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Finding 9825 (2022-022)
Material Weakness 2022
State of Illinois
IL
Procurement, Suspension & Debarment Subrecipient Monitoring § 200.303
In calendar year 2022, ICJIA identified an issue in its procedure in that its grants management system was unable to identify the execution dates of amendments, which resulted in some amendments not being timely entered into the FFATA system or not being entered. After identifying this issue, agency...
In calendar year 2022, ICJIA identified an issue in its procedure in that its grants management system was unable to identify the execution dates of amendments, which resulted in some amendments not being timely entered into the FFATA system or not being entered. After identifying this issue, agency personnel developed a new procedure that allows ICJIA to capture the pertinent amendment information so that it can ensure timely and complete entry into the FFATA system. This new procedure was finalized on October 26, 2022, prior to receipt of this finding. Staff were trained on the new procedure immediately and ICJIA is currently using the new procedure. ICJIA anticipates that the new procedure will limit or eliminate missed FFATA reporting. ICJIA continues to explore automated options to better improve efficiencies and streamline our FFATA processes.
View Audit 13503
Finding 9823 (2022-021)
Material Weakness 2022
State of Illinois
IL
Questioned Costs Subrecipient Monitoring Material Weakness § 200.303 § 200.332
The IDPH’s fiscal staff were notified in November 2021 to add the ALN to the warrant description for each subrecipient disbursement made.
The IDPH’s fiscal staff were notified in November 2021 to add the ALN to the warrant description for each subrecipient disbursement made.
View Audit 13503 Questioned Costs: $1
Finding 9821 (2022-020)
Material Weakness 2022
State of Illinois
IL
Procurement, Suspension & Debarment Subrecipient Monitoring § 200.303
The IDPH developed a process with our grants management system vendor to generate a file of all Federal awards to subrecipients equal to or more than $30,000. This file is then uploaded monthly to the FFATA Subaward Reporting System (FSRS) by the Grant Accountability & Transparency Specialist. The ...
The IDPH developed a process with our grants management system vendor to generate a file of all Federal awards to subrecipients equal to or more than $30,000. This file is then uploaded monthly to the FFATA Subaward Reporting System (FSRS) by the Grant Accountability & Transparency Specialist. The IDPH has uploaded current award data, as well as historical data back to January 2023 and plans to go back two additional years.
View Audit 13503
Finding 9820 (2022-019)
Material Weakness 2022
State of Illinois
IL
Questioned Costs Allowable Costs / Cost Principles Eligibility § 200.303
The DCFS is currently working with USDHHS’ Childrens’ Bureau (CB) on a Program Improvement Plan (PIP) related to Adoption Assistance subsidy payments. The PIP requires significant changes to DCFS’ policy that are still being vetted by CB and DCFS management, which will have a significant impact on ...
The DCFS is currently working with USDHHS’ Childrens’ Bureau (CB) on a Program Improvement Plan (PIP) related to Adoption Assistance subsidy payments. The PIP requires significant changes to DCFS’ policy that are still being vetted by CB and DCFS management, which will have a significant impact on how this program is carried out. As soon as the policy changes are completed, the DCFS will finalize procedures consistent with policy, the Social Security Act, and Title IV-E. These procedures will include controls to ensure payments made are appropriate per the subsidy agreements with the adoptive parents and federal requirements. In the meantime, the DCFS will be implementing the following: 1. The DCFS is revising the communication with adoptive parents reminding them of their responsibility to inform the DCFS of situational changes that could affect the subsidy agreement. 2. The DCFS is amending its adoption agreement template to more clearly define how and when an adoption subsidy can be suspended or terminated by the DCFS. 3. The DCFS’ Policy, Legal, Quality Assurance, Finance and Adoptions Administration divisions are currently reviewing all forms and policy documents to ensure they are consistent in communicating the preceding steps. The DCFS will include definitions of legal responsibly and financial support to establish the parameters of suspension or termination of subsidy payments. There has been significant progress in this area that has resulted in significant policy changes that are being finalized with assistance and input from the CB. 4. The DCFS will amend its Title IV-E plan related to adoption subsidy payments to include definitions consistent with item 3 above. 5. The DCFS will review its processes, including its information systems, to determine if information captured by permanency case workers can be data mined for review to support continued adoption subsidy payments. 6. The DCFS is creating communication procedures related to appeal decisions of termination and suspension of subsidy payments to adoptive parents to ensure they are aware of their rights to appeal and how the appeal process works.
View Audit 13503 Questioned Costs: $1
Finding 9814 (2022-018)
Material Weakness 2022
State of Illinois
IL
Questioned Costs Matching / Level of Effort / Earmarking Special Tests & Provisions § 200.303
The DHFS continues to work on the implementation of the new IMPACT system, which has the functionality built-in to take the quarterly files from RISSNET and upload them into the new MMIS. However, a recent analysis of the IMPACT project is showing a shift in implementation date into future years. T...
The DHFS continues to work on the implementation of the new IMPACT system, which has the functionality built-in to take the quarterly files from RISSNET and upload them into the new MMIS. However, a recent analysis of the IMPACT project is showing a shift in implementation date into future years. To mitigate the shift in the timeline and the need for a corrective plan update, the DHFS will instead modify the existing legacy MMIS system to intake the NCCI and MUE files and modify the claims editing process to incorporate the NCCI and MUE rules. This will then be maintained on a quarterly basis in alignment with the publications on RISSNET.
View Audit 13503 Questioned Costs: $1
Finding 9808 (2022-017)
Material Weakness 2022
State of Illinois
IL
Matching / Level of Effort / Earmarking Reporting Internal Control / Segregation of Duties § 200.303
The DHFS will implement a review of all CMS 372 reports prior to their submission.
The DHFS will implement a review of all CMS 372 reports prior to their submission.
View Audit 13503
Finding 9806 (2022-016)
Material Weakness 2022
State of Illinois
IL
Questioned Costs Allowable Costs / Cost Principles Eligibility § 200.303
Adhering to the Federal Centers for Medicare and Medicaid Services (CMS) directive, effective April 1, 2023, the State resumed normal operations, including restarting full Medicaid and CHIP eligibility renewals and terminations of coverage for individuals who are no longer eligible. States can term...
Adhering to the Federal Centers for Medicare and Medicaid Services (CMS) directive, effective April 1, 2023, the State resumed normal operations, including restarting full Medicaid and CHIP eligibility renewals and terminations of coverage for individuals who are no longer eligible. States can terminate Medicaid enrollment for individuals no longer eligible. States will have up to 14 months to return to normal eligibility and enrollment operations. As of April 30, 2023, there were 5,678 medical applications 45 days or older, (2% higher than previously reported in June 2022), but still a significant reduction (96%) from a high of 147,038 at the end of January 2019. As of the same date, there were 6,789 total medical renewals on hand, a significant decrease since the last reporting (9,412 were reported for June 30, 2022.) In addition, the DHFS has established June 30, 2024, as the completion date for - (1) updating the system to force processing of a redetermination when a form is received, and a worker attempts another type of action (currently at 70% completion), and (2) developing reports for the DHFS and the Illinois Department of Human Services to identify redeterminations that have been received but not yet processed (currently at 80% completion).
View Audit 13503 Questioned Costs: $1
Finding 9798 (2022-015)
Material Weakness 2022
State of Illinois
IL
Questioned Costs Allowable Costs / Cost Principles Special Tests & Provisions § 200.303
Issues with the monthly batch screening that occurs systematically was discussed with the vendor and were identified as a system defect. The correction of this defect was identified in JIRA Ticket ILPRO-889 and deployed as part of the 1.6 System Release, which went into production on March 23, 2023...
Issues with the monthly batch screening that occurs systematically was discussed with the vendor and were identified as a system defect. The correction of this defect was identified in JIRA Ticket ILPRO-889 and deployed as part of the 1.6 System Release, which went into production on March 23, 2023. With the correction of this system defect, there have been no screening issues identified.
View Audit 13503 Questioned Costs: $1
Finding 9792 (2022-014)
Material Weakness 2022
State of Illinois
IL
Reporting § 200.303
The DHFS and the IDHS will reinforce the use of current internal controls and pursue the following corrective action plan: The IDHS staff have implemented weekly reports on developmental disability (DD) waiver payment submissions to the DHFS to allow IDHS staff information to review and timely ident...
The DHFS and the IDHS will reinforce the use of current internal controls and pursue the following corrective action plan: The IDHS staff have implemented weekly reports on developmental disability (DD) waiver payment submissions to the DHFS to allow IDHS staff information to review and timely identify any issues with the DD waiver submissions to the DHFS. The DHFS will review and revise its quarterly other agency Medicaid spending/federal revenue reporting. That report will be redesigned to provide prior quarter/year comparisons to allow for more effective identification of problematic issues. The recipient list will be updated to ensure appropriate distribution. The IDHS staff will review the DHFS quarterly other agency Medicaid spending/federal revenue reporting to identify any unanticipated changes for all IDHS Medicaid programs. The DHFS will engage Medical Programs staff with knowledge of the DD waiver to also review the revised report upon each quarterly issuance. The DHFS’ Office of Internal Audit, with cooperation from the IDHS’ Office of Internal Audit, will perform a comprehensive review of data sharing between the DHFS and the IDHS used to support federal claiming. The audit report will be shared with both agencies for purposes of recommended process improvements. Both agencies will continue to work with DoIT to quickly address any identified future programming issues. Both agencies will reinforce with staff the need to immediately inform senior fiscal management if any future challenges are identified at the detail level which may impact Medicaid provider bill payment submission to the DHFS or the flow of federal revenue.
View Audit 13503
Finding 9784 (2022-013)
Material Weakness 2022
State of Illinois
IL
Questioned Costs Special Tests & Provisions Material Weakness § 200.303
e DHFS has a robust encounter utilization management (EUM) process that is managed by our consulting actuary, Milliman. The Department has also contracted with its external quality review organization (EQRO) to audit the MCOs encounter data. The EQRO completed and submitted the draft EDV report to t...
e DHFS has a robust encounter utilization management (EUM) process that is managed by our consulting actuary, Milliman. The Department has also contracted with its external quality review organization (EQRO) to audit the MCOs encounter data. The EQRO completed and submitted the draft EDV report to the Department on June 15, 2023. The report is currently pending review and approval by the DHFS. The DHFS will proceed with posting the final report as required once it has been reviewed and approved by all internal reviewing entities. The DHFS is working toward having the final, approved report posted on the Program web page no later than August 31, 2023.
View Audit 13503 Questioned Costs: $1
Finding 9782 (2022-012)
Material Weakness 2022
State of Illinois
IL
Questioned Costs Subrecipient Monitoring Material Weakness § 200.303 § 200.332
IDHS - Division of Family and Community Services (FCS) The IDHS-FCS’ Bureau of Contract Support and Payment administration staff has reviewed the exceptions and worked to create a process to ensure the proper notification of the ALN at time of disbursement. A plan of action was created whereby in ea...
IDHS - Division of Family and Community Services (FCS) The IDHS-FCS’ Bureau of Contract Support and Payment administration staff has reviewed the exceptions and worked to create a process to ensure the proper notification of the ALN at time of disbursement. A plan of action was created whereby in each fiscal year the IDHS’ Bureau of Program Support and Fiscal Management staff will communicate the appropriate ALN to be utilized. IDHS - Division of Substance Use, Prevention, and Recovery (SUPR) The IDHS-SUPR staff will ensure that all monthly expenditure vouchers have the ALNs listed and will work with IDHS’ fiscal staff to ensure that the ALNs are listed in the notes field for all vouchers processed for payments. Finally, the IDHS-SUPR staff will ensure that the ALNs are listed on all grants and contracts.
View Audit 13503 Questioned Costs: $1
Finding 9780 (2022-011)
Material Weakness 2022
State of Illinois
IL
Reporting § 200.303
The IDHS will review its processes and procedures to prepare financial reports required for the SAPT program. Necessary steps below will be added to ensure that the financial reports are accurate and that refunds received from SAPT providers have been applied to the correct grant fiscal year/grant....
The IDHS will review its processes and procedures to prepare financial reports required for the SAPT program. Necessary steps below will be added to ensure that the financial reports are accurate and that refunds received from SAPT providers have been applied to the correct grant fiscal year/grant. • When a refund is received by the IDHS - Office of Contract Administration, correspondence/an email will be sent, identifying the refund to IDHS’ Bureau of General Accounting/Cash Management, the Bureau of Collections, and the Bureau of Revenue Management and Federal Reporting. • Once the email correspondence is received identifying the refund, the IDHS’ Bureau of Revenue Management and Federal Reporting will research and verify the correct grant and grant fiscal year. • Refund identification and research will occur weekly and be reconciled to the correct grant and grant fiscal year in advance of posting refunds to the accounting system, ensuring federal financial reports are filed timely and accurately.
View Audit 13503
Finding 9763 (2022-010)
Material Weakness 2022
State of Illinois
IL
Questioned Costs Reporting § 200.303 § 200.502 § 200.510
The IDHS will design and implement a reconciliation of Federal grant receipts and expenditures by assistance listing number included in the financial reporting forms submitted to the IOC to the IDHS’ financial reporting system.
The IDHS will design and implement a reconciliation of Federal grant receipts and expenditures by assistance listing number included in the financial reporting forms submitted to the IOC to the IDHS’ financial reporting system.
View Audit 13503 Questioned Costs: $1
Finding 9760 (2022-009)
Material Weakness 2022
State of Illinois
IL
Questioned Costs Eligibility Matching / Level of Effort / Earmarking § 200.303
For future consideration of funding, the IDHS will ensure that, in addition to meeting health and safety requirements, the providers will also complete certification and attestation that verifies that they meet the requirements and eligibility of the program.
For future consideration of funding, the IDHS will ensure that, in addition to meeting health and safety requirements, the providers will also complete certification and attestation that verifies that they meet the requirements and eligibility of the program.
View Audit 13503 Questioned Costs: $1
Finding 9754 (2022-008)
Material Weakness 2022
State of Illinois
IL
Questioned Costs Subrecipient Monitoring Allowable Costs / Cost Principles § 200.303 § 200.332
IDHS - Division of Family and Community Services (FCS) The IDHS-FCS staff will meet to determine the need for updated documentation and communication regarding subrecipient programmatic monitoring. IDHS - Division of Substance Use, Prevention, and Recovery (SUPR) The IDHS-SUPR staff will track the ...
IDHS - Division of Family and Community Services (FCS) The IDHS-FCS staff will meet to determine the need for updated documentation and communication regarding subrecipient programmatic monitoring. IDHS - Division of Substance Use, Prevention, and Recovery (SUPR) The IDHS-SUPR staff will track the completion of compliance and monitoring activities and update the Virtual Compliance Review (VCR) Tracking spreadsheet to track additional monitoring activities to ensure compliance processes are achieved in a timely manner. The IDHS will send reminders and conduct follow- up activities with compliance monitors to ensure compliance and monitoring activities are moving forward as planned. Finally, IDHS will update procedures and provide training to compliance monitors to ensure consistent follow-up is conducted when organizations do not meet established deadlines.
View Audit 13503 Questioned Costs: $1
Finding 9748 (2022-007)
Material Weakness 2022
State of Illinois
IL
Questioned Costs Procurement, Suspension & Debarment Subrecipient Monitoring § 200.303
IDHS - Office of Contract Administration (OCA) The OCA has continued to facilitate internal meetings between IDHS-Department of Innovation and Technology staff, Bureau of Federal Reporting staff, and Division of Family and Community Services (FCS) staff to establish automated procedures. These meeti...
IDHS - Office of Contract Administration (OCA) The OCA has continued to facilitate internal meetings between IDHS-Department of Innovation and Technology staff, Bureau of Federal Reporting staff, and Division of Family and Community Services (FCS) staff to establish automated procedures. These meetings will assist the IDHS to identify all awards subject to the FFATA reporting requirements. IDHS - Division of Substance Use, Prevention, and Recovery (SUPR) The IDHS will develop written policies for identifying all grants subject to FFATA for SUPR funded grants and will create detailed procedures for reporting. Furthermore, the IDHS will track the submission of all FFATA reports monthly. Additional IDHS staff will be hired to conduct FFATA reporting.
View Audit 13503 Questioned Costs: $1
Finding 9746 (2022-006)
Material Weakness 2022
State of Illinois
IL
Questioned Costs Matching / Level of Effort / Earmarking § 200.303
The IDHS will develop and submit an alternative MOE methodology to the Substance Abuse and Mental Health Services Administration (SAMHSA) for approval. The IDHS will also amend prior MOE reports and submit any necessary waivers.
The IDHS will develop and submit an alternative MOE methodology to the Substance Abuse and Mental Health Services Administration (SAMHSA) for approval. The IDHS will also amend prior MOE reports and submit any necessary waivers.
View Audit 13503 Questioned Costs: $1
Finding 9742 (2022-005)
Material Weakness 2022
State of Illinois
IL
Questioned Costs Allowable Costs / Cost Principles Matching / Level of Effort / Earmarking § 200.303
• The IDHS has logged Integrated Eligibility System (IES) enhancement request ILIES-279032 to implement Telephonic Signature for the Responsible Service Payee (RSP) signature. Since COVID, much of the IDHS’ interactions are done via telephone. As such, the RSP Signature page is mailed to customers ...
• The IDHS has logged Integrated Eligibility System (IES) enhancement request ILIES-279032 to implement Telephonic Signature for the Responsible Service Payee (RSP) signature. Since COVID, much of the IDHS’ interactions are done via telephone. As such, the RSP Signature page is mailed to customers when the updates are completed by phone. By implementing Telephonic Signature for the RSP, the IDHS will no longer have to generate correspondence to customers and have them return the signature page. • The IDHS is in the process of adding Family and Resource Center (FCRC) TANF Queues to its call center. When a customer with active TANF calls in, the caller will be routed to the local office TANF Queue. TANF workers within each FCRC will answer the calls and manage the TANF. This will improve the IDHS’ tracking and follow-up with TANF customers. • Communication will be made with regional administrators regarding the 04/25/2023 Action Memo “Uploading the Responsibility and Service Plan Signature Page into the Electronic Case Record.”
View Audit 13503 Questioned Costs: $1
Finding 9741 (2022-004)
Material Weakness 2022
State of Illinois
IL
Questioned Costs Subrecipient Monitoring § 200.303 § 200.332
The IDHS will implement fiscal and administrative reviews of IHDA and program monitoring procedures.
The IDHS will implement fiscal and administrative reviews of IHDA and program monitoring procedures.
View Audit 13503 Questioned Costs: $1
Finding 9740 (2022-003)
Material Weakness 2022
State of Illinois
IL
Subrecipient Monitoring Cash Management Material Weakness § 200.303 § 200.305
A vendor was utilized in Fiscal Year 2023 to assist the State with these tasks. For Fiscal Year 2024, IDOR’s role was transitioned from IDOR to the Illinois Department of Human Services.
A vendor was utilized in Fiscal Year 2023 to assist the State with these tasks. For Fiscal Year 2024, IDOR’s role was transitioned from IDOR to the Illinois Department of Human Services.
View Audit 13503
Finding 9739 (2022-002)
Material Weakness 2022
State of Illinois
IL
Matching / Level of Effort / Earmarking Student Financial Aid Special Tests & Provisions § 200.303
As of June 30, 2022, the portfolio was transition. Thus, no further corrective action is considered necessary.
As of June 30, 2022, the portfolio was transition. Thus, no further corrective action is considered necessary.
View Audit 13503
Finding 9554 (2022-002)
Significant Deficiency 2022
Safer New Mexico Now, Inc.
NM
Questioned Costs Matching / Level of Effort / Earmarking HUD Housing Programs § 200.303
Recommendation: CLA recommends management continue to assess the current procedures for claims on federal grants to incorporate a life to date assessment of billings to ensure that expenditures are not claimed in error. Explanation of disagreement with audit finding: There is no disagreement with t...
Recommendation: CLA recommends management continue to assess the current procedures for claims on federal grants to incorporate a life to date assessment of billings to ensure that expenditures are not claimed in error. Explanation of disagreement with audit finding: There is no disagreement with the audit finding. Action planned/taken in response to finding: Safer noted that there was turnover in the accounting function of the organization and that the external contractor that was hired to act in the role of the CFO (until a regular employee in the CFO/controller role could be hired) was not as familiar with Safer’s established processes and procedures. Prior to the loss of the long-time CFO, Safer’s policies and procedures were very effective and no audit adjustments had been necessary in past audits under the full tenure of the current CEO. Recommendation: CLA recommends management continue to assess the current procedures for claims on federal grants to incorporate a life to date assessment of billings to ensure that expenditures are not claimed in error. Explanation of disagreement with audit finding: There is no disagreement with the audit finding. Action planned/taken in response to finding: Safer noted that there was turnover in the accounting function of the organization and that the external contractor that was hired to act in the role of the CFO (until a regular employee in the CFO/controller role could be hired) was not as familiar with Safer’s established processes and procedures. Prior to the loss of the long-time CFO, Safer’s policies and procedures were very effective and no audit adjustments had been necessary in past audits under the full tenure of the current CEO. Name(s) of the contact person(s) responsible for corrective action: The CEO will be the assigned individual within the organization to monitor the above actions and make sure appropriate action is taken. Planned completion date for corrective action plan: Management has implemented the above listed corrective action as of 12/1/2023.
View Audit 13222 Questioned Costs: $1
Finding 9321 (2022-002)
Significant Deficiency 2022
Eastern Plains Community Action Agency, Inc.
NM
Equipment & Real Property Management Internal Control / Segregation of Duties Reporting § 200.303
Auditor's Recommendation: We recommend the Entity implement adequate controls to ensure the accuracy of the information reported to the Grantor Agency in a timely manner. Action Taken: The Organization will create an electronic calendar with reminders for all reporting requirements and respective du...
Auditor's Recommendation: We recommend the Entity implement adequate controls to ensure the accuracy of the information reported to the Grantor Agency in a timely manner. Action Taken: The Organization will create an electronic calendar with reminders for all reporting requirements and respective due dates. Responsible Official: John Clemons, Chief Financial Officer Timeline for Implementation: July 31, 2023
View Audit 12797
Finding 9320 (2022-001)
Material Weakness 2022
Eastern Plains Community Action Agency, Inc.
NM
Equipment & Real Property Management § 200.303 § 200.313
Auditor's Recommendation: We recommend the Entity enhance the design of its control activities and policies and procedures should be developed to ensure physical inventories are taken at least once every two years. Action Taken: The Organization understands the importance of regular physical invento...
Auditor's Recommendation: We recommend the Entity enhance the design of its control activities and policies and procedures should be developed to ensure physical inventories are taken at least once every two years. Action Taken: The Organization understands the importance of regular physical inventories and will implement this control activity for the June 30, 2023 fiscal year end. Responsible Person: John Clemons, Chief Financial Officer Timeline for Implementation: July 31, 2023
View Audit 12797
Finding 8839 (2022-002)
Significant Deficiency 2022
U. S. Telecommunications Training Institute
DC
Reporting Allowable Costs / Cost Principles Matching / Level of Effort / Earmarking § 200.303 § 200.510
Views of Responsible Officials and Planned Corrective Actions: USTTI will prepare its SEFA on a quarterly basis and we will reconcile the expenses reported on the SEFA with general ledger amounts. We will also review the chart of accounts coding to be sure all eligible expenses are clearly identifie...
Views of Responsible Officials and Planned Corrective Actions: USTTI will prepare its SEFA on a quarterly basis and we will reconcile the expenses reported on the SEFA with general ledger amounts. We will also review the chart of accounts coding to be sure all eligible expenses are clearly identified.
View Audit 12117
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