Corrective Action Plans

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The Department of Human Services (DHS) agrees with the finding in this report. The DCAS System is currently configured to receive the Title II benefit information via the SSA BENDEX periodic data match process. However, the Title II benefit information is shared with DCAS only when the benefit info...
The Department of Human Services (DHS) agrees with the finding in this report. The DCAS System is currently configured to receive the Title II benefit information via the SSA BENDEX periodic data match process. However, the Title II benefit information is shared with DCAS only when the benefit information with the SSA changes. In the scenario where a TANF benefit is certified on a new application, the BENDEX PDM process will not provide the Title II benefit information to DCAS. Hence, we have seen evidence of the data matches not happening up until the point when the benefit information recorded with SSA has changed. The SSA SolQi interface does provide a customer?s Title II and Title XVI benefit information at the time of the initial application, however, this interface in DCAS is configured as a verification interface. In other words, if the customer has reported income from the Social Security Administration, then the DCAS System uses the data match with the SolQi interface to verify the information reported. If a verification is outstanding on the reported benefit from the SSA, and the information received from SolQi matches, then DCAS system is configured to systematically resolve the verification. Hence, there has been evidence of the record received via SolQi, however, the record was not used to update the internal evidence which is used by the eligibility rules. DHCF DCAS teams are tracking system enhancements, logged in internal JIRA tickets ? DSM-3185 and DSM-3186 to enhance DCAS? interface with SolQi to leverage the interface at initial application and during the recertification process to ensure that the DCAS System has the most up to date income information from SSA to determine eligibility. These tickets are currently scoped for the FNS-AWL-CAP-5 releases planned for fiscal year 2024. See Corrective Action Plan for chart/table
The Department of Human Services (DHS) agrees with the findings and will work with the DCAS and the Division of Innovation and Change Management (DICM) teams to mitigate the causes of the findings. This corrective action plan has multiple layers in which ESA will collaborate efforts between multipl...
The Department of Human Services (DHS) agrees with the findings and will work with the DCAS and the Division of Innovation and Change Management (DICM) teams to mitigate the causes of the findings. This corrective action plan has multiple layers in which ESA will collaborate efforts between multiple units within DHS/ ESA that includes the Division of Customer Workforce, Employment and Training (DCWET), the Division of Program Operations (DPO), and DICM. The Office of Performance Monitoring (OPM) has a process in place to monitor and confirm the hours reported from CATCH. OPM Monitors will continue to randomly generate 60 sample cases from Q5i monthly, review them and if they find any discrepancies would refer them to either OWO, DPO, or TEP Providers for resolution. When OPM conducts their review of DCAS hours, and identifies income and hour differences, the Department of Program Operations (DPO) is informed and/or the Office of Work Opportunity (OWO) requesting their assistance with resolving the discrepancy. While this would be a short-term solution it will go a long way to resolving some of the discrepancies in reported work hours that are being transmitted to Q5i. The Office of Work Opportunity (OWO) conducts outreach to customers come in for assessment and assignment to a TEP Providers. This process would eliminate instances where hours found in the DCAS system is unknown to the CATCH system. ESA will work with DCAS to enhance the system to tie the income evidence in the income support case to the employment evidence in the person record to allow the employment hours to end date once the income evidence is end dated. This will automate the process by connecting the 2-step process into one task. This automation process would be a permanent solution to curbing stale of unsubstantiated hours from migrating to Q5i.Once the system enhancement is in place, training will be conducted for all DPO Social Service Representatives on the DCAS screens which require action to confirm employment. See Corrective Action Plan for chart/table
The School District will implement internal controls to ensure that all contractors working on federally funded projects for which wage rate requirements apply, are notified and the School District will obtain necessary documentation to verify compliance. In addition, the School District will implem...
The School District will implement internal controls to ensure that all contractors working on federally funded projects for which wage rate requirements apply, are notified and the School District will obtain necessary documentation to verify compliance. In addition, the School District will implement internal controls to ensure the necessary language is included in all future solicitations for quotes or bids for which prevailing wage requirements apply.
Title 2 U.S. Code of Federal Regulations Part 200 is being reviewed and training sessions will be initiated by the Finance Director's office. The Finance Director is working towards capturing grant transactions in a manner sufficient to readily report the necessary information required on the Schedu...
Title 2 U.S. Code of Federal Regulations Part 200 is being reviewed and training sessions will be initiated by the Finance Director's office. The Finance Director is working towards capturing grant transactions in a manner sufficient to readily report the necessary information required on the Schedule of Expenditures of Federal Awards by the next audit period. The expected completion date is June 30, 2023. The phone number for the Finance Director's office is (314) 513-5040.
2022-003 Performance Reporting Microloan Program ? Assistance Listing No. 59.046 Recommendation: We recommend management develop procedures to ensure the required reporting is completed within the timeline allowed by the granting agency. Explanation of disagreement with audit finding: There is no di...
2022-003 Performance Reporting Microloan Program ? Assistance Listing No. 59.046 Recommendation: We recommend management develop procedures to ensure the required reporting is completed within the timeline allowed by the granting agency. Explanation of disagreement with audit finding: There is no disagreement with the audit finding. Action taken in response to finding: New staff has been trained and the reporting calendar updated. CFO/COO to monitor and submit in a timely manner. Name(s) of the contact person(s) responsible for corrective action: Nasibu Sareva (CEO) and Felicia Ravelomanantsoa (CFO/COO) Planned completion date for corrective action plan: 12/31/2023
FINDING 2022-003 Contact Person Responsible for Corrective Action: Wendy Marples, County Auditor Contact Phone Number: 812-338-2142 Views of Responsible Official: We concur with the finding. Description of Corrective Action Plan: We are striving to improve our internal controls by checking and revie...
FINDING 2022-003 Contact Person Responsible for Corrective Action: Wendy Marples, County Auditor Contact Phone Number: 812-338-2142 Views of Responsible Official: We concur with the finding. Description of Corrective Action Plan: We are striving to improve our internal controls by checking and reviewing the suspension and debarment list by verifying one of the 3 methods (collecting a certification from the person, adding a Claus or condition to the covered transaction with that person, and by checking the ELPS). All documentation needed will be maintained to eliminate any future inconsistencies. Anticipated Completion Date: October 2023
Finding #2022-001 Comments on Findings and Recommendation: At December 31, 2022, deposits to the reserve for replacements account of $3,846 had not been made. Management should transfer $3,846 from the operating account to the reserve for replacements account. Action(s) taken or planned on the findi...
Finding #2022-001 Comments on Findings and Recommendation: At December 31, 2022, deposits to the reserve for replacements account of $3,846 had not been made. Management should transfer $3,846 from the operating account to the reserve for replacements account. Action(s) taken or planned on the finding: Management concurs with the finding and recommendation and transferred $3,846 on March 22, 2023 to the reserve for replacements account.
View Audit 32593 Questioned Costs: $1
Organization: Blind Children's Center Date: January 25, 2023 Blind Children's Center respectfully submits the following corrective action plan ("CAP") for the year ended June 30, 2022. Name and address of independent public accounting firm: Armanino, LLP 11766 Wilshire Blvd. 9th Floor Los Angeles, C...
Organization: Blind Children's Center Date: January 25, 2023 Blind Children's Center respectfully submits the following corrective action plan ("CAP") for the year ended June 30, 2022. Name and address of independent public accounting firm: Armanino, LLP 11766 Wilshire Blvd. 9th Floor Los Angeles, CA 90025 Audit period: June 30, 2022 The findings from the June 30, 2022 schedule of findings are discussed below. The findings are numbered consistently with the numbers assigned in the schedule. SECTION II; FINDINGS 2022-001 - Policy Council Auditor Recommendation: Management and the board of directors should review all of the program governance requirements and ensure that they are all being met. Specifically, management should ensure that a Policy Council is convened and establish the requiring reporting cadence. Action Token: Blind Children's Center agrees with the finding. Blind Children's Center established its Policy committee in November 2022, including a representative to serve on Los Angeles County Office of Education's Policy Council. The Policy Committee is receiving all required management and fiscal reports; and approving policies and procedures as per Head Start performance standards and regulations. Name of responsible person: Sarah Orth, Chief Executive Officer Anticipated completion date: The policy was implemented in November 2022 Sarah E. Orth Date Chief Executive Officer
View of Responsible Officials and Corrective Action Plan ? The Academies have procedures in place requiring review and approval. Management believes that it was a limited number of items that may not have had written approval from a school administrator or the controller. Management will ensure th...
View of Responsible Officials and Corrective Action Plan ? The Academies have procedures in place requiring review and approval. Management believes that it was a limited number of items that may not have had written approval from a school administrator or the controller. Management will ensure that review and approval is properly documented by signature or an electronic approval.
Corrective Action Plan Finding 2022-001- Significant deficiency in internal controls over compliance: The school recognizes that we have a weakness in our control procedures. The School will strengthen our control procedures for Federal Grants by thoroughly reviewing the grant requirements and trai...
Corrective Action Plan Finding 2022-001- Significant deficiency in internal controls over compliance: The school recognizes that we have a weakness in our control procedures. The School will strengthen our control procedures for Federal Grants by thoroughly reviewing the grant requirements and training staff involved with the grant process. The federal grant coordinator will review the Compliance Supplement and Uniform Guidance and inform staff team members of the requirements. The grant team will review significant transactions to insure proper procedures are followed. The team will also meet on a regular basis to discuss the grants. Responsible Party: Tracie Kennedy, CEO Kristi Courter, Federal Grant Coordinator Completion Date: March 1, 2023
Views of Responsible Officials and Planned Corrective Actions: The deposits were made as cash flow permitted. The collection of tenant receivables and subsidy payments will improve as new property management team stabilizes operations by reducing turnover and increasing use of new property managemen...
Views of Responsible Officials and Planned Corrective Actions: The deposits were made as cash flow permitted. The collection of tenant receivables and subsidy payments will improve as new property management team stabilizes operations by reducing turnover and increasing use of new property management system once fully implemented.
2022-025 Improve Controls over Transparency Act Reporting Federal Agency: U.S. Department of Health and Human Services State Entity: Department of Behavioral Health and Developmental Disabilities (DBHDD) Corrective Action Plans: The Department will continue refining the capabilities of the Regulato...
2022-025 Improve Controls over Transparency Act Reporting Federal Agency: U.S. Department of Health and Human Services State Entity: Department of Behavioral Health and Developmental Disabilities (DBHDD) Corrective Action Plans: The Department will continue refining the capabilities of the Regulatory Reporting Database such that it contains all of the necessary reporting data elements required for timely and accurate Federal Funding Accountability and Transparency Act (FFATA) reporting. The Department will develop documentation requirements of each subaward to ensure the appropriate data elements; the reporting guidelines associated with the subawards are properly followed. DBHDD will update the internal controls related to Transparency Act Reporting no later than June 30, 2023. Estimated Completion Date: June 30, 2023 Contact Person: Kenneth Ward, Director of Internal Audit Telephone: 404-884-5486; E-mail: kenneth.ward@dbhdd.ga.gov
2022-020 Improve Controls over the NCCI Medically Unlikely Edits Process Federal Agency: U.S. Department of Health and Human Services State Entity: Department of Community Health (DCH) Corrective Action Plans: DCH has made changes to ensure proper record keeping and approval is maintained. The cha...
2022-020 Improve Controls over the NCCI Medically Unlikely Edits Process Federal Agency: U.S. Department of Health and Human Services State Entity: Department of Community Health (DCH) Corrective Action Plans: DCH has made changes to ensure proper record keeping and approval is maintained. The changes made to Medically Unlikely Edits (MUEs) occurred in 2017, several years prior to the audit in 2022. Moving forward, policy compliance specialists for Durable Medical Equipment (DME) will be required to sign an employee attestation that acknowledges and ensures they understand the Standard Operating Procedure (SOP) as outlined in the Centers for Medicare & Medicaid Services? (CMS) technical guidance manual in section 7.4. This change will be implemented on June 30, 2023. CMS approval of all MUE changes are maintained through the Georgia Medicaid Management Information System (GAMMIS) Georgia Interactive Portal. Upon approval from CMS to deactivate a MUE, the program policy specialist initiates a change order through the Georgia Interactive Portal requesting the current MUE edits to be deactivated and then modified per CMS approval. The approval from CMS is submitted as part of the request. The change order needs to be approved by management before changes can be made in GAMMIS. This process went into effect after the MUE changes made in 2017 in November of 2018. Estimated Completion Date: June 30, 2023 Contact Person: Lynnette Rhodes, MAP Executive Director Telephone: 404-656-7513; E-mail: lrhodes@dch.ga.gov
View Audit 26105 Questioned Costs: $1
2022-019 Strengthen Controls over NCCI Program Requirements Federal Agency: U.S. Department of Health and Human Services State Entity: Department of Community Health (DCH) Corrective Action Plans: On or before September 30, 2023, the Department will revise its contract with the third party to incor...
2022-019 Strengthen Controls over NCCI Program Requirements Federal Agency: U.S. Department of Health and Human Services State Entity: Department of Community Health (DCH) Corrective Action Plans: On or before September 30, 2023, the Department will revise its contract with the third party to incorporate the required changes related to the Medicaid National Correct Coding Initiative (NCCI) edits and confidentiality. Estimated Completion Date: September 30, 2023 Contact Person: Lynnette Rhodes, MAP Executive Director Telephone: 404-656-7513; E-mail: lrhodes@dch.ga.gov
2022-018 Continue to Strengthen Application Risk Management Program Federal Agency: U.S. Department of Health and Human Services State Entity: Department of Community Health (DCH) Corrective Action Plans: Significant progress has been made in implementing the department's corrective action plan, wh...
2022-018 Continue to Strengthen Application Risk Management Program Federal Agency: U.S. Department of Health and Human Services State Entity: Department of Community Health (DCH) Corrective Action Plans: Significant progress has been made in implementing the department's corrective action plan, which is still in progress. The Agency has acquired additional critical cybersecurity program resources and is recruiting others to assist the department in fully remediating the identified findings. These include hiring a Chief Information Security Officer and Cybersecurity Analyst on September 1, 2022, and December 15, 2022, respectively. Furthermore, ten Cybersecurity student interns will start on May 3, 2023, with ongoing recruitment for a Cybersecurity Architect/Engineer. Likewise, the necessary third-party security services required to remediate the Policy/Procedure findings have been procured via a Statewide contract awarded to Compliance Point. To date, the security services vendor has completed the initial drafting of 12 out of 20 Organization-wide Security Policies based on NIST Federal Computer Security Standards, with an expected completion date for all Organizational Policies by September 11, 2023. The CAP Remediation Plan Project is progressing well, and we should meet the planned completion date of December 31, 2023. Estimated Completion Date: December 31, 2023 Contact Person: Chad Purcell, CTO Telephone: 470-757-7871; E-mail: chad.purcell1@dch.ga.gov
2022-012 Improve Controls over Managed Care Organization Financial Audits Federal Agency: U.S. Department of Health and Human Services State Entity: Department of Community Health (DCH) Corrective Action Plans: DCH has already included a statement in the Managed Care Organization (MCO) contracts re...
2022-012 Improve Controls over Managed Care Organization Financial Audits Federal Agency: U.S. Department of Health and Human Services State Entity: Department of Community Health (DCH) Corrective Action Plans: DCH has already included a statement in the Managed Care Organization (MCO) contracts regarding submitting financial statements in accordance with Generally Accepted Accounting Principles (GAAP) and Generally Accepted Auditing Standards (GAAS); however, MCOs submitted reports on a different basis. Going forward, DCH will review financial statements submitted to ensure the proper basis is used for the financial statements and then post to our website within the timeframes contained in the regulations. Estimated Completion Date: June 30, 2023 Contact Person: Lynnette Rhodes, MAP Executive Director Telephone: 404-656-7513; E-mail: lrhodes@dch.ga.gov
2022-024 Improve Controls over Period of Performance Federal Agency: U.S. Department of Health and Human Services State Entity: Department of Behavioral Health and Developmental Disabilities (DBHDD) Corrective Action Plans: The Department will continue to improve the internal controls to ensure tha...
2022-024 Improve Controls over Period of Performance Federal Agency: U.S. Department of Health and Human Services State Entity: Department of Behavioral Health and Developmental Disabilities (DBHDD) Corrective Action Plans: The Department will continue to improve the internal controls to ensure that expenditures are liquidated within 90 days of the end of the period of performance as required. The Department will update processes and procedures associated with period of performance requirements and provide training that outlines close-out processes associated with the specific grant awards. DBHDD will update the internal controls related to period of performance no later than June 30, 2023. Estimated Completion Date: June 30, 2023 Contact Person: Kenneth Ward, Director of Internal Audit Telephone: 404-884-5486; E-mail: kenneth.ward@dbhdd.ga.gov
View Audit 26105 Questioned Costs: $1
2022-023 Strengthen Controls over Eligibility Records Federal Agency: U.S. Department of Health and Human Services State Entity: Department of Human Services (DHS) Corrective Action Plans: ? The Program will work with the Community Action Agencies (CAAs) and the third party to modify the data syste...
2022-023 Strengthen Controls over Eligibility Records Federal Agency: U.S. Department of Health and Human Services State Entity: Department of Human Services (DHS) Corrective Action Plans: ? The Program will work with the Community Action Agencies (CAAs) and the third party to modify the data system and establish a Community Services Block Grant (CSBG) Eligibility Date and Federal Poverty Level percentage or categorical eligibility status within the data system with each application. ? This modification will clearly identify the date that the household was eligible for CSBG services and ensure compliance with 42 U.S.C. ? 9902 (defining "low-income" and "poverty line"). The Household will be eligible for CSBG services for 90 days. At the 90-day marker, the Agency must re-determine eligibility to continue CSBG services. The services will end at the end of the current Federal Fiscal Year Contract and must be reestablished annually. ? For community events or indirect services aimed at assisting low-income communities, in accordance with 42 U.S.C. ? 9901 (objectives and purposes of the CSBG program), the CAAs will flag these events in the data system as "Community Event" and document the event's purpose, attendance, and any relevant eligibility information for participants. This approach will help demonstrate the services? validity and ensure compliance with the CSBG program's objectives. ? DHS will provide the reconciliation parameters and methodology to the CAAs for their quarterly reconciliation. ? The Program will update the CSBG Policy Manual and distribute to the network. The Program will provide training and guidance to the network to ensure that policies and procedures are consistently enforced and operating effectively. Estimated Completion Date: August 1, 2024 Contact Person: Cynthia Bryant, Unit Director Telephone: 470-259-8188; E-mail: cynthia.bryant@dhs.ga.gov
2022-022 Improve Controls over Transparency Act Reporting Federal Agency: U.S. Department of Health and Human Services State Entity: Department of Human Services (DHS) Corrective Action Plans: The agency will: ? The Office of Financial Services will work with the DHS Chief Financial Officer to dete...
2022-022 Improve Controls over Transparency Act Reporting Federal Agency: U.S. Department of Health and Human Services State Entity: Department of Human Services (DHS) Corrective Action Plans: The agency will: ? The Office of Financial Services will work with the DHS Chief Financial Officer to determine the direct accountability and submission of the FFATA report ? Provide written procedures and training for the FFATA reporting requirement and process; ? The Office of Financial Services will provide oversight to ensure timely and complete FFATA reporting; ? The Office of Financial Services will provide quarterly FFATA status reporting to the DHS Chief Financial Officer. Estimated Completion Date: January 31, 2024 Contact Person: Bill Zisek, Director, Office of Financial Services Telephone: 404-273-9427; E-mail: Bill.Zisek@dhs.ga.gov
2022-021 Improve Controls over Expenditures Federal Agency: U.S. Department of Health and Human Services State Entity: Department of Human Services (DHS) Corrective Action Plans: ? The Low-Income Household Water Assistance Program (LIHWAP) State Office Unit implemented a $5,000 maximum amount on th...
2022-021 Improve Controls over Expenditures Federal Agency: U.S. Department of Health and Human Services State Entity: Department of Human Services (DHS) Corrective Action Plans: ? The Low-Income Household Water Assistance Program (LIHWAP) State Office Unit implemented a $5,000 maximum amount on the total benefit per household. ? Any benefit over $3,500 requires review and approval from the LIHWAP State Office with a LIHWAP Waiver Request Form and provide a copy of the form to the Community Action Agency (CAA). ? The State Office will require that each LIHWAP Waiver Request Form approval be submitted with the Agency?s Monthly Expenditure Report packet and retained in the file. ? The Community Action Agency will be required to submit a monthly checklist and supporting documents for all applications in which the household had a leak and/or benefit amount over $3,500. ? The State Program Office will update and distribute the LIHWAP State Policy to the CAAs. The Program will provide training and guidance to the network to ensure that policies and procedures are consistently enforced and operating effectively. Estimated Completion Date: August 1, 2023 Contact Person: Cynthia Bryant, Unit Director Telephone: 470-259-8188; E-mail: cynthia.bryant@dhs.ga.gov
View Audit 26105 Questioned Costs: $1
2022-011 Improve Controls over Transparency Act Reporting Federal Agency: U.S. Department of Education State Entity: Department of Education Corrective Action Plans: The Department of Education concurs with this audit finding. We hired additional staff during June 2022 to complete Federal Funding ...
2022-011 Improve Controls over Transparency Act Reporting Federal Agency: U.S. Department of Education State Entity: Department of Education Corrective Action Plans: The Department of Education concurs with this audit finding. We hired additional staff during June 2022 to complete Federal Funding Accountability and Transparency Act (FFATA) reporting to ensure the reports are submitted timely and accurately moving forward. Estimated Completion Date: June 30, 2023 Contact Person: Metsehet Ketsela, Assistant Director Telephone: 678-472-7898; E-mail: metsehet.ketsela@doe.k12.ga.us
2022-010 Improve Controls over Subrecipient Monitoring Federal Agency: U.S. Department of Education State Entity: Department of Education (GaDOE) Corrective Action Plans: We have transitioned the subrecipient audit monitoring process to the Financial Review team within GaDOE which currently perform...
2022-010 Improve Controls over Subrecipient Monitoring Federal Agency: U.S. Department of Education State Entity: Department of Education (GaDOE) Corrective Action Plans: We have transitioned the subrecipient audit monitoring process to the Financial Review team within GaDOE which currently performs local educational agency (LEA) audit monitoring. The controls already in place for the Financial Review team?s LEA audit monitoring will be duplicated for nonprofit audit monitoring to ensure all required procedures are complete and timely. Additionally, we will review the Division of Federal Programs Handbook, the 21st Century Community Learning Centers (CCLC) Subgrantee Manual, and the 21st CCLC Internal Operations manual to ensure compliance to the Uniform Grants Guidance for subrecipient monitoring. Where needed, language will be added to each manual to clarify and emphasize that subrecipient monitoring includes application review, budget review, drawdown approval, completion report review in addition to virtual or onsite monitoring of specific program indicators. The 21st CCLC documents will be updated to ensure a clear subrecipient monitoring process is established for the final year of a cohort. This process will clarify that subrecipient monitoring during the last funded year will include application review, budget review, drawdown approval, and completion report review. Additionally, LEAs identified as ?high-risk? will have an onsite or virtual monitoring on specific 21st CCLC indicators. Estimated Completion Date: June 30, 2023 Contact Person: Metsehet Ketsela, Assistant Director Telephone: 678-472-7898; E-mail: metsehet.ketsela@doe.k12.ga.us
2022-031 Continue to Improve Internal Controls over Federal Financial Reporting Federal Agency: U.S. Department of the Treasury State Entity: Office of the Governor Corrective Action Plans: The Office of Planning and Budget shall maintain written documentation showing independent review and approv...
2022-031 Continue to Improve Internal Controls over Federal Financial Reporting Federal Agency: U.S. Department of the Treasury State Entity: Office of the Governor Corrective Action Plans: The Office of Planning and Budget shall maintain written documentation showing independent review and approval of data entered for reporting prior to submission of all federal reports. Estimated Completion Date: March 31, 2022 Contact Person: Stephanie Beck, Deputy Director Telephone: 678-245-0675; E-mail: stephanie.beck@opb.georgia.gov
2022-032 Improve Controls over Employer-Filed Claims Federal Agency: Various Federal Agencies: U.S. Department of Homeland Security U.S. Department of Labor State Entity: Department of Labor (GDOL) Corrective Action Plans: The Georgia Department of Labor disagrees with this finding. The Em...
2022-032 Improve Controls over Employer-Filed Claims Federal Agency: Various Federal Agencies: U.S. Department of Homeland Security U.S. Department of Labor State Entity: Department of Labor (GDOL) Corrective Action Plans: The Georgia Department of Labor disagrees with this finding. The Employer Filed (Partial) Claims (EFC) program originated in the late 1960?s and was designed to allow employers with short term, temporary periods of lack of work for their employees to retain their workforce when work resumes. This is a program that many large manufacturers in Georgia rely on when they have temporary plant shutdowns and have for decades. When GDOL has attempted in the past to limit this program, we have met strong resistance from Georgia?s manufacturers. This program optimizes our ability to process and pay mass numbers of claims more quickly, such as what occurred at the beginning of the pandemic. EFCs may be filed by an employer with respect to any complete pay-period week during which an otherwise full-time employee works less than full-time, due to lack of work only, and earns an amount not exceeding his/her unemployment insurance weekly benefit amount. Such claims shall not be submitted or allowed for vacation days regardless of whether such vacation days were requested by the employee or established by the employer. Effective March 19, 2020, a temporary, Emergency Rule 300-2-4-05(1), containing Rule 300-2-4-.09(1) was signed which required employers to electronically submit EFCs on behalf of their employees whenever it is necessary to temporarily reduce work hours or there was no work available for a short period of time. Employers were allowed to file such claims for full and part time employees whose earnings had been reduced. In July 2020, the Rule was sunset and employers were no longer required to file EFCs. EFCs may be filed online by single entry or upload or paper. An employer may submit EFCs for regular state unemployment insurance programs including available extended benefits programs with the same eligibility requirements as regular UI, such as Pandemic Emergency Unemployment Compensation (PEUC) and State Extended Benefits (SEB), given all regular UI entitlement is exhausted. By electing to submit EFCs on behalf of the individuals, the employer is responsible for attesting to the employment status and weekly earnings of the individual for the EFC submitted. An affidavit certifying that the employer has obtained earnings from other employment as well as other requirements must be completed before EFCs can be entered or uploaded. Individuals for which EFCs are submitted are considered to be still attached to the employer and are exempt from the requirement to register for employment services per Georgia Employment Security Law Rules 300-2-4-.02. Such individuals are not required to be nor certify on a weekly basis to be able, available and actively seeking work. The GDOL disagrees that we would not provide the requested information to the auditors. The data requested relates to an ongoing federal criminal investigation. GDOL did not provide the data with concerns that dissemination of the data to a third party could jeopardize the ongoing criminal investigation and create legal risk for GDOL. GDOL stated that the auditors should obtain permission from the United States Department of Justice as a condition to dissemination of the data. GDOL did not receive any confirmation that the auditors had discussed the matter or coordinated with the US Department of Justice. Even though there have been some publicized indictments, the US Department of Justice has confirmed to GDOL that the investigation is ongoing and future indictments are anticipated. Notwithstanding, GDOL reiterates it would be happy to share the relevant data in its possession with assurances that the auditors will not publicize or disseminate any of the audit data without first consulting with the US Department of Justice. GDOL is also happy to cooperate with the auditors and provide information relating to how GDOL discovered the methods and schemes used by the fraudsters; however, GDOL has serious concerns about any publication of such information or of any other specific vulnerabilities in GDOL?s systems that would serve to encourage or perpetuate additional unemployment insurance fraud. Summary When we identified employer fraud schemes, we followed the guidance issued by United States Department of Labor (USDOL) and collaborated with the United States Department of Labor Office of Inspector General (OIG) to investigate these cases. Effective December 6, 2021, the EFC process was revised to require individuals (employees) to complete an EFC profile to include a real-time identity verification before payments can be made. Employers are responsible for submitting the request for the payment to certify to the individual?s employment status, but the individuals must certify their identity and personal information for the claim to be processed. Employees are notified when a claim is filed on their behalf and provided instructions for their portion of completing the EFC process. The MyUI Customer Portal dashboard provides all the EFC correspondence sent to the individual as well as a status of the profile set up and identify verification. Prior to the implementation of the EFC profile requirement, GDOL utilized the Social Security Administration (SSA) crossmatch and Systematic Alien Verification for Entitlement (SAVE) verification processes to verify the identity of claimants where employers submit claims on their behalf. GDOL has no plans to stop utilizing the EFC program as it is an effective and popular program among employers with a successful 60-year track record. GDOL greatly appreciates the feedback and recommendations and will consider this information in future endeavors to modernize and update system and business processes. Estimated Completion Date: December 6, 2021 Contact Person: Crystal Singleton, Policy and Procedure Manager Telephone: 404-232-3183; E-mail: Crystal.Singleton@gdol.ga.gov
2022-030 Strengthen Controls over the Summary Schedule of Prior Audit Findings Federal Agency: U.S. Department of Labor State Entity: Department of Labor (GDOL) Corrective Action Plans: As Georgia progressed towards addressing and pursuing efforts to resolve outstanding Coronavirus Aid, Relief, and...
2022-030 Strengthen Controls over the Summary Schedule of Prior Audit Findings Federal Agency: U.S. Department of Labor State Entity: Department of Labor (GDOL) Corrective Action Plans: As Georgia progressed towards addressing and pursuing efforts to resolve outstanding Coronavirus Aid, Relief, and Economic Security Act (CARES Act) matters, impediments such as limited workforce and system restrictions hindered progress. Such factors, imposed upon the intents to make system changes, corrections and enhancements. We have taken the following corrective actions in an ongoing effort to bring these findings to full resolution: 2020- 036 Improve Controls Over Eligibility Determinations In addition to steadily reviewing and determining eligibility of responses providing proof of Pandemic Unemployment Assistance (PUA) employment and wages, a task force has been established to assist with this effort. An ongoing campaign is in progress to onboard additional resources to increase the cadence of addressing these items. Claimants who fail to provide adequate proof are manually reconsidered and overpayments established appropriately. Since this process is manually reviewed by staff rather than by system automation, we anticipate this effort will take approximately 60 weeks to complete. When there are indications of potential fraud, additional investigation is pursued to determine if fraud penalties should be imposed. 2021-036 ? Improve Controls over Employer-Filed Claims Effective December 6, 2021, the Employer-Filed Claims (EFC) process was revised to require individuals (employees) to complete an EFC profile to include a real-time identity verification before payments can be made. Employers are responsible for submitting the request for the payment to certify to the individual?s employment status but the individuals must certify their identity and personal information for the claim to be processed. Employees are notified when a claim is filed on their behalf and provided instructions for their portion of completing the EFC process. The MyUI dashboard provides all the EFC correspondence sent to the individual as well as a status of the profile set up and identify verification. Summary We are currently seeking funding to modernize our UI benefits system which will incorporate and improve the controls cited. GDOL will develop and implement procedures to ensure the status of each prior audit finding is reported in an accurate manner. GDOL will ensure staff responsible for submitting the status of prior period audit findings are trained and understand their responsibilities associated with the Summary Schedule of Prior Audit Findings under the Uniform Guidance. Estimated Completion Date: December 6, 2021 Contact Person: Racquel Robinson, Unemployment Policy and Procedures Chief Telephone: 404-232-3190; E-mail: Racquel.Robinson@gdol.ga.gov
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