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Finding 28310 (2022-081)
Material Weakness 2022
State of Maine
ME
Special Tests & Provisions Subrecipient Monitoring Material Weakness § 200.303
Department: Health and Human Services Title: Internal control over cases opened due to potential fraud, abuse, or questionable practices needs improvement Questioned Costs: None Status: Corrective action in progress Corrective Action: The Program Manager will continue to run a quarterly r...
Department: Health and Human Services Title: Internal control over cases opened due to potential fraud, abuse, or questionable practices needs improvement Questioned Costs: None Status: Corrective action in progress Corrective Action: The Program Manager will continue to run a quarterly report to identify any cases assigned to former staff and will evaluate the cases for closure or reassignment. The Program Manager will establish a separate quarterly meeting with the Director of Compliance to review and document the results of the quarterly report. The Program Manager will use best efforts to fill the staffing vacancies that contributed to this finding. Completion Date: March 29, 2023, May 7, 2023 and June 1, 2023 respectively Agency Contact: Michelle Probert, Director, Office of MaineCare Services, DHHS, 207-287-2093
View Audit 32781
Finding 28289 (2022-079)
Significant Deficiency 2022
State of Maine
ME
Allowable Costs / Cost Principles Eligibility Internal Control / Segregation of Duties § 200.303
Department: Health and Human Services Title: Internal control over the CCDF Cluster eligibility determination process needs improvement Questioned Costs: None Status: Management?s opinion is that corrective action is not required Corrective Action: DHHS believes the current internal controls that ar...
Department: Health and Human Services Title: Internal control over the CCDF Cluster eligibility determination process needs improvement Questioned Costs: None Status: Management?s opinion is that corrective action is not required Corrective Action: DHHS believes the current internal controls that are in place provide reasonable assurance that DHHS is managing the funds in compliance with all regulations. Reasons include; ? The ongoing quality assurance process is one of the major controls in place. In 2019, the OCFS Quality Assurance (QA) team, separate from the Child Care Subsidy Program (CCSP) team, comprised of 10 staff, began conducting 23 CCSP case reviews per month. This is systematic monitoring. QA uses the initial documentation submitted by the parent (applications, proof of income, etc.) and checks it against the information in the MACWIS system to ensure eligibility is calculated correctly and data was entered accurately. ? A summary of findings from the QA check is provided to CCSP management each month. CCSP management documents the needed remediation plan, with the Financial Resource Specialist (FRS) making the necessary corrections as soon as possible. Additionally, CCSP management conducts internal periodic audits of files and evaluates deficiencies. ? Information Technology Controls minimizes potential errors by utilizing pre-defined drop-down menus of approved entries. Several fields limit the number of characters allowed to be entered or only allow numeric entries. ? The Information Technology system provides an enhanced internal control that provides visual cues to enter dollar amounts. Users receive an error message if data is entered incorrectly. ? The Financial Resource Specialist Staff Manual provides detailed, step-by-step instructions of the process for entering information into the Information Technology system to ensure accuracy and consistency of data entry. Staff are trained using this manual and are provided ongoing access to the manual. Staff undergo regular training on the eligibility determination process. DHHS believes the process and technical solutions in place are a reasonable attempt to assure proper eligibility determination for CCSP funding. Completion Date: N/A Agency Contact: Todd Landry, Director of the Office of Child and Family Services, DHHS, 207-624-7900
View Audit 32781
Finding 28266 (2022-076)
Significant Deficiency 2022
State of Maine
ME
Subrecipient Monitoring Internal Control / Segregation of Duties Significant Deficiency § 200.303 § 200.332
Department: Health and Human Services Title: Internal control over TANF subrecipient audit procedures needs improvement Questioned Costs: None Status: Corrective action in progress Corrective Action: The Department will revise the standard operating procedures to include a search for out of state su...
Department: Health and Human Services Title: Internal control over TANF subrecipient audit procedures needs improvement Questioned Costs: None Status: Corrective action in progress Corrective Action: The Department will revise the standard operating procedures to include a search for out of state subrecipients. Completion Date: April 30, 2023 Agency Contact: Herb Downs, Director, Division of Audit, DHHS, 207-287-2778
View Audit 32781
Finding 28265 (2022-075)
Significant Deficiency 2022
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: Management?s opinion is that corrective action is not required Corrective Action: Due to the nature of corrective action pl...
Department: Health and Human Services Title: Internal control over TANF performance reporting and work participation procedures needs improvement Questioned Costs: None Status: Management?s opinion is that corrective action is not required Corrective Action: Due to the nature of corrective action plans, and the timing of recent edits to the standard operating procedures in February and May of 2022, a corrective action plan is not warranted at this time. Completion Date: N/A Agency Contact: Anthony Pelotte, Director, Office for Family Independence, DHHS, 207-624-4104
View Audit 32781
Finding 28261 (2022-071)
Material Weakness 2022
State of Maine
ME
Subrecipient Monitoring Procurement, Suspension & Debarment § 200.303 § 200.332
Department: Health and Human Services Title: Internal control over TANF subrecipient risk evaluation procedures needs improvement Questioned Costs: None Status: Management?s opinion is that corrective action is not required Corrective Action: The Department disagrees with the finding. The Department...
Department: Health and Human Services Title: Internal control over TANF subrecipient risk evaluation procedures needs improvement Questioned Costs: None Status: Management?s opinion is that corrective action is not required Corrective Action: The Department disagrees with the finding. The Department has subrecipient monitoring procedures for all of its subrecipients whether they were competitively bid or not. The first assessment of risk, as noted in the finding, is when a subaward is competitively bid. Secondly, another risk assessment built into the Maine Uniform Accounting and Auditing Practices for Community Agencies (MAAP) in which requires higher risk subrecipients to undergo a higher level of testing. Additionally, there are audit and review requirements at a much lower threshold than that of the Uniform Guidance (UG). Finally, the Social Service Unit of the Division of Audit performs a risk assessment and tests transactions for those subrecipients that have been determined to be higher risk. The Department's subrecipient monitoring procedures ensures that we comply with the UG 200.332(d) Pass-through entity (PTE) monitoring of the subrecipient must include: 1) Review of financial and performance reports. 2) Following-up and ensuring that subrecipients take timely and appropriate action on all deficiencies. 3) Issues management decisions. 4) PTE is responsible for resolving audit findings specifically related to the subaward. Based on the Department's MAAP rules we ensure we comply with UG 200.332(e) Depending on the PTE's assessment of risk, the following tools may be useful: 1) Training and technical assistance. 2) On-site reviews. 3) Arranging for agreed upon procedures. The Department covers #3 by ensuring that all of our subrecipients have a requirement to submit to the Department a/an Audit, Review or Schedule of Expenditures of Department Awards (SEDA). Completion Date: N/A Agency Contact: Jim Lopatosky, Director, Division of Contract Management, DHHS, 207-287-5075
View Audit 32781
Finding 28238 (2022-066)
Significant Deficiency 2022
State of Maine
ME
Procurement, Suspension & Debarment Subrecipient Monitoring Internal Control / Segregation of Duties § 200.214 § 200.303
Department: Health and Human Services Title: Internal control over ELC program suspension and debarment 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 Uniform Guidance ...
Department: Health and Human Services Title: Internal control over ELC program suspension and debarment 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 Uniform Guidance part 200.214 identifies that non-Federal entities are subject to the non-procurement debarment and suspension regulations in 2 CFR part 180. 2 CFR part 180 requires that ?when you enter into a covered transaction with another person at the next lower tier, you must verify that the person with whom you intend to do business is not excluded or disqualified. You do this by: (a) Checking SAM Exclusions; or (b) Collecting a certification from that person; or (c) Adding a clause or condition to the covered transaction with that person.? The Department meets this requirement as part of the contracting process by collecting certifications from the Community Agencies stating that they are not suspended or debarred. Therefore, we are in compliance with the Federal requirements for Suspension and debarment. The intent of the Department?s policy to utilize the System for Award Management Exclusions (SAM) is to be an optional and additional assurance to the required collection of certifications that the next lower tier persons are not suspended or debarred. The SAM is utilized as time and resources permit and is not intended to replace the certifications. Completion Date: N/A Agency Contact: Jim Lopatosky, Director, Division of Contract Management, DHHS, 207-287-5075
View Audit 32781
Finding 28219 (2022-058)
Material Weakness 2022
State of Maine
ME
Subrecipient Monitoring § 200.303 § 200.332
Department: Health and Human Services Title: Internal control over ICA program subrecipient monitoring procedures needs improvement Questioned Costs: None Status: Corrective action in progress Corrective Action: The Department will update subrecipient monitoring policies and procedures for all OPHE ...
Department: Health and Human Services Title: Internal control over ICA program subrecipient monitoring procedures needs improvement Questioned Costs: None Status: Corrective action in progress Corrective Action: The Department will update subrecipient monitoring policies and procedures for all OPHE subawards based on this finding and recommendations. The Department will develop a subaward tracking tool for each agreement. The Department will transfer all subaward monitoring records to a centralized location within OPHE that can be accessed by the entire team, including approval records and copies of reports submitted by each subaward recipient. The Department will conduct subaward risk assessments for SFY23 contracts. The Department will complete subaward monitoring processes for SFY23 contracts following the updated monitoring policies and procedures and ensure all documentation (including approvals) is saved in the centralized location. Completion Date: March 30, 2023, April 15, 2023, April 30, 2023 and June 30, 2023 respectively Agency Contact: Ian Yaffe, Director, Office of Population Health Equity, DHHS, 207- 592-1481
View Audit 32781
Finding 28212 (2022-056)
Significant Deficiency 2022
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 complete Corrective Action: Beginning in February 2022, the Department implemented a procedure for reviewing FFATA reports for accuracy prior to submission. Wh...
Department: Education Title: Internal control over ESF special reporting needs improvement Questioned Costs: None Status: Corrective action complete Corrective Action: Beginning in February 2022, the Department implemented a procedure for reviewing FFATA reports for accuracy prior to submission. Where this finding relates to FFATA reports prior to February 2022, and the Department has taken steps to address the previous finding, management feels that no further corrective action is necessary. Completion Date: February 28, 2022 Agency Contact: Nicole Denis, Director of Finance, DOE, 207-530-2161
View Audit 32781
Finding 28203 (2022-006)
Material Weakness 2022
Metropolitan School District of Steuben County
IN
Subrecipient Monitoring Matching / Level of Effort / Earmarking Internal Control / Segregation of Duties § 200.302 § 200.303 § 200.328 § 200.329 § 200.334
FINDING 2022-006 Contact Person Responsible for Corrective Action: Schauna Relue Contact Phone Number: 260-665-2854 Views of Responsible Official: We concur with the finding. Description of Corrective Action Plan: The ESSER reports requested by IDOE will follow the same procedures of all FER reports...
FINDING 2022-006 Contact Person Responsible for Corrective Action: Schauna Relue Contact Phone Number: 260-665-2854 Views of Responsible Official: We concur with the finding. Description of Corrective Action Plan: The ESSER reports requested by IDOE will follow the same procedures of all FER reports. The ?data collection? for the ESSER grants was not identified as a financial report, and thus did not follow these processes. Now that we know this is a financial report, the steps below will be followed. The grant was initially not set up correctly and expenses were expended to and then transferred to the correct accounts once the grants were set up correctly. These changes were in flux when the report was requested, so what was reported at the time of the report is no longer what is reflected in grants? ledgers. The corrective action will require that the program director gathers the initial data, the data will be reviewed by the administrative assistant to the grants? director, and then reviewed by the Treasurer. All three employees will sign/initial a printed copy of the report before it is submitted. Data regarding students served by programs and staff reports will be reviewed by the program director and the data specialist and signed off on by both parties to ensure accuracy. Anticipated Completion Date: Effective Immediately; Completion will occur when the next report is requested.
View Audit 30930
Finding 28186 (2022-004)
Material Weakness 2022
Metropolitan School District of Steuben County
IN
Procurement, Suspension & Debarment Subrecipient Monitoring § 200.1 § 200.303 § 200.317 § 200.318 § 200.319
FINDING 2022-004 Contact Person Responsible for Corrective Action: Stephanie Haynes- Clifford, Food Service Director Contact Phone Number: 260 665 2854 Extension 1202 Views of Responsible Official: 1. Procurement: The School Corporation did not obtain price or rate quotes for milk, bread, or food ex...
FINDING 2022-004 Contact Person Responsible for Corrective Action: Stephanie Haynes- Clifford, Food Service Director Contact Phone Number: 260 665 2854 Extension 1202 Views of Responsible Official: 1. Procurement: The School Corporation did not obtain price or rate quotes for milk, bread, or food exceeding $10,000.00 from an adequate number of sources, as required under the small purchase procedures. 2. Suspension and Debarment: The School Corporation did not verify that vendors with contracts over $25,000.00 were not excluded or disqualified from participation in federal award programs. Description of Corrective Action Plan: 1. Food Service will maintain additional prices for like items and/or services. Documentation will be maintained regarding why each vendor is being utilized. Said documentation will be reviewed, initialed and dated by the Food Service Director and an additional staff member. 2. Food Service will maintain annual vendor certificates to ensure that they were not suspended or debarred from participation in federal programs. Anticipated Completion Date: February 10, 2023
View Audit 30930
Finding 28168 (2022-057)
Significant Deficiency 2022
State of Maine
ME
Equipment & Real Property Management Subrecipient Monitoring § 200.303 § 200.313 § 200.332
Department: Education Title: Internal control over ESF subrecipient monitoring procedures needs improvement Questioned Costs: None Status: Corrective action in progress Corrective Action: During the review of ESF applications, the Office of Federal Emergency Relief Programs (OFERP) team will confirm...
Department: Education Title: Internal control over ESF subrecipient monitoring procedures needs improvement Questioned Costs: None Status: Corrective action in progress Corrective Action: During the review of ESF applications, the Office of Federal Emergency Relief Programs (OFERP) team will confirm that equipment purchases are denoted in the equipment budget category of the application. Equipment inventories and real property lists will be collected during the subrecipient monitoring process from school administrative units (SAUs) and reviewed for compliance by the OFERP team. Completion Date: December 31, 2023 Agency Contact: Shelly Chasse-Johndro, Director of OFERP, DOE, 207-458-3180
View Audit 32781
Finding 28161 (2022-050)
Material Weakness 2022
State of Maine
ME
Internal Control / Segregation of Duties Subrecipient Monitoring Material Weakness § 200.303
Department: Economic and Community Development Title: Internal control over ERA Program reporting needs improvement Questioned Costs: None Status: Corrective action in progress Corrective Action: The Department will require MaineHousing to submit data gathered to prepare reports to DECD for review a...
Department: Economic and Community Development Title: Internal control over ERA Program reporting needs improvement Questioned Costs: None Status: Corrective action in progress Corrective Action: The Department will require MaineHousing to submit data gathered to prepare reports to DECD for review and approval prior to certification and submission. Completion Date: June 30, 2023 Agency Contact: Deborah Johnson, Director, Office of Community Development, DECD, 207-624-9817
View Audit 32781
Finding 28160 (2022-049)
Material Weakness 2022
State of Maine
ME
Subrecipient Monitoring § 200.303 § 200.332
Department: Economic and Community Development Title: Internal control over ERA Program subrecipient monitoring needs improvement Questioned Costs: None Status: Corrective action in progress Corrective Action: The Department will contract with a consultant to conduct close out procedures that will e...
Department: Economic and Community Development Title: Internal control over ERA Program subrecipient monitoring needs improvement Questioned Costs: None Status: Corrective action in progress Corrective Action: The Department will contract with a consultant to conduct close out procedures that will ensure these subrecipient funds were used for authorized purposes and in compliance with Federal regulations. The Department will ensure that the review of subrecipient audit reports are sufficiently documented. Completion Date: June 30, 2023 Agency Contact: Deborah Johnson, Director, Office of Community Development, DECD, 207-624-9817
View Audit 32781
Finding 28159 (2022-048)
Material Weakness 2022
State of Maine
ME
Subrecipient Monitoring Internal Control / Segregation of Duties Material Weakness § 200.303
Department: Economic and Community Development Title: Internal control over ERA Program special reporting needs improvement Questioned Costs: None Status: Corrective action in progress Corrective Action: The Department has modified existing policies and procedures to ensure FFATA reporting is comple...
Department: Economic and Community Development Title: Internal control over ERA Program special reporting needs improvement Questioned Costs: None Status: Corrective action in progress Corrective Action: The Department has modified existing policies and procedures to ensure FFATA reporting is completed for all subawards that meet or exceed the first-tier threshold. Monthly reports are run for new awards which are then reported within 30 days in FFATA. The Department will complete FFATA reporting for all prior and current subawards that meet or exceed the first-tier threshold related to this program. Completion Date: June 30, 2023 Agency Contact: Deborah Johnson, Director, Office of Community Development, DECD, 207-624-9817
View Audit 32781
Finding 28106 (2022-044)
Significant Deficiency 2022
State of Maine
ME
Subrecipient Monitoring § 200.303 § 200.332
Department: Education Title: Internal control over CACFP subrecipient risk evaluation procedures needs improvement Questioned Costs: None Status: Corrective action in progress Corrective Action: The CACFP team will create a risk assessment tool to use in scheduling subrecipient reviews. Completion D...
Department: Education Title: Internal control over CACFP subrecipient risk evaluation procedures needs improvement Questioned Costs: None Status: Corrective action in progress Corrective Action: The CACFP team will create a risk assessment tool to use in scheduling subrecipient reviews. Completion Date: June 30, 2023 Agency Contact: Jane McLucas, Director of Child Nutrition, DOE, 207-624-6880
View Audit 32781
Finding 28104 (2022-042)
Material Weakness 2022
State of Maine
ME
Subrecipient Monitoring Internal Control / Segregation of Duties § 200.303 § 200.332
Department: Education Title: Internal control over CACFP subrecipient audit procedures needs improvement Questioned Costs: None Status: Corrective action in progress Corrective Action: The Department will implement policies and procedures for the tracking, receipt, and review of audits for subre...
Department: Education Title: Internal control over CACFP subrecipient audit procedures needs improvement Questioned Costs: None Status: Corrective action in progress Corrective Action: The Department will implement policies and procedures for the tracking, receipt, and review of audits for subrecipients that expend over $750,000, in accordance with Federal regulations. Completion Date: June 30, 2023 Agency Contact: Jane McLucas, Director of Child Nutrition, DOE, 207-624-6880
View Audit 32781
Finding 28089 (2022-072)
Material Weakness 2022
State of Maine
ME
Subrecipient Monitoring Reporting Material Weakness § 200.303
Department: Health and Human Services Title: Internal control over special reporting needs improvement Questioned Costs: None Status: Corrective action complete Corrective Action: The Department implemented the corrective action plan from FY21, and it is currently in place. In summary, the Departmen...
Department: Health and Human Services Title: Internal control over special reporting needs improvement Questioned Costs: None Status: Corrective action complete Corrective Action: The Department implemented the corrective action plan from FY21, and it is currently in place. In summary, the Department revised the standard operating procedure and improved the technology to ensure data accuracy and added a layer of review to ensure accuracy of the FFATA reporting. This was finalized in November of 2022. Completion Date: November 30, 2022 Agency Contact: Jim Lopatosky, Director, Division of Contract Management, DHHS, 207-287-5075
View Audit 32781
Finding 28088 (2022-069)
Material Weakness 2022
State of Maine
ME
Cash Management Subrecipient Monitoring § 200.303 § 200.305
Department: Health and Human Services Title: Internal control over subrecipient cash management 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 Department reviews budget...
Department: Health and Human Services Title: Internal control over subrecipient cash management 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 Department reviews budgeted expenses to determine their timing and nature (one time, recurring, allowability); reviews quarterly expense reports and alters payments to meet immediate cash needs, and finally, monitors subrecipient single audits to ensure there are no cash management findings. The Department's approach is administratively reasonable and does minimize the time elapsing between the payment of Federal funds to the subrecipient and the subrecipient?s actual disbursement for program purposes given administrative and operational needs. We believe we have procedures in place that can be corroborated by the fact that our subrecipients do not receive single audit findings related to cash management. Completion Date: N/A Agency Contact: Jim Lopatosky, Director, Division of Contract Management, DHHS, 207-287-5075
View Audit 32781
Finding 28086 (2022-039)
Material Weakness 2022
State of Maine
ME
Subrecipient Monitoring Internal Control / Segregation of Duties Material Weakness § 200.303
Department: Health and Human Services Title: Internal control over WIC subrecipient monitoring needs improvement Questioned Costs: None Status: Corrective action in progress Corrective Action: The Department will complete training and planning with DHHS Internal Audit for completing the financia...
Department: Health and Human Services Title: Internal control over WIC subrecipient monitoring needs improvement Questioned Costs: None Status: Corrective action in progress Corrective Action: The Department will complete training and planning with DHHS Internal Audit for completing the financial component of MERs and begin reviews. The Department will complete catch up on overdue MERs. Completion Date: May 1, 2023 and March 3, 2024 Respectively Agency Contact: Ginger Roberts-Scott, Senior Health Program Manager, DHHS, 207-287-5342
View Audit 32781
Finding 28055 (2022-035)
Significant Deficiency 2022
State of Maine
ME
Subrecipient Monitoring Internal Control / Segregation of Duties § 200.303 § 200.332
Department: Education Title: Internal control over CNC subrecipient audit procedures needs improvement Questioned Costs: None Status: Corrective action in progress Corrective Action: The Department will create policies and procedures to collect, track, and review single audits for private schools re...
Department: Education Title: Internal control over CNC subrecipient audit procedures needs improvement Questioned Costs: None Status: Corrective action in progress Corrective Action: The Department will create policies and procedures to collect, track, and review single audits for private schools receiving over $750,000 in Federal awards. Completion Date: September 1, 2023 Agency Contact: Jane McLucas, Director of Child Nutrition, DOE, 207-624-6880
View Audit 32781
Finding 28050 (2022-030)
Material Weakness 2022
State of Maine
ME
Subrecipient Monitoring Internal Control / Segregation of Duties Cash Management § 200.303
Department: Education Title: Internal control over CNC special reporting needs improvement Questioned Costs: None Status: Corrective action in progress Corrective Action: The Department will develop and implement a procedure for the Child Nutrition Cluster to ensure subawards meeting or exceeding th...
Department: Education Title: Internal control over CNC special reporting needs improvement Questioned Costs: None Status: Corrective action in progress Corrective Action: The Department will develop and implement a procedure for the Child Nutrition Cluster to ensure subawards meeting or exceeding the first-tier threshold are reported accurately, timely, and in accordance with Federal regulations. Completion Date: June 30, 2023 Agency Contact: Jane McLucas, Director of Child Nutrition, DOE, 207-624-6880
View Audit 32781
Finding 28048 (2022-082)
Material Weakness 2022
State of Maine
ME
Allowable Costs / Cost Principles Eligibility Internal Control / Segregation of Duties § 200.303
Department: Health and Human Services Title: Internal control over the eligibility determination process 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 systems we have ...
Department: Health and Human Services Title: Internal control over the eligibility determination process 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 systems we have in place are both necessary and sufficient in meeting programmatic requirements to ensure accurate eligibility determinations are being made. There has been no citation of federal regulation provided by OSA during this review that contradicts this. The Department would like to note: 1. Supervisors do a minimum of 1 case reading per month and a minimum of 1 call monitoring per week for staff on phones. It is commonplace for them to do more, especially for a new employee, or known coaching issues. 2. These case readings were tracked by supervisors and units and were tracked centrally on our Streamline Management Y-Drive in SFY2022. 3. Phone calls can be referenced by Supervisors in real time or afterwards, via recording. 4. Specifics of case reading, and call monitoring were formalized with specific expectations in multiple categories, which were followed up on by coaching staff if not all of the expectations were met. With a goal of continuous improvement, it was also noted to the OSA that we formally implemented the Calabrio System which dramatically enhanced and further automated our ability to track Case Readings and Call Monitoring performance statewide in June of 2022. A corresponding user guide was also developed and implemented in June of 2022. This example of continuous quality improvement has led to a more holistic understanding of trends and training needs. Furthermore, SNAP cases are randomly selected and reviewed by USDA partially-funded SNAP Quality Control staff. These findings are reported monthly to FNS and OFI senior management. A team of QC, training, program, operations, business technology and senior management meet bi-weekly to review trends and implement solutions. These have included technological enhancements, reminder e-mails, targeted trainings, and pop quizzes. While this effort focuses on SNAP, the vast majority of SNAP cases also involve MaineCare, and some include TANF. Solutions for one program typically aid all. Completion Date: N/A Agency Contact: Anthony Pelotte, Director, Office for Family Independence, DHHS, 207-624-4104
View Audit 32781
Finding 28035 (2022-001)
Material Weakness 2022
Royal School District No. 160
WA
Subrecipient Monitoring Internal Control / Segregation of Duties Allowable Costs / Cost Principles
Finding ref number: 2022-001 Finding caption: The District did not have adequate internal controls for ensuring compliance with wage rate requirements. Name, address, and telephone of District contact person: Greg Pike 901 Ahlers Ave, Royal City, WA 99357 509-346-2222 Corrective action the auditee...
Finding ref number: 2022-001 Finding caption: The District did not have adequate internal controls for ensuring compliance with wage rate requirements. Name, address, and telephone of District contact person: Greg Pike 901 Ahlers Ave, Royal City, WA 99357 509-346-2222 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 District will work with the project manager to align its current process to include the recommendations made by the State Auditor?s Office. Anticipated date to complete the corrective action: August 31, 2023
View Audit 28471
Finding 28033 (2022-002)
Significant Deficiency 2022
Royal School District No. 160
WA
Questioned Costs Subrecipient Monitoring Allowable Costs / Cost Principles
Finding ref number: 2022-002 Finding caption: The District?s internal controls were inadequate for ensuring compliance with federal requirements for allowable costs and time-and-effort documentation. Name, address, and telephone of District contact person: Greg Pike 901 Ahlers Ave, Royal City, WA 9...
Finding ref number: 2022-002 Finding caption: The District?s internal controls were inadequate for ensuring compliance with federal requirements for allowable costs and time-and-effort documentation. Name, address, and telephone of District contact person: Greg Pike 901 Ahlers Ave, Royal City, WA 99357 509-346-2222 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). Business Manager to work with Assistant Superintendent more frequently on staffing plans to reduce the possibility of staffing changes throughout the year. If necessary, changes to the staffing plan will be documented to comply with time and effort requirements. Anticipated date to complete the corrective action: August 31, 2023
View Audit 28471 Questioned Costs: $1
Finding 27971 (2022-005)
Significant Deficiency 2022
Dakota Plains Legal Services, Inc.
SD
Internal Control / Segregation of Duties Subrecipient Monitoring Cash Management
Legal Services Corporation CFDA #09-742018 Legal Services Corporation -Basic Field - General CFDA #09-742018 Legal Services Corporation - Basic Field - Native American Eligibility Significant Deficiency in Internal Control over Compliance 2022-005 Condition: One instance identified in which the Gr...
Legal Services Corporation CFDA #09-742018 Legal Services Corporation -Basic Field - General CFDA #09-742018 Legal Services Corporation - Basic Field - Native American Eligibility Significant Deficiency in Internal Control over Compliance 2022-005 Condition: One instance identified in which the Grant Compliance Checklist wasn't completed as required by DPLS policy. Additionally, one instance identified in which Form 1644 Disclosure of Case Information was not completed timely, resulting in the case information not being reported to the Corporation. Auditor's Recommendation: We recommend DPLS review policies and procedures with applicable employees and remind them of the importance of established review and monitoring processes. Management's Response: All employees have received additional training on compliance procedures and new employees will receive the same. All files being closed are now reviewed first for accuracy by the case handler of that file. The files are double checked by the office secretary for accuracy. At the end of the quarter, all files are sent to compliance for a third review. Any needed corrections are noted by compliance and the file is then sent back to the office where it originated from to be corrected. Then the corrections to the file are reported back to compliance to verify that they have been made. Responsible Individuals: Dawn Marshall, Compliance Officer, Tom Mortland, Executive Director, Annemarie Michaels, Deputy Director. Anticipated Completion Date: December 31, 2023.
View Audit 23914
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