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Corrective Action Plans

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Finding 388122 (2023-010)
Significant Deficiency 2023
Delaware State Housing Authority
DE
HUD Housing Programs Special Tests & Provisions Significant Deficiency
DSHA will implement controls to monitor and verify required periodic inspections are performed timely by implementing the following controls: 1. All biannual inspections will be performed by the Housing Manager and the Housing Asset Manager (supervisor). 2. Letters will be sent to residents notifyi...
DSHA will implement controls to monitor and verify required periodic inspections are performed timely by implementing the following controls: 1. All biannual inspections will be performed by the Housing Manager and the Housing Asset Manager (supervisor). 2. Letters will be sent to residents notifying them of the date of scheduled inspections. 3. A work order will be generated in the computer for all units indicating the date of the inspection and list all maintenance/housekeeping deficiencies. 4. Housing Managers will use their Outlook calendar as a means of tracking/alerting them of the due date for all future inspections. 5. All documents will be scanned into the resident file on Ap-extender. This will include a copy of the inspection letter and inspection work order. Responsible Official: Doris Hall, Director of Housing Management Completion Date: July 2023
View Audit 299937
Finding 388121 (2023-009)
Significant Deficiency 2023
Delaware State Housing Authority
DE
Subrecipient Monitoring Reporting Significant Deficiency § 200.1
DSHA will work immediately to update the most recent report with the proper data, including accurate SDI and AMI data, and ensure that the reported amounts for expenditures and obligations are correctly reflected. This will involve a thorough review of the original data sources and any available sup...
DSHA will work immediately to update the most recent report with the proper data, including accurate SDI and AMI data, and ensure that the reported amounts for expenditures and obligations are correctly reflected. This will involve a thorough review of the original data sources and any available supporting documentation to ensure accuracy. In addition, we will also establish a post‐report submission review to prevent similar issues from occurring in the future. This process will involve a comprehensive review of each report submitted to ensure accuracy, completeness, and compliance with reporting requirements. Finally, clear procedures will be established for maintaining supporting documents for Quarterly and Annual report submissions. The HAF Program Manager and the Vendor will collaborate and ensure the accuracy and reliability of the reports. Responsible Official: Brian Rossello, Director of Housing Finance Completion Date: March 2024
View Audit 299937
Finding 388120 (2023-008)
Significant Deficiency 2023
Delaware State Housing Authority
DE
Questioned Costs Matching / Level of Effort / Earmarking Eligibility
DSHA will ensure accurate calculation of applicant income. This will include implementing standardized procedures for verifying income sources, documenting calculations, and reviewing income determinations for accuracy. Additional training will be available to the processing team responsible for cal...
DSHA will ensure accurate calculation of applicant income. This will include implementing standardized procedures for verifying income sources, documenting calculations, and reviewing income determinations for accuracy. Additional training will be available to the processing team responsible for calculating applicant income. This will focus on proper methods for verifying income, calculating income eligibility, and identifying common errors that may lead to overpayments. The HAF Program Manager will coordinate with the Vendor to ensure accuracy of income calculations and prevent overpayments on assistance received. This corrective plan will be implemented immediately. Responsible Official: Brian Rossello, Director of Housing Finance Completion Date: March 2024
View Audit 299937 Questioned Costs: $1
Finding 388117 (2023-005)
Significant Deficiency 2023
Delaware State Housing Authority
DE
Special Tests & Provisions Allowable Costs / Cost Principles Reporting § 200.303
DSHA has contracted with a third-party vendor that will work in tandem with an Internal DSHA ERA Staff person to submit UST reports. DSHA will work to update its policies related to UST reports to include capturing uploaded reports, documents, and dates that information is submitted, saving informat...
DSHA has contracted with a third-party vendor that will work in tandem with an Internal DSHA ERA Staff person to submit UST reports. DSHA will work to update its policies related to UST reports to include capturing uploaded reports, documents, and dates that information is submitted, saving information to internal files as some information submitted to the UST Portal is not accessible for review after the reporting period has ended and report submission has been approved by UST. Responsible Official: Devon Manning, Director of Policy & Planning
View Audit 299937
Finding 388116 (2023-004)
Significant Deficiency 2023
Delaware State Housing Authority
DE
Questioned Costs Allowable Costs / Cost Principles Eligibility
DSHA recognizes that there were cases where cases were paid more than allowable under UST Program Guidelines. In future direct assistance programs, DSHA will update policies and procedures to add an internal DSHA staff review of any case that is approved for payment to ensure that program recipient...
DSHA recognizes that there were cases where cases were paid more than allowable under UST Program Guidelines. In future direct assistance programs, DSHA will update policies and procedures to add an internal DSHA staff review of any case that is approved for payment to ensure that program recipients are not approved for payments extending the UST’s current eighteen (18) months of assistance. DSHA will incorporate measures that regulate how direct payments are coded within its accounting department to ensure that all outgoing payments are made from the associated ERA account. Responsible Official: Devon Manning, Director of Policy and Planning. Completion Date: July 2023
View Audit 299937 Questioned Costs: $1
Finding 388093 (2023-001)
Significant Deficiency 2023
Elizabeth City Housing Authority
NC
Eligibility HUD Housing Programs Reporting
Corrective Action Plan For the year ended june 30,2023 Section II - Financial Statement Findings None Reported Section III - Federal Award Findings and Questioned Costs Finding 2023-001 Name of Contact Person: Sandra Perry Executive Director Corrective Action: We will implement proper internal c...
Corrective Action Plan For the year ended june 30,2023 Section II - Financial Statement Findings None Reported Section III - Federal Award Findings and Questioned Costs Finding 2023-001 Name of Contact Person: Sandra Perry Executive Director Corrective Action: We will implement proper internal control procedures for the Low Rent Public Housing eligibility requirements. Proposed Completion Date: Immediately.
View Audit 299931
Finding 388087 (2023-097)
Significant Deficiency 2023
State of Maine
ME
Cash Management Significant Deficiency § 200.303
Department: Defense, Veterans and Emergency Management Administrative and Financial Services Title: Internal control over DG – PA program cash management needs improvement Questioned Costs: None Status: Corrective action is complete Corrective Action: The Department revised the current process based...
Department: Defense, Veterans and Emergency Management Administrative and Financial Services Title: Internal control over DG – PA program cash management needs improvement Questioned Costs: None Status: Corrective action is complete Corrective Action: The Department revised the current process based on a review of the TSA agreement and a comparison to the current practices. The Department developed a process diagram and review it with the Service Center. The Department trained MEMA Business Office Staff on the new process. The Department wrote a revised cash management procedure. The Department reviewed the process with MEMA Program Staff. The Department implemented the revised cash management process. Completion Date: November 21, 2023 (first and second items), November 30, 2023 (third and fourth items), December 4, 2023 (fifth item) and December 11, 2023 (sixth item) Agency Contact: James Belanger, Business Office Director MEMA, 207-707-2912
View Audit 299909
Finding 388050 (2023-094)
Significant Deficiency 2023
State of Maine
ME
Internal Control / Segregation of Duties Allowable Costs / Cost Principles Significant Deficiency § 200.303
Department: Health and Human Services Title: Internal control over Medicaid drug rebates needs improvement Questioned Costs: None Status: Corrective action in progress Corrective Action: As a part of the quarterly drug rebate invoicing cycle, the pharmacy unit drug rebate team will review and approv...
Department: Health and Human Services Title: Internal control over Medicaid drug rebates needs improvement Questioned Costs: None Status: Corrective action in progress Corrective Action: As a part of the quarterly drug rebate invoicing cycle, the pharmacy unit drug rebate team will review and approve the pre-invoicing variances prior to the generation of invoices. On a quarterly basis, the QA team will review a sample of medical claim drug lines to calculate the drug utilization and compare that to PRIMS and confirm that the invoice is calculated correctly. Completion Date: May 31, 2024 and June 15, 2024 respectively Agency Contact: Michelle Probert, Director, Office of MaineCare Services, DHHS, 207-287-2093
View Audit 299909
Finding 388048 (2023-092)
Significant Deficiency 2023
State of Maine
ME
Allowable Costs / Cost Principles Eligibility Internal Control / Segregation of Duties § 200.303
Department: Health and Human Services Administrative and Financial Services Title: Internal control over Medicare Part B premium payments needs improvement Questioned Costs: None Status: Corrective action in progress Corrective Action: The Office for Family Independence (OFI) will ensure the monthly...
Department: Health and Human Services Administrative and Financial Services Title: Internal control over Medicare Part B premium payments needs improvement Questioned Costs: None Status: Corrective action in progress Corrective Action: The Office for Family Independence (OFI) will ensure the monthly report from the data team captures all discrepancies based on the CMS monthly reporting for Medicare Part B. OFI will revise and implement standard operating procedures, including oversight procedures, ensuring monthly documentation of completed reconciliations. Completion Date: May 1, 2024 Agency Contact: Ian Yaffe, Director, Office for Family Independence, DHHS, 207- 592-1481
View Audit 299909
Finding 388043 (2023-028)
Significant Deficiency 2023
State of Maine
ME
Significant Deficiency Special Tests & Provisions
Department: Redacted Title: ________ over the ________ needs improvement Questioned Costs: Redacted Status: Corrective action in progress Corrective Action: The Department agrees with the finding. The Department’s corrective action plan has been excluded to protect confidential information. The comp...
Department: Redacted Title: ________ over the ________ needs improvement Questioned Costs: Redacted Status: Corrective action in progress Corrective Action: The Department agrees with the finding. The Department’s corrective action plan has been excluded to protect confidential information. The complete corrective action plan has been provided to the Office of the State Auditor under separate cover. Completion Date: March 29, 2024 and June 30, 2024 respectively Agency Contact: Shirley Browne, Deputy State Controller, Office of the State Controller, 207-626-8423
View Audit 299909
Finding 388042 (2023-027)
Significant Deficiency 2023
State of Maine
ME
Significant Deficiency Special Tests & Provisions
Department: Redacted Title: ________ over ________ needs improvement Questioned Costs: Redacted Status: Corrective action in progress Corrective Action: The Department agrees with the finding. The Department’s corrective action plan has been excluded to protect confidential information. The complete...
Department: Redacted Title: ________ over ________ needs improvement Questioned Costs: Redacted Status: Corrective action in progress Corrective Action: The Department agrees with the finding. The Department’s corrective action plan has been excluded to protect confidential information. The complete corrective action plan has been provided to the Office of the State Auditor under separate cover. Completion Date: March 29, 2024, August 1, 2024, August 30, 2024, and December 31, 2025 respectively Agency Contact: Shirley Browne, Deputy State Controller, Office of the State Controller, 207-626-8423
View Audit 299909
Finding 388041 (2023-026)
Significant Deficiency 2023
State of Maine
ME
Significant Deficiency Special Tests & Provisions
Department: Redacted Title: ________ over the ________ needs improvement Questioned Costs: Redacted Status: Corrective action complete Corrective Action: The Department partially agrees with the finding. The Department’s corrective action plan as well as the explanation and specific reasons for disa...
Department: Redacted Title: ________ over the ________ needs improvement Questioned Costs: Redacted Status: Corrective action complete Corrective Action: The Department partially agrees with the finding. The Department’s corrective action plan as well as the explanation and specific reasons for disagreement have been excluded to protect confidential information. The complete corrective action plan as well as the explanation and specific reasons for disagreement have been provided to the Office of the State Auditor under separate cover. Completion Date: November 2023 and December 22, 2023 respectively Agency Contact: Shirley Browne, Deputy State Controller, Office of the State Controller, 207-626-8423
View Audit 299909
Finding 388020 (2023-085)
Significant Deficiency 2023
State of Maine
ME
Internal Control / Segregation of Duties Special Tests & Provisions Significant Deficiency § 200.303
Department: Health and Human Services Title: Internal control over CCDF provider health and safety requirements needs improvement Questioned Costs: None Status: Corrective action in progress Corrective Action: The Department’s CLIS Program Manager will update the standard operating procedures to mor...
Department: Health and Human Services Title: Internal control over CCDF provider health and safety requirements needs improvement Questioned Costs: None Status: Corrective action in progress Corrective Action: The Department’s CLIS Program Manager will update the standard operating procedures to more explicitly detail the requirements for an annual inspection and will add steps for the Licensing Specialists and Supervisors to take in the event that there may be a delay. This will include reassignment to another Licensing Specialist when necessary. The Department’s standard operating procedure updates will be provided to all child care licensing staff and reviewed during the monthly staff meeting. Completion Date: April 1, 2024 and May 1, 2024 respectively Agency Contact: Janet Whitten, CLIS Program Manager, DHHS, 207- 441-2259
View Audit 299909
Finding 388019 (2023-084)
Significant Deficiency 2023
State of Maine
ME
Allowable Costs / Cost Principles Internal Control / Segregation of Duties Special Tests & Provisions § 200.303
Department: Health and Human Services Title: Internal control over CCDF provider application and payment approvals needs improvement Questioned Costs: None Status: Corrective action in progress Corrective Action: The Department’s Program Managers will review findings with the program staff. The Dep...
Department: Health and Human Services Title: Internal control over CCDF provider application and payment approvals needs improvement Questioned Costs: None Status: Corrective action in progress Corrective Action: The Department’s Program Managers will review findings with the program staff. The Department’s Program Managers will update Manual standard operating procedures. Completion Date: May 13, 2024 Agency Contact: John Feeney, Chief Operating Officer, OCFS, DHHS, 207- 626-8614
View Audit 299909
Finding 388014 (2023-081)
Significant Deficiency 2023
State of Maine
ME
Internal Control / Segregation of Duties Special Tests & Provisions Subrecipient Monitoring § 200.303
Department: Health and Human Services Title: Internal control over TANF performance reporting and work participation procedures needs improvement Questioned Costs: None Status: Corrective action in progress Corrective Action: The Department’s staff will meet internally to review system protocols and...
Department: Health and Human Services Title: Internal control over TANF performance reporting and work participation procedures needs improvement Questioned Costs: None Status: Corrective action in progress Corrective Action: The Department’s staff will meet internally to review system protocols and discuss possible changes to increase reporting accuracy. The Department will meet with Fedcap technical staff to discuss possible system information exchange improvements. If applicable, implementation of system improvements. Completion Date: March 31, 2024, April 30, 2024 and June 30, 2024 respectively Agency Contact: Ian Yaffe, Director, Office for Family Independence, DHHS, 207- 592-1481
View Audit 299909
Finding 388013 (2023-080)
Significant Deficiency 2023
State of Maine
ME
Internal Control / Segregation of Duties Special Tests & Provisions Student Financial Aid § 200.303
Department: Health and Human Services Title: Internal control over TANF client child support sanction procedures needs improvement Questioned Costs: None Status: Management’s opinion is that corrective action is not required Corrective Action: The Department disagrees with this finding. The audit ob...
Department: Health and Human Services Title: Internal control over TANF client child support sanction procedures needs improvement Questioned Costs: None Status: Management’s opinion is that corrective action is not required Corrective Action: The Department disagrees with this finding. The audit objective identified in the Compliance Supplement is to "Determine whether, after notification by the state Title IV-D agency, the TANF agency has taken necessary action to reduce or deny TANF assistance." One of the two suggested audit procedures is to "Test a sample of cases referred by the Title IV-D agency to the TANF agency to ascertain if benefits were reduced or denied as required." The Department spent a lot of time and effort attempting to validate for OSA that it had a testable population, and the Department believes that the Office of State Auditor can perform this procedure either with the DSER-provided report of referrals or with that report in conjunction with the additional material the Department has pulled and analyzed for OSA. In the absence of that review nothing in the Department’s records, data, or discussions with OSA could reasonably be interpreted to suggest a “significant deficiency” in its Internal Controls over this aspect of the TANF program. There has not been any evidence that referrals made from DSER to OFI are getting lost, ignored, or misapplied. All 38 cases that the Department analyzed for completeness purposes reflect a well-functioning and substantively accurate sanction referral and case-action process, and this record does not support the OSA's conclusion to the contrary. Completion Date: N/A Agency Contact: Ian Yaffe, Director, Office for Family Independence, DHHS, 207- 592-1481
View Audit 299909
Finding 388001 (2023-074)
Significant Deficiency 2023
State of Maine
ME
Cash Management Internal Control / Segregation of Duties Significant Deficiency § 200.303
Department: Health and Human Services Administrative and Financial Services Title: Internal control over ELC program cash management needs improvement Questioned Costs: None Status: Corrective action in progress Corrective Action: The DHHS Financial Service Center will update procedures for the ELC ...
Department: Health and Human Services Administrative and Financial Services Title: Internal control over ELC program cash management needs improvement Questioned Costs: None Status: Corrective action in progress Corrective Action: The DHHS Financial Service Center will update procedures for the ELC program related to CMIA, Federal cash requests and reconciliations to reflect the current Treasury State Agreement and weekly draw processes. Completion Date: March 31, 2024 Agency Contact: Sarah Gove, Director, DHHS Service Center, DAFS, 207-458-6626
View Audit 299909
Finding 387999 (2023-073)
Significant Deficiency 2023
State of Maine
ME
Internal Control / Segregation of Duties Subrecipient Monitoring Reporting § 200.302 § 200.303 § 200.329
Department: Health and Human Services Title: Internal control over ELC program reporting needs improvement Questioned Costs: None Status: Corrective action in progress Corrective Action: Financial Reporting: Quarterly financial reporting will be emailed to the reviewer by Maine CDC. Financial Repor...
Department: Health and Human Services Title: Internal control over ELC program reporting needs improvement Questioned Costs: None Status: Corrective action in progress Corrective Action: Financial Reporting: Quarterly financial reporting will be emailed to the reviewer by Maine CDC. Financial Reporting: Reviewer corresponds corrections/findings via email to Maine CDC. Financial Reporting: Maine CDC inputs financial reporting into CAMP. Performance Reporting: Quarterly meetings with each team to update progress will be recorded. Performance Reporting: All milestones that have progress in the last quarter will have a note describing how we determined the progress level entered into CAMP. Performance Reporting: A note about who reviewed the progress report and who submitted it will be entered into the Monitoring Notes section in CAMP. Completion Date: June 10, 2024 (first item), June 18, 2024 (second item), June 20, 2024 (third item) and June 30, 2024 (last three items) Agency Contact: Sara Robinson, Infectious Disease Program Manager, DHHS, 207-287-4610
View Audit 299909
Finding 387995 (2023-072)
Significant Deficiency 2023
State of Maine
ME
Significant Deficiency Special Tests & Provisions
Department: Redacted Title: ________ over the ________ needs improvement Questioned Costs: Redacted Status: Corrective action in progress Corrective Action: The Department agrees with the finding. The Department’s corrective action plan has been excluded to protect confidential information. The comp...
Department: Redacted Title: ________ over the ________ needs improvement Questioned Costs: Redacted Status: Corrective action in progress Corrective Action: The Department agrees with the finding. The Department’s corrective action plan has been excluded to protect confidential information. The complete corrective action plan has been provided to the Office of the State Auditor under separate cover. Completion Date: May 31, 2024 Agency Contact: Shirley Browne, Deputy State Controller, Office of the State Controller, 207-626-8423
View Audit 299909
Finding 387986 (2023-068)
Significant Deficiency 2023
State of Maine
ME
Significant Deficiency Special Tests & Provisions
Department: Redacted Title: ________ over the ________ needs improvement Questioned Costs: Redacted Status: Corrective action in progress Corrective Action: The Department partially agrees with the finding. The Department’s corrective action plan as well as the explanation and specific reasons for d...
Department: Redacted Title: ________ over the ________ needs improvement Questioned Costs: Redacted Status: Corrective action in progress Corrective Action: The Department partially agrees with the finding. The Department’s corrective action plan as well as the explanation and specific reasons for disagreement have been excluded to protect confidential information. The complete corrective action plan as well as the explanation and specific reasons for disagreement have been provided to the Office of the State Auditor under separate cover. Completion Date: July 31, 2024 Agency Contact: Shirley Browne, Deputy State Controller, Office of the State Controller, 207-626-8423
View Audit 299909
Finding 387982 (2023-066)
Significant Deficiency 2023
State of Maine
ME
Subrecipient Monitoring Reporting Significant Deficiency § 200.303
Department: Education Title: Internal control over ESF special reporting needs improvement Questioned Costs: None Status: Corrective action in progress Corrective Action: The department has implemented a new procedure in FY24 to review project descriptions and reconcile subawards repo...
Department: Education Title: Internal control over ESF special reporting needs improvement Questioned Costs: None Status: Corrective action in progress Corrective Action: The department has implemented a new procedure in FY24 to review project descriptions and reconcile subawards reported between USA Spending and Advantage. Completion Date: June 30, 2024 Agency Contact: Nicole Denis, Director of Finance, DOE, 207-530-2161
View Audit 299909
Finding 387943 (2023-053)
Significant Deficiency 2023
State of Maine
ME
Significant Deficiency Special Tests & Provisions
Department: Redacted Title: ________ over ________ needs improvement Questioned Costs: Redacted Status: Corrective action in progress Corrective Action: The Department agrees with the finding. The Department’s corrective action plan has been excluded to protect confidential information. The complete...
Department: Redacted Title: ________ over ________ needs improvement Questioned Costs: Redacted Status: Corrective action in progress Corrective Action: The Department agrees with the finding. The Department’s corrective action plan has been excluded to protect confidential information. The complete corrective action plan has been provided to the Office of the State Auditor under separate cover. Completion Date: June 30, 2024 Agency Contact: Shirley Browne, Deputy State Controller, Office of the State Controller, 207-626-8423
View Audit 299909
Finding 387937 (2023-052)
Significant Deficiency 2023
State of Maine
ME
Significant Deficiency Special Tests & Provisions
Department: Redacted Title: ________ over the ________ needs improvement Questioned Costs: Redacted Status: Corrective action in progress Corrective Action: The Department partially agrees with the finding. The Department’s corrective action plan as well as the explanation and specific reasons for d...
Department: Redacted Title: ________ over the ________ needs improvement Questioned Costs: Redacted Status: Corrective action in progress Corrective Action: The Department partially agrees with the finding. The Department’s corrective action plan as well as the explanation and specific reasons for disagreement have been excluded to protect confidential information. The complete corrective action plan as well as the explanation and specific reasons for disagreement have been provided to the Office of the State Auditor under separate cover. Completion Date: July 31, 2024 Agency Contact: Shirley Browne, Deputy State Controller, Office of the State Controller, 207-626-8423
View Audit 299909
Finding 387935 (2023-051)
Significant Deficiency 2023
State of Maine
ME
Significant Deficiency Special Tests & Provisions
Department: Redacted Title: ________ over ________ and ________ needs improvement Questioned Costs: Redacted Status: Management’s opinion is that corrective action is not required Corrective Action: The Department disagrees with the finding. The Department’s explanation and specific reasons for disa...
Department: Redacted Title: ________ over ________ and ________ needs improvement Questioned Costs: Redacted Status: Management’s opinion is that corrective action is not required Corrective Action: The Department disagrees with the finding. The Department’s explanation and specific reasons for disagreement have been excluded to protect confidential information. The complete explanation and specific reasons for disagreement have been provided to the Office of the State Auditor under separate cover. Completion Date: N/A Agency Contact: Shirley Browne, Deputy State Controller, Office of the State Controller, 207-626-8423
View Audit 299909
Finding 387931 (2023-049)
Significant Deficiency 2023
State of Maine
ME
Significant Deficiency Special Tests & Provisions
Department: Redacted Title: ________ over ________ needs improvement Questioned Costs: Redacted Status: Corrective action in progress Corrective Action: The Department agrees with the finding. The Department’s corrective action plan has been excluded to protect confidential information. The complete...
Department: Redacted Title: ________ over ________ needs improvement Questioned Costs: Redacted Status: Corrective action in progress Corrective Action: The Department agrees with the finding. The Department’s corrective action plan has been excluded to protect confidential information. The complete corrective action plan has been provided to the Office of the State Auditor under separate cover. Completion Date: July 1, 2024 Agency Contact: Shirley Browne, Deputy State Controller, Office of the State Controller, 207-626-8423
View Audit 299909
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