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Corrective Action Plans

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Finding 517019 (2022-014)
Material Weakness 2022
Pickaway Township
OH
Reporting Subrecipient Monitoring Material Weakness § 200.414 § 200.502 § 200.510
The Township Fiscal Officer will prepare the SEFA or contract with a CPA firm to have the SEFA prepared going forward.
The Township Fiscal Officer will prepare the SEFA or contract with a CPA firm to have the SEFA prepared going forward.
View Audit 334920
Finding 516654 (2022-001)
Material Weakness 2022
California Asian Pacific Chamber of Commerce
CA
Reporting Subrecipient Monitoring Material Weakness
Description of Finding: Untimely audit submission in accordance with OMB Uniform Guidance Statement of Concurrence or Nonconcurrence: The California Asian Pacific Chamber of Commerce (CalAsian) agrees with the finding. Corrective Action: CalAsian understands the seriousness of this deficiency an...
Description of Finding: Untimely audit submission in accordance with OMB Uniform Guidance Statement of Concurrence or Nonconcurrence: The California Asian Pacific Chamber of Commerce (CalAsian) agrees with the finding. Corrective Action: CalAsian understands the seriousness of this deficiency and the need for strict adherence to timely audit submissions per the OMB Uniform Guidance. Additional staff have been hired to assist in accounting processes; and an Interim Controller has been hired to review all accounting processes and procedures with the Director of Finance, provide best practice recommendations and month-end closing schedule. We also understand these findings are repetitive from the 2021 audit; however, due to catch-up of the prior year audits, we were unable to address these issues prior to completion of the 2022 audit. This delay was caused by a change in auditors as our previous auditor did not have the capacity to retain us as clients due to staff shortages related to COVID. A subcontractor has been retained to assist with providing information for the 2023 audit to bring the audits current by March 2025. This issue will be further mitigated in subsequent periods with the implementation of the new accounting system on 1/1/2025. Monthly reviews of the 2024 financial data, including reconciliations of all accounts will be performed and reviewed by the Controller and Director of Finance.This will allow us to provide the 2024 financial data to the auditors in a more timely manner to ensure completion and submission of the audit per the OMB guidance. Continued compliance with these new procedures will help to mitigate the risk of untimely submissions in future years. Name of Contact Person: Ryan Fong, Director of Finance, 916-446-7883, rfong@calasiancc.org Pat Fong Kushida, President & CEO, 916-446-7883, patfongkushida@calasiancc.org Projected Completion Date: March 2025
View Audit 334631
Finding 516530 (2022-008)
Material Weakness 2022
National Consortium for Graduate Degrees for Minorities in Engineering
VA
Allowable Costs / Cost Principles Subrecipient Monitoring § 200.403
Finding 2022-008 – Allowable Cost Determination and Subaward Monitoring In response to the finding, GEM enhances subaward monitoring by instituting the following. GEM updated its sub awardee procedures to require supporting documentation of actual costs to ensure appropriate recording of grant expen...
Finding 2022-008 – Allowable Cost Determination and Subaward Monitoring In response to the finding, GEM enhances subaward monitoring by instituting the following. GEM updated its sub awardee procedures to require supporting documentation of actual costs to ensure appropriate recording of grant expenses in GEM’s records. Anticipated date of completion: This was implemented September 30, 2023. Responsible party: Dr. Marcus Huggans Principal Investigator
View Audit 334452
Finding 516528 (2022-006)
Material Weakness 2022
National Consortium for Graduate Degrees for Minorities in Engineering
VA
Subrecipient Monitoring Procurement, Suspension & Debarment § 200.331
Finding 2022-006 – Subaward Monitoring In response to the finding, GEM enhances subaward monitoring by instituting the following. GEM will establish written documentation to ensure appropriate oversight of sub-awardee compliance with NSF program responsibilities. Anticipated date of completion: We r...
Finding 2022-006 – Subaward Monitoring In response to the finding, GEM enhances subaward monitoring by instituting the following. GEM will establish written documentation to ensure appropriate oversight of sub-awardee compliance with NSF program responsibilities. Anticipated date of completion: We received the "No cost extension" and this was completed by September 30, 2023. Written documentation instituted that outlines specific actions and timeline of deliverables expected of sub-awardee as well as corrective actions if sub-awardee is not in compliance with responsibilities. Responsible party: Dr. Marcus Huggans Principal Investigator
View Audit 334452
Finding 516491 (2022-002)
Significant Deficiency 2022
Atlantic University College, Inc.
PR
Subrecipient Monitoring Cash Management Matching / Level of Effort / Earmarking § 200.305
No federal funds are drawn until the suppliers’ banking information is provided and an additional employee is now available to handle disbursements.
No federal funds are drawn until the suppliers’ banking information is provided and an additional employee is now available to handle disbursements.
View Audit 334393
Finding 516484 (2022-005)
Significant Deficiency 2022
Atlantic University College, Inc.
PR
Student Financial Aid Reporting Matching / Level of Effort / Earmarking
Since August 2022, the Financial Aid Office has been responsible for enrolment reporting. The contract with the third-party vendor was terminated, and the process was reassigned to the Financial Aid Office. As of August 2022, the Financial Aid Office staff is required to update the roster monthly th...
Since August 2022, the Financial Aid Office has been responsible for enrolment reporting. The contract with the third-party vendor was terminated, and the process was reassigned to the Financial Aid Office. As of August 2022, the Financial Aid Office staff is required to update the roster monthly through the NSLDS website, no later than 15 days after receiving it. The Registrar’s Office generates a graduate student report at the end of each academic period, and the Financial Aid Office updates the student statuses on the NSLDS website.We commit to implementing the corrective plan for this finding by March 31,2025.
View Audit 334393
Finding 516483 (2022-004)
Significant Deficiency 2022
Atlantic University College, Inc.
PR
Subrecipient Monitoring Student Financial Aid Cash Management § 200.328 § 200.329
Management will be more vigilant and will review future filings before they are published.
Management will be more vigilant and will review future filings before they are published.
View Audit 334393
Finding 516318 (2022-003)
Significant Deficiency 2022
Harvest Hope Food Bank
SC
Subrecipient Monitoring Eligibility School Nutrition Programs
The Organization has created a process to move all documents to cloud based storage, including recipient agency contracts for USDA and proof of tax-exempt status under Internal Revenue Code 501(c)(3).
The Organization has created a process to move all documents to cloud based storage, including recipient agency contracts for USDA and proof of tax-exempt status under Internal Revenue Code 501(c)(3).
View Audit 334146
Finding 515685 (2022-002)
Significant Deficiency 2022
Chesapeake Hospital Authority
VA
Subrecipient Monitoring Reporting Internal Control / Segregation of Duties § 200.512
2022-002 – Reporting – Submission of the Data Collection Form Individuals Responsible for Corrective Action Plan: J. Neal Bolton, Director of Revenue Management & Budget Shemaine Rose, Controller Anticipated Completion Date: December 2024 Management acknowledges that the reporting package and dat...
2022-002 – Reporting – Submission of the Data Collection Form Individuals Responsible for Corrective Action Plan: J. Neal Bolton, Director of Revenue Management & Budget Shemaine Rose, Controller Anticipated Completion Date: December 2024 Management acknowledges that the reporting package and data collection form for the year ended June 30, 2022, was not filed with the Federal Audit Clearinghouse on or before the deadline of March 31, 2023. Management maintains that appropriate schedules and notes thereto were prepared accurately and timely, and that the delay was due primarily to the unique nature of Provider Relief Funds being reported, which resulted in evolving compliance requirements over the funding and reporting periods. Management will file the reporting package and data collection form immediately upon completion and will continue to monitor and adhere to future Federal compliance updates to prevent such delays in the future.
View Audit 333527
Finding 514551 (2022-007)
Significant Deficiency 2022
Housing Authority of the City of Pueblo
CO
Internal Control / Segregation of Duties Special Tests & Provisions Subrecipient Monitoring
U.S. Department of Housing and Urban Development – CFDA #14.872 Capital Fund Program – 2022 Special Tests and Provisions – Capital Funds for Operating Costs Significant Deficiency in Internal Control over Compliance Finding Summary: Testing indicated that there was not a consistent, documented proce...
U.S. Department of Housing and Urban Development – CFDA #14.872 Capital Fund Program – 2022 Special Tests and Provisions – Capital Funds for Operating Costs Significant Deficiency in Internal Control over Compliance Finding Summary: Testing indicated that there was not a consistent, documented process to ensure the timely obligation and expenditure of program funds to remain in compliance. Responsible Individual: Steven Trujillo, Executive Director Corrective Action Plan: Even though we had meetings, the process in 2022 was not documented very well. We now document our regular meetings indicating that we are monitoring the use/obligation of funds that will ensure the funding is spent or obligated in a timely manner. Anticipated Completion Date: January 2023
View Audit 332864
Finding 514064 (2022-004)
Material Weakness 2022
Leech Lake Tribal College
AZ
Procurement, Suspension & Debarment Subrecipient Monitoring Material Weakness § 200.318 § 200.320
The College will retain all procurement documentation going forward.
The College will retain all procurement documentation going forward.
View Audit 332259
Finding 514008 (2022-002)
Significant Deficiency 2022
Respond INC
NJ
Subrecipient Monitoring Cash Management Reporting
The Agency has reviewed these findings and will strive to adhere to the suggested corrective plan in this audit report. Additionally, management plans to continue to aggressively implement structural cost-saving measures throughout the Agency.
The Agency has reviewed these findings and will strive to adhere to the suggested corrective plan in this audit report. Additionally, management plans to continue to aggressively implement structural cost-saving measures throughout the Agency.
View Audit 332205
Finding 513893 (2022-001)
Material Weakness 2022
City of Pullman
WA
Procurement, Suspension & Debarment Subrecipient Monitoring
CORRECTIVE ACTION PLAN FOR FINDINGS REPORTED UNDER UNIFORM GUIDANCE City of Pullman January 1, 2022 through December 31, 2022 This schedule presents the corrective action the City is planning to take for findings included in this report in accordance with Title 2 U.S. Code of Federal Regulations (C...
CORRECTIVE ACTION PLAN FOR FINDINGS REPORTED UNDER UNIFORM GUIDANCE City of Pullman January 1, 2022 through December 31, 2022 This schedule presents the corrective action the City is planning to take for findings included in this report in accordance with Title 2 U.S. Code of Federal Regulations (CFR) Part 200, Uniform Administrative Requirements, Cost Principles, and Audit Requirements for Federal Awards (Uniform Guidance). Finding ref number: 2022-001 Finding caption: The City did not have adequate internal controls for ensuring compliance with federal suspension and debarment requirements Name, address, and telephone of City contact person: Jeff Elbracht, Finance and Administrative Services Director 190 SE Crestview Street, Pullman, WA 99163 (509) 338-3212 Corrective action the auditee plans to take in response to the finding: Controls and training will be put in place to ensure staff complies with federal suspension and debarment requirements including completion for the process on all subsequent agreements with each contractor. Anticipated date to complete the corrective action: Immediately
View Audit 332060
Finding 512894 (2022-002)
Material Weakness 2022
Oficina Del Procurador De Las Personas De Edad Avanzada
PR
Subrecipient Monitoring
The Office updated the policies and procedures regarding the monitoring process for sub-recipents. The implementation of the new strategies for carrying out the Moitoring became effective in April 2024. These are based on Risk Monitoring. They allow us to comply with the number of monitoring session...
The Office updated the policies and procedures regarding the monitoring process for sub-recipents. The implementation of the new strategies for carrying out the Moitoring became effective in April 2024. These are based on Risk Monitoring. They allow us to comply with the number of monitoring sessions required per year and ensure the proper management of fedeeral funds by the sub-recipients. We will continue to carry out hte Risk Monigoring sessions to achieve 100% compliance with the required monitoring sessions.
View Audit 330644
Finding 512709 (2022-006)
Material Weakness 2022
Open Cities Health Center, Inc. and Affiliate
MN
Eligibility Special Tests & Provisions Subrecipient Monitoring
Finding 2022-006 Compliance Requirement: Special Tests and Provisions-Sliding Fee Discounts Type of Finding: Material Weakness Condition and Context: Supporting documents could not be located for six of the twenty-five patients selected for testing. As such, we were unable to determine eligibility f...
Finding 2022-006 Compliance Requirement: Special Tests and Provisions-Sliding Fee Discounts Type of Finding: Material Weakness Condition and Context: Supporting documents could not be located for six of the twenty-five patients selected for testing. As such, we were unable to determine eligibility for those patients. Action Planned in Response to the Finding: Implement and monitor procedures to ensure all supporting documents are kept for determining patient eligibility. Official Responsible for Ensuring the CAP: Harold Minor Planned Completion Date: December 2024
View Audit 330573
Finding 512694 (2022-005)
Material Weakness 2022
Arizona Immigrant and Refugee Services, INC
AZ
Procurement, Suspension & Debarment Subrecipient Monitoring Matching / Level of Effort / Earmarking § 200.317 § 200.318 § 200.327
AIRS management has started the process of creating new and updated policies and procedures related to financial reporting, activities, including written procurement standards, written standards of conflict of interest and others as required under Uniform Guidance
AIRS management has started the process of creating new and updated policies and procedures related to financial reporting, activities, including written procurement standards, written standards of conflict of interest and others as required under Uniform Guidance
View Audit 330495
Finding 512690 (2022-001)
Material Weakness 2022
Arizona Immigrant and Refugee Services, INC
AZ
Internal Control / Segregation of Duties Subrecipient Monitoring Procurement, Suspension & Debarment
Arizona Immigrant and Refugee Services (AIRS) is planning to prepare monthly financial statements to present to Board Members in a quarterly basis to approve the comparative vs the actual budget and prior years expenses. Board members agree to meet on a quarterly basis and take some training (finan...
Arizona Immigrant and Refugee Services (AIRS) is planning to prepare monthly financial statements to present to Board Members in a quarterly basis to approve the comparative vs the actual budget and prior years expenses. Board members agree to meet on a quarterly basis and take some training (financially, legally and governance responsibilities. Also, with AIRS management create and implement entity-level. policies, procedures and internal controls and other financial activities.
View Audit 330495
Finding 512577 (2022-003)
Material Weakness 2022
North Central Area Agency on Aging, Inc.
CT
Subrecipient Monitoring
Management will amend each subaward agreement to include all required identifying award information, including the allocation of state and federal funds to the award.
Management will amend each subaward agreement to include all required identifying award information, including the allocation of state and federal funds to the award.
View Audit 330394
Finding 512310 (2022-007)
Significant Deficiency 2022
City of Compton
CA
HUD Housing Programs Internal Control / Segregation of Duties Special Tests & Provisions § 200.303
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 March 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 March 2025. Planned Implementation Date: March 2025 Responsible Person(s): City Manager
View Audit 330077
Finding 512187 (2022-004)
Material Weakness 2022
Windsor Housing Authority
CT
HUD Housing Programs Internal Control / Segregation of Duties Subrecipient Monitoring
2022-004 – REPORTING Material Weakness/noncompliance Auditee’s Response and Planned Corrective Action See auditee’s response to Finding 2022-001 Person Responsible for Corrective Action: Maria DeMarco, President of DeMarco Management Corporation
2022-004 – REPORTING Material Weakness/noncompliance Auditee’s Response and Planned Corrective Action See auditee’s response to Finding 2022-001 Person Responsible for Corrective Action: Maria DeMarco, President of DeMarco Management Corporation
View Audit 329928
Finding 512185 (2022-003)
Material Weakness 2022
Windsor Housing Authority
CT
HUD Housing Programs Subrecipient Monitoring Eligibility
2022-003 – ELIGIBILITY Material Weakness/noncompliance Auditee’s Response and Planned Corrective Action The Windsor Housing Authority currently contracts with J.D. A’melia for all Housing Choice Voucher Program services. HCV staff have a broad range of duties covering activities from application, ...
2022-003 – ELIGIBILITY Material Weakness/noncompliance Auditee’s Response and Planned Corrective Action The Windsor Housing Authority currently contracts with J.D. A’melia for all Housing Choice Voucher Program services. HCV staff have a broad range of duties covering activities from application, waitlist management, initial briefing for new participants, resident processing through termination of assistance. They will also perform all property activities related to compliance with WHA’s lease for all our properties and they will have extensive contact with landlords and tenants participating in the HCV programs. More specifically, HCV staff responsibilities include but are not limited to:  Lease-ups including new tenant orientation Monthly close-out  Waitlist Management Administrative & clerical functions  Inspection coordination Processing applications  Annual and interim recertification HUD reporting  Landlord services Determining eligibility  Direct deposit set-up EIV  Calculations & payment authorization to landlords & tenants admin fees calculation and payment Person Responsible for Corrective Action: Maria DeMarco, President of DeMarco Management Corporation
View Audit 329928
Finding 512102 (2022-003)
Significant Deficiency 2022
The Salvation Army Columbus Area Services
OH
Subrecipient Monitoring Reporting § 200.512
Recommendation: We recommend the organization adopt policies and procedures, including tracking and monitoring of reporting requirements, to ensure that the audit, reporting package, and data collection form are electronically filed with the Federal Audit Clearinghouse within the applicable deadline...
Recommendation: We recommend the organization adopt policies and procedures, including tracking and monitoring of reporting requirements, to ensure that the audit, reporting package, and data collection form are electronically filed with the Federal Audit Clearinghouse within the applicable deadline. Further, we recommend that management review the current resources, capabilities and responsibilities within its finance department to ensure that information can be provided in a timely manner to complete the audit. Response: The 2022 Single Audit Reporting Package and Data Collection Form will be filed in November 2024. We have implemented a schedule of compliance deadlines with a system of reminders to ensure that compliance paperwork is understood and processed in a timely manner. Estimated Completion Date: March 2023
View Audit 329832
Finding 509798 (2022-006)
Material Weakness 2022
Dorchester County, Maryland
MD
Subrecipient Monitoring § 200.303 § 200.332
The County will implement a new policy to ensure all subrecipients that are given federal funds of $25,000 or more are properly monitored.
The County will implement a new policy to ensure all subrecipients that are given federal funds of $25,000 or more are properly monitored.
View Audit 329558
Concepts of Independence, Inc.
NY
Subrecipient Monitoring Eligibility Internal Control / Segregation of Duties § 200.512
Finding No. 2022-001 Corrective Action Plan 1. Name of the contact person responsible for corrective action: Anthony G Caputo, CEO 2. Corrective action planned: Management will implement a process to provide oversight over the single audit process to ensure that all future reporting will be prepared...
Finding No. 2022-001 Corrective Action Plan 1. Name of the contact person responsible for corrective action: Anthony G Caputo, CEO 2. Corrective action planned: Management will implement a process to provide oversight over the single audit process to ensure that all future reporting will be prepared and filed in a timely manner. 3. Anticipated completion date: The new processes will be implemented immediately for any future PRF submissions. 4. If the client does not agree with the audit findings or believes corrective action is not required, include an explanation and specific reasons: We agree with finding No. 2022-001
View Audit 329516
Clarkson University
NY
Internal Control / Segregation of Duties Subrecipient Monitoring Reporting
Management acknowledges deficiencies in internal controls that resulted in a number of entries posted to correct previous improper postings. Management is implementing an action plan with measurable objectives to correct this deficiency. This action plan includes a review of current processes to ide...
Management acknowledges deficiencies in internal controls that resulted in a number of entries posted to correct previous improper postings. Management is implementing an action plan with measurable objectives to correct this deficiency. This action plan includes a review of current processes to identify opportunities to further limit manual data entry to limit key punch errors. Further, processes will be revised to include secondary review prior to posting. Quarterly data reviews will be utilized to identify developing variances for investigation and further action as necessary. A more robust system of account reconciliation will be developed, with particular attention to high activity and / or high value accounts. Finally, year end processes will continue to be enhanced to ensure proper and timely completion of consolidated financial statements.
View Audit 329168
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