Corrective Action Plans

Finding 395246 (2023-053)

Significant Deficiency 2023

RI

Reporting Significant Deficiency

Finding 2023-053 – Corrective Action Plan Management agrees with the finding. Reports are reviewed and certified by supervisors; however, the process will be enhanced to include a lookback for additional entries from prior quarters. Additionally, a procedure was created to ensure documentation wa...

Finding 2023-053 – Corrective Action Plan Management agrees with the finding. Reports are reviewed and certified by supervisors; however, the process will be enhanced to include a lookback for additional entries from prior quarters. Additionally, a procedure was created to ensure documentation was saved for all reports Anticipated Completion Date: June 30, 2024 Contact Person: Ben Quattrucci, Associate Director, Financial & Contract Management, Department of Human Services benjamin.a.quattrucci@dhs.ri.gov

View Audit 305097

Finding 395245 (2023-052)

Significant Deficiency 2023

State of Rhode Island

RI

Questioned Costs Significant Deficiency

Finding 2023-052 – Corrective Action Plan Management agrees with the finding. Staff was trained on completion of the transfer rules and the amount is now being tracked on the grant spreadsheet. Anticipated Completion Date: Implemented Contact Person: Ben Quattrucci, Associate Director, Financia...

Finding 2023-052 – Corrective Action Plan Management agrees with the finding. Staff was trained on completion of the transfer rules and the amount is now being tracked on the grant spreadsheet. Anticipated Completion Date: Implemented Contact Person: Ben Quattrucci, Associate Director, Financial & Contract Management, Department of Human Services benjamin.a.quattrucci@dhs.ri.gov

View Audit 305097 Questioned Costs: $1

Finding 395237 (2023-049)

Significant Deficiency 2023

State of Rhode Island

RI

Subrecipient Monitoring Reporting Significant Deficiency

Finding 2023-049 – Corrective Action Plan RIDOH agrees with the finding and recommendation. The unreported subawards of ELC funds were Memoranda of Understanding (MOU) agreements with Local Education Agencies and other schools in Rhode Island for the ELC COVID Reopening Schools award and were not ...

Finding 2023-049 – Corrective Action Plan RIDOH agrees with the finding and recommendation. The unreported subawards of ELC funds were Memoranda of Understanding (MOU) agreements with Local Education Agencies and other schools in Rhode Island for the ELC COVID Reopening Schools award and were not recognized as being subject to FFATA reporting. RIDOH will review all internal policies and procedures regarding both subawards and interagency agreements with federal funds (IAA-FF), and FFATA reporting thereof, to assure RIDOH is aligned with the statewide DOA policies for FFATA reporting. RIDOH will provide training to all contract managers, program managers for subawards, and staff responsible for reporting in FSRS to assure all subawarded funds are captured and reported appropriately. Anticipated Completion Date: December 31, 2024 Contact Persons: Alisha Colella, Chief Financial Officer, Rhode Island Department of Health alisha.colella@health.ri.gov Carla Lundquist, Deputy CFO / Federal Grants Manager, Rhode Island Department of Health carla.lundquist@health.ri.gov

View Audit 305097

Finding 395225 (2023-045)

Significant Deficiency 2023

State of Rhode Island

RI

Internal Control / Segregation of Duties Allowable Costs / Cost Principles Eligibility

Finding 2023-045 – Corrective Action Plan This error was identified with the USDOE as part of the monitoring in May 2023. All prior years were correct – this was a one-time error in the calculation spreadsheet. As a result, the USDOE did not believe this occurrence rose to the level of a finding ...

Finding 2023-045 – Corrective Action Plan This error was identified with the USDOE as part of the monitoring in May 2023. All prior years were correct – this was a one-time error in the calculation spreadsheet. As a result, the USDOE did not believe this occurrence rose to the level of a finding – but rather a procedural suggestion to have the calculation spreadsheet reviewed as part of an internal control procedure. Although the issue was discovered in May 2023, the USDOE did not feel the corrections was necessary to be implemented prior to June 30, 2023, as suggested by RIDE. The rationale was due to a projection of a large amount of unexpended FY23 funding - prior to redistributing the unexpended funds, the correct allocation calculation would be applied which would correct most of the previous allocations. Anticipated Completion Date: The correct allocation calculation was applied to the FY2023 Perkins Secondary funds on June 6, 2023. Contact Person: Mark Dunham, Chief Financial Officer, Department of Elementary & Secondary Education mark.dunham@ride.ri.gov

View Audit 305097

Finding 395223 (2023-044)

Significant Deficiency 2023

State of Rhode Island

RI

Internal Control / Segregation of Duties Subrecipient Monitoring Allowable Costs / Cost Principles

Finding 2023-044 – Corrective Action Plan 2023-044a – RIDE has developed written policies and procedures for the maintenance of AcceleGrants user accounts that will have all inactive users removed after 12 months of inactivity. Anticipated Completion Date: October 31, 2024 2023-044b – RIDE financ...

Finding 2023-044 – Corrective Action Plan 2023-044a – RIDE has developed written policies and procedures for the maintenance of AcceleGrants user accounts that will have all inactive users removed after 12 months of inactivity. Anticipated Completion Date: October 31, 2024 2023-044b – RIDE finance and IT offices will review the user complementary controls noted in the vendors most currently available SOC2 report and implement suggested controls that are deemed appropriate, reasonable, and necessary by the joint RIDE team. RIDE will have this finding resolved by December 31,2024. Anticipated Completion Date: December 31, 2024 2023-044c – Finance and IT at RIDE are working together to determine the correct schedule for regular IT risk assessments. The departments are also in the process of reviewing the disaster recovery plans for the vendor, and a vendor management plan. Anticipated Completion Date: December 31, 2024 Contact Person: Mark Dunham, Chief Financial Officer, Department of Elementary & Secondary Education mark.dunham@ride.ri.gov

View Audit 305097

Finding 395218 (2023-041)

Significant Deficiency 2023

State of Rhode Island

RI

Special Tests & Provisions Student Financial Aid Significant Deficiency

Finding 2023-041 – Corrective Action Plan There is no disagreement with the audit finding. The financial aid office has identified the position within the department that is responsible for completing monthly reconciliation or the Direct Lending program. This position has been given the policy an...

Finding 2023-041 – Corrective Action Plan There is no disagreement with the audit finding. The financial aid office has identified the position within the department that is responsible for completing monthly reconciliation or the Direct Lending program. This position has been given the policy and procedures related to reconciliation and has immediately begun following these procedures. This position will also seek out additional resources and trainings to ensure compliance moving forward. The director will support the process by allowing the time for these processes to be done on a monthly basis as well as provide support for future trainings. Anticipated Completion Date: January 2024 Contact Person: Jennifer Burke, Interim Director of Financial Aid, Rhode Island College jburke1@ric.edu

View Audit 305097

Finding 395210 (2023-042)

Significant Deficiency 2023

State of Rhode Island

RI

Special Tests & Provisions Student Financial Aid Significant Deficiency § 200.303

Finding 2023-042 – Corrective Action Plan There is no disagreement with the audit finding. The University has enacted an Information Security Policy, “URI Information Technology Standard”, which was issued on December 6, 2023. This standard defines the minimum information security requirements fo...

Finding 2023-042 – Corrective Action Plan There is no disagreement with the audit finding. The University has enacted an Information Security Policy, “URI Information Technology Standard”, which was issued on December 6, 2023. This standard defines the minimum information security requirements for the University of Rhode Island. The full standard can be found at the following URL: https://uri0.sharepoint.com/sites/URIInformationTechnologyServicesCommunication/SitePages/ITS-Security.aspx?ga=1. Anticipated Completion Date: December 6, 2023 Contact Persons: Gabrile Fariello, Interim Chief Information Officer, University of Rhode Island gfariello@uri.edu Michael Khalfayan, Chief Information Systems Officer, University of Rhode Island mkhalfayan@uri.edu

View Audit 305097

Finding 395209 (2023-040)

Significant Deficiency 2023

State of Rhode Island

RI

Subrecipient Monitoring Special Tests & Provisions Student Financial Aid

Finding 2023-040 – Corrective Action Plan There is no disagreement with the audit finding. The College has designated the Director of Information Security to oversee the information security function. The College has contracted with a firm to function as a virtual Certified Information Security O...

Finding 2023-040 – Corrective Action Plan There is no disagreement with the audit finding. The College has designated the Director of Information Security to oversee the information security function. The College has contracted with a firm to function as a virtual Certified Information Security Officer (vCISO) to support compliance as well as provide training and consulting services. The Assistance Vice President, Chief Information Officer is tasked with ensuring that the Written Information Security Program is updated annually and that compliance is maintained. Anticipated Completion Date: June 2024 Contact Person: Pamela Christman, Assistance Vice President, Chief Information Officer, Rhode Island College pchristman@ric.edu

View Audit 305097

Finding 395204 (2023-038)

Significant Deficiency 2023

State of Rhode Island

RI

Subrecipient Monitoring Reporting Significant Deficiency

Finding 2023-038 – Corrective Action Plan Auditee Views: SFRF reporting utilized physical posted date pulled from PowerBI environment. The issue with physical posted date is that the report can change based on when pulled. PRO project was not detailed in Annual Report. The blank sections of the do...

Finding 2023-038 – Corrective Action Plan Auditee Views: SFRF reporting utilized physical posted date pulled from PowerBI environment. The issue with physical posted date is that the report can change based on when pulled. PRO project was not detailed in Annual Report. The blank sections of the downloaded reports are due to a US Treasury system issue that affects all States, not just Rhode Island. PRO began taking screenshots once it became aware of the problem and will continue to do so. There is a tedious review process that is completed for reporting on this data and information supplied to PRO by the entities. Corrective Actions: Modify the U.S. Treasury reporting process to utilize cash date to align with RIFANS federal transaction register both cumulatively and quarterly. Anticipated Completion Date: May 15, 2024 Add PRO project description to SFRF Annual report to U.S. Treasury. Anticipated Completion Date: July 31, 2024 Collect additional information from component unit agency to support provided reporting data. Anticipated Completion Date: June 30, 2024 Contact Person: Paul L. Dion, Ph.D., Director, Pandemic Recovery Office, Department of Administration paul.l.dion@doa.ri.gov

View Audit 305097

Finding 395194 (2023-032)

Significant Deficiency 2023

State of Rhode Island

RI

Allowable Costs / Cost Principles Subrecipient Monitoring Eligibility

Finding 2023-032 – Corrective Action Plan RIDOH agrees with the finding and recommendation. This finding is centered around some local agency staff being inactive for longer periods of time (60+ days) and the security risk around them not being terminated or made inactive in our Crossroads system....

Finding 2023-032 – Corrective Action Plan RIDOH agrees with the finding and recommendation. This finding is centered around some local agency staff being inactive for longer periods of time (60+ days) and the security risk around them not being terminated or made inactive in our Crossroads system. While RI WIC is routinely notified of terminations and transfers of local agency staff, there are instances of people with varying degrees of access going over 60 days without accessing the system. It is sometimes due to a local agency staff person who is in more of an administrator role and not routinely working in the Crossroads system. RI WIC will review policies and procedures regarding user access to the Crossroads System and will work to strengthen and monitor controls for system access. Policies and procedures will be updated as needed, and internal controls will be implemented and documented. Anticipated Completion Date: December 31, 2024 Contact Persons: Ann Barone, Chief, Office of Women, Infants & Children, Rhode Island Department of Health ann.barone@health.ri.gov Anthony Manzi, WIC Fiscal Manager, Rhode Island Department of Health anthony.manzi@health.ri.gov

View Audit 305097

Finding 395193 (2023-031)

Significant Deficiency 2023

State of Rhode Island

RI

Questioned Costs Allowable Costs / Cost Principles Eligibility

Finding 2023-031 – Corrective Action Plan RIDOH agrees with the finding and recommendation. The RI WIC Program was cited by USDA for this issue over a year ago. The issue was caused by the Crossroads MIS system rounding up the calculation for converting formula upon issuance, resulting in over iss...

Finding 2023-031 – Corrective Action Plan RIDOH agrees with the finding and recommendation. The RI WIC Program was cited by USDA for this issue over a year ago. The issue was caused by the Crossroads MIS system rounding up the calculation for converting formula upon issuance, resulting in over issuance in certain situations. RI WIC immediately changed the calculation and responded to the USDA finding with implementing an updated policy and changes to the system. On December 15, 2023, RI WIC received a response from USDA stating that the finding was closed. Anticipated Completion Date: Completed December 15, 2023 Contact Person: Anthony Manzi, WIC Fiscal Manager, Rhode Island Department of Health anthony.manzi@health.ri.gov

View Audit 305097 Questioned Costs: $1

Finding 395192 (2023-001)

Significant Deficiency 2023

Ucr of West Jackson, Ms, Inc. D/b/a Jackson Run

OH

HUD Housing Programs Reporting Significant Deficiency

Management acknowledges noncompliance in the current fiscal year and has addressed all of the health and safety issues as of January 25, 2023

View Audit 305094

Finding 395190 (2023-001)

Significant Deficiency 2023

Ucc Xvii, Inc. D/b/a Biimaadiiziiwiin

OH

HUD Housing Programs Reporting Significant Deficiency

Management acknowledges noncompliance in the current fiscal year and has addressed all of the health and safety issues as of February 1, 2024

View Audit 305085

Finding 395161 (2023-002)

Significant Deficiency 2023

Baltimore City Public School System

MD

Significant Deficiency Matching / Level of Effort / Earmarking Internal Control / Segregation of Duties § 200.303

2023-002 Special Rest; Graduation Cohort Recommendation: We recommend that the schools develop internal controls and procedures to ensure the documentation is consistently maintained to support compliance with grantor’s requirements. Action planned/taken in response to finding: 1. City Schools will ...

2023-002 Special Rest; Graduation Cohort Recommendation: We recommend that the schools develop internal controls and procedures to ensure the documentation is consistently maintained to support compliance with grantor’s requirements. Action planned/taken in response to finding: 1. City Schools will draft guidance to schools reminding them of their obligation to maintain documentation for all student transfers as per the MSDE Student Records Manual, P.32. The initial guidance will remind schools that all documentation needs to be saved as part of a student’s transfer packet. For SY24-25, the guidance will be updated to instruct schools to save all transfer requests in Person Documents in Infinite Campus (IC). This will be a collaboration between the Office of Achievement and Accountability (OAA) and the Schools Office. 2. City Schools will create a new data cleansing report (DCR) to ensure that all transfer codes entered in Infinite Campus have transfer documentation uploaded to IC to support the transfer request. The above guidance will be shared with schools as part of the launch of the new DCR report in SY24-25. This will be a collaboration between OAA and the Office of Information Technology (OIT). 3. City Schools’ School Managers will monitor the new DCR to ensure schools are uploading documentation for every transfer into IC. Name(s) of the contact person(s) responsible for corrective action: Holly Bedwell (OAA) and Sabree Barnes (Schools Office) Planned completion date for corrective action plan: September 9, 2024.

View Audit 305063

Finding 395034 (2023-008)

Significant Deficiency 2023

Florida Rural Legal Services, Inc.

AL

Questioned Costs Allowable Costs / Cost Principles Significant Deficiency § 200.405

This finding is related to activities on our VOCA grants. As was the case in Finding #005, the majority of the exceptions were related to either finding #2 above or were related to the process in place prior to May 2023. Again, in May 2023 FRLS added an electronic transaction approval process via te...

This finding is related to activities on our VOCA grants. As was the case in Finding #005, the majority of the exceptions were related to either finding #2 above or were related to the process in place prior to May 2023. Again, in May 2023 FRLS added an electronic transaction approval process via teams, that documents approvals for all our AP, AR and other transactions initiated by our accounting staff. These are reviewed and approved by the CFO before being posted into the GL. It was also noted that our process of allocating costs from our overhead cost centers to our various grants, was not fully documented. The CFO will undertake a review of this process to ensure that we are in compliance with allowable cost documentation requirements. We will also review and update our documentation of allocations and ensure that each month’s allocation is properly approved. This review will be completed within the next 90 days.

View Audit 304969 Questioned Costs: $1

Finding 395033 (2023-007)

Significant Deficiency 2023

Florida Rural Legal Services, Inc.

AL

Subrecipient Monitoring Significant Deficiency Special Tests & Provisions

FRLS shared that as part of the corrective action plan, improved PAI services by changing pro bono coordinators from paralegals to attorneys to better work with private attorneys and respective bar associations throughout our service areas. FRLS has also reestablished connections with our respective...

FRLS shared that as part of the corrective action plan, improved PAI services by changing pro bono coordinators from paralegals to attorneys to better work with private attorneys and respective bar associations throughout our service areas. FRLS has also reestablished connections with our respective service partners throughout the pandemic, rebuilding and providing excellent services through our pro bono partners. PAI remains one of our top priorities in expanding our program services. Our program improvements, including pro bono assistance via virtual and courthouse clinics have resulted in more PAI services to our client communities. We have increased attendance at our annual bench and bar events to raise PAI awareness in our service communities. FRLS is in the process of creating a “low bono” program to expand our network of private attorneys and meet our required 12.5% spending requirement. FRLS will continue to evaluate its policies and procedures surrounding monitoring of PAI compliance to ensure that only allowable pro bono cases are accepted. This will be completed by December 31, 2024.

View Audit 304969

Finding 395032 (2023-006)

Significant Deficiency 2023

Florida Rural Legal Services, Inc.

AL

Significant Deficiency

Upon review, FRLS had retainer agreements for both of the exceptions listed, but they were not readily available for review. FRLS has implemented a checklist of required documentation before every case closure to be reviewed by the Regional Managing Attorneys and Advocacy Director. Upon closure of a...

Upon review, FRLS had retainer agreements for both of the exceptions listed, but they were not readily available for review. FRLS has implemented a checklist of required documentation before every case closure to be reviewed by the Regional Managing Attorneys and Advocacy Director. Upon closure of a case file, the assigned advocate and Regional Managing Attorney will then attest that a case file contains all necessary documentation for compliance. A review of the checklist and case files will be done by the Advocacy Director on a regular basis to ensure compliance.

View Audit 304969

Finding 395027 (2023-102)

Significant Deficiency 2023

Community Legal Services

AZ

Special Tests & Provisions Reporting Significant Deficiency

Prior to 2018, obtaining the simple agreement, when required by LSC regulations, was the responsibility of the managing attorney for the unit or office. In 2018, this responsibility was transferred to the Human Resources Administrator to ensure this document and others were timely obtained and place...

Prior to 2018, obtaining the simple agreement, when required by LSC regulations, was the responsibility of the managing attorney for the unit or office. In 2018, this responsibility was transferred to the Human Resources Administrator to ensure this document and others were timely obtained and placed in the employee’s personal file. Based on these findings, all current employees, for whom a simple agreement was not in the personnel file, were required to sign the agreement or submit a copy of the agreement they previously signed. All current employees, required to sign the simple agreement, have one on file. Human Resources will continue to obtain the agreements as part of the new employee onboarding process.

View Audit 304957

Finding 395025 (2023-101)

Significant Deficiency 2023

Community Legal Services

AZ

Reporting Significant Deficiency Internal Control / Segregation of Duties

One of the two meeting minutes noted, January 30, 2023, was approved at the March 3, 2023 board meeting and submitted to LSC on May 9, 2023. The minutes of the May 22, 2023 meeting have not been approved and should not have been submitted on September 7, 2023. The minutes for the May 22, 2023 meetin...

One of the two meeting minutes noted, January 30, 2023, was approved at the March 3, 2023 board meeting and submitted to LSC on May 9, 2023. The minutes of the May 22, 2023 meeting have not been approved and should not have been submitted on September 7, 2023. The minutes for the May 22, 2023 meeting will be placed on the upcoming Executive Committee meeting agenda for review and approval as appropriate. Upon approval, the May 22, 2023 meeting minutes will be re‐submitted to LSC. CLS recently implemented a new process. If there is not a quorum at a full board meeting, the minutes that were on that meeting’s agenda for approval will be placed on the next scheduled Executive Committee meeting for review and approval. For example, if there is no quorum at the January full board meeting, all meeting minutes that were scheduled for review and approval at that meeting will be placed on the agenda for the Executive Committee meeting later that month for approval and reported out to the full board at its next regularly scheduled meeting in March. This will ensure timely review, approval and submission of minutes for board and committee meetings.

View Audit 304957

Finding 395008 (2023-006)

Significant Deficiency 2023

National Organization for Victim Assistance, Inc.

VA

Reporting Significant Deficiency Internal Control / Segregation of Duties

2023-006 Timely Submission of Quarterly Financial Status Reports The Director of Finance will ensure Financial Status Reports are filed timely. The deadlines will be added to a calendar that tracks deadlines, maintained by the Director of Finance.

View Audit 304930

Finding 394997 (2023-001)

Significant Deficiency 2023

City of Sanford

FL

Special Tests & Provisions Significant Deficiency

Views of responsible officials and planned corrective action: City Management takes grant compliance very seriously and corrective action has been taken. The City has created a checklist encompassing all grant-related tasks, and an Environmental Review Record (ERR) is part of that checklist and will...

Views of responsible officials and planned corrective action: City Management takes grant compliance very seriously and corrective action has been taken. The City has created a checklist encompassing all grant-related tasks, and an Environmental Review Record (ERR) is part of that checklist and will be completed for every property and program.

View Audit 304906

Finding 394962 (2023-001)

Significant Deficiency 2023

Polk County, Florida

FL

Reporting Subrecipient Monitoring Significant Deficiency

2023-001-Reporting Federal Agency: U.S. Department of the Treasury Federal Program Name: Covid-19 Coronavirus State and Local Fiscal Recovery Funds Assistance Listing Number: 21.027 Recommendation: We recommend corrections to quarterly reports be made in subsequent quarterly reports to ensure obliga...

2023-001-Reporting Federal Agency: U.S. Department of the Treasury Federal Program Name: Covid-19 Coronavirus State and Local Fiscal Recovery Funds Assistance Listing Number: 21.027 Recommendation: We recommend corrections to quarterly reports be made in subsequent quarterly reports to ensure obligations match actuality. We recommend timely reconciliation of accounting transactions to allow for accurate reporting of expenditures through the quarter. Explanation of disagreement with audit finding: There is no disagreement with the audit finding. Action taken in response to finding: The findings noted on the FY 22/23 audit regarding expenditures and obligations were in direct correlation with the findings noted on the FY 21/22 audit. At the close of the FY 21/22 audit, quarter one and quarter two reports had been filed with Treasury. Leading into quarter three, corrections to reporting obligations were being addressed and corrected. As of the fourth quarter reporting cycle, all expenses and obligation issues were corrected. Name(s) of the contact person(s) responsible for corrective action: Christia Johnson, Budget and Management Services Director Planned completion date for corrective action plan: As mentioned above, this has already been addressed as part of the FY 21/22 audit that was finalized in April 2023, 7 months into FY 2022/23. The Budget Office will continue to follow the procedures that were put into place more than halfway through FY 22/23.

View Audit 304828

Finding 394961 (2023-002)

Significant Deficiency 2023

Polk County, Florida

FL

Reporting Period of Performance Significant Deficiency

Federal Agency: Department of Homeland Security Federal Program Name: Hazard Mitigation Grant Assistance Listing Number: 97.039 Recommendation: We recommend that the quarterly reports be reviewed by an appropriate member of management. That review should be documented to ensure a complete audit trai...

Federal Agency: Department of Homeland Security Federal Program Name: Hazard Mitigation Grant Assistance Listing Number: 97.039 Recommendation: We recommend that the quarterly reports be reviewed by an appropriate member of management. That review should be documented to ensure a complete audit trail. In addition, all reports should be stored in a centralized location for easy future access. Explanation of disagreement with audit finding: There is no disagreement with the audit finding. Action taken in response to finding: The County is working on implementing a review by management for all HMGP Grant quarterly reports. In addition, this review will be documented and stored in a centralized location for easy future access. The County is looking into creating a policy that would require divisions to save their grant information on a shared drive, while we are also looking at purchasing a grant management software as a repository for all related grant documents. Name(s) of the contact person(s) responsible for corrective action: These HMGP grants are in several divisions, so the directors over those divisions should be responsible for the corrective actions. This would include Tamara Richardson, Utilities Director; Gaye Sharpe, Parks and Natural Resources Director; Jay Jarvis, Roads and Drainage Director; and Keith Tate, Facilities Management Director. Planned completion date for corrective action plan: September 30, 2024

View Audit 304828

Finding 394945 (2023-002)

Significant Deficiency 2023

Legal Aid Chicago

IL

Allowable Costs / Cost Principles Reporting Significant Deficiency

Recommendation: We recommend that management review its policies and procedures surrounding cut-off around the end of reporting periods to ensure disbursements are recorded in the correct reporting period. Views of Responsible Official: There is no disagreement with this finding. Action taken in r...

Recommendation: We recommend that management review its policies and procedures surrounding cut-off around the end of reporting periods to ensure disbursements are recorded in the correct reporting period. Views of Responsible Official: There is no disagreement with this finding. Action taken in response to finding: The Organization will continue to enhance our grant-end and year-end transaction monitoring to ensure appropriate treatment of expenses. Additionally, the organization will enhance communication with staff across the Organization to share grant and fiscal-year related deadlines

View Audit 304811

Finding 394944 (2023-001)

Significant Deficiency 2023

Legal Aid Chicago

IL

Eligibility Significant Deficiency Internal Control / Segregation of Duties

Recommendation: We recommend that management implement a control to review PAI time entries to ensure they are accurate. Views of Responsible Official: There is no disagreement with this finding. Action taken in response to finding: On a monthly basis, the Deputy Director/General Counsel will run ...

Recommendation: We recommend that management implement a control to review PAI time entries to ensure they are accurate. Views of Responsible Official: There is no disagreement with this finding. Action taken in response to finding: On a monthly basis, the Deputy Director/General Counsel will run a LegalServer report on PAI time, including missing activity details, and will follow up with each person to correct their time records as needed. We will also provide additional training to staff on requirements for classifying time as PAI, and the importance of accuracy in timekeeping detail.

View Audit 304811

Corrective Action Plans

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