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Finding 15884 (2022-003)
Significant Deficiency 2022
Memorial Health and Subsidiaries
IL
Subrecipient Monitoring Reporting § 200.303
? Finding 2022-003 ? On or before September 30, 2023, Management will re-review its subrecipient monitoring policy and ensure it has fully complied during its fiscal year 2023. o Responsible Party: Peggy Wisher
? Finding 2022-003 ? On or before September 30, 2023, Management will re-review its subrecipient monitoring policy and ensure it has fully complied during its fiscal year 2023. o Responsible Party: Peggy Wisher
View Audit 19521
Finding 15883 (2022-002)
Material Weakness 2022
Memorial Health and Subsidiaries
IL
Questioned Costs Reporting Allowable Costs / Cost Principles § 200.303
? Finding 2022-002 ? On or before September 30, 2023, Management will review all time & effort reporting covering its fiscal year 2023 and implement updates to its certification reporting to ensure calculations are accurately derived and verified through independent review for 100% of each employee?...
? Finding 2022-002 ? On or before September 30, 2023, Management will review all time & effort reporting covering its fiscal year 2023 and implement updates to its certification reporting to ensure calculations are accurately derived and verified through independent review for 100% of each employee?s time and effort and ensure amounts charged to the grant in fiscal year 2023 are supported by these certified records. o Responsible Party: Peggy Wisher
View Audit 19521 Questioned Costs: $1
Finding 15882 (2022-001)
Material Weakness 2022
Memorial Health and Subsidiaries
IL
Questioned Costs Subrecipient Monitoring Reporting § 200.303
? Finding 2022-001 ? In June 2023, Management re-educated itself on the terms & conditions of the Hospital Rate Agreement and has adjusted its subaward calculation forms to ensure direct costs included in the base is limited to $25,000 per subaward per grant year for purposes of calculating indirect...
? Finding 2022-001 ? In June 2023, Management re-educated itself on the terms & conditions of the Hospital Rate Agreement and has adjusted its subaward calculation forms to ensure direct costs included in the base is limited to $25,000 per subaward per grant year for purposes of calculating indirect costs. On or before September 30, 2023, Management will review all indirect cost rate calculations covering its fiscal year 2023 and ensure the correct indirect cost rate used was based on the applicable Hospital Rate Agreement. In addition, effective June 2023, Management has changed its process to ensure updates to the indirect cost rate used is applied in the month the updated Hospital Rate Agreement is received from the Federal agency, and no later. o Responsible Party: Peggy Wisher
View Audit 19521 Questioned Costs: $1
Finding 15866 (2022-003)
Significant Deficiency 2022
Walhalla Community Hospital Association
ND
Special Tests & Provisions Significant Deficiency Matching / Level of Effort / Earmarking § 200.303
Finding 2022-03 Federal Agency Name: Department of Agriculture Program Name: Community Facilities Loans and Grants CFDA #10.766 Finding Summary: There was no formal review separate from the preparer performed over reconciliations of the USDA program reserve fund. Responsible Individuals: Debra F...
Finding 2022-03 Federal Agency Name: Department of Agriculture Program Name: Community Facilities Loans and Grants CFDA #10.766 Finding Summary: There was no formal review separate from the preparer performed over reconciliations of the USDA program reserve fund. Responsible Individuals: Debra Fraser, Administrator Corrective Action Plan: Management will ensure a review separate from the preparer of the reconciliation for the program?s reserve fund is completed with formal documentation noting the review. Anticipate Completion Date: 3/27/2023
View Audit 18909
Finding 15706 (2022-003)
Material Weakness 2022
New Castle County, Delaware
DE
Subrecipient Monitoring Material Weakness Period of Performance § 200.303
2022-003 Coronavirus State and Local Fiscal Recovery Funds ? Assistance Listing No. 21.027 Recommendation: The County should enhance its procedures and internal controls regarding preparation of the Project and Expenditure Reports to ensure that information reported is accurate and agrees to support...
2022-003 Coronavirus State and Local Fiscal Recovery Funds ? Assistance Listing No. 21.027 Recommendation: The County should enhance its procedures and internal controls regarding preparation of the Project and Expenditure Reports to ensure that information reported is accurate and agrees to supporting documentation. Explanation of disagreement with audit finding: There is no disagreement with the audit finding. Action taken in response to finding: : New Castle County self-reported the variances in expenditures and obligations due to accruals of costs to previously reported quarters. Such variances can be common with just-in-time reporting. Regarding the omitted projects, the Reporting Portal has undergone several updates throughout the period of performance. These updates contributed to confusion in required data for projects. The omitted projects were included in the subsequent reports after the data points were known and tracked. Regarding the reporting of project obligations, Treasury?s definition of obligation is very broad and FAQ 13.17 allows the recipient to use its discretion to determine when an obligation is incurred. Such discretion calls for the interpretation of several source documents. In each report total obligations were not less than total expenditures nor did total obligations exceed available funding. Name(s) of the contact person(s) responsible for corrective action: Benjamin Morris-Levenson Planned completion date for corrective action plan: June 30, 2023
View Audit 18840
Finding 15704 (2022-004)
Material Weakness 2022
New Castle County, Delaware
DE
Subrecipient Monitoring Material Weakness Reporting § 200.303
2022-004 Community Development Block Grant/Entitlement Grants ? Assistance Listing No. 14.218 Recommendation: We recommend that the County develop internal controls and procedures to ensure that FFATA reporting requirements are met. We further recommend the County develop controls and procedures to ...
2022-004 Community Development Block Grant/Entitlement Grants ? Assistance Listing No. 14.218 Recommendation: We recommend that the County develop internal controls and procedures to ensure that FFATA reporting requirements are met. We further recommend the County develop controls and procedures to ensure that all required subawards are reported accurately and timely to FSRS. Explanation of disagreement with audit finding: There is no disagreement with the audit finding. Action taken in response to finding: The Department of Community Services is developing the following internal controls to ensure that FFATA reporting requirements are met. A system has been created to ensure all required sub-awards are reported accurately and timely in the Federal Funding Accountability and Transparency Act Subaward Reporting System (FSRS). The following actions have been taken to ensure future compliance FFATA reporting requirements: ? DCS Fiscal Staff is creating an account within the FSRS system on March 27, 2023 ? DCS Grant Management Staff visited the FSRS site to research the data needed to report ? DCS Grant Management Staff created a document outlining the subaward entity information needed. Any entities receiving a sub-award of $30,000 or more will have this document attached to their Funding Award Letter. The FFTA Forms must be completed by the entity (signed by their Fiscal Officer) and returned to DCS Grant Management staff within 10 business days. A contract will not be issued until the completed FFTA Form is received. ? When the entity returns the completed FFATA Reporting Form to the DSC Grants Department, staff will forward a copy to DCS?s Fiscal Department. DCS?s Fiscal staff will enter the information into the FSRS. A contract will then be sent to the entity. ? DCS Grants Management and Fiscal Staff will be provided the FFATA/FSTS guidance and educated on the new process DCS has established for FFATA Reporting. ? DCS will have until the end of the month, plus one additional month after an award or sub-award is made to enter the information into FSRS system. The DCS issued agency award letter is the point of reference. Name(s) of the contact person(s) responsible for corrective action: Carrie Casey Planned completion date for corrective action plan: June 30, 2023
View Audit 18840
Finding 15685 (2022-003)
Significant Deficiency 2022
Oklahoma State University
OK
Subrecipient Monitoring Reporting Matching / Level of Effort / Earmarking § 200.303
SHIP COVID Testing and Mitigation: Assistance Listing No. 93.155 Recommendation: We recommend that the University review and update current procedures to ensure the program reporting requirements are completed timely and to ensure review of reports are documented. Explanation of disagreement with au...
SHIP COVID Testing and Mitigation: Assistance Listing No. 93.155 Recommendation: We recommend that the University review and update current procedures to ensure the program reporting requirements are completed timely and to ensure review of reports are documented. Explanation of disagreement with audit finding: There is no disagreement with the audit finding. Action planned/taken in response to finding: Management agrees with the finding and has already implemented a corrective plan. This delay was caused by communication and workflow breakdown resulting from structural change, a change in the mechanism type from previous years, and key staff passing away at a time when the reporting information would be required. With a new award management system implemented, subawards and fully executed subawards are provided in the Cayuse workflow between offices within CHS and to Stillwater via a Cayuse event. Name(s) of the contact person(s) responsible for corrective action: Michael Sauer, Director of Grants, Contracts & Post Award Administration, OSU-CHS Planned completion date for corrective action plan: Spring 2023
View Audit 18279
Finding 15679 (2022-002)
Significant Deficiency 2022
Oklahoma State University
OK
Matching / Level of Effort / Earmarking Reporting § 200.303
Education Stabilization Fund: COVID-19 HEERF Student Portion ? Assistance Listing No. 84.425E Recommendation: We recommend that the University review and update current procedures to ensure HEERF program student reporting requirements are completed timely. Explanation of disagreement with audit find...
Education Stabilization Fund: COVID-19 HEERF Student Portion ? Assistance Listing No. 84.425E Recommendation: We recommend that the University review and update current procedures to ensure HEERF program student reporting requirements are completed timely. Explanation of disagreement with audit finding: There is no disagreement with the audit finding. Action planned/taken in response to finding: Management agrees with the finding and has developed a plan to correct the finding. The Quarterly HEERF student public disclosure report has been added to the OSFA Compliance Calendar. Management confirms that all other HEERF quarterly and annual reports have been submitted in a timely manner, both before and after the report which was submitted late. Name(s) of the contact person(s) responsible for corrective action: Chad Blew, Director of Scholarships and Financial Aid Planned completion date for corrective action plan: February 2023
View Audit 18279
Finding 14471 (2022-002)
Material Weakness 2022
Huntington County Community School Corporation
IN
Internal Control / Segregation of Duties Material Weakness Reporting § 200.303
FINDING 2022-002 Contact Person Responsible for Corrective Action: Edette Eckert Contact Phone Number: 260-356-8312 Views of Responsible Official: We concur with the finding Description of Corrective Action Plan: Data collections will be reviewed by someone in the business department other than the ...
FINDING 2022-002 Contact Person Responsible for Corrective Action: Edette Eckert Contact Phone Number: 260-356-8312 Views of Responsible Official: We concur with the finding Description of Corrective Action Plan: Data collections will be reviewed by someone in the business department other than the preparer prior to submitting the report and a hard copy of the report will be printed and approved by the Superintendent or someone other than the submitter. Anticipated Completion Date: April 2023
View Audit 17216
Finding 14430 (2022-006)
Material Weakness 2022
Saint Louis University
MO
Allowable Costs / Cost Principles Reporting Matching / Level of Effort / Earmarking § 200.303
Two transaction level controls will be implemented. A review of the IDX payer class grouping will be performed to validate the allocation of the report used to enter the key line items and a separate review will be performed on the line-item data in the portal compared to the reports. These controls...
Two transaction level controls will be implemented. A review of the IDX payer class grouping will be performed to validate the allocation of the report used to enter the key line items and a separate review will be performed on the line-item data in the portal compared to the reports. These controls will address each financial line item in the portal; regardless of whether it contributes to the portal financial calculation. Tammy Burton, Associate Dean of School of Medicine, is responsible for addressing the above items by March 31, 2023.
View Audit 17372
Finding 14423 (2022-012)
Material Weakness 2022
Saint Louis University
MO
Subrecipient Monitoring Reporting § 200.303
During fiscal year 2022, the University recognized that its FFATA process did not have adequate internal controls in place and reorganized its operations to provide strong controls and management review. As of July 1, 2022, FFATA reporting was moved into the team responsible for issuing subawards an...
During fiscal year 2022, the University recognized that its FFATA process did not have adequate internal controls in place and reorganized its operations to provide strong controls and management review. As of July 1, 2022, FFATA reporting was moved into the team responsible for issuing subawards and new processes were implemented to ensure that FFATA reports processed with the outbound subawards. Examples of these new processes include, but are not limited to: (1) designating one team to process subawards in accordance with a uniform set of guidelines to ensure that the elements required for FFATA reporting in fsrs.gov are including in the subaward document(s) and to ensure that the responsible party for submitting FFATA reports is always aware of all outgoing subaward actions that may need to be reported and (2) the development and management of a subaward tracker identifying each subaward action issued by the University that includes, among other data elements, the FFATA status of each of those subaward actions (e.g. is the prime award subject to FFATA, has the reporting threshold been met for that subaward or subaward action, date of full execution of the subaward action, due date for submitting the report in fsrs.gov, and the date the report was submitted in fsrs.gov). Management will further review this process alongside the finding and ensure that current policies and procedures reflect best practices. The University will also process the 2 additional FFATA reports for One Heart Many Hands as soon as the organization?s registration is approved and their Unique Entity Identified (UEI) has been issued by the System for Award Management (SAM). Alexis Bruce-Staudt, Assistant Vice President for Research Administration and Operations, is responsible for the above remediation items being addressed by June 30, 2023.
View Audit 17372
Finding 14422 (2022-011)
Material Weakness 2022
Saint Louis University
MO
Questioned Costs Allowable Costs / Cost Principles § 200.303 § 200.430
The Office of Vice President of Research and the Controller?s Office will collaborate to ensure effort verification reports are returned no later than 30 calendar days after they have been distributed, including escalating noncompliance to appropriate University leadership. These improvements are ex...
The Office of Vice President of Research and the Controller?s Office will collaborate to ensure effort verification reports are returned no later than 30 calendar days after they have been distributed, including escalating noncompliance to appropriate University leadership. These improvements are expected to be completed by December 2023. Tara Thomason, Controller and Assistance Vice President, is responsible for addressing the above items by December 2023.
View Audit 17372 Questioned Costs: $1
Finding 14418 (2022-005)
Material Weakness 2022
Saint Louis University
MO
Reporting Matching / Level of Effort / Earmarking Internal Control / Segregation of Duties § 200.303
The Controller?s office will collaborate with the necessary teams across the University to ensure the required reports are reviewed by someone other than the preparer to ensure completeness and accuracy prior to being submitted to the U.S. Department of Education. This is expected to be completed by...
The Controller?s office will collaborate with the necessary teams across the University to ensure the required reports are reviewed by someone other than the preparer to ensure completeness and accuracy prior to being submitted to the U.S. Department of Education. This is expected to be completed by December 2023. Tara Thomason, Controller and Assistance Vice President, is responsible for addressing the above items by December 2023.
View Audit 17372
Finding 13201 (2022-004)
Material Weakness 2022
Saint Louis University
MO
Questioned Costs Matching / Level of Effort / Earmarking Allowable Costs / Cost Principles § 200.303 § 200.403
The Office of Vice President of Research and the Controller?s Office worked with the University?s Workday Finance team to configure its accounting system with an automated control that prevents general (nonpayroll) expenditures from being charged to the grant after the period of performance end date...
The Office of Vice President of Research and the Controller?s Office worked with the University?s Workday Finance team to configure its accounting system with an automated control that prevents general (nonpayroll) expenditures from being charged to the grant after the period of performance end date, one root cause of cost transfers. In addition, for payroll expenditures, the above teams updated grant labor costing allocations in its accounting system to contain an end date that coincides with the period of performance end date which restricts labor costs from being charged after the period of performance. The post award specialists will begin reviewing the labor costing allocations on a periodic basis. Also implemented in fiscal year 2023, before each payroll is processed by the Director of Payroll within the accounting system, grants that have ended are identified by the Assistant Controller and Director of Sponsored Program Accounting and the payroll expenditures are removed from the feed and not charged to the grant. The University has also hired individuals whose sole responsibility is to review general (non-payroll) expenditures charged to grants. Further, the University?s post award specialists are continually trained on the importance of allowed and unallowed expenditures and are now reviewing grant level budget versus actual reporting on a periodic basis to identify noncompliance. Tara Thomason, Controller and Assistance Vice President, is responsible for addressing the above items by December 2023.
View Audit 17372 Questioned Costs: $1
Finding 13200 (2022-003)
Material Weakness 2022
Saint Louis University
MO
Equipment & Real Property Management Procurement, Suspension & Debarment Allowable Costs / Cost Principles § 200.303 § 200.313
The Controller?s Office is amending our capital equipment policy to include the escalation for violations of noncompliance to Deans and/or Vice Presidents. In addition, we are improving our processes and internal controls to ensure additions, transfers and disposals are appropriately recorded in Wor...
The Controller?s Office is amending our capital equipment policy to include the escalation for violations of noncompliance to Deans and/or Vice Presidents. In addition, we are improving our processes and internal controls to ensure additions, transfers and disposals are appropriately recorded in Workday. We continue to improve our utilization of Workday Financials to ensure timely updates are made to the property records and are exploring additional automation tools. These changes are expected to be in place by December 2023. Tara Thomason, Controller and Assistance Vice President, is responsible for addressing the above items by December 2023.
View Audit 17372
Finding 13199 (2022-002)
Material Weakness 2022
Saint Louis University
MO
Allowable Costs / Cost Principles § 200.303 § 200.419
The Controller?s office will implement an annual review process of the DS-2, which will include someone other than the preparer performing a review of the DS-2 prior to amendments being submitted. The first review will be completed by December 2023. Tara Thomason, Controller and Assistance Vice Pres...
The Controller?s office will implement an annual review process of the DS-2, which will include someone other than the preparer performing a review of the DS-2 prior to amendments being submitted. The first review will be completed by December 2023. Tara Thomason, Controller and Assistance Vice President, is responsible for addressing the above items by December 2023.
View Audit 17372
Finding 13198 (2022-001)
Material Weakness 2022
Saint Louis University
MO
Questioned Costs Allowable Costs / Cost Principles Reporting § 200.303 § 200.337 § 200.430
The Office of Vice President of Research and the Controller?s Office will collaborate to ensure effort verification reports are returned no later than 30 calendar days after they have been distributed, including escalating noncompliance to appropriate University leadership. These improvements are ex...
The Office of Vice President of Research and the Controller?s Office will collaborate to ensure effort verification reports are returned no later than 30 calendar days after they have been distributed, including escalating noncompliance to appropriate University leadership. These improvements are expected to be completed by December 2023. The Controller?s Office will review its indirect costs configurations within the grants module of Workday to ensure the automated calculation of indirect costs is correct. In addition, the Sponsored Programs Accounting team will manually reconcile indirect costs periodically at the grant level. These improvements are expected to be completed by December 2023. The University continues to have cost transfers in fiscal year 2023 as it reconciles its grants. However, to limit cost transfers in the future, the Office of Vice President of Research and the Controller?s Office worked with the University?s Workday Finance team to configure its accounting system with an automated control that prevents general (non-payroll) expenditures from being charged to the grant after the period of performance end date, one root cause of cost transfers. In addition, for payroll expenditures, the above teams updated grant labor costing allocations in its accounting system to contain an end date that coincides with the period of performance end date which restricts labor costs from being charged after the period of performance. The post award specialists will begin reviewing the labor costing allocations on a periodic basis. Also implemented in fiscal year 2023, before each payroll is processed by the Director of Payroll within the accounting system, grants that have ended are identified by the Assistant Controller and Director of Sponsored Program Accounting and the payroll expenditures are removed from the feed and not charged to the grant. The University has also hired individuals whose sole responsibility is to review general (non-payroll) expenditures charged to grants. Further, the University?s post award specialists are continually trained on the importance of allowed and unallowed expenditures and are now reviewing grant level budget versus actual reporting on a periodic basis to identify noncompliance. Tara Thomason, Controller and Assistance Vice President, is responsible for addressing the above items by December 2023.
View Audit 17372 Questioned Costs: $1
Finding 13165 (2022-010)
Significant Deficiency 2022
Saint Louis University
MO
Student Financial Aid Matching / Level of Effort / Earmarking Special Tests & Provisions § 200.303
The Controller?s office will implement a process in which an individual will formally document their review of the third-party servicer?s most recent Title IV compliance audit in a memorandum. The memorandum will then be reviewed by another individual other than the preparer. Tara Thomason, Controll...
The Controller?s office will implement a process in which an individual will formally document their review of the third-party servicer?s most recent Title IV compliance audit in a memorandum. The memorandum will then be reviewed by another individual other than the preparer. Tara Thomason, Controller and Assistance Vice President, is responsible for addressing the above items by December 2023.
View Audit 17372
Finding 13164 (2022-009)
Material Weakness 2022
Saint Louis University
MO
Matching / Level of Effort / Earmarking Special Tests & Provisions Student Financial Aid § 200.303
The University will continue to work with our Information Technology to update the process. Matching with the current process for parent loan notification is the initial step. That process does include but does not fully rely on a trigger in the student system communication forms. (no parent loan ci...
The University will continue to work with our Information Technology to update the process. Matching with the current process for parent loan notification is the initial step. That process does include but does not fully rely on a trigger in the student system communication forms. (no parent loan citing). In an overall process improvement, the goal is to move out of the webfocus engagement to a new automated process. Cari Wickliffe, Assistant Vice President and Director of Student Financial Services, is responsible for addressing the above items by July 1, 2023
View Audit 17372
Finding 13163 (2022-008)
Significant Deficiency 2022
Saint Louis University
MO
Matching / Level of Effort / Earmarking Student Financial Aid Reporting § 200.303
The University will implement a two-step review internally to ensure records are reviewed within the required days. The University is filling vacant positions and reviewing additional operations support. Additionally, most of the errors occurred when a student did not answer completely or correctly ...
The University will implement a two-step review internally to ensure records are reviewed within the required days. The University is filling vacant positions and reviewing additional operations support. Additionally, most of the errors occurred when a student did not answer completely or correctly the high school graduation information on the Free Application for Federal Student Aid (FAFSA), questions 26 and/or 27. The system is set to hold any loan disbursements if this question and associated C Flags are present. Pell disbursement, however, bypasses this control. The University has established a procedure to identify in the extract log errors from attempting to disburse. A hold will be placed on the student account, and if any Pell disbursement is not fully accepted, it will be reversed. Cari Wickliffe, Assistant Vice President and Director of Student Financial Services, is responsible for addressing the above items by August 1, 2023
View Audit 17372
Finding 13162 (2022-007)
Material Weakness 2022
Saint Louis University
MO
Questioned Costs Matching / Level of Effort / Earmarking Student Financial Aid § 200.303
The University created additional reporting to identify student grade level reported on student system (SGASTDN) to the calculated grade level (ROASTAT) and any blanks. In addition, to the report which was created prior to this citing, training directly from the software provider has been scheduled....
The University created additional reporting to identify student grade level reported on student system (SGASTDN) to the calculated grade level (ROASTAT) and any blanks. In addition, to the report which was created prior to this citing, training directly from the software provider has been scheduled. The University will review the option of creating a specific budget or packaging group for students in certificate programs. This would afford rules to award only level one loan limits regardless of calculated grade level. Standard cost of attendance (coa) is posted by system processing rules. In certain situations, the coa may be adjusted manually by staff. The student information system does track and log these updates. The University will increase training regarding coa adjustments, strengthen standard posting of changes and why. A report has been created to identify any change to the standard budget component. This will be added as a point of review for the compliance coordinator. The primary risk area is summer since it is a manual process. The use of algorithmic budgeting will assist with changes to coa as well. In addition, the University is working with software provider to establish algorithmic budgeting rules. This option allows cost of attendance (coa) to be completed by enrollment period versus aid periods. The benefit is coa can be estimated at full-time and prior to disbursement adjust coa to part-time. The office of student financial services is working with the University to identify and address additional human resources needed to best address increased volume and greater compliance. Cari Wickliffe, Assistant Vice President and Director of Student Financial Services, is responsible for addressing the above items by July 1, 2023.
View Audit 17372 Questioned Costs: $1
Finding 13140 (2022-004)
Material Weakness 2022
City of Sullivan
IN
Internal Control / Segregation of Duties Allowable Costs / Cost Principles Material Weakness § 200.1 § 200.303
FINDING 2022-004 Contact Person Responsible for Corrective Action: Sue Pitts Contact Phone Number: 812-268-6077 Views of Responsible Official: We concur with the finding. Description of Corrective Action Plan: We will implement a system of internal controls related to the preparation and submission ...
FINDING 2022-004 Contact Person Responsible for Corrective Action: Sue Pitts Contact Phone Number: 812-268-6077 Views of Responsible Official: We concur with the finding. Description of Corrective Action Plan: We will implement a system of internal controls related to the preparation and submission of the Project and Expenditure (P&E) Reports. The Clerk-Treasurer will prepare the reports to be reviewed by the Deputy Clerk-Treasurer, prior to submission, to ensure that all projects, sections, and key line items are complete and supported by the ledger. Starting in 2024, the reports will be submitted by the April 30th deadline. Anticipated Completion Date: January 2024
View Audit 17605
Finding 13139 (2022-003)
Material Weakness 2022
City of Sullivan
IN
Procurement, Suspension & Debarment Subrecipient Monitoring § 200.303
FINDING 2022-003 Contact Person Responsible for Corrective Action: Sue Pitts Contact Phone Number: 812-268-6077 Views of Responsible Official: We concur with the finding. Description of Corrective Action Plan: The Clerk-Treasurer will meet with our City A?orney to discuss including a suspension and ...
FINDING 2022-003 Contact Person Responsible for Corrective Action: Sue Pitts Contact Phone Number: 812-268-6077 Views of Responsible Official: We concur with the finding. Description of Corrective Action Plan: The Clerk-Treasurer will meet with our City A?orney to discuss including a suspension and debarment clause into our federal contracts going forward. The City?s contract request form will be updated to include a check box to be marked when an employee is reques?ng a contract u?lizing federally awarded dollars. The City will include the informa?on below to all ARPA contracts that are above $25,000. Likewise if a contract is not entered into with any vendor that would submit a quote for work to be performed over the $25,000.00 threshold, they would need to provide a cer?fica?on or proof that they are not suspended, debarred, or otherwise excluded. The Contractor cer?fies, warrants, and represents that it has no current, pending, or outstanding criminal, civil, or enforcement ac?ons ini?ated by the City and that neither it nor its principal(s) is/are presently debarred, suspended, proposed for debarment, declared ineligible, or voluntarily excluded from entering into this Contract by any federal agency or by any department, agency, or poli?cal subdivision of the State of Indiana, or the City. The Contractor agrees that it will immediately no?fy the City and the Department of any such ac?ons and during the term of such ac?ons, the City or the Department may delay, withhold, or deny work under any supplement, amendment, change order, or other contractual device issued pursuant to this Contract. Anticipated Completion Date: January 2024
View Audit 17605
Finding 13101 (2022-001)
Significant Deficiency 2022
Home of Guiding Hands Corporation and Affiliates
CA
Questioned Costs HUD Housing Programs Matching / Level of Effort / Earmarking § 200.303
Finding 2022-001 a. Program Information: 14.181 Supportive Housing for Persons with Disabilities b. Criteria: In accordance with 2 CFR 200.303, nonfederal entities receiving Federal awards (i.e., auditee management) must establish and maintain internal controls designed to reasonably ensure compli...
Finding 2022-001 a. Program Information: 14.181 Supportive Housing for Persons with Disabilities b. Criteria: In accordance with 2 CFR 200.303, nonfederal entities receiving Federal awards (i.e., auditee management) must establish and maintain internal controls designed to reasonably ensure compliance with Federal statutes, regulations, and the terms and conditions of the Federal award. According to the Anja House Regulatory Agreement, item 5(a) issued by the U.S. Department of Housing and Urban Development (HUD), the mortgager will deposit an amount equal to $173 per month into a reserve fund for replacements in a separate account unless a different date or amount is approved in writing by HUD. c. Condition: Internal controls were not in place to ensure timely compliance with the requirement to deposit the specified amount into the reserve fund account monthly and deposits for the months of December 2021 and June 2022 were not made. Response: a. A process is being implemented that a formal transfer request will be made to the Controller every month detailing the monthly transfers required by HUD using the monthly vouchers received by Home of Guiding Hands. There is an existing process in place to reconcile transfers to the HUD vouchers. This will provide more oversight on these transactions and ensure timely compliance with the requirement to deposit the specified amount into the reserve fund account. Contact person responsible for corrective action: Jan Adams, CFO Anticipated completion date: October 21, 2022
View Audit 17434 Questioned Costs: $1
Finding 13099 (2022-017)
Significant Deficiency 2022
City and County of Denver
CO
Questioned Costs Allowable Costs / Cost Principles Matching / Level of Effort / Earmarking § 200.303 § 200.430
2022-017 Finding: - ALN 93.914 ? HIV Emergency Relief Project Grants (Non-Major) / Department of Health and Human Services / Award Number: H89HA00027-28-00, H89HA00027-28-01/ Award Year: 2021 Status: Corrective action in progress Corrective Action: The City agrees with the finding. The review of per...
2022-017 Finding: - ALN 93.914 ? HIV Emergency Relief Project Grants (Non-Major) / Department of Health and Human Services / Award Number: H89HA00027-28-00, H89HA00027-28-01/ Award Year: 2021 Status: Corrective action in progress Corrective Action: The City agrees with the finding. The review of personnel costs that are not 100% allocated to the grant will be reviewed annually as a part of the annual budget planning process. Allocation decisions will be documented and attached to budget planning documents. Person(s) Responsible for Implementing: DDPHE ?Tristan Sanders, Robert George Implementation Date: October 2023
View Audit 17407 Questioned Costs: $1
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