Corrective Action Plans

Finding 36033 (2022-003)

Material Weakness 2022

Illinois Alliance of Boys & Girls Clubs, Inc.

IL

Questioned Costs Subrecipient Monitoring Internal Control / Segregation of Duties

FINDING 2022-003 Name of Responsible Individual For Finding(s): Bryan Soady, Former Alliance Executive Director Name of Responsible Individual For Correction(s): Awisi Bustos, Current Alliance Executive Director Corrective Action: The Alliance will enhance its procedures and internal controls over s...

FINDING 2022-003 Name of Responsible Individual For Finding(s): Bryan Soady, Former Alliance Executive Director Name of Responsible Individual For Correction(s): Awisi Bustos, Current Alliance Executive Director Corrective Action: The Alliance will enhance its procedures and internal controls over subrecipient monitoring to ensure local club invoices are properly reviewed. Anticipated Completion Date: September 30, 2023

View Audit 37905 Questioned Costs: $1

Finding 35966 (2022-002)

Significant Deficiency 2022

District 50 Schools

IL

Procurement, Suspension & Debarment Subrecipient Monitoring School Nutrition Programs

Condition: The District did not obtain debarment certification or check the System for Award Management website for vendors contracted in excess of $25,000 related to the grant program. Upon further review, it was determined that the vendors were not suspended or debarred. ...

Condition: The District did not obtain debarment certification or check the System for Award Management website for vendors contracted in excess of $25,000 related to the grant program. Upon further review, it was determined that the vendors were not suspended or debarred. Plan: Procedures need to be implemented to ensure all vendors contracted with have not been suspended or debarred or otherwise excluded from doing business, prior to procuring their services. Anticipated Date of Completion: June 1,2023 Name of Contact Person: Dr. Chad Allaman Management's response: There is no disagreement with this finding and procedures will be implemented to ensure all vendors contracted with have not been suspended or debarred or otherwise excluded from doing business, prior to procuring their services.

View Audit 35924

Finding 35965 (2022-003)

Material Weakness 2022

Lake Station Community Schools

IN

Subrecipient Monitoring Material Weakness Reporting § 200.302 § 200.303 § 200.328 § 200.329

FINDING 2022-003 Subject: COVID-19 ? Education Stabilization Fund - Reporting Person Responsible for Corrective Action: Tammy Whisenant ? 219-962-1159 Views of Responsible Official: We concur with the finding. I have viewed and acknowledge the discrepancies listed. However, as I am new to my positio...

FINDING 2022-003 Subject: COVID-19 ? Education Stabilization Fund - Reporting Person Responsible for Corrective Action: Tammy Whisenant ? 219-962-1159 Views of Responsible Official: We concur with the finding. I have viewed and acknowledge the discrepancies listed. However, as I am new to my position, I am unable to determine the cause of the discrepancies. Personnel responsible for these areas assumed responsibilities just prior to and/or after this audit period commenced. Description of Corrective Action Plan: The corrective action will include: 1) Assess current assignments and identify opportunities to implement multiple level of review and verification. 2) Continue improved training, education and professional development of personnel responsible for financial transactions and reporting relating to federal programs. 3) Improved use of technology-based financial systems to ensure effectiveness and accuracy of financial transactions and reporting for federal programs. Anticipated Completion Date: An assessment of actions, needs and a plan will be completed by April 30, 2023; with an implementation to occurring by June 30, 2023. ________________________________ Tammy Whisenant, Director of Finance/Treasurer Lake Station Community Schools February 28, 2023

View Audit 34526

Finding 35947 (2022-001)

Material Weakness 2022

Dayton's Bluff Neighborhood Housing Service, Inc.

MN

Reporting Subrecipient Monitoring

Management will continue to monitor and review auditor draft financial statement.

View Audit 24789

Finding 35939 (2022-003)

Material Weakness 2022

Johnson County, Iowa

IA

Questioned Costs Subrecipient Monitoring § 200.303 § 200.331 § 200.333

Finding: 2022-003 Material Weakness in Internal Control over Compliance and Material Noncompliance U.S. Department of Labor Federal Financial Assistance Listing 17.258/17.259/17.278 WIOA Cluster Subrecipient Monitoring Finding Summary: The County did not formally communicate the required informatio...

Finding: 2022-003 Material Weakness in Internal Control over Compliance and Material Noncompliance U.S. Department of Labor Federal Financial Assistance Listing 17.258/17.259/17.278 WIOA Cluster Subrecipient Monitoring Finding Summary: The County did not formally communicate the required information to the subrecipient. No subrecipient agreement was executed. In addition, no monitoring activities were documented. Responsible Individuals: Dana Aschenbrenner, Finance Director Corrective Action Plan: Johnson County disagrees with the underlying premises of this finding. This finding is due in part to the fiscal agent agreement with Iowa Workforce Development (?IWD?) which does not state that subrecipient monitoring has to be done. Recently, IWD received a finding from the Department of Labor stating that the template fiscal agent agreements imposed upon fiscal agents by IWD improperly placed liability of disallowed costs onto the fiscal agents. According to DOL, IWD?s form of fiscal agent contract was incorrect, i.e., the liability was to stay with the local CEOs. In the wake of the finding, IWD is reissuing the contracts out to the regions to create compliant subrecipient entities within each, and then new fiscal agent agreements will be issued. Additionally, Johnson County will be ending it fiscal agent agreement, and no longer continue to be the fiscal agent as of June 30, 2023. Anticipated Completion Date: Ongoing

View Audit 27011

Finding 35915 (2022-003)

Significant Deficiency 2022

Wellspace Health

CA

Subrecipient Monitoring Internal Control / Segregation of Duties Questioned Costs

2022-003 Special Test and Provisions ? Sliding Fee Discounts Corrective Action Plan: WellSpace concurs with recommendations to strengthen procedures to ensure discounts for sliding fee is applied consistently and accurately. Immediately, WellSpace will conduct monthly application audits. An audit of...

2022-003 Special Test and Provisions ? Sliding Fee Discounts Corrective Action Plan: WellSpace concurs with recommendations to strengthen procedures to ensure discounts for sliding fee is applied consistently and accurately. Immediately, WellSpace will conduct monthly application audits. An audit of 25 sliding fee application forms completed in the month prior will be examined for accuracy, along with their supporting data. All information from these applications will be cross-verified in NextGen. The results from the sliding fee monthly audits will be monitored and reported quarterly at the Quality Assurance and Quality Improvement meetings. Furthermore, WellSpace will continue the practice of conducting skills assessments at the start of the year and once more in July. These assessments are crucial as they help pinpoint staff members who might benefit from refresher training. Moreover, a meeting has been scheduled to finalize the days and times for virtual sliding fee application training. This training, aimed at all staff who handle a sliding fee form, will be spread out over four weeks, with one session per week lasting an hour. Additionally, WellSpace will introduce a sliding fee training video to the new employee orientation. After completing their NextGen training, staff will receive this training video via email. Furthermore, this video will also be sent to all health center leadership to be utilized at the health center level. Estimated completion date: July 31, 2024 Contact person: Shannon Potter, Deputy Chief of Business Service

View Audit 37996 Questioned Costs: $1

Finding 35901 (2022-002)

Significant Deficiency 2022

Atrium Health, Inc.

NC

Questioned Costs Subrecipient Monitoring Allowable Costs / Cost Principles § 200.303

Finding 2022-002: Allowability (COVID-19 ? Provider Relief Fund) Name of Contact Person: David Thomas, Group Vice President & Controller Corrective Action Plan: Atrium Health management believes that, while the Provider Relief Funds reporting was completed on a periodic basis throughout the pand...

Finding 2022-002: Allowability (COVID-19 ? Provider Relief Fund) Name of Contact Person: David Thomas, Group Vice President & Controller Corrective Action Plan: Atrium Health management believes that, while the Provider Relief Funds reporting was completed on a periodic basis throughout the pandemic, the intent from HRSA was to document the use of those funds for COVID-19 expenses and for lost revenues over the course of the entire pandemic. Because the PRF portal did not allow for previous periods to be restated in response to new information or corrections identified from previous reported periods, the only recourse available for health systems to restate COVID-19 expenses or lost revenues is through future PRF reporting or through the HRSA audit process. Management agrees that the control process in place during the initial reporting process for Wilkes Regional Medical Center did not yield the ultimate cost categorization that was corrected in the PRF reporting noted above; however, management?s interaction with HRSA throughout 2022 and the resulting clarification of COVID-19 expenses, is now incorporated into the overall PRF reporting control process. With respect to the identified questioned costs, management agrees that these costs should not have been included as COVID-19 related expenses for that period. However, management also recognizes that Wilkes Regional Medical Center has unused lost revenues more than this amount and as such, the questioned costs would not be subject to a return of the PRF proceeds. This position is supported by a similar finding in the 2021 Atrium Health Enterprise audit that was resolved with this conclusion and is documented in the Management Decision Letter issued by HRSA dated June 26, 2023. There are no additional PRF reporting periods required to be completed for Wilkes Regional Medical Center and Atrium Health management, when contacted, will provide HRSA auditors similar documentation to support the conclusion reached for these COVID-19 related expenses. Proposed Completion Date: Management will complete the corrective action plan upon request by HRSA.

View Audit 37993 Questioned Costs: $1

Finding 35894 (2022-001)

Material Weakness 2022

Randolph County Nursing Home

AR

Subrecipient Monitoring Internal Control / Segregation of Duties Questioned Costs

Randolph County Nursing Home respectfully submits the following corrective action plan for the year ended June 30, 2022. Thomas, Speight & Noble, CPAs Pocahontas, Arkansas For the year ended June 30, 2022: The findings from the September 15, 2022 schedule of findings and questioned costs are dis...

Randolph County Nursing Home respectfully submits the following corrective action plan for the year ended June 30, 2022. Thomas, Speight & Noble, CPAs Pocahontas, Arkansas For the year ended June 30, 2022: The findings from the September 15, 2022 schedule of findings and questioned costs are discussed below. The findings are numbered consistently with the numbers assigned in the schedule. FINIDNGS - FINANCIAL ST A TEMENT AUDIT MATERIAL WEAKNESS 2022-001 Internal Control Recommendation: Entity management should adopt sound accounting policies to establish and maintain internal control that will initiate, authorize, record, process, and report transactions consistent with management's assertions embodied in the financial statements that will safeguard the entity's assets. Action Taken: We concur with the recommendation and have segregated the accounting duties related to initiating, receipting, depositing, disbursing, and recording transactions to the extent possible with current staffing levels effective September 15, 2021. If the Federal Audit Clearinghouse has questions regarding this plan, please call Mike Roberts at 870-892-5214. Sincerely, Mike Roberts Randolph County Nursing Home

View Audit 37212

Finding 35893 (2022-009)

None 2022

City of Derby, Connecticut

CT

Subrecipient Monitoring Reporting Internal Control / Segregation of Duties

*22-09 Federal and State Single Audit Schedules Finding: The Finance Department did not prepare a schedule of expenditures of federal awards and state financial assistance for the year ended June 30, 2022. These schedules are derived from federal and state grant awards received by the General Govern...

*22-09 Federal and State Single Audit Schedules Finding: The Finance Department did not prepare a schedule of expenditures of federal awards and state financial assistance for the year ended June 30, 2022. These schedules are derived from federal and state grant awards received by the General Government and the Board of Education of the City. The Board of Education grant awards primarily are passed through the State Department of Education, while the City receives their grants primarily through the State Department of Housing and Urban Development, the State Department of Health and Human Resources, the State Department of Agriculture and the Office of Policy and Management. The preparation of these schedules of expenditures has, in the past, been made by the auditors, including decision making concerning the federal CFDA number, the pass-through entity number and the amount of federal and state expenditures incurred by the City for the fiscal year. The auditor then reports on the Schedules of Expenditures of Federal and State Financial Assistance and renders his opinion with respect to the compliance with laws, regulations, contracts and grants and with the City?s internal control over compliance with requirements of the laws, regulations, contracts and grants. Statement of Concurrence or Nonconcurrence: The City agrees with the finding. Management?s Response: The city will create a dedicated fund in the financial system to track grant revenues and expenditures. The BoE has established a grant account. The BoE grant account is now setup to run accounts payable transactions. Name of Contact Person: Rob Trainor Projected Completion Date: August 4th, 2023

View Audit 36742

Finding 35883 (2022-001)

Significant Deficiency 2022

Northwest College

WY

Procurement, Suspension & Debarment Subrecipient Monitoring § 200.208 § 200.214 § 200.318 § 200.339

2022-001: Procurement and Suspension and Debarment Corrective Action: Northwest College will perform a review of its current procurement policy, including purchasing thresholds, record retention of supporting documentation regarding method of procurement utilized, and maintaining supporting docume...

2022-001: Procurement and Suspension and Debarment Corrective Action: Northwest College will perform a review of its current procurement policy, including purchasing thresholds, record retention of supporting documentation regarding method of procurement utilized, and maintaining supporting documentation regarding suspension and debarment for all contracts or purchases expected to equal or exceed $25,000 of Federal funds. Northwest College will revise its procurement policy as determined necessary and in accordance with Northwest College?s policies. Anticipated Completion Date: June 30, 2023 Contact Persons: Brad Bowen, Finance Director

View Audit 30154

Finding 35880 (2022-003)

None 2022

Bandera County

TX

Questioned Costs Subrecipient Monitoring Allowable Costs / Cost Principles

Finding Summary: County approved COVID State and Local Fiscal Recovery Funds for a debt service payment. Federal regulations do not allow funds to be used for debt service and the county could be liable to return the funds. Responsible Individuals: Darryl Sadler, Bandera County Auditor Correctiv...

Finding Summary: County approved COVID State and Local Fiscal Recovery Funds for a debt service payment. Federal regulations do not allow funds to be used for debt service and the county could be liable to return the funds. Responsible Individuals: Darryl Sadler, Bandera County Auditor Corrective Action Plan: Subrecipient has been contacted and a request for qualified expenses is being made. If subrecipient does not have enough qualified expenses, per signed county agreement with subrecipient, any non-qualified funds will be returned to county. Anticipated Completion Date: 04/13/2023

View Audit 37536 Questioned Costs: $1

Finding 35876 (2022-001)

Significant Deficiency 2022

Regent University

VA

Procurement, Suspension & Debarment Subrecipient Monitoring Matching / Level of Effort / Earmarking § 200.318

Regent concurs with this finding. The issue was fully rectified in 2022. Due to the timing of when the issue was identified, two audit years were impacted, however this should not be interpreted as an ongoing issue. There were no questioned costs associated with the finding. Regent?s Correcting Acti...

Regent concurs with this finding. The issue was fully rectified in 2022. Due to the timing of when the issue was identified, two audit years were impacted, however this should not be interpreted as an ongoing issue. There were no questioned costs associated with the finding. Regent?s Correcting Action Plan includes two components: (1) The Regent University Purchasing Policies governing the use of any Federal awards have already been updated to fully reflect alignment with Federal Procurement Policies, and Regent will follow those updated policies in full; and (2) as a component of the updated policy, Regent University will complete a review of any vendors associated with Federal awards for which the suspended and debarment requirements apply to ensure compliance with Federal policy, and the first such review has already concluded.

View Audit 35872

Finding 35854 (2022-002)

Significant Deficiency 2022

Knoxville Community Unit #202

IL

Subrecipient Monitoring Internal Control / Segregation of Duties

FINDING 2022-002 CRITERIA: Per Illinois Compiled Statutes, total fund expenditures may not exceed the district's budgeted amounts. MANAGEMENT RESPONSE: The District will implement a better monitoring system between the budget and actual expenditures to ensure that actual expenditures do not exceed ...

FINDING 2022-002 CRITERIA: Per Illinois Compiled Statutes, total fund expenditures may not exceed the district's budgeted amounts. MANAGEMENT RESPONSE: The District will implement a better monitoring system between the budget and actual expenditures to ensure that actual expenditures do not exceed budgeted amounts.

View Audit 33958

Finding 35838 (2022-004)

Material Weakness 2022

Pipestone County Medical Center

MN

Special Tests & Provisions Questioned Costs Subrecipient Monitoring § 200.303

Finding 2022-004 Federal Agency Name: Department of Agriculture Program Name: Communities Facilities Loans and Grant Cluster Federal Financial Assistance Listing #10.766 Special Tests and Provisions: Material Weakness in Internal Control over Compliance Finding Summary: The Medical Center did not h...

Finding 2022-004 Federal Agency Name: Department of Agriculture Program Name: Communities Facilities Loans and Grant Cluster Federal Financial Assistance Listing #10.766 Special Tests and Provisions: Material Weakness in Internal Control over Compliance Finding Summary: The Medical Center did not have an internal control process in place to ensure a secondary level of review is being performed on the required minimum for the reserve account and financial covenants. Responsible Individuals: Sandra Schlechter, Chief Financial Officer, and Bradley Burris, Chief Executive Officer Corrective Action Plan: Within the monthly board packet, we will include the calculation of days on hand, the debt service covenant ratio, the balance of the reserve along with the required minimum requirements for each of these items. This packet is presented monthly to the board of directors for approval. Anticipated Completion Date: February 2023

View Audit 30519

Finding 35834 (2022-007)

Significant Deficiency 2022

Mineral County School District

NV

Reporting Questioned Costs Subrecipient Monitoring

Following is Mineral County School District?s Plan of Corrective Action for Fiscal Year 2022 referring to the audit findings under the Uniform Guidance. In reviewing the finding from the financial audit on page 121, the following corrective actions will be monitored for compliance. The District Su...

Following is Mineral County School District?s Plan of Corrective Action for Fiscal Year 2022 referring to the audit findings under the Uniform Guidance. In reviewing the finding from the financial audit on page 121, the following corrective actions will be monitored for compliance. The District Superintendent is responsible for the corrective actions. 2022-007 Federal Financial Reporting Management recognizes that there is an inherent and elevated risk associated with vacancies in key positions and inexperienced key personnel in certain positions. At present, all key positions are filled, and personnel are fully participating in NDE sponsored projects including program compliance monitoring, technical assistance support and evaluation studies as required. Two of the District?s Top Priorities are recruiting, retaining, and training (including cross-training in basic duties) essential personnel and updating policies, procedures and ARs to ensure internal controls and fiscal responsibility.

View Audit 36991

Finding 35833 (2022-001)

Significant Deficiency 2022

Ohio College Preparatory School

OH

Special Tests & Provisions Questioned Costs Subrecipient Monitoring

Finding Number: 2022-001: ESSER ? Wage Rate Requirements Planned Corrective Action: Summary of corrective action to be taken Anticipated Completion Date: December 31, 2022 Responsible Contact Person: Dave Massa, Treasurer As recommended, the School will perform existing controls and establish new c...

Finding Number: 2022-001: ESSER ? Wage Rate Requirements Planned Corrective Action: Summary of corrective action to be taken Anticipated Completion Date: December 31, 2022 Responsible Contact Person: Dave Massa, Treasurer As recommended, the School will perform existing controls and establish new controls to ensure that contractors and subcontractors are in compliance with all labor standards by conducting on-site inspections and collecting the required certified payroll documentation in a timely manner. Specifically, the School will add an Affidavit of Compliance Form to the contracts that will be required to be submitted by the grantee before closing. A project will not be considered closed until the School has received an executed copy of the form. Upon notification of construction commencement, the School will immediately begin monitoring for Wage Rate Requirements in the form of both on-site inspections and review and approval of certified payroll reports.

View Audit 36380

Finding 35826 (2022-001)

Significant Deficiency 2022

Spalding University

KY

Student Financial Aid Reporting Subrecipient Monitoring

Finding 2022-001: Enrollment reporting Condition: For 5 out of 25 students tested for NSLDS reporting, it was noted that these students were not reported within 60 days as required for all schools participating in Title IV aid. Crowe had management perform an independent analysis in order to quantif...

Finding 2022-001: Enrollment reporting Condition: For 5 out of 25 students tested for NSLDS reporting, it was noted that these students were not reported within 60 days as required for all schools participating in Title IV aid. Crowe had management perform an independent analysis in order to quantify the total number of students with enrollment reporting issues due to the 5 identified as part of our testing. Through further testing procedures performed and analysis performed by management it was noted that a total of 38 students were not reported timely to the NSLDS. Recommendation: We recommend that the University enhance its review and monitoring of the enrollment reporting to NSLDS to ascertain accuracy and timeliness of the submission. Views of Responsible Officials Management agrees with the finding related to enrollment reporting. Management has taken steps to change the process, adding review of filings by the Office of the Registrar, Financial aid, and Institutional Research. Additionally, a calendar has been created for future reporting dates of enrollment reports and degree conferral reports to be filed with the National Student Clearinghouse. Corrective Action Plan Management is developing a new process for reporting student enrollments. The Office of Institutional Research will review the specifications for reporting from the National Student Clearinghouse (NSC) and National Student Loan Data System (NSLDS) to ensure that the proper data is being reported. The Office of the Registrar will develop an annual calendar of filing dates for enrollment and graduation reports. Reports will be generated by Institutional Research and upon approval of the Registrar submitted to the NSC. Any errors in reporting will be remediated by the Registrar. And the Financial Aid Office will verify that reports sent to the National Student Clearinghouse are accurately reported to the National Student Loan Data System, by auditing both systems with assistance from the Office of institutional Research and Office of the Registrar. This process will be in place by February 2023.

View Audit 36379

Finding 35824 (2022-107)

Significant Deficiency 2022

Commonwealth of Virginia

VA

Subrecipient Monitoring Reporting Significant Deficiency

Responsible Contact Person(s): John Moore, Acting Chief Financial Officer Eric Billings, Deputy Director of Fiscal and Grants Management Corrective Action Planned: The fiscal team will work with OMS to define boundaries and duties in regards to ensuring that federal subrecipient awards to CSBs and n...

Responsible Contact Person(s): John Moore, Acting Chief Financial Officer Eric Billings, Deputy Director of Fiscal and Grants Management Corrective Action Planned: The fiscal team will work with OMS to define boundaries and duties in regards to ensuring that federal subrecipient awards to CSBs and non-CSBs are entered into the system. An agreement of duties will be reached so that all federal subrecipient awards above the reporting minimum are reported into the system on a monthly basis. Estimated Completion Date: 4/1/2023

View Audit 36377

Finding 35810 (2022-001)

Significant Deficiency 2022

Housing Authority of the City of Calexico

CA

Eligibility HUD Housing Programs Questioned Costs

Name of auditee: Housing Authority of the City of Calexico Name of audit firm: Smith Marion and Co. Inc. Period covered by the audit: Year Ended June 30, 2022 CAP Prepared by Name: Teresa Nava Position: Executive Director Telephone Number: (760) 357-3013 Current Findings on the Schedule of Findings,...

Name of auditee: Housing Authority of the City of Calexico Name of audit firm: Smith Marion and Co. Inc. Period covered by the audit: Year Ended June 30, 2022 CAP Prepared by Name: Teresa Nava Position: Executive Director Telephone Number: (760) 357-3013 Current Findings on the Schedule of Findings, Questioned Costs, and Recommendations. 1. Finding 2022-001 a. Comments on the Finding and Each Recommendation: The Authority concurs with the finding. b. Action(s) Taken or Planned on the Finding In order to address this noncompliance, the Authority is taking measures to ensure compliance with the requirements of the Capital Fund Program. We will review eligible activity requirements pursuant to the auditors recommendation and implement controls to ensure compliance. In addition, management has taken immediate steps to identify costs in each budget line item (BLI) and have ensured that costs are properly allocated as such going forward. All actions will be completed prior to the completion of our next fiscal year ending June 30, 2023.

View Audit 35662

Finding 35806 (2022-001)

Material Weakness 2022

East Muskingum Local School District

OH

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

Finding Number: 2022-001 Planned Corrective Action: ESSER documentation including Prevailing Wage documentation Anticipated Completion Date: 3/31/2023 ...

Finding Number: 2022-001 Planned Corrective Action: ESSER documentation including Prevailing Wage documentation Anticipated Completion Date: 3/31/2023 Responsible Contact Person: Kandi Raach East Muskingum Local Schools will enter into construction contracts, when using ESSER funds, for construction services over $2,000.00. The district will also collection payroll documentation weekly from the contractor to ensure that the prevailing wage requirements are in compliance with all labor standards. East Muskingum Local Schools will keep all the necessary information from the contractor to document compliance with the program.

View Audit 34265

Finding 35598 (2022-100)

Significant Deficiency 2022

Commonwealth of Virginia

VA

Questioned Costs Subrecipient Monitoring Reporting § 200.303

Responsible Contact Person(s): Naveen Abraham, Chief of Core Infrastructure Services Corrective Action Planned: 1. VITA, working with VITA multi-sourcing services integrator (MSI), opened a multi-supplier project to reduce and eliminate unpremeditated vulnerabilities. 2. With respect to agency acce...

Responsible Contact Person(s): Naveen Abraham, Chief of Core Infrastructure Services Corrective Action Planned: 1. VITA, working with VITA multi-sourcing services integrator (MSI), opened a multi-supplier project to reduce and eliminate unpremeditated vulnerabilities. 2. With respect to agency access to security log information, all logs are being monitored. VITA intends to further enhance services during the remainder of calendar year 2023. VITA is also working on additional tools and implementation of zero trust. Security compliance of enterprise IT services overall is assessed on an ongoing basis through System Security Plan (SSP) submission and review. Estimated Completion Date: 9/30/2023

View Audit 36377

Finding 35593 (2022-059)

Significant Deficiency 2022

Commonwealth of Virginia

VA

Questioned Costs Subrecipient Monitoring Reporting § 200.303

Responsible Contact Person(s): Barry Davis, Chief Information Security Officer Melinda Raines, Director of Human Resources Karen Holt, Human Resource Business Process Consultant Corrective Action Planned: An agency-wide work group will be established to determine the exact processes need to implemen...

Responsible Contact Person(s): Barry Davis, Chief Information Security Officer Melinda Raines, Director of Human Resources Karen Holt, Human Resource Business Process Consultant Corrective Action Planned: An agency-wide work group will be established to determine the exact processes need to implement the controls necessary to address this finding. Estimated Completion Date: 6/30/2023

View Audit 36377

Finding 35590 (2022-030)

Significant Deficiency 2022

Commonwealth of Virginia

VA

Questioned Costs Subrecipient Monitoring Significant Deficiency § 200.303

Responsible Contact Person(s): Barry Davis, Chief Information Security Officer and Director of Information Security & Risk Management Dwayne Sneade, Assistant Director of Governance-ISRM Corrective Action Planned: This finding was marked as FOIA Exempt (FOIAE) and as a result, the State Comptroller ...

Responsible Contact Person(s): Barry Davis, Chief Information Security Officer and Director of Information Security & Risk Management Dwayne Sneade, Assistant Director of Governance-ISRM Corrective Action Planned: This finding was marked as FOIA Exempt (FOIAE) and as a result, the State Comptroller has determined that the resulting corrective actions are FOIAE under ?2.2-3705.2 (9.) of the Code of Virginia. Federal awarding agencies and pass-through entities, please see the Appendix titled ?Applicable Management Contacts for Findings and Questioned Costs? to request the corrective action planned from the applicable entity. Estimated Completion Date: 8/1/2023

View Audit 36377

Finding 35589 (2022-029)

Significant Deficiency 2022

Commonwealth of Virginia

VA

Questioned Costs Subrecipient Monitoring Significant Deficiency § 200.303

Responsible Contact Person(s): Kevin Platea, Deputy Chief Information Officer Corrective Action Planned: This finding was marked as FOIA Exempt (FOIAE) and as a result, the State Comptroller has determined that the resulting corrective actions are FOIAE under ?2.2-3705.2 (9.) of the Code of Virginia...

Responsible Contact Person(s): Kevin Platea, Deputy Chief Information Officer Corrective Action Planned: This finding was marked as FOIA Exempt (FOIAE) and as a result, the State Comptroller has determined that the resulting corrective actions are FOIAE under ?2.2-3705.2 (9.) of the Code of Virginia. Federal awarding agencies and pass-through entities, please see the Appendix titled ?Applicable Management Contacts for Findings and Questioned Costs? to request the corrective action planned from the applicable entity. Estimated Completion Date: 12/31/2024

View Audit 36377

Finding 35588 (2022-024)

Material Weakness 2022

Commonwealth of Virginia

VA

Questioned Costs Subrecipient Monitoring Material Weakness § 200.303

Responsible Contact Person(s): Steven Hanoka, Chief Information Security Officer John Kissel, Deputy Director of Innovation and Technology Corrective Action Planned: This finding was marked as FOIA Exempt (FOIAE) and as a result, the State Comptroller has determined that the resulting corrective act...

Responsible Contact Person(s): Steven Hanoka, Chief Information Security Officer John Kissel, Deputy Director of Innovation and Technology Corrective Action Planned: This finding was marked as FOIA Exempt (FOIAE) and as a result, the State Comptroller has determined that the resulting corrective actions are FOIAE under ?2.2-3705.2 (9.) of the Code of Virginia. Federal awarding agencies and pass-through entities, please see the Appendix titled ?Applicable Management Contacts for Findings and Questioned Costs? to request the corrective action planned from the applicable entity. Estimated Completion Date: 6/30/2023

View Audit 36377

Corrective Action Plans

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