Corrective Action Plans

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Finding 2023-006 – Federal Funding Accountability and Transparency Act Name of contact person and title: Jennifer Houck, Interim Chief Financial Officer Anticipated completion date: 6/30/25 Organization’s response: Concur Management agrees with this finding an...
Finding 2023-006 – Federal Funding Accountability and Transparency Act Name of contact person and title: Jennifer Houck, Interim Chief Financial Officer Anticipated completion date: 6/30/25 Organization’s response: Concur Management agrees with this finding and provided the following response for corrective action Plan of Action: To improve FFATA compliance, mandatory reconciliations for grants have been implemented to ensure timely identification and correction of reporting errors. Additionally, a reporting tracker has been established to monitor deadlines and ensure all required submissions are completed accurately and on time.
Fiscal Year 2023 Single Audit Corrective Action Plan Finding Number: 2023-006 Cash Management Condition: The CMHSP has established internal controls relating to approvals of cash requests. However, during testing we noted that cash requests did not contain evidence of required approvals. Planned Cor...
Fiscal Year 2023 Single Audit Corrective Action Plan Finding Number: 2023-006 Cash Management Condition: The CMHSP has established internal controls relating to approvals of cash requests. However, during testing we noted that cash requests did not contain evidence of required approvals. Planned Corrective Action: The CFO or Finance Manager will ensure that all cash requests are approved by the proper individuals. Contact Person: Kevin Hartley, CFO 231.633.2171 Kevin.hartley@nlcmh.org Anticipated Completion Date: 10-1-24
Fiscal Year 2023 Single Audit Corrective Action Plan Finding Number: 2023-005 Reporting Condition: The CMHSP did not reconcile financial expenditures shown in the Federal Financial Report to the total disbursement and charges in PMS. Planned Corrective Action: The CFO or Finance Manager will ensure ...
Fiscal Year 2023 Single Audit Corrective Action Plan Finding Number: 2023-005 Reporting Condition: The CMHSP did not reconcile financial expenditures shown in the Federal Financial Report to the total disbursement and charges in PMS. Planned Corrective Action: The CFO or Finance Manager will ensure that the financial expenditures shown in the Federal Financial Report reconciles to the total disbursement and charges in PMS. Contact Person: Kevin Hartley, CFO 231.633.2171 Kevin.hartley@nlcmh.org Anticipated Completion Date: 10-1-24
Views of Responsible Officials and Planned Corrective Actions: Agree with recommendation. A draft procurement policy has been prepared. It will be modified to ensure compliance with procurement of property or services required under a Federal award. Employees with procurement responsibilities wil...
Views of Responsible Officials and Planned Corrective Actions: Agree with recommendation. A draft procurement policy has been prepared. It will be modified to ensure compliance with procurement of property or services required under a Federal award. Employees with procurement responsibilities will be required to follow the policy.
Management Response and Corrective Action Plan City's Response: The City concurs with the recommendation. Corrective Action Plan: The recommendations are included in the new grants policy. The City Manager shall review and approve it for implementation by September 2025. Planned Implementation Date:...
Management Response and Corrective Action Plan City's Response: The City concurs with the recommendation. Corrective Action Plan: The recommendations are included in the new grants policy. The City Manager shall review and approve it for implementation by September 2025. Planned Implementation Date: September 2025 Responsible Person(s): City Manager
Management Response and Corrective Action Plan City's Response: The City concurs with the recommendation. Corrective Action Plan: The City Controller’s Office drafted a grants policy that is currently under review by City Management. Community development staff will ensure a succession plan is in pl...
Management Response and Corrective Action Plan City's Response: The City concurs with the recommendation. Corrective Action Plan: The City Controller’s Office drafted a grants policy that is currently under review by City Management. Community development staff will ensure a succession plan is in place for any staff turnover and for report preparation compliance. Planned Implementation Date: September 2025 Responsible Person(s): City Manager, City Controller, and Community Development Director
CORRECTIVE ACTION PLAN Name of the Project: Baten Arms Apartments FHA/CONTACT NO. 114-11227 Audit Firm: M Group, LLP Audit Period: The year ended June 30, 2023 Compliance Review COMMENTS ON FINDINGS AND RECOMMENDATIONS We concur with the findings and recommendations of our auditors regarding ou...
CORRECTIVE ACTION PLAN Name of the Project: Baten Arms Apartments FHA/CONTACT NO. 114-11227 Audit Firm: M Group, LLP Audit Period: The year ended June 30, 2023 Compliance Review COMMENTS ON FINDINGS AND RECOMMENDATIONS We concur with the findings and recommendations of our auditors regarding our noncompliance as cited in the accompanying Schedule of Findings and Questioned Costs. ACTIONS TAKEN FINDING #2023-003: Section 8 Housing Assistance Payments Program, CFDA: 14.195 and Mortgage Insurance Section 223(f) Insured Loan, CFDA:14.155 CORRECTIVE ACTION TO BE COMPLETED: The Corporation will review and monitor documentation procedures to ensure compliance regarding cash disbursements. We have prepared the corrective action plan as required by the standards applicable to financial statements contained in Government Auditing Standards and by the audit requirements of Title 2 U.S. Code of Federal Regulations Part 200, Uniform Administrative Requirements, Cost Principals, and Audit Requirements for Federal Awards. Any questions regarding the above corrective action plan should be directed to Mr. Stewart Grounds.
View Audit 359650 Questioned Costs: $1
Management concurs with the recommendation as proposed and is implementing policies and procedures to track and monitor reporting requirements. Management will file the reporting package and data collection form.
Management concurs with the recommendation as proposed and is implementing policies and procedures to track and monitor reporting requirements. Management will file the reporting package and data collection form.
Management agrees with the auditors' finding and will take action to implement controlling procedures over federal programs. Name(s) of Contact Person(s) Responsible for Corrective Action: Nhia Xiong, Accounting Specialist, Alex Sukalski, Chief Financial Officer
Management agrees with the auditors' finding and will take action to implement controlling procedures over federal programs. Name(s) of Contact Person(s) Responsible for Corrective Action: Nhia Xiong, Accounting Specialist, Alex Sukalski, Chief Financial Officer
FINDING 2023-003 Finding Subject: COVID-19 – State and Local Fiscal Recovery Funds – Suspension and Debarment Contact Person Responsible for Corrective Action: Bob G. Courtney, Mayor Contact Phone Number and Email Address: 812-265-8300/mayor@madison-in.gov Views of Responsible Officials: We concur w...
FINDING 2023-003 Finding Subject: COVID-19 – State and Local Fiscal Recovery Funds – Suspension and Debarment Contact Person Responsible for Corrective Action: Bob G. Courtney, Mayor Contact Phone Number and Email Address: 812-265-8300/mayor@madison-in.gov Views of Responsible Officials: We concur with the finding regarding the lack of policies or procedures in place related to the SLRF suspension and debarment requirements. Description of Corrective Action Plan: Historically, the city has not had a centralized position who would be responsible for grant and compliance management which created an inferior process of internal controls. A new Project & Grant Manager position was created in the Mayor’s office in April 2025. When contracts for goods or services equal or exceed the required amount, verification will be done by checking the Excluded Parties List System (EPLS), collecting a certification from that person, or adding a clause or condition to the transaction with that person. Proper education on the process is already underway. Anticipated Completion Date: The new position referenced above has been filled and is in operation as of April 8th 2025.
Action to be taken – Future internal approval of all timesheets will include first approval by the immediate supervisor, reviewing total hours worked per week, grants billed, and total hours worked. There will be a second approval by an outside financial management firm when they process the payroll...
Action to be taken – Future internal approval of all timesheets will include first approval by the immediate supervisor, reviewing total hours worked per week, grants billed, and total hours worked. There will be a second approval by an outside financial management firm when they process the payroll to prevent errors in overpayments. Estimated completion date – In September 2024 the new executive director mandated her approval or that of the board treasurer for any expenses. We are in the process of onboarding with the new financial management company with the anticipated start date of October 1, 2025 (the beginning of 2026 fiscal year).With this addition to our process, payroll will be processed off site by a third party. Responsible person – Carla Filkins, Executive Director and Julie Rushing, Board Treasurer
View Audit 359118 Questioned Costs: $1
Action to be taken – Immediately upon discovering the 2023 audit had not been completed, the Organization reached out to Weinlander Fitzhugh to schedule completion of the audit. As soon as the September 30, 2023 audit is complete, we have engaged with a new audit firm to begin the September 30, 2024...
Action to be taken – Immediately upon discovering the 2023 audit had not been completed, the Organization reached out to Weinlander Fitzhugh to schedule completion of the audit. As soon as the September 30, 2023 audit is complete, we have engaged with a new audit firm to begin the September 30, 2024 audit immediately. The Data Collection Forms will be submitted to the Federal Audit Clearinghouse within 30 days of the completion of each audit. Estimated completion date – The outstanding September 30, 2023 and September 30, 2024 fiscal year end audits are anticipated to both be completed by August 31, 2025. The September 30, 2025 audit will be scheduled timely after completion of the fiscal year. Responsible person – Carla Filkins, Executive Director and Julie Rushing, Board Treasurer
Action to be taken – Internal controls have been adjusted to reflect double approval of all transactions by the direct supervisor and the executive director or treasurer. This will include coding of bills, approval of all transactions and the processing of transactions. All approved transactions wil...
Action to be taken – Internal controls have been adjusted to reflect double approval of all transactions by the direct supervisor and the executive director or treasurer. This will include coding of bills, approval of all transactions and the processing of transactions. All approved transactions will be handled by an offsite financial management service in the future. By eliminating the use of the credit card, this will significantly reduce the chance of not having proper supporting documentation in the future. Estimated completion date – In September 2024 the new executive director mandated her approval or that of the board treasurer for any expenses, including credit cards. In February 2025 we updated our internal controls and added an administrative assistant to provide an extra level of segregation of duties. We are in the process of onboarding with the new financial management company with the anticipated start date of October 1, 2025 (the beginning of 2026 fiscal year). Responsible person – Carla Filkins, Executive Director and Julie Rushing, Board Treasurer
Action to be taken – Since becoming aware of the discrepancies between the credit card statements and transactions recorded in Quickbooks, the Organization has been entering all charges, interest and fees into the accounting software to reflect true balances on the credit cards. Going forward, all e...
Action to be taken – Since becoming aware of the discrepancies between the credit card statements and transactions recorded in Quickbooks, the Organization has been entering all charges, interest and fees into the accounting software to reflect true balances on the credit cards. Going forward, all entries related to credit cards will be recorded by an outside financial management firm. The Organization has accepted a purchase agreement for the Organization's building at 118 S Mitchell Street. The outstanding balance of the credit cards owed will be paid from the proceeds of the sale. Since becoming aware of the credit card balances, the use of Organization credit cards has been significantly restricted by management. Going forward, all credit card charges, if there are any, are only approved by the discretion of the executive director and paid on the balance immediately. Estimated completion date – Credit card balances have been reviewed and are current in their posting to our accounting software through journal entries that have been recorded. All fees and interest have also been recorded. All open credit card balances will be paid off from the proceeds on the sale of our building. This is anticipated to be completed by June 2025. Responsible person – Carla Filkins, Executive Director and Julie Rushing, Board Treasurer
Action to be taken – The Organization has updated its internal controls to reflect incorporate segregation of duties over the disbursement process and payroll processing. For payroll the updated process includes one person approving timesheets, another person processing payroll, the executive direct...
Action to be taken – The Organization has updated its internal controls to reflect incorporate segregation of duties over the disbursement process and payroll processing. For payroll the updated process includes one person approving timesheets, another person processing payroll, the executive director and board treasurer approving payroll, and lastly include a final approval of payroll. For disbursements the director of operations will open the mail and code bills for expense accounts, the executive director will approve bills for payment, the director of operations will print checks, the executive director or board treasurer will sign checks, the community response coordinator will mail checks, and the board treasurer will review bank reconciliations completed by the director of operations. All reconciliations will be reviewed by the board treasurer. Payroll processing will be performed by an outside financial management firm moving forward. Estimated completion date – In September 2024 the new executive director mandated her approval or that of the board treasurer for any expenses, including credit cards. In February 2025 we updated our internal controls and added an administrative assistant to provide an extra level of segregation of duties. Responsible person – Carla Filkins, Executive Director and Julie Rushing, Board Treasurer
Action to be taken – The Organization has adjusted its internal controls to include a final approval of payroll and withholdings by the executive director and board treasurer. The newly contracted outside financial Organization will be responsible for the processing of all payroll withholdings. The ...
Action to be taken – The Organization has adjusted its internal controls to include a final approval of payroll and withholdings by the executive director and board treasurer. The newly contracted outside financial Organization will be responsible for the processing of all payroll withholdings. The executive director and the treasurer will have online access to the accounts for oversight. Estimated completion date – In October 2024 the Executive Director began reviewing payroll and payroll withholdings during each pay period. Responsible person – Carla Filkins, Executive Director and Julie Rushing, Board Treasurer
Action to be taken – In September 2024 when the new executive director joined the Organization, the Organization immediately began to pay and file the payroll withholding. The late tax payments were brought to the attention of the executive director by the auditing firm during the audit. The board o...
Action to be taken – In September 2024 when the new executive director joined the Organization, the Organization immediately began to pay and file the payroll withholding. The late tax payments were brought to the attention of the executive director by the auditing firm during the audit. The board of directors immediately contacted tax attorney Patti O’Dell. The tax attorney has been communicating with the IRS and the State of Michigan on behalf of the Organization. Patti O’Dell has since joined the Organization's board of directors. The new internal controls in place and the new arrangement of contracting with an outside financial management firm will improve oversight in the future. The Organization has accepted a purchase agreement for the Organization's building at 118 S Mitchell Street. The balance of the payroll taxes owed will be paid from the proceeds of the sale. Estimated completion date – The sale of the building and payment of the outstanding payroll tax balances are anticipated to be completed by June 2025. The Organization will pay the total amount owed along with interest and penalties as soon as the sale of the building closes. All 2024-2025 fiscal year payroll taxes are current in processing and payment. Responsible person – Carla Filkins, Executive Director and Julie Rushing, Board Treasurer
Corrective Action Plan: 1. Created a detailed shared federal financial reporting calendar that includes all relevant deadlines and submission dates 2. Developed checklists for each report to ensure all required information is gathered and reviewed before submission 3. Designated a staff member who i...
Corrective Action Plan: 1. Created a detailed shared federal financial reporting calendar that includes all relevant deadlines and submission dates 2. Developed checklists for each report to ensure all required information is gathered and reviewed before submission 3. Designated a staff member who is responsible for tracking and managing federal financial reporting deadlines and ensuring timely submissions 4. Continuously evaluate the financial reporting process and make adjustments based on lessons learned from previous submissions and audits 5. Review and update internal policies and procedures to ensure that they reflect the latest federal reporting requirements and best practices Anticipated completion date: 1. Completed 2. Completed 3. Completed 4. Ongoing 5. Ongoing
Corrective Action Plan: 1. Standardize financial reporting procedures: • Accountant and ED will meet bi-weekly to review revenue and expenses • Accountant will meet with Donor Operations Manager monthly to confirm fund development revenue and expenses are properly allocated to the correct GL code • ...
Corrective Action Plan: 1. Standardize financial reporting procedures: • Accountant and ED will meet bi-weekly to review revenue and expenses • Accountant will meet with Donor Operations Manager monthly to confirm fund development revenue and expenses are properly allocated to the correct GL code • Accountant will send monthly financials to ED first for review • Once approved, ED will send monthly financials to Finance Committee Chair and BOD President • Finance Committee Chair will send to full board • Any questions will be addressed to the Finance Committee Chair • Budget will be reviewed at monthly leadership meetings • Regularly assess and refine, as applicable, financial reporting and closing processes to improve efficiency and accuracy 2. Finance Committee • Effective 9/2023, the finance committee was re-instituted to review financials and to implement stronger financial safeguards for TBS • Monthly meetings are held where financial performance and reports are reviewed in depth • Any anticipated risks will be reviewed • Finance Committee prepares annual budget with input from ED and BOD President 3. Board reporting • BOD members will receive monthly financial packet from Finance Committee Chair for review • Any questions will be directed to the Finance Committee Chair • Each quarterly board meeting will include a budget review highlighting projections and actuals vs budgeted • First board meeting of year will include comprehensive review of previous year Anticipated completion date: 1. Ongoing 2. Ongoing 3. Ongoing
Auditor's Recommendation: The auditor recommends the Organization enhance the design of its control activities and procedures over the reporting of consumer eligibility dates to ensure that date of eligibility agree between the ILS and DRS systems. Management’s Response: The LIFE Inc. staff have re...
Auditor's Recommendation: The auditor recommends the Organization enhance the design of its control activities and procedures over the reporting of consumer eligibility dates to ensure that date of eligibility agree between the ILS and DRS systems. Management’s Response: The LIFE Inc. staff have received training on new measures to ensure that the eligibility dates in the databases are consistent. When new Consumers request assistance through the Purchased Services Program, their intake appointments are scheduled simultaneously with those for the Base Grant Services. This coordination helps guarantee that the dates in both databases match. Due date of completion: May 31, 2025 Responsible Official: Program Director, Lidia Taylor
Auditor's Recommendation: The Auditor recommends the Organization implement controls for documenting and retaining information to indicate the Organization follows the requirements over 2 CFR section 200.430(i), and that all time charged to the grant are reviewed for approval. Management’s Response:...
Auditor's Recommendation: The Auditor recommends the Organization implement controls for documenting and retaining information to indicate the Organization follows the requirements over 2 CFR section 200.430(i), and that all time charged to the grant are reviewed for approval. Management’s Response: In fiscal year 2024, LIFE Inc. implemented the following: • Reviewed, updated and established policies/procedures that aligned with the compliance of 2 CFR, 200.430(i). • Implemented a newly customized timekeeping system that enabled accurate recording of time spent on grant-related activities and that ensured capabilities for supervisory review and approval. • Conducted training sessions for all staff on updated policies regarding timekeeping procedures, the new online timekeeping portal and adherence to federal regulations. • Scheduled internal audits and reviews at least once a fiscal quarter to ensure that the new timekeeping system was being used correctly and that all time charged to grants was appropriate and compliant with LIFE Inc.’s policies/procedures and federal regulations. Due date of completion: August 31, 2024 Responsible Officer: Executive Director, Michelle Crain
Chairman of the Board of County Commissioners: Oklahoma County will comply with federal laws and regulations and grant agreements by creating award agreements that are designed and implemented to ensure Subrecipient Monitoring is performed. Anticipated Completion Date: 6/30/2025 Responsible Contact ...
Chairman of the Board of County Commissioners: Oklahoma County will comply with federal laws and regulations and grant agreements by creating award agreements that are designed and implemented to ensure Subrecipient Monitoring is performed. Anticipated Completion Date: 6/30/2025 Responsible Contact Person: Myles Davidson, BOCC Chairman
View Audit 358664 Questioned Costs: $1
Finding 564216 (2023-006)
Significant Deficiency 2023
Finding 2023-006: Significant Deficiency and Noncompliance Finding, Reporting – Special Reporting Finding: Three of the four quarterly Project and Expenditure Reports were not submitted as required, and the one that was submitted was submitted past the deadline. Corrective Action Taken or Planned: ...
Finding 2023-006: Significant Deficiency and Noncompliance Finding, Reporting – Special Reporting Finding: Three of the four quarterly Project and Expenditure Reports were not submitted as required, and the one that was submitted was submitted past the deadline. Corrective Action Taken or Planned: Kara Prunty, Assistant Director of Finance has taken on this responsibility. The quarterly reports for SLFRF have been submitted for 2024 quarters 2, 3, and 4.
Finding No.: 2023-005 Condition: SEDOL did not have sufficient support showing approved alloca􀆟ons for salary and benefits for individuals whose payroll costs were par􀆟ally claimed under federal grants. Plan: Management will implement a process to properly document, review and monitor alloca􀆟on of p...
Finding No.: 2023-005 Condition: SEDOL did not have sufficient support showing approved alloca􀆟ons for salary and benefits for individuals whose payroll costs were par􀆟ally claimed under federal grants. Plan: Management will implement a process to properly document, review and monitor alloca􀆟on of personnel costs. An􀆟cipated Date of Comple􀆟on: 6/30/2026 Name of Contact Person: Dr. Stephen Johns, Co-Interim Assistant Superintendent
Finding No.: 2023-003 Condi􀆟on: SEDOL submited grant expenditure reports for reimbursement without having sufficient support for expenditures claimed, resul􀆟ng in reimbursements greater than allowable costs. Plan: Management will implement a process to properly budget, track and monitor grant expend...
Finding No.: 2023-003 Condi􀆟on: SEDOL submited grant expenditure reports for reimbursement without having sufficient support for expenditures claimed, resul􀆟ng in reimbursements greater than allowable costs. Plan: Management will implement a process to properly budget, track and monitor grant expenditures and create an improved review and oversight process. An􀆟cipated Date of Comple􀆟on: 6/30/2026 Name of Contact Person: Dr. Stephen Johns, Co-Interim Assistant Superintendent
View Audit 358321 Questioned Costs: $1
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