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Corrective Action Plans

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Finding 498186 (2023-003)
Material Weakness 2023
Mobile County Housing Authority
AL
HUD Housing Programs Subrecipient Monitoring Internal Control / Segregation of Duties
2023-003 ALN 14.871 – Housing Voucher Cluster – Waiting List Management acknowledged the finding and will follow the Auditor's recommendations as listed in the Schedule of Findings and Questioned Costs. Person Responsible for Correction of Finding: Ms. Tyronnda Bethune, Executive Director Projected ...
2023-003 ALN 14.871 – Housing Voucher Cluster – Waiting List Management acknowledged the finding and will follow the Auditor's recommendations as listed in the Schedule of Findings and Questioned Costs. Person Responsible for Correction of Finding: Ms. Tyronnda Bethune, Executive Director Projected Completion Date: December 31, 2024
View Audit 320939
Finding 498185 (2023-001)
Material Weakness 2023
Mobile County Housing Authority
AL
HUD Housing Programs Subrecipient Monitoring Eligibility
2023-001 ALN 14.871 – Housing Voucher Cluster – Eligibility Management acknowledged the finding and will follow the Auditor's recommendations as listed in the Schedule of Findings and Questioned Costs. Person Responsible for Correction of Finding: Ms. Tyronnda Bethune, Executive Director Projected C...
2023-001 ALN 14.871 – Housing Voucher Cluster – Eligibility Management acknowledged the finding and will follow the Auditor's recommendations as listed in the Schedule of Findings and Questioned Costs. Person Responsible for Correction of Finding: Ms. Tyronnda Bethune, Executive Director Projected Completion Date: December 31, 2024
View Audit 320939
Finding 498176 (2023-001)
Significant Deficiency 2023
Gateway Accessible Housing Iii, Inc.
MO
Subrecipient Monitoring Reporting Internal Control / Segregation of Duties § 200.512
Finding 2023-001: Comments on the Finding and Each Recommendation: Statement of condition 2023-001: The Corporation did not file the data collection form SF-SAC for the audited financial statements for the year ended December 31, 2022, with the federal audit clearing house in a timely manner, as r...
Finding 2023-001: Comments on the Finding and Each Recommendation: Statement of condition 2023-001: The Corporation did not file the data collection form SF-SAC for the audited financial statements for the year ended December 31, 2022, with the federal audit clearing house in a timely manner, as required by 2 CFR 200.512. Recommendation: Management should submit data collection form SF-SAC as required by 2 CFR 200.512. Action(s) taken or planned on the finding: Management filed form SF-SAC on January 4, 2024.
View Audit 320918
Finding 498160 (2023-005)
Material Weakness 2023
Town of Frankton
IN
Procurement, Suspension & Debarment Subrecipient Monitoring Allowable Costs / Cost Principles § 200.303
Title of result and comment:: Frankton FINDING 2023‐005 Contact person Responsible for Corrective Action: First Name: Timothy Last Name: Detrick Contact’s Phone Number:: (765) 754‐7285 Contact’s Email Address:: tdetrickct@gmail.com Views of Responsible Official:: We concur with the finding. Descript...
Title of result and comment:: Frankton FINDING 2023‐005 Contact person Responsible for Corrective Action: First Name: Timothy Last Name: Detrick Contact’s Phone Number:: (765) 754‐7285 Contact’s Email Address:: tdetrickct@gmail.com Views of Responsible Official:: We concur with the finding. Description of Corrective Action Plan:: Same as before CAP ‐ Any contract we establish we are goign to make sure they are now excluded or disquali ed by: (a) Checking SAM Exclusions; or (b) Collecting a certi cation from that person; or (c) Adding a clause or condition to the covered transaction with that person" We will also have a clause in our contracts that state they will Buy America Preference material. Anticipated Completion Date: Year: 2024 Month: 6 Day: 1 If applicable: Document reason issue will NOT be corrected within 6 months:: INDIANA STATE BOARD OF ACCOUNTS 34 Unit Name: Town of Frankton County: Madison Report period beginning date: Year: 2023 Month: 1 Day: 1 Report period ending date: Year: 2023 Month: 12 Day: 31
View Audit 320891
Finding 498158 (2023-003)
Material Weakness 2023
Town of Frankton
IN
Procurement, Suspension & Debarment Subrecipient Monitoring § 200.303 § 200.317 § 200.318 § 200.327
Title of result and comment:: Frankton FINDING 2023‐003 Contact person Responsible for Corrective Action: First Name: Timothy Last Name: Detrick Contact’s Phone Number:: (765) 754‐7285 Contact’s Email Address:: tdetrickct@gmail.com Views of Responsible Official:: We concur with the finding. Descript...
Title of result and comment:: Frankton FINDING 2023‐003 Contact person Responsible for Corrective Action: First Name: Timothy Last Name: Detrick Contact’s Phone Number:: (765) 754‐7285 Contact’s Email Address:: tdetrickct@gmail.com Views of Responsible Official:: We concur with the finding. Description of Corrective Action Plan:: All contract we make will start going through, Checking SAM Exclusions; or Collecting a certification from that person; or Adding a clause or condition to the covered transaction with that person". We will also add a clause that any Federal Government Grant will buy America Preference Material. Anticipated Completion Date: Year: 2024 Month: 5 Day: 14 If applicable: Document reason issue will NOT be corrected within 6 months:: INDIANA STATE BOARD OF ACCOUNTS 32 Unit Name: Town of Frankton County: Madison Report period beginning date: Year: 2023 Month: 1 Day: 1 Report period ending date: Year: 2023 Month: 12 Day: 31
View Audit 320891
Finding 498155 (2023-005)
Material Weakness 2023
Shelby County
IN
Procurement, Suspension & Debarment Subrecipient Monitoring § 200.214 § 200.303 § 200.317 § 200.318 § 200.327
FINDING 2023-05 Finding Subject: COVID-19 Coronavirus State and Local Fiscal Recovery Funds – Procurement and Suspension and Debarment Summary of Finding: No procurement policy is in place and vendors were not confirmed to not be suspended or debarred. Contact Person Responsible for Corrective Actio...
FINDING 2023-05 Finding Subject: COVID-19 Coronavirus State and Local Fiscal Recovery Funds – Procurement and Suspension and Debarment Summary of Finding: No procurement policy is in place and vendors were not confirmed to not be suspended or debarred. Contact Person Responsible for Corrective Action: Amy L. Glackman Contact Phone Number: 317-392-6310 Views of Responsible Official: We concur with the finding. Description of Corrective Action Plan: Control procedures will be put into place effective immediately. The Auditor will start checking all vendors paid from grants for suspension, debarred or excluded from being able to enter into contracts. Additionally, a procurement policy will be put into place. Anticipated Completion Date: August 30, 2024
View Audit 320882
Finding 498153 (2023-014)
Material Weakness 2023
Comanche County
OK
Subrecipient Monitoring Period of Performance Reporting § 200.1 § 200.329 § 200.344
The Board of County Commissioners will take measures to ensure future compliance with all requirements of federal grants.
The Board of County Commissioners will take measures to ensure future compliance with all requirements of federal grants.
View Audit 320878
Finding 498152 (2023-007)
Material Weakness 2023
Comanche County
OK
Procurement, Suspension & Debarment Subrecipient Monitoring Allowable Costs / Cost Principles § 200.303
The Board of County Commissioners will work with all County Officials to go over all grants and federal monies that Comanche County receives to ensure that proper internal controls are implemented.
The Board of County Commissioners will work with all County Officials to go over all grants and federal monies that Comanche County receives to ensure that proper internal controls are implemented.
View Audit 320878
Finding 498151 (2023-006)
Material Weakness 2023
Comanche County
OK
Procurement, Suspension & Debarment Subrecipient Monitoring Internal Control / Segregation of Duties
The Board of County Commissioners will work toward assessing and identifying risks to design written county-wide controls.
The Board of County Commissioners will work toward assessing and identifying risks to design written county-wide controls.
View Audit 320878
Finding 498132 (2023-005)
Significant Deficiency 2023
City of Wilton
ND
Procurement, Suspension & Debarment Subrecipient Monitoring § 200.318 § 200.326
Contact Person - Pattie Solberg, Auditor; Corrective Action Plan - The City will implement a written procurement policy that follows Uniform Guidance and will review vendors for suspension and debarment before entering into covered transactions. Completion Date - December 1, 2024.
Contact Person - Pattie Solberg, Auditor; Corrective Action Plan - The City will implement a written procurement policy that follows Uniform Guidance and will review vendors for suspension and debarment before entering into covered transactions. Completion Date - December 1, 2024.
View Audit 320832
Finding 498127 (2023-003)
Significant Deficiency 2023
Little Earth of United Tribes Housing Corporation
MN
HUD Housing Programs Subrecipient Monitoring Eligibility
Management will implement a system to monitor and review tenant file gross rent changes occurring during the year.
Management will implement a system to monitor and review tenant file gross rent changes occurring during the year.
View Audit 320806
Finding 498120 (2023-002)
Material Weakness 2023
Southeast Texas Food Bank, Inc.
TX
Procurement, Suspension & Debarment Subrecipient Monitoring Internal Control / Segregation of Duties
2023 – 002 – Coronavirus State and Local Recovery Funds – Food Bank Capacity Grant (ARPA) (ALN ‐21.027) United States Department of Agriculture, Passed through the Texas Department of Agriculture. Internal Control – Monitoring Condition and Context: The policies and procedures in place during 2023 d...
2023 – 002 – Coronavirus State and Local Recovery Funds – Food Bank Capacity Grant (ARPA) (ALN ‐21.027) United States Department of Agriculture, Passed through the Texas Department of Agriculture. Internal Control – Monitoring Condition and Context: The policies and procedures in place during 2023 did include proper monitoring of the program policies and procedures. Recommendations: Management should consider implementation of a contemporaneous monitoring process over procurement with federal and state funding. CORRECTIVE ACTION PLAN : ALL purchases being made for federal and state funding will be reviewed by the President and CEO for proper monitoring and compliance of procurement policies. The President and CEO will sign off for approval prior to purchasing. ALL Purchases being made for grantors with procurement requirements will be reviewed by the President and CEO prior to purchase for approval for monitoring for procurement compliance. To Note : all prior ARPA grant purchases were made and ordered prior to 2022 by previous leadership.
View Audit 320794
Finding 498118 (2023-002)
Significant Deficiency 2023
Ho-Chunk Housing and Community Development Agency, Inc.
WI
Eligibility Internal Control / Segregation of Duties Subrecipient Monitoring
Federal Awards Finding - Significant Deficiency in Internal Controls and Compliance Finding 2023-002 – Eligibility Assistance Listing No. 14.867 – Indian Housing Block Grant Condition: Pursuant to testing of eligibility and internal controls over eligibility, auditors noted the following control de...
Federal Awards Finding - Significant Deficiency in Internal Controls and Compliance Finding 2023-002 – Eligibility Assistance Listing No. 14.867 – Indian Housing Block Grant Condition: Pursuant to testing of eligibility and internal controls over eligibility, auditors noted the following control deficiency and noncompliance: • One tenant did not have an annual recertification or inspection completed. Recommendation: Wipfli LLP recommends that the Agency strengthen its internal controls over eligibility to monitor all relevant information and documentation affecting the eligibility process. Corrective Action Plan: Letter will be sent to the tenant for the recertification to be completed. Inspection will be scheduled with the inspector, inspections were put on hold during the pandemic. This was lifted in June of 2023 but would was not completed in October 2023, this will be scheduled and completed by the end of October 2024. Name of Contact Person Responsible for Corrective Action Plan: Raven Rosin Anticipated Completion Date: November 1, 2024
View Audit 320789
Finding 498097 (2023-005)
Significant Deficiency 2023
Baboquivari Unified School District No. 40
AZ
Questioned Costs Subrecipient Monitoring Allowable Costs / Cost Principles § 200.334
2023-005 Allowable Costs/Cost Principles – Indirect Costs U.S. Department of Education Education Stabilization Fund – Assistance Listing No. 84.425 Pass-Through Agency: Arizona Department of Education Pass-Through Number(s): All Pass-Through Numbers Present in the SEFA Recommendation: We recommend m...
2023-005 Allowable Costs/Cost Principles – Indirect Costs U.S. Department of Education Education Stabilization Fund – Assistance Listing No. 84.425 Pass-Through Agency: Arizona Department of Education Pass-Through Number(s): All Pass-Through Numbers Present in the SEFA Recommendation: We recommend management to incorporate a management review control to ensure the calculation is complete and accurate and all supporting documents including the general ledger used for the calculation is retained in accordance with UG. Explanation of disagreement with audit finding: There is no disagreement with the audit finding. Action taken in response to finding: The district will have a process in place to update all documentation related to indirect costs and the calculations from the general ledger. Name(s) of the contact person(s) responsible for corrective action: Clementina Carlyle, Chief Financial Officer.
View Audit 320760 Questioned Costs: $1
Finding 498095 (2023-003)
Significant Deficiency 2023
Baboquivari Unified School District No. 40
AZ
Subrecipient Monitoring Significant Deficiency Matching / Level of Effort / Earmarking
2023-003 Level of Effort U.S. Department of Education Impact Aid – Assistance Listing No. 84.041 Pass-Through Agency: N/A Pass-Through Number(s): N/A Recommendation: The District should refine its current process and associated controls to monitor supplanting of grant funds Explanation of disagreeme...
2023-003 Level of Effort U.S. Department of Education Impact Aid – Assistance Listing No. 84.041 Pass-Through Agency: N/A Pass-Through Number(s): N/A Recommendation: The District should refine its current process and associated controls to monitor supplanting of grant funds Explanation of disagreement with audit finding: There is no disagreement with the audit finding. Action taken in response to finding: The district will update the supplanting methodology utilized to ensure all federal funds are supplementing and not supplanting state funds. Name(s) of the contact person(s) responsible for corrective action: Clementina Carlyle, Chief Financial Officer.
View Audit 320760
Finding 498090 (2023-003)
Material Weakness 2023
City and County of Broomfield
CO
Subrecipient Monitoring Eligibility Material Weakness
Broomfield agrees with the auditors' recommendation to follow the documented internal control process or adjust process for over review of eligibility determinations. Additionally, staff members working in areas concerning this process will be trained to ensure process adherence.
Broomfield agrees with the auditors' recommendation to follow the documented internal control process or adjust process for over review of eligibility determinations. Additionally, staff members working in areas concerning this process will be trained to ensure process adherence.
View Audit 320751
Finding 498073 (2023-001)
Material Weakness 2023
Spokane Regional Health District
WA
Procurement, Suspension & Debarment Subrecipient Monitoring
Corrective action the auditee plans to take in response to the finding: All SRHD contracts contain both a provision within the body of the Agreement as well a non-debarment certification form required to be signed by all SRHD contractors. In addition, SRHD performs a SAM.gov lookup on all contractor...
Corrective action the auditee plans to take in response to the finding: All SRHD contracts contain both a provision within the body of the Agreement as well a non-debarment certification form required to be signed by all SRHD contractors. In addition, SRHD performs a SAM.gov lookup on all contractors and vendors regardless of the amount of the Agreement. With regard to subcontractors, the District will verify non-debarment/suspension by obtaining written certification from the subcontractor, or ensuring that a clause or condition is included in the subcontractor’s contract that states the subcontractor is not suspended or debarred, or that the contractor has checked the subcontractor in the U.S. General Services Administration’s System for Award Management at SAM.gov. for exclusion. The District will then obtain verification before the contractor enters into the subcontract, and the contractor must provide documentation demonstrating compliance with this federal requirement.
View Audit 320733
Finding 498042 (2023-004)
Significant Deficiency 2023
Santa Barbara Botanic Garden
CA
Procurement, Suspension & Debarment Subrecipient Monitoring Matching / Level of Effort / Earmarking § 200.317 § 200.318 § 200.327
Management Response The Garden followed the procurement requirements of the OMB and Uniform Guidance but did not codify its policy in writing. Corrective Action Plan: The procurement policy is now written. Education of and reverification of the federal procurement processes will be provided to al...
Management Response The Garden followed the procurement requirements of the OMB and Uniform Guidance but did not codify its policy in writing. Corrective Action Plan: The procurement policy is now written. Education of and reverification of the federal procurement processes will be provided to all Principal Investigators and others involved in Grant Management by August 31, 2024. Contact person(s) responsible for the corrective action: Diane Wondolowski, Director of Finance, dwondolowski@sbbotanicgarden.org Anticipated Completion Date: The policy is in writing. Education will be complete by August 31, 2024.
View Audit 320704
Finding 498041 (2023-005)
Significant Deficiency 2023
Santa Barbara Botanic Garden
CA
Questioned Costs Subrecipient Monitoring
Management Response The Garden’s followed the Uniform Guidance requirements on subrecipient monitoring process but did not document its policies and procedures. Corrective Action Plan The Garden has now documented its Federal Subrecipient Monitoring Policy. Education on and reverification of prop...
Management Response The Garden’s followed the Uniform Guidance requirements on subrecipient monitoring process but did not document its policies and procedures. Corrective Action Plan The Garden has now documented its Federal Subrecipient Monitoring Policy. Education on and reverification of proper processes regarding federal subrecipient monitoring transactions will be taken by all principal investigators. Contact person(s) responsible for the corrective action: Diane Wondolowski, Director of Finance, dwondolowski@sbbotanicgarden.org. Anticipated Completion Date: The policy is in writing. Education will be complete by August 31, 2024.
View Audit 320704 Questioned Costs: $1
Finding 498014 (2023-007)
Significant Deficiency 2023
Santa Barbara Botanic Garden
CA
Subrecipient Monitoring Reporting Internal Control / Segregation of Duties § 200.502 § 200.510
Management Response Expenditure amounts in the Schedule of Expenditures of Federal Awards (SEFA) included reimbursable costs allocable to the contract only. Revisions were made during the audit process for costs in excess of the contract award amount and post award costs. Identification of subrec...
Management Response Expenditure amounts in the Schedule of Expenditures of Federal Awards (SEFA) included reimbursable costs allocable to the contract only. Revisions were made during the audit process for costs in excess of the contract award amount and post award costs. Identification of subrecipients vs contractors is addressed in the response to finding 2023-005. The new monitoring policy includes the difference between the two and provides for education in identifying the services appropriately. Corrective Action Plan This was the first time the organization had to prepare the SEFA and was inexperienced in the requirements. The Garden has hired a new Director of Finance who will attend training specific to federal grants reporting in order to ensure that the 2024 SEFA is prepared correctly. The Garden has now documented its Federal Subrecipient Monitoring Policy. Education on and reverification of proper processes regarding federal subrecipient monitoring transactions will be taken by all principal investigators. Contact person(s) responsible for the corrective action: Diane Wondolowski, Director of Finance, dwondolowski@sbbotanicgarden.org. Anticipated Completion Date: The Director of Finance is registered for a September 2024 training on federal grants. The subrecipient policy is in writing. Education on that policy will be complete by August 31, 2024.
View Audit 320704
Finding 498012 (2023-004)
Material Weakness 2023
Town of Daleville
IN
Procurement, Suspension & Debarment Subrecipient Monitoring Allowable Costs / Cost Principles § 200.303
FINDING 2023-004 Finding Subject: COVID 19 Procurement Suspension and Debarment Summary of Finding: We did not have a policy for procurement and debarment for federal funds Contact Person Responsible for Corrective Action: Amy Roberts Contact Phone Number and Email Address: ARoberts@dalevilleindiana...
FINDING 2023-004 Finding Subject: COVID 19 Procurement Suspension and Debarment Summary of Finding: We did not have a policy for procurement and debarment for federal funds Contact Person Responsible for Corrective Action: Amy Roberts Contact Phone Number and Email Address: ARoberts@dalevilleindiana.org 765-378-6288 Views of Responsible Officials: We concur with the finding. Description of Corrective Action Plan: We will create a policy for future federal fund expenditures Anticipated Completion Date: March 1, 2025
View Audit 320695
Finding 498011 (2023-003)
Material Weakness 2023
Town of Daleville
IN
Procurement, Suspension & Debarment Subrecipient Monitoring § 200.303 § 200.317 § 200.318 § 200.327
FINDING 2023-003 Finding Subject: COVID 19 Procurement Suspension and Debarment Summary of Finding: We did not have a policy for procurement and debarment for federal funds Contact Person Responsible for Corrective Action: Amy Roberts Contact Phone Number and Email Address: ARoberts@dalevilleindia...
FINDING 2023-003 Finding Subject: COVID 19 Procurement Suspension and Debarment Summary of Finding: We did not have a policy for procurement and debarment for federal funds Contact Person Responsible for Corrective Action: Amy Roberts Contact Phone Number and Email Address: ARoberts@dalevilleindiana.org 765-378-6288 Views of Responsible Officials: We concur with the finding. Description of Corrective Action Plan: We will create a policy for future federal fund expenditures Anticipated Completion Date: March 1, 2025
View Audit 320695
Finding 498010 (2023-002)
Significant Deficiency 2023
MacOn-Bibb County
GA
Subrecipient Monitoring Reporting Internal Control / Segregation of Duties
Name of Contact Person Responsible for Corrective Action Plan: Wanzina Jackson, Director of Economic & Community Development Corrective Action Plan: Management will implement a process to ensure all required reports are submitted as required in a timely manner. Anticipated Completion Date: Fiscal ye...
Name of Contact Person Responsible for Corrective Action Plan: Wanzina Jackson, Director of Economic & Community Development Corrective Action Plan: Management will implement a process to ensure all required reports are submitted as required in a timely manner. Anticipated Completion Date: Fiscal year 2024
View Audit 320687
Finding 498001 (2023-004)
Material Weakness 2023
Healthhiv
DC
Subrecipient Monitoring Reporting Material Weakness
Since transitioning to the new Finance Director, HealthHIV continues to enhance the internal controls for properly reviewing each subaward. This was an infrequent occurrence and management will make sure to include pass-through federal funds on the SEFA report.
Since transitioning to the new Finance Director, HealthHIV continues to enhance the internal controls for properly reviewing each subaward. This was an infrequent occurrence and management will make sure to include pass-through federal funds on the SEFA report.
View Audit 320675
Finding 497984 (2023-002)
Material Weakness 2023
City of Bothell
WA
Procurement, Suspension & Debarment Subrecipient Monitoring
Finding ref number: 2023-002 Finding caption: The City lacked adequate internal controls for ensuring compliance with federal requirements for procurement and suspension and debarment. Name, address, and telephone of City contact person: Kwan Wong, Finance Director 18415 101st Ave NE Bothell, WA 9...
Finding ref number: 2023-002 Finding caption: The City lacked adequate internal controls for ensuring compliance with federal requirements for procurement and suspension and debarment. Name, address, and telephone of City contact person: Kwan Wong, Finance Director 18415 101st Ave NE Bothell, WA 98011 (425) 806-6882 Corrective action the auditee plans to take in response to the finding: (If the auditee does not concur with the finding, the auditee must list the reasons for disagreement). The City takes its responsibility to safeguard public funds seriously and is committed to improving internal controls over grant management that affect the City’s ability to comply with federal regulations. The challenges of decentralized model for procurement and grant management, exacerbated by the urgent need to respond swiftly to ongoing issues created by the COVID-19 pandemic, have highlighted areas in federal compliance that need improvement. The City is fully committed to safeguarding public funds while meeting the needs of residents. To meet these challenges, a full-time analyst has already been hired to oversee SLFRF funds and assist staff with meeting compliance requirements. Additionally, the City is creating comprehensive training to further educate City staff on federal compliance requirements. The City is also in the process of evaluating options to expand its staff to better support procurement needs. To ensure that the City is compliant with suspension and debarment requirements, language will be added to relevant contracts that require vendors to certify that they are not suspended, debarred, or otherwise excluded from federal programs. These improvements reflect the City’s commitment to improving internal controls and ensuring that federal funds are managed with the highest level of compliance and accountability.
View Audit 320654
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