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Corrective Action Plans

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Southwest Key Programs, Inc. and Affiliates
TX
Procurement, Suspension & Debarment § 200.317 § 200.318 § 200.319 § 200.320 § 200.323
Management Comments and Corrective Action: Due to the growing need to adequately care for the minors at SWK’s shelters coupled with the limitations of access to vendors caused by COVID-19, SWK utilized existing vendor to minimize significant disruptions to operations. The Organization is aware they...
Management Comments and Corrective Action: Due to the growing need to adequately care for the minors at SWK’s shelters coupled with the limitations of access to vendors caused by COVID-19, SWK utilized existing vendor to minimize significant disruptions to operations. The Organization is aware they are operating under contracts that were procured in previous years that may not have all the records maintained. Reprocuring all of these contracts at once would potentially cause disruptions in operations due to the products/services related to those vendors playing an important role in the Organization’s day-to-day operations. In April 2021, the Organization hired new procurement leadership and invested in Full Time Employees (FTEs) to develop a robust procurement department. Due to this procurement revamp, Procurement adopted a hybrid model, and Desktop Protocols were established to provide universal procedures to fulfill policy. Protocols instruct staff on obtaining three quotes and provide tools for selecting the vendor. In addition, quality protocols and tools are currently in development to verify a random sample of procurement transactions and files. The Organization still has several active contracts procured under the old policies that they are working on reprocuring as these contracts’ renewal dates arise, if not earlier. Proposed Implementation Date of Corrective Action: In process and to be completed by December 31, 2025. Person Responsible for Corrective Action: Steven Beckman, CFO
View Audit 324232
Finding 502031 (2023-005)
Significant Deficiency 2023
El Hogar Del Nino
IL
Questioned Costs Significant Deficiency Internal Control / Segregation of Duties
SIGNIFICANT DEFICIENCY IN INTERNAL CONTROL OVER COMPLIANCE 2023 – 005 Payroll Disbursements Recommendation: Management should continue to follow established controls to ensure the appropriate compensation of its employees at approved rates. Explanation of disagreement with audit finding: There is...
SIGNIFICANT DEFICIENCY IN INTERNAL CONTROL OVER COMPLIANCE 2023 – 005 Payroll Disbursements Recommendation: Management should continue to follow established controls to ensure the appropriate compensation of its employees at approved rates. Explanation of disagreement with audit finding: There is no disagreement with this finding. Action taken in response to finding: As of July 1, 2023, the Organization was acquired by Brightpoint, a social service organization with complimentary operations. The finance leadership of the acquiring organization has robust internal controls is experienced to resolve this finding in the subsequent year. Name of the contact person responsible for corrective action: Ed Balogh, Controller Planned completion date for corrective action plan: June 30, 2024. If the U.S. Department of Health and Human Services has questions regarding this plan, please call Ed Balogh, Controller, at 312-424-0200.
View Audit 324229 Questioned Costs: $1
Finding 502030 (2023-004)
Significant Deficiency 2023
El Hogar Del Nino
IL
Allowable Costs / Cost Principles
SIGNIFICANT DEFICIENCY IN INTERNAL CONTROL OVER COMPLIANCE 2023 – 004 Internal Control over Payroll Tracking Recommendation: Management should follow established controls requiring signatures on time cards of the employee and their supervisor to ensure the completeness and accuracy of hours alloca...
SIGNIFICANT DEFICIENCY IN INTERNAL CONTROL OVER COMPLIANCE 2023 – 004 Internal Control over Payroll Tracking Recommendation: Management should follow established controls requiring signatures on time cards of the employee and their supervisor to ensure the completeness and accuracy of hours allocated to the federally funded grant. Explanation of disagreement with audit finding: There is no disagreement with this finding. Action taken in response to finding: As of July 1, 2023, the Organization was acquired by Brightpoint, a social service organization with complimentary operations. The finance leadership of the acquiring organization has robust internal controls is experienced to resolve this finding in the subsequent year. Name of the contact person responsible for corrective action: Ed Balogh, Controller Planned completion date for corrective action plan: June 30, 2024.
View Audit 324229
Finding 502029 (2023-003)
Material Weakness 2023
El Hogar Del Nino
IL
Allowable Costs / Cost Principles
MATERIAL NONCOMPLIANCE (MODIFIED OPINION) MATERIAL WEAKNESS IN INTERNAL CONTROL OVER COMPLIANCE 2023 – 003 Allowable Costs / Cost Principles Recommendation: Management should develop a process whereby payroll costs allocated to federal grants; are supported by a system of internal controls which p...
MATERIAL NONCOMPLIANCE (MODIFIED OPINION) MATERIAL WEAKNESS IN INTERNAL CONTROL OVER COMPLIANCE 2023 – 003 Allowable Costs / Cost Principles Recommendation: Management should develop a process whereby payroll costs allocated to federal grants; are supported by a system of internal controls which provides reasonable assurance that the charges are accurate, allowable and properly allocated, reasonably reflect the total activity for which the employee is compensated, and support the distribution of the employee’s wages among specific activities or cost objectives if the employee woks on more than one federally funded program. Explanation of disagreement with audit finding: There is no disagreement with this finding. Action taken in response to finding: As of July 1, 2023, the Organization was acquired by Brightpoint, a social service organization with complimentary operations. The finance leadership of the acquiring organization has robust internal controls is experienced to resolve this finding in the subsequent year. Name of the contact person responsible for corrective action: Ed Balogh, Controller Planned completion date for corrective action plan: June 30, 2024.
View Audit 324229
Finding 502026 (2023-002)
Significant Deficiency 2023
Rust College, INC
MS
Rust College is implementing a new Project Accounting Module of Colleague Software which will be to capture and track expenditures from the inception of the grant period until the end date, including award numbers and other relevant information. In addition, the Finance and Business Office is devel...
Rust College is implementing a new Project Accounting Module of Colleague Software which will be to capture and track expenditures from the inception of the grant period until the end date, including award numbers and other relevant information. In addition, the Finance and Business Office is developing a plan to convert the critical grant information from the old system to the new system.
View Audit 324217
Finding 502025 (2023-001)
Significant Deficiency 2023
Rust College, INC
MS
Student Financial Aid Cash Management
The Finance and Business Department, with the Chief Information Officer, will need more training for procedures for cash drawdowns and expenditure's reconciliation per records and accounts on a timely basis.
The Finance and Business Department, with the Chief Information Officer, will need more training for procedures for cash drawdowns and expenditure's reconciliation per records and accounts on a timely basis.
View Audit 324217
Finding 502001 (2023-006)
Significant Deficiency 2023
Woodward-Granger Community School District
IA
Procurement, Suspension & Debarment
The District will review its procedures to ensure the capital asset listing is maintained and in compliance with Uniform Guidance.
The District will review its procedures to ensure the capital asset listing is maintained and in compliance with Uniform Guidance.
View Audit 324201
Finding 502000 (2023-007)
Significant Deficiency 2023
Woodward-Granger Community School District
IA
Subrecipient Monitoring Period of Performance
The subaward will be updated to include elements required by Uniform Guidance, Part 200.332.
The subaward will be updated to include elements required by Uniform Guidance, Part 200.332.
View Audit 324201
Woodward-Granger Community School District
IA
Subrecipient Monitoring
The District will review its procedures to ensure compliance with Uniform Guidance, Part 200.332 and Part 200.501.
The District will review its procedures to ensure compliance with Uniform Guidance, Part 200.332 and Part 200.501.
View Audit 324201
Finding 501998 (2023-002)
Material Weakness 2023
Athens Land Trust INC
GA
Cash Management Reporting
Corrective Action Plan – The current Finance Director and Housing Director have implemented an updated system that tracks, collects, and assembles the proper documentation for the monthly grant expenditure reports during the last week of the month to ensure timely submissions to the grantor. Even th...
Corrective Action Plan – The current Finance Director and Housing Director have implemented an updated system that tracks, collects, and assembles the proper documentation for the monthly grant expenditure reports during the last week of the month to ensure timely submissions to the grantor. Even though Athens Land Trust is a small organization with less than 25 employees, several staff members are being cross trained on the reporting process to ensure reporting is not disrupted by any potential future staffing changes. The updated system is reviewed periodically at biweekly director meetings to ensure oversight by the Executive Director.
View Audit 324199
Finding 501997 (2023-006)
Material Weakness 2023
Cleveland Urban Minority Alcoholism Outreach Project, Inc.
OH
Questioned Costs Allowable Costs / Cost Principles Period of Performance § 200.300 § 200.305 § 200.308 § 200.309 § 200.403
1. Cleveland UMADAOP will obtain written prior approval for any expenditure deviations from the originally approved budget. This topic will be covered when training occurs during the quarterly review of grant guidelines. 2. As part of its updated financial policies and procedures, Cleveland UMADAOP...
1. Cleveland UMADAOP will obtain written prior approval for any expenditure deviations from the originally approved budget. This topic will be covered when training occurs during the quarterly review of grant guidelines. 2. As part of its updated financial policies and procedures, Cleveland UMADAOP will seek to document all financial activity to ensure compliance with grant and federal guidelines. 3. As part of the updated financial policies and procedures, Cleveland UMADAOP will seek written confirmation from funders whenever there is a deviation from the terms outlined in the original award documentation. 4. As part of the updated financial policies Cleveland UMADAOP will be using the services of a virtual accounting firm that specializes in: a) standardized monthly financial reporting packages that will be reconciled to the approved budgets; b) standardized monthly close processes that lock transactions at the end of each month; and c) electronic document retention for A/P and A/R among other services.
View Audit 324194 Questioned Costs: $1
Finding 501996 (2023-005)
Material Weakness 2023
Cleveland Urban Minority Alcoholism Outreach Project, Inc.
OH
Cash Management Internal Control / Segregation of Duties Material Weakness § 200.305
As part of the on-boarding process with the virtual accountant, Cleveland UMADAOP will document its financial procedures to ensure consistent execution of financial activities.
As part of the on-boarding process with the virtual accountant, Cleveland UMADAOP will document its financial procedures to ensure consistent execution of financial activities.
View Audit 324194
Finding 501995 (2023-004)
Material Weakness 2023
Cleveland Urban Minority Alcoholism Outreach Project, Inc.
OH
Questioned Costs Subrecipient Monitoring Material Weakness § 200.302 § 200.328 § 200.415
1. A critical aspect of Cleveland UMADAOP’s updating of financial policies and procedures will be training on the proper and timely completion of federal forms 2. Weekly meetings will be held with Program Directors with a standard agenda item of upcoming due dates within the subsequent four weeks. 3...
1. A critical aspect of Cleveland UMADAOP’s updating of financial policies and procedures will be training on the proper and timely completion of federal forms 2. Weekly meetings will be held with Program Directors with a standard agenda item of upcoming due dates within the subsequent four weeks. 3. During these meetings, Directors will be required to provide status updates and draft submissions when applicable. 4. Once a quarter, a federal compliance requirement will be selected to have a deep dive review. 5. An HQ Administrative Assistant will be hired to monitor compliance as well as adherence to deadlines and will prepare a monthly report for the Executive Director’s review.
View Audit 324194 Questioned Costs: $1
Finding 501994 (2023-003)
Material Weakness 2023
Cleveland Urban Minority Alcoholism Outreach Project, Inc.
OH
Allowable Costs / Cost Principles
1. Going forward, Cleveland UMADAOP will use the attached Cost Allocation Method 2. With the assistance of the virtual accounting services, Cleveland UMADAOP will review monthly the indirect cost allocations to ensure they are consistent month-to-month and in compliance with federal guidelines.
1. Going forward, Cleveland UMADAOP will use the attached Cost Allocation Method 2. With the assistance of the virtual accounting services, Cleveland UMADAOP will review monthly the indirect cost allocations to ensure they are consistent month-to-month and in compliance with federal guidelines.
View Audit 324194
Finding 501993 (2023-002)
Material Weakness 2023
Cleveland Urban Minority Alcoholism Outreach Project, Inc.
OH
Questioned Costs Allowable Costs / Cost Principles § 200.302 § 200.403
Cleveland UMADAOP will be using the services of a virtual accounting firm that specializes in: a) standardized monthly financial reporting packages that will be reconciled to the approved budgets; b) standardized monthly close processes that lock transactions at the end of each month; and c) electro...
Cleveland UMADAOP will be using the services of a virtual accounting firm that specializes in: a) standardized monthly financial reporting packages that will be reconciled to the approved budgets; b) standardized monthly close processes that lock transactions at the end of each month; and c) electronic document retention for A/P and A/R among other services.
View Audit 324194 Questioned Costs: $1
Finding 501992 (2023-001)
Material Weakness 2023
Cleveland Urban Minority Alcoholism Outreach Project, Inc.
OH
Material Weakness Reporting Matching / Level of Effort / Earmarking § 200.512
1. A master calendar with key due dates will be prepared for each program as well as the overall organization 2. Weekly meetings will be held with Program Directors with a standard agenda item of upcoming due dates within the subsequent four weeks. 3. During these meetings, Directors will be require...
1. A master calendar with key due dates will be prepared for each program as well as the overall organization 2. Weekly meetings will be held with Program Directors with a standard agenda item of upcoming due dates within the subsequent four weeks. 3. During these meetings, Directors will be required to provide status updates and draft submissions when applicable. 4. Once a quarter, a federal compliancerequirement will be selected to have a deep dive review. 5. An HQ Administrative Assistant will be hired to monitor compliance and will prepare a monthly report for the Executive Director’s review
View Audit 324194
Finding 501991 (2023-001)
Material Weakness 2023
The Verland Foundation, Inc.
PA
Reporting Internal Control / Segregation of Duties
Action taken in response to finding: Management made every effort to submit the report by the due date of September 30th, completing all necessary information in the reporting portal prior to the deadline. On October 2nd, management contacted the Provider Relief Hotline to confirm the submission was...
Action taken in response to finding: Management made every effort to submit the report by the due date of September 30th, completing all necessary information in the reporting portal prior to the deadline. On October 2nd, management contacted the Provider Relief Hotline to confirm the submission was successful as the portal was unavailable due to maintenance. The representative was able to confirm TVFI’s login activity from September 30th. When attempting to download the report for the auditors on November 11th, management discovered it was locked and still marked as “in process,” indicating it had not been fully submitted. Management promptly created a case with the Provider Relief Hotline. The Provider Relief Organization has acknowledged the case advising management to hold the records for three years and be prepared to complete a late filing when further information is received from the Provider Relief Organization. Name(s) of the contact person(s) responsible for corrective action: Catherine Bogats Planned completion date for corrective action plan: Management is waiting to receive further information on instructions for a late filing and will complete the late filing promptly upon receipt. If the US Department of Health and Human Services has questions regarding this plan, please call Catherine Bogats at 412-741-2440.
View Audit 324187
Finding 501988 (2023-001)
Significant Deficiency 2023
Meadow Lane Housing Development Fund Company, Inc.
NY
Eligibility HUD Housing Programs
An age waiver has been submitted to HUD and is currently being reviewed. We are awaiting their decision. While we await a decision, Meadow Lane will review all existing application for eligibility and advise any existing applicants who are not of age that they are no longer eligible via mail. Antic...
An age waiver has been submitted to HUD and is currently being reviewed. We are awaiting their decision. While we await a decision, Meadow Lane will review all existing application for eligibility and advise any existing applicants who are not of age that they are no longer eligible via mail. Anticipated Completion Date: Pending HUD approval of age waiver
View Audit 324170
Amistad Community Health Center, Inc.
TX
Eligibility
1) Revisit our training materials provided to our Patient Access Representatives upon being hired and revise such materials to emphasize sliding fee requirements more thoroughly. Provide testing to new hires after training to establish if training was effective. a. Anticipated completion date: 10/31/...
1) Revisit our training materials provided to our Patient Access Representatives upon being hired and revise such materials to emphasize sliding fee requirements more thoroughly. Provide testing to new hires after training to establish if training was effective. a. Anticipated completion date: 10/31/2024 for revisions, ongoing with new hire training 2) Establish front desk (Patient Access Coordinator) supervisor “recap” trainings establishing the requirements for sliding fee designations. During this training, allow for on-hands role-playing of scenarios conducted both at group and individual levels. a. Anticipated completion date: 10/31/2024 3) Establish routine spot audits. Our Patient Access Coordinator will do spot audits on a monthly routine, and more a formal process at the CFO level completed quarterly. a. Anticipated completion date: Ongoing
View Audit 324161
Finding 501984 (2023-005)
Significant Deficiency 2023
Danville Redevelopment & Housing Authority
VA
Special Tests & Provisions HUD Housing Programs Significant Deficiency
Authority Response and Planned Corrective Action: The Authority accepts the recommendation of the auditor. The Authority will increase oversight in the Public Housing Capital Fund program to ensure that established internal control policies related to wage rate requirements are being followed. Dona...
Authority Response and Planned Corrective Action: The Authority accepts the recommendation of the auditor. The Authority will increase oversight in the Public Housing Capital Fund program to ensure that established internal control policies related to wage rate requirements are being followed. Donald Paredez, Executive Director, is responsible for implementing this corrective action by December 31, 2024.
View Audit 324142
Finding 501982 (2023-004)
Material Weakness 2023
Danville Redevelopment & Housing Authority
VA
Questioned Costs HUD Housing Programs Material Weakness
Authority Response and Planned Corrective Action: The Authority accepts the recommendation of the auditor. The Authority will increase oversight in the Section 8 Housing Choice Vouchers and Mainstream Vouchers programs to ensure that established internal control policies related to HQS inspections ...
Authority Response and Planned Corrective Action: The Authority accepts the recommendation of the auditor. The Authority will increase oversight in the Section 8 Housing Choice Vouchers and Mainstream Vouchers programs to ensure that established internal control policies related to HQS inspections are being followed on a timely basis. Donald Paredez, Executive Director, is responsible for implementing this corrective action by December 31, 2024.
View Audit 324142 Questioned Costs: $1
Finding 501981 (2023-003)
Material Weakness 2023
Danville Redevelopment & Housing Authority
VA
Questioned Costs HUD Housing Programs Eligibility
Authority Response and Planned Corrective Action: The Authority agrees with the finding and will increase oversight related to the maintenance of tenant files to better monitor adequacy with compliance requirements. Donald Paredez, Executive Director, is responsible for implementing this corrective ...
Authority Response and Planned Corrective Action: The Authority agrees with the finding and will increase oversight related to the maintenance of tenant files to better monitor adequacy with compliance requirements. Donald Paredez, Executive Director, is responsible for implementing this corrective action by December 31, 2024.
View Audit 324142 Questioned Costs: $1
Finding 501980 (2023-002)
Significant Deficiency 2023
Danville Redevelopment & Housing Authority
VA
Questioned Costs Procurement, Suspension & Debarment HUD Housing Programs
Authority Response and Planned Corrective Action: Management agrees with the Auditors' finding and will implement the required updates and safeguards to ensure that the Authority complies with Section 19 of the ACC to remedy the aforementioned deficiencies. Donald Paredez, Executive Director, is res...
Authority Response and Planned Corrective Action: Management agrees with the Auditors' finding and will implement the required updates and safeguards to ensure that the Authority complies with Section 19 of the ACC to remedy the aforementioned deficiencies. Donald Paredez, Executive Director, is responsible for implementing this corrective action by December 31, 2024.
View Audit 324142 Questioned Costs: $1
Lincoln County
MT
Subrecipient Monitoring
FINDING 2023-002: Late Audit Submission Response: Lincoln County will enSure it will be done by the deadline for FY- 24.
FINDING 2023-002: Late Audit Submission Response: Lincoln County will enSure it will be done by the deadline for FY- 24.
View Audit 324140
Finding 501972 (2023-006)
Material Weakness 2023
Logan Health
MT
Internal Control / Segregation of Duties Material Weakness Reporting
Federal Agency Name: Department of Health and Human Services Program Name: COVID-19 Provider Relief Fund and American Rescue Plan Rural Distribution Federal Assistance Listing #93.498 Federal Agency Name: Department of Health and Human Services All grant awards and pass-through entities Program Name...
Federal Agency Name: Department of Health and Human Services Program Name: COVID-19 Provider Relief Fund and American Rescue Plan Rural Distribution Federal Assistance Listing #93.498 Federal Agency Name: Department of Health and Human Services All grant awards and pass-through entities Program Name: Activities to Support State, Tribal, Local and Territorial (STLT) Health Department Response to Public Health or Healthcare Crisis Federal Assistance Listing #93.391 Finding Summary: During the course of our engagement, we noted a material program missing from the Schedule that was not identified by management. Responsible Individuals: Kevin Abel, CEO and Brigid Burke, CFO
View Audit 324123
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