Action: Health Care Agency: 1. Person Responsible: Hieu Nguyen, HCA Office of Population Health and Equity Director 2. Corrective Action Plan: HCA Office of Population Health and Equity will implement procedures that ensure review/approval prior to report submission to the Center for Disease Prevention and Control. 3. Anticipated Implementation Date: April 1, 2024
Finding 381230 (2023-001)
Significant Deficiency 2023
The Financial Aid Office concurs with the audit finding of the monthly SAS reconciliation requirement to be done internally was not in compliance. Whittier College Financial Aid Staff failed to send the SAS files monthly to our Accounting Department for reconciliation. As of September 2023, Whitti...
The Financial Aid Office concurs with the audit finding of the monthly SAS reconciliation requirement to be done internally was not in compliance. Whittier College Financial Aid Staff failed to send the SAS files monthly to our Accounting Department for reconciliation. As of September 2023, Whittier College Financial Aid Office has calendared a monthly reconciliation report to be sent to the Accounting Department to meet the guidelines set forth by the Department of Education. This reconciliation report will be sent monthly through out the calendar year. In the summer months of June and July we may not have any funds to reconcile, however, a report will be sent regardless for compliance. Person Responsible: Jesse Marquez, Associate Director and Information Specialist of Financial Aid Anticipated Completion Date: Implemented as of September 2023
Finding 381229 (2023-002)
Significant Deficiency 2023
The Office of Financial Aid concurs with the audit of Pell 15-day reporting finding. The Compliance is clearly stated the timeframe to send an original Pell Grant disbursement to COD is within 15 days of the date of disbursement. We also understand we have the ability to go back into the account and...
The Office of Financial Aid concurs with the audit of Pell 15-day reporting finding. The Compliance is clearly stated the timeframe to send an original Pell Grant disbursement to COD is within 15 days of the date of disbursement. We also understand we have the ability to go back into the account and make an adjustment as needed. As of September 2023, Whittier College has reached out to our software vender Ellucian Banner to find a solution on how to avoid these incidents of not sending Pell Grant disbursements to COD in the timeframe allotted for compliance. We have now been given a new process that will solve this issue to ensure the Pell Grants are all originated on COD thus allowing the disbursements to be sent within the 15-day compliance timeframe. We will continue to reconcile the Pell Grants twice a month internally to ensure any issues get resolved, if any noted, in a timely manner. Persons Responsible: Jesse Marquez, Financial Aid Associate Director and Information Specialist; Julie Aldama, Financial Aid Director Anticipated Completion Date: Implemented as of September 2023
Finding 381228 (2023-003)
Significant Deficiency 2023
The Office of the Registrar concurs with the audit finding of delayed reporting which noted that while there is now a process to submit enrollment and graduation information to NSLDS in a timely manner, the team noticed that three students’ information was not reported to NSLDS within the 60 days re...
The Office of the Registrar concurs with the audit finding of delayed reporting which noted that while there is now a process to submit enrollment and graduation information to NSLDS in a timely manner, the team noticed that three students’ information was not reported to NSLDS within the 60 days required to transmit status change. Due to staffing changes and challenges, Whittier College failed to meet the reporting window indicated in the NSLDS November 2022 Enrollment Reporting Guide, which states, “At a minimum, schools are required to certify enrollment [status change] every 60 days[.]” As of September 2023, Whittier College has adjusted the transmission schedule of enrollment reports to the National Student Clearinghouse to meet the guidelines set forth by NSLDS. Whittier College will submit enrollment files to the National Student Clearinghouse on the 30th of every month, with the exception of the December end of term enrollment report, which will be submitted on the Friday before the last working day before the holiday break. Degree Verify reports will be submitted to the National Student Clearinghouse within two weeks of the conferral date of every term to ensure the timeliness of status change submissions to NSLDS. Whittier College will also correct error reports and resubmit within the 10 days indicated by NSLDS to ensure compliance. Person Responsible: Brianna Mendez, Student Data Specialist, Office of the Registrar Anticipated Completion Date: Implemented as of September 2023
Audit Report: Reports on Compliance and Internal Control in Accordance with Government Auditing Standards and OMB Super Circular Uniform Guidance Audit Period: July 1, 2022 – June 30, 2023 Fiscal Year: 2022-2023 Principal Exe...
Audit Report: Reports on Compliance and Internal Control in Accordance with Government Auditing Standards and OMB Super Circular Uniform Guidance Audit Period: July 1, 2022 – June 30, 2023 Fiscal Year: 2022-2023 Principal Executive: Hon. Marcos Cruz Molina, Mayor Contact Person: Mr. Edgardo Pérez, Department of Management, Administration and Budget Director Phone: (787)855-2500 Original Finding Number: 2023-005 Statement of Concurrence or Non concurrence: We concur with the finding. Corrective Action: The implementation of the Corrective Action Plan 2023-004 will ensure that complete reports are submitted for the validation of the compliance with this finding. Additionally, we will analyze our approved budget by ACUDEN to meet supplemental the terms and conditions of the Child Care and Development Fund Program. Implementation Date: Fiscal Year 2023-2024. Responsible Person: José A. Mathews Maisonet Accountant
Audit Report: Reports on Compliance and Internal Control in Accordance with Government Auditing Standards and OMB Super Circular Uniform Guidance Audit Period: July 1, 2022 – June 30, 2023 Fiscal Year: 2022-2023 Principal Exe...
Audit Report: Reports on Compliance and Internal Control in Accordance with Government Auditing Standards and OMB Super Circular Uniform Guidance Audit Period: July 1, 2022 – June 30, 2023 Fiscal Year: 2022-2023 Principal Executive: Hon. Marcos Cruz Molina, Mayor Contact Person: Mr. Edgardo Pérez, Department of Management, Administration and Budget Director Phone: (787)855-2500 Original Finding Number: 2023-004 Statement of Concurrence or Non concurrence: We concur with the finding. Corrective Action: As an internal control, the accountant in charge of the program will keep monthly reports of the expenditures to expedite the collection of information and submit timely and complete reports. The documentation of the reports will be physically filed and digitally saved in the accounting files. Implementation Date: Fiscal Year 2023-2024. Responsible Person: José A. Mathews Maisonet Accountant
Audit Report: Reports on Compliance and Internal Control in Accordance with Government Auditing Standards and OMB Super Circular Uniform Guidance Audit Period: July 1, 2022 – June 30, 2023 Fiscal Year: 2022-2023 Principal Exe...
Audit Report: Reports on Compliance and Internal Control in Accordance with Government Auditing Standards and OMB Super Circular Uniform Guidance Audit Period: July 1, 2022 – June 30, 2023 Fiscal Year: 2022-2023 Principal Executive: Hon. Marcos Cruz Molina, Mayor Contact Person: Mr. Edgardo Pérez, Department of Management, Administration and Budget Director Phone: (787)855-2500 Original Finding Number: 2023-003 Statement of Concurrence or Non concurrence: We concur with the finding. Corrective Action: The QPR Reports for the months from January to March 2023, were completed by the previous POC Recovery Office. We understand that expenses were reported in the QPR on the date when the certification with the contractor´s invoice was received at the Secretary of Engineering and Conservation of Infrastructure and not on the date of payment or disbursement of the invoice. For example, if the invoice was received in the month of February, the expense was recorded in the QPR from January to March even though it was not paid until the month of April. We are verifying each project reported in the QPR against the amount reported at the SIMA System. We expect to have updated and correct information for all the Quarterly Progress Reports for the period from January to March 2024. Implementation Date: Fiscal Year 2023-2024. Responsible Person: Dafne L. Claudio Sánchez Accountant
Audit Report: Reports on Compliance and Internal Control in Accordance with Government Auditing Standards and OMB Super Circular Uniform Guidance Audit Period: July 1, 2022 – June 30, 2023 Fiscal Year: 2022-2023 Principal Exe...
Audit Report: Reports on Compliance and Internal Control in Accordance with Government Auditing Standards and OMB Super Circular Uniform Guidance Audit Period: July 1, 2022 – June 30, 2023 Fiscal Year: 2022-2023 Principal Executive: Hon. Marcos Cruz Molina, Mayor Contact Person: Mr. Edgardo Pérez, Department of Management, Administration and Budget Director Phone: (787)855-2500 Original Finding Number: 2023-002 Statement of Concurrence or Non concurrence: We concur with the finding. Corrective Action: During the quarters from January to March and April to June 2023, there were differences between the reports submitted to the Treasury Department and the accounting reports of the SIMA system. This happened because obligations that were cancelled were included in the submitted reports and not corrected within the corresponding quarter. The personnel assigned to work on the quarterly reports became aware of these situations after the submission of the reports. As a corrective measure, an internal work sheet was created where monthly cancellations and adjustments are verified. In this way, the quarterly report submitted to the Treasury Department will agree with the accounting system. Before submitting the reports, a meeting is held to validate that the worksheet is in accordance with the accounting system. After validating the accuracy of the worksheet, the report is submitted to the Treasury Department with information consistent with the accounting system. As of today, the differences identified have been corrected in subsequent quarters. Implementation Date: Fiscal Year 2023-2024. Responsible Person: Bárbara Castro Viruet Accountant
We concur. Procedures will be put in place and reporting will be modified and improved to ensure deadlines are met.
We concur. Procedures will be put in place and reporting will be modified and improved to ensure deadlines are met.
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