Corrective Action Plans

Finding 58239 (2022-001)

Material Weakness 2022

WA

Subrecipient Monitoring Allowable Costs / Cost Principles Material Weakness

The District has maintained strong internal controls for time and effort compliance for several years. Time and effort applicability has been determined in August of every year prior to the new year starting. Semi-annual certifications have been routinely obtained for each building (all schoolwide...

The District has maintained strong internal controls for time and effort compliance for several years. Time and effort applicability has been determined in August of every year prior to the new year starting. Semi-annual certifications have been routinely obtained for each building (all schoolwide schools) for all certificated staff. The District has also maintained a consistent approach for time and effort for classified staff using timesheets as the time and effort record. When a classified staff member is working under multiple cost objectives, the split of time is documented on the timesheet using program codes. The District has not included the federal program name or number on the timesheet if the staff member is fully funded by one federal program. The District?s position is that if a para-educator is assigned to a special education classroom working with special needs students for a full day, the program name or number would not be necessary on the time and effort record. The assignment is clearly in a special education classroom. This process has been used for several years without audit exception. The District level certificated staff fully funded by Title I were overlooked this past year for semi annual certifications as they were added at the district level that year. The focus has always been on school level funded staff as district level staffing did not exist within the Title I program. Corrective Action: Since that time, most of these positions have been eliminated, but the District has already implemented semi-annual certifications for the existing staff member at the district level who is fully funded by the Title I program and will do so for any other positions added in the future. Corrective Action: The District will also ensure moving forward that all classified timesheets include a program number (or name) for employees fully funded by one federal program. Staff working under multiple cost objectives had timesheets that were in compliance with time and effort requirements including program codes and time for each recorded on the timesheets. A similar record will continue to serve as the time and effort record for classified staff working in one or more federal programs. A full analysis of the Frontline online timesheets (implemented the current 2022-23 school year) will be performed and adjustments made to ensure full compliance with federal time and effort requirements.

View Audit 56142

Finding 58226 (2022-002)

Material Weakness 2022

United Church Homes, Inc. and Affiliates

OH

Reporting Subrecipient Monitoring Material Weakness

Finding Number: 2022-002 Condition: The lost revenue methodologies reported in the Period 3 and Period 4 portal submissions were incorrect, as the report said the Organization used actual to actual (option i); however, an alternative method under option iii was actually utilized when calculating los...

Finding Number: 2022-002 Condition: The lost revenue methodologies reported in the Period 3 and Period 4 portal submissions were incorrect, as the report said the Organization used actual to actual (option i); however, an alternative method under option iii was actually utilized when calculating lost revenue. Planned Corrective Action: Controls are now in place to ensure proper levels of review are implemented for federal program report submissions. Contact person responsible for corrective action: John Renner, CFO Anticipated Completion Date: 9/30/2022

View Audit 54024

Finding 58153 (2022-001)

None 2022

Algonac Community Schools

MI

School Nutrition Programs Questioned Costs Subrecipient Monitoring

See corrective action plan.

View Audit 54002

Finding 58142 (2022-001)

Material Weakness 2022

Pacific Library Partnership

CA

Questioned Costs Subrecipient Monitoring Reporting

Finding 2022-001 ? Timeliness CFDA Title and Number: State Library Program (CFDA #45.310) Federal Agency: National Endowment for the Humanities Planned Corrective Action: Pacific Library Partnership?s independent auditor has completed the FY21/22 Pacific Library Partnership?s Single Audit on May 11,...

Finding 2022-001 ? Timeliness CFDA Title and Number: State Library Program (CFDA #45.310) Federal Agency: National Endowment for the Humanities Planned Corrective Action: Pacific Library Partnership?s independent auditor has completed the FY21/22 Pacific Library Partnership?s Single Audit on May 11, 2023, and will be submitting the single audit immediately. The Single Audit submission was delayed by unforeseen circumstances beyond our control. Our agency will work closely with the independent auditor to ensure future Single Audits are completed within the specified timeline. Name of Responsible Person: Andrew Yon, Controller Project Implementation Date: May 11, 2023

View Audit 54891

Finding 58085 (2022-010)

Material Weakness 2022

County of San Joaquin

CA

Subrecipient Monitoring Reporting Internal Control / Segregation of Duties § 200.303

Program: Community Development Block Grants/Entitlement Grants (CDBG)/Entitlement Grants Cluster CFDA No.: 14.218 Federal Agency: U.S. Department of Housing and Urban Development Pass-through: N/A Award Year: 2021-2022 Compliance Requirement: Reporting Grant Award Number: All Type of Finding: Instan...

Program: Community Development Block Grants/Entitlement Grants (CDBG)/Entitlement Grants Cluster CFDA No.: 14.218 Federal Agency: U.S. Department of Housing and Urban Development Pass-through: N/A Award Year: 2021-2022 Compliance Requirement: Reporting Grant Award Number: All Type of Finding: Instances of Noncompliance and Material Weakness in Internal Control over Compliance Repeat Finding from Prior Year: Yes, prior year finding 2021-012. Management?s or Department?s Response: We concur. Views of Responsible Officials and Corrective Action: The County has implemented policies and procedures to ensure compliance with the program?s special FFATA reporting requirements. Segregation of duties between report preparers and reviewers will be applied to the preparation and review of the FFATA reports. Evidence of documentation will be retained. Name of Responsible Person: Chris Becerra, Management Analyst III Name of Department Contact: Chris Becerra, Management Analyst III Projected Implementation Date: July 1, 2023

View Audit 53495

Finding 58082 (2022-007)

Material Weakness 2022

County of San Joaquin

CA

Procurement, Suspension & Debarment Subrecipient Monitoring

Program: COVID-19 ? Coronavirus State and Local Fiscal Recovery Funds, (CSLFRF) CFDA No.: 21.027 Federal Agency: U.S. Department of the Treasury Passed-through: N/A Award Year: 2021-2022 Compliance Requirement: Procurement and Suspension and Debarment Grant Award Number: Applies to all awards with f...

Program: COVID-19 ? Coronavirus State and Local Fiscal Recovery Funds, (CSLFRF) CFDA No.: 21.027 Federal Agency: U.S. Department of the Treasury Passed-through: N/A Award Year: 2021-2022 Compliance Requirement: Procurement and Suspension and Debarment Grant Award Number: Applies to all awards with findings and no specific grant award Type of Finding: Material Noncompliance and Material Weakness in Internal Control over Compliance Repeat Finding from Prior Year: No. Management?s or Department?s Response: Management concurs. Views of Responsible Officials and Corrective Action: The County did not document with date/time stamp that suspension and department had been checked. Significant dynamics were occurring in Purchasing Department at the time of the Audit. A new Purchasing Director was recently hired. A new process is in place to address these concerns. The County has controls in place (identifier) as we have the ability to input a program code with each transaction as identifier. However, we do not have the ability to run a single report that summarizes ?vendors paid over $25K? for ease of auditing vendor population only. Name of Responsible Person: Jay Wilverding, County Administrator Name of Department Contact: Sandy Regalo, Assistant County Administrator Projected Implementation Date: January 30, 2023

View Audit 53495

Finding 58081 (2022-012)

Significant Deficiency 2022

County of San Joaquin

CA

Subrecipient Monitoring Reporting Significant Deficiency § 200.303

Program: COVID-19 ? Emergency Rental Assistance Program, (ERAP) CFDA No.: 21.023 Federal Agency: U.S. Department of the Treasury Pass-through: N/A Award Year: 2021-2022 Compliance Requirement: Reporting Grant Award Number: Applies to all awards with findings and no specific grant award Type of Findi...

Program: COVID-19 ? Emergency Rental Assistance Program, (ERAP) CFDA No.: 21.023 Federal Agency: U.S. Department of the Treasury Pass-through: N/A Award Year: 2021-2022 Compliance Requirement: Reporting Grant Award Number: Applies to all awards with findings and no specific grant award Type of Finding: Instance of Noncompliance, Significant Deficiency in Internal Control over Compliance Repeat Finding from Prior Year: No Management?s or Department?s Response: Concurred. Views of Responsible Officials and Corrective Action: During the fiscal year, the County had routed the second tranche of funding to the State as the County did not have the capacity to continue the program. Name of Responsible Person: Connie Hart, Deputy County Administrator Name of Department Contact: Connie Hart, Deputy County Administrator Projected Implementation Date: June 30, 2023

View Audit 53495

Finding 58077 (2022-001)

Significant Deficiency 2022

Housing Authority of the City of Miami Beach

FL

Questioned Costs HUD Housing Programs Subrecipient Monitoring

2022-001 Housing Voucher Cluster-Assistance Listing No. 14.871/14.879 Recommendation: The Authority should review their process for monitoring failed inspections and ensuring that proper abatement occurs on a timely basis. Explanation of disagreement with audit finding: There is no disagreement with...

2022-001 Housing Voucher Cluster-Assistance Listing No. 14.871/14.879 Recommendation: The Authority should review their process for monitoring failed inspections and ensuring that proper abatement occurs on a timely basis. Explanation of disagreement with audit finding: There is no disagreement with the audit finding. Action taken in response to finding: The Authority has reviewed its updated HOS policies, including its HOS enforcement policies. The PHA will utilize the feature of our current Software (Emphasys Elite) that will automatically place the unit into abatement upon the unit resulting in two consecutive failed inspections. The Section 8- Special Projects Supervisor will review the report biweekly to ensure that all failed units have been placed on abatement. The Section 8- Special Projects Supervisor will notify all HCV staff of the appropriate action to take regarding abated units. Name(s) of the contact person(s) responsible for corrective action: Suzie Millien, Section 8-HCV Supervisor. Planned completion date for corrective action plan: 3/31/2023.

View Audit 53252 Questioned Costs: $1

Finding 58058 (2022-002)

Significant Deficiency 2022

City of Port Hueneme

CA

HUD Housing Programs Reporting Subrecipient Monitoring

March 31, 2023 In relation to the City of Port Hueneme (City) annual financial statement audit and single audit for the year ending June 30, 2022, the City herby submits a corrective action plan, as required by Title 2 U.S. Code of Federal Regulation Part 200, Uniform Administrative Requirements, C...

March 31, 2023 In relation to the City of Port Hueneme (City) annual financial statement audit and single audit for the year ending June 30, 2022, the City herby submits a corrective action plan, as required by Title 2 U.S. Code of Federal Regulation Part 200, Uniform Administrative Requirements, Cost Principles, and Audit Requirements for Federal Awards Section 511 Audit Findings follow-up. Summary of Schedule of Current Year Findings: Section III ? Federal Award Findings and Questioned Costs 2022-002 Reporting ? Internal Control and Compliance over Reporting City?s Corrective Action Plan: The Housing Authority will implement procedures to strengthen internal control so that reports will be submitted in a timely manner. A calendar of due dates will be distributed to every Housing Authority staff to be monitored by the Director. Responsible Person: Gabriella Basua, Housing and Facilities Maintenance Director Expected Implementation date: July 1, 2023

View Audit 56482

Finding 58042 (2022-006)

Significant Deficiency 2022

State of Missouri

MO

Subrecipient Monitoring Matching / Level of Effort / Earmarking Internal Control / Segregation of Duties § 200.303

State of Missouri Single Audit Corrective Action Plan Year Ended June 30, 2022 State Agency: Department of Social Services (DSS) ? Division of Finance and Administrative Services (DFAS) Audit Finding Number: 2022 -006 ? DSS Federal Funding Accountability and Transparency Act (FFATA) R...

State of Missouri Single Audit Corrective Action Plan Year Ended June 30, 2022 State Agency: Department of Social Services (DSS) ? Division of Finance and Administrative Services (DFAS) Audit Finding Number: 2022 -006 ? DSS Federal Funding Accountability and Transparency Act (FFATA) Reporting Name of the contact person responsible for corrective action: Sheena Frazer Anticipated completion date for corrective action: N/A Recommendation: The DSS through the DFAS strengthen internal controls related to FFATA reporting by having supervisors maintain documentation of reviews performed of the information reported to the FSRS. In addition, the DFAS should timely complete FFATA reporting in accordance with the applicable requirements. DSS Response: The DSS partially agrees with this finding. The DSS does not agree that documentation of supervisory reviews directly correlates to strong internal controls. The DSS adheres to formalized procedures for FFATA reporting which includes managerial oversight and contends documented reviews may be preferred but are not required by regulation. The DSS experienced a transition of staff during the timeframe in question and the FSRS system does not permit users to access and compliance data or reports uploaded in the system by an alternate user. The FFATA does not impose a deadline on federal awarding agencies to report federal award information in FSRS. Additionally, the FFATA does not impose a deadline on direct recipients to report the subaward of secondary federal awards issued beyond the month following the original obligation date. Therefore, the timeliness of DSS? FFATA reports is also dependent on the date the federal awarding agency makes the federal award information available in FSRS. These circumstances allowed for exceptions identified. The DSS has or will upload reports for all exception items to ensure the information is available in USA Spending. Corrective action planned is as follows: The DSS will continue to adhere to written procedures and maintain strong internal controls to maintain FFATA reporting compliance based on available guidance.

View Audit 56478

Finding 58036 (2022-008)

None 2022

State of Missouri

MO

Subrecipient Monitoring § 200.332

State of Missouri Single Audit Corrective Action Plan Year Ended June 30, 2022 State Agency: Department of Health and Senior Services (DHSS) Audit Finding Number: 2022-008 ELC Program Subrecipient Monitoring Name of the contact person responsible for corrective action: Jennifer Harrison, Senio...

State of Missouri Single Audit Corrective Action Plan Year Ended June 30, 2022 State Agency: Department of Health and Senior Services (DHSS) Audit Finding Number: 2022-008 ELC Program Subrecipient Monitoring Name of the contact person responsible for corrective action: Jennifer Harrison, Senior Program Specialist Anticipated completion date for corrective action: March 2024 Corrective action planned is as follows: DHSS through DCPH will continue to perform monitoring reviews in accordance with the ELC program monitoring plan.

View Audit 56478

Finding 58033 (2022-009)

Significant Deficiency 2022

State of Missouri

MO

Subrecipient Monitoring Matching / Level of Effort / Earmarking Questioned Costs § 200.303

State of Missouri Single Audit Corrective Action Plan Year Ended June 30, 2022 State Agency: Department of Elementary and Secondary Education (DESE) Audit Finding Number: 2022-009 DESE FFATA Reporting Name of the contact person responsible for corrective action: Shelley Woods, Chief Op...

State of Missouri Single Audit Corrective Action Plan Year Ended June 30, 2022 State Agency: Department of Elementary and Secondary Education (DESE) Audit Finding Number: 2022-009 DESE FFATA Reporting Name of the contact person responsible for corrective action: Shelley Woods, Chief Operations Officer Anticipated completion date for corrective action: June 30, 2024 Corrective action planned is as follows: All previous reports have been corrected and are ready to submit. However, DESE is unable to submit due to a previous open report that the Federal Government has to close and then delete to prevent duplicate reporting. DESE has tried to submit the report multiple times without success. DESE has reached out to FSRS for assistance in resolving this issue, and continues to communicate with the FSRS team. DESE is unable to resolve the reporting issue until the Federal Government takes action on our help tickets. DESE has reviewed, strengthened, and is enforcing policies and procedures regarding accurate and timely report submission.

View Audit 56478

Finding 58023 (2022-002)

Material Weakness 2022

Socioeconomic and Community Development Office

PR

Subrecipient Monitoring

The Office agrees with the audit recommendation. The Office?s Administration created two positions for the monitoring area. In addition, Office?s Administration is in the process of procuring an external resource that will assist the monitoring and comply with federal requirements.

View Audit 55937

Finding 58017 (2022-001)

Material Weakness 2022

Central Valley School District No. 356

WA

Subrecipient Monitoring Questioned Costs Matching / Level of Effort / Earmarking

CORRECTIVE ACTION PLAN FOR FINDINGS REPORTED UNDER UNIFORM GUIDANCE Central Valley School District No. 356 September 1, 2021 through August 31, 2022 This schedule presents the corrective action planned by the District for findings reported in this report in accordance with Title 2 U.S. Code of Feder...

CORRECTIVE ACTION PLAN FOR FINDINGS REPORTED UNDER UNIFORM GUIDANCE Central Valley School District No. 356 September 1, 2021 through August 31, 2022 This schedule presents the corrective action planned by the District for findings reported 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 District did not have adequate internal controls for ensuring compliance with wage rate requirements. Name, address, and telephone of District contact person: Mathew Knott, Director of Business Services 2218 N. Molter Road Liberty Lake, WA 99019 509-558-5437 Corrective action the auditee plans to take in response to the finding: The District agrees with the State Auditor?s Office that we did not have adequate internal controls for ensuring compliance with federal prevailing wage rate requirements as noted. The District used the same process as noted in this Finding in the prior audit which did not have any exceptions noted by the State Auditor?s Office. Moving forward the District will ensure federal prevailing wage rate clauses are in contracts entered into using federal funds and that weekly certified payroll reports are collected from contractors and subcontractors. Anticipated date to complete the corrective action: August 2023

View Audit 55734

Finding 58013 (2022-002)

Significant Deficiency 2022

Klamath-Trinity Joint Unified School District

CA

Equipment & Real Property Management Questioned Costs Subrecipient Monitoring

Corrective Action Plan and Views of Responsible Officials The District?s Budget and Purchasing Technician will ensure that each department manager submits the requirements with the needs to the State prior to purchasing.

View Audit 52187 Questioned Costs: $1

Finding 58012 (2022-003)

Significant Deficiency 2022

Klamath-Trinity Joint Unified School District

CA

Matching / Level of Effort / Earmarking Special Tests & Provisions Subrecipient Monitoring

Corrective Action Plan and Views of Responsible Officials The District?s Maintenance and Transportation Director will establish a procedure guide for future projects to meet the requirements of prevailing wages as well as all other State compliances for facility projects.

View Audit 52187

Finding 58003 (2022-001)

Material Weakness 2022

Accord

MN

Internal Control / Segregation of Duties Eligibility Questioned Costs § 200.303

May 1, 2023 Corrective Action Plan Finding 2022-001 ? Compliance and Controls over Compliance ? Eligibility Home Investment Partnership Program, AL# 14.239 Material Weakness Accord did not have controls in place to ensure that eligibility criteria and rent calculations were being reviewed and/or app...

May 1, 2023 Corrective Action Plan Finding 2022-001 ? Compliance and Controls over Compliance ? Eligibility Home Investment Partnership Program, AL# 14.239 Material Weakness Accord did not have controls in place to ensure that eligibility criteria and rent calculations were being reviewed and/or approved by someone other than the individual performing the initial determination or annual reexamination. Actions Taken or Planned: Management agrees with this finding. Beginning in February 2022, management has contracted out the eligibility determination process to a third-party contractor with significant experience in affordable housing and similar processes. Management is working with the contractor to include a second individual in this process so that there will be a review performed by someone other than the individual making the initial determination or annual recertification. Contact Persons: Ernest Johnson, Housing Associate Director Robert Pickering, Chief Financial Officer

View Audit 54396

Finding 57953 (2022-001)

Significant Deficiency 2022

Goodwill Industries of Hawaii, Inc.

HI

Subrecipient Monitoring Reporting Significant Deficiency § 200.329

Corrective Action Plan in Response to Single Audit Finding Year Ended December 31, 2022 Type of Finding: Internal Control - significant finding; Compliance ? significant finding Recommendation: The Organization should improve processes and procedures to ensure that quarterly reports required by...

Corrective Action Plan in Response to Single Audit Finding Year Ended December 31, 2022 Type of Finding: Internal Control - significant finding; Compliance ? significant finding Recommendation: The Organization should improve processes and procedures to ensure that quarterly reports required by the pass-through entity are completed and submitted on a timely basis. Reference Number: 2022-001 View of Responsible Officials: Management agrees with the finding and recommendation. Corrective Action Plan: Management will review reporting requirements on the contracts and develop a timetable to ensure that the reports are prepared and submitted to the funder in compliance with the deadlines in the contract. Contact Person: Brent Arakaki, Chief Financial Officer, Telephone number: (808)792-8585, Email: barakaki@higoodwill.org Anticipated Completion Date: August 31, 2023.

View Audit 56118

Finding 57950 (2022-002)

Material Weakness 2022

Shiloh Neighborhood Development Corporation

OH

Subrecipient Monitoring

FINDING 2021/2022-002: Airport Fund Capital Outlay and Capital Assets Response: Airport capital assets will be removed from the County capital assets & the depreciation schedule.

View Audit 55196

Finding 57949 (2022-001)

Material Weakness 2022

Shiloh Neighborhood Development Corporation

OH

Subrecipient Monitoring

FINDING 2021/2022-001:Airport Fund Response: Airport fund will be moved to a 7381 fund.

View Audit 55196

Finding 57938 (2022-003)

Material Weakness 2022

Dillard University

LA

Questioned Costs Student Financial Aid Subrecipient Monitoring

It was brought to our attention that we are unable to update our third transmittal to NSC due an uploading error with Jenzabar. Once we were notified of this error, we began communicating with NSC to find an alternative route to submit the third transmittal. The third transmittal was submitted but...

It was brought to our attention that we are unable to update our third transmittal to NSC due an uploading error with Jenzabar. Once we were notified of this error, we began communicating with NSC to find an alternative route to submit the third transmittal. The third transmittal was submitted but we later learned that the file was rejected. Unfortunately during that time, the notification of the error message was inadvertently overlooked due to the challenges we were faced with during the recovery period of Hurricane Ida. To mitigate this from occurring in the future, we have discussed changing how and when our enrollment transmittal data will be reported. Furthermore, we had participated in training and scheduled additional training opportunities with Jenzabar to create an errorless transmittal process.

View Audit 55858

Finding 57935 (2022-002)

Material Weakness 2022

Dillard University

LA

Student Financial Aid Special Tests & Provisions Matching / Level of Effort / Earmarking

During the Fall 2021 semester, the late disbursement of funds was the result of staff being displaced as a result of Hurricane Ida in which the University started on time but had to stop due to the hurricane and its impact. Several staff members were also impacted, and the departments were working ...

During the Fall 2021 semester, the late disbursement of funds was the result of staff being displaced as a result of Hurricane Ida in which the University started on time but had to stop due to the hurricane and its impact. Several staff members were also impacted, and the departments were working short staffed, which filtered into the Spring 2022 semester whereby there was an increase in the reduction of staff within the Office of Business and Finance.

View Audit 55858

Finding 57904 (2022-002)

None 2022

Education Analytics, Inc.

WI

Subrecipient Monitoring § 200.1 § 200.332 § 200.414

Condition: For all four subawards selected for testing, the identification of the award being Research and Development (R&D) was not noted. Further, for two of the four subawards selected for testing, there was missing information from the subaward including (1) Recipient DUNS number (2) Unique Fede...

Condition: For all four subawards selected for testing, the identification of the award being Research and Development (R&D) was not noted. Further, for two of the four subawards selected for testing, there was missing information from the subaward including (1) Recipient DUNS number (2) Unique Federal Award Identification Number (FAIN) (3) Assistance Listing number (4) Indirect Cost Rate. Lastly, one subaward did not include the following information: (a) Period of Performance of subaward (b) Amount of federal funds obligated and awarded (c) General terms and conditions of subaward (d) Federal award project description (e) Name of Federal awarding agency. Corrective Action Plan: EA recognizes that this required information must be provided to subrecipients. To prevent this error in the future, EA will design a cover page template including all required information. EA will confirm with Sikich that the form covers all requirements. EA will use this template for all subawards related to our grants. Responsible Person for Corrective Action Plan: Betsy Spore, Director of Finance and Accounting Implementation Date for Corrective Action Plan: 09/01/2023

View Audit 55828

Finding 57901 (2022-003)

Material Weakness 2022

Jefferson County

IN

Procurement, Suspension & Debarment Subrecipient Monitoring § 200.303

FINDING 2022-003 Contact Person Responsible for Corrective Action:Heather Huff Contact Phone Number:812-265-8907 Views of Responsible Official: We Concur Description of Corrective Action Plan: Jefferson County will now as of (8-15-23) collect a contract when disbursing Federal funds that will includ...

FINDING 2022-003 Contact Person Responsible for Corrective Action:Heather Huff Contact Phone Number:812-265-8907 Views of Responsible Official: We Concur Description of Corrective Action Plan: Jefferson County will now as of (8-15-23) collect a contract when disbursing Federal funds that will include information that by agreeing to receive the funds you will use funds for the intended purposes, and your organization is not disbarred. Anticipated Completion Date: To be completed April 15th 2024.

View Audit 55047

Finding 53082 (2022-007)

Significant Deficiency 2022

State of Wisconsin

WI

Procurement, Suspension & Debarment Subrecipient Monitoring Internal Control / Segregation of Duties

CAP for Finding: 2022-007 Planned Corrective Action: The UW System has adequate processes in place for reviewing access to ShopUW+ but agrees to better document these processes. UW System Administration (UWSA) has revised the disbursement internal control template, which all UW universities use in d...

CAP for Finding: 2022-007 Planned Corrective Action: The UW System has adequate processes in place for reviewing access to ShopUW+ but agrees to better document these processes. UW System Administration (UWSA) has revised the disbursement internal control template, which all UW universities use in developing their internal control plans, to document the UW System?s security reviews. UWSA will also update the language surrounding its weekly access reports, to explain their purpose and importance. To monitor this control, the UW System will add a statement to this effect in the universities? annual delegation agreement and certifications. UWSA is actively taking steps to mature its third-party risk management practices, including the development of guidance and best practices for UW universities. Current efforts are focused on optimizing available resources to provide the highest return on value. UWSA currently performs periodic reviews of cloud-based third-party internal controls during precontract evaluations and at the time of contract renewals. This includes obtaining and reviewing service organization audit reports, if available. UWSA will evaluate the efficacy of increasing the periodicity of these reviews to an annual basis. UWSA will also evaluate means for communicating identified expectations systemwide, up to and including the creation of a new policy. Anticipated Completion Date: June 30, 2023 Person responsible for corrective action: Julie Gordon, Senior Associate Vice President Finance, UW System Administration jgordon@uwsa.edu

View Audit 44861

Corrective Action Plans

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