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Corrective Action Plans

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Egida Ryder, Inc.
PR
Internal Control / Segregation of Duties
Recommendation is accepted. Housing Program Director will be in charge to monitoring weekly the accounts payable. Although it is important to note that due to the fiscal situation of the Project, there are accounts payable of more than three years with which we are working and for that it is neces...
Recommendation is accepted. Housing Program Director will be in charge to monitoring weekly the accounts payable. Although it is important to note that due to the fiscal situation of the Project, there are accounts payable of more than three years with which we are working and for that it is necessary to work with the cash flow.
View Audit 319498
Ryder Assisted Care Iii, Inc.
PR
HUD Housing Programs Special Tests & Provisions
The budget of the managing agent is limited so the recommendation of more employees cannot be assumed at this time. However, the Management will be evaluating functions performed by the accountant from which he can be relieved so that more time is left for the activities required in the recommendati...
The budget of the managing agent is limited so the recommendation of more employees cannot be assumed at this time. However, the Management will be evaluating functions performed by the accountant from which he can be relieved so that more time is left for the activities required in the recommendations.
View Audit 319497
Ryder Assisted Care Iii, Inc.
PR
Internal Control / Segregation of Duties
Recommendation is accepted. Housing Program Director will be in charge to monitoring weekly the accounts payable. Although it is important to note that due to the fiscal situation of the Project, there are accounts payable of more than three years with which we are working and for that it is neces...
Recommendation is accepted. Housing Program Director will be in charge to monitoring weekly the accounts payable. Although it is important to note that due to the fiscal situation of the Project, there are accounts payable of more than three years with which we are working and for that it is necessary to work with the cash flow.
View Audit 319497
Ryder Assisted Care Ii, Inc.
PR
HUD Housing Programs Special Tests & Provisions
The budget of the managing agent is limited so the recommendation of more employees cannot be assumed at this time. However, the Management will be evaluating functions performed by the accountant from which he can be relieved so that more time is left for the activities required in the recommendati...
The budget of the managing agent is limited so the recommendation of more employees cannot be assumed at this time. However, the Management will be evaluating functions performed by the accountant from which he can be relieved so that more time is left for the activities required in the recommendations.
View Audit 319496
Ryder Assisted Care Ii, Inc.
PR
Internal Control / Segregation of Duties
Recommendation is accepted. Housing Program Director will be in charge to monitoring weekly the accounts payable. Although it is important to note that due to the fiscal situation of the Project, there are accounts payable of more than three years with which we are working and for that it is neces...
Recommendation is accepted. Housing Program Director will be in charge to monitoring weekly the accounts payable. Although it is important to note that due to the fiscal situation of the Project, there are accounts payable of more than three years with which we are working and for that it is necessary to work with the cash flow.
View Audit 319496
Ryder Assisted Care, Inc.
PR
HUD Housing Programs Special Tests & Provisions
The budget of the managing agent is limited so the recommendation of more employees cannot be assumed at this time. However, the Management will be evaluating functions performed by the accountant from which he can be relieved so that more time is left for the activities required in the recommendati...
The budget of the managing agent is limited so the recommendation of more employees cannot be assumed at this time. However, the Management will be evaluating functions performed by the accountant from which he can be relieved so that more time is left for the activities required in the recommendations.
View Audit 319495
Ryder Assisted Care, Inc.
PR
Internal Control / Segregation of Duties
Recommendation is accepted. Housing Program Director will be in charge to monitoring weekly the accounts payable. Although it is important to note that due to the fiscal situation of the Project, there are accounts payable of more than three years with which we are working and for that it is neces...
Recommendation is accepted. Housing Program Director will be in charge to monitoring weekly the accounts payable. Although it is important to note that due to the fiscal situation of the Project, there are accounts payable of more than three years with which we are working and for that it is necessary to work with the cash flow.
View Audit 319495
Santa Cruz Community Cu
CA
Eligibility Reporting Material Weakness
Views of Responsible Officials Responsible/Contact Official Paul Barenfus, CLO, and Sylvia Sanchez, CFO Management Response The ERP Grant is a very different grant from previous grants received by the Credit Union. Although management followed the instructions provided on the CDFI website, it was no...
Views of Responsible Officials Responsible/Contact Official Paul Barenfus, CLO, and Sylvia Sanchez, CFO Management Response The ERP Grant is a very different grant from previous grants received by the Credit Union. Although management followed the instructions provided on the CDFI website, it was not clear that running the loan through the ERP track for eligibility was only one of several steps. After auditors noted that 4 loans were ineligible, management searched the website to find the second track that the loans had to be qualified through, the Majority-Minority Census. The team has not had to qualify loans like this in the past, and the additional third step for qualification was not understood. Management has since replaced the unqualified loans on the 2023 SEFA with eligible loans. Documented procedures for the ERP Grant have been completed and are being followed. Anticipated Completion Date This item is complete.
View Audit 319492
Finding 496664 (2023-003)
Material Weakness 2023
Fort Frye Local School District
OH
Subrecipient Monitoring Cash Management Material Weakness § 200.302 § 200.303
Finding Number: 2023-003 Planned Corrective Action: The accounts payable clerk will double check all claims submitted to the state for accuracy. Anticipated Completion Date: 08/30/2024 Responsible Contact Person: Stacy Bolden
Finding Number: 2023-003 Planned Corrective Action: The accounts payable clerk will double check all claims submitted to the state for accuracy. Anticipated Completion Date: 08/30/2024 Responsible Contact Person: Stacy Bolden
View Audit 319478
Finding 496661 (2023-001)
Material Weakness 2023
Annex Teen Clinic, Inc.
MN
Matching / Level of Effort / Earmarking Internal Control / Segregation of Duties § 200.303 § 200.400
Recommendation: We recommend the Annex Teen Clinic, Inc. document the authorization of expenditures charged to federal awards and ensure documentation is available to support such expenditures. Planned Action: We have implement a new Accounts Payable Automation Sofware called Continia, which will ma...
Recommendation: We recommend the Annex Teen Clinic, Inc. document the authorization of expenditures charged to federal awards and ensure documentation is available to support such expenditures. Planned Action: We have implement a new Accounts Payable Automation Sofware called Continia, which will make reimbursement, invoicing, and credit card submission processes more efficient and advanced. With this new software, we will be able to streamline our accounts payable processes and save a significant amount of time. Continia will allow everyone to submit their expenses and mileage trips on the Continia Expense Portal. It will also automate the approval process.
View Audit 319477
Finding 496657 (2023-004)
Significant Deficiency 2023
City of Lead
SD
Allowable Costs / Cost Principles
Finding 2023-004:Written Uniform Guidance Policies Responsible Official: Billie Jo Inhofer, Finance Officer Corrective Action Plan: The City is working on developing written Uniform Guidance policies. Anticipated Completion Date: Ongoing
Finding 2023-004:Written Uniform Guidance Policies Responsible Official: Billie Jo Inhofer, Finance Officer Corrective Action Plan: The City is working on developing written Uniform Guidance policies. Anticipated Completion Date: Ongoing
View Audit 319467
Finding 496656 (2023-001)
Material Weakness 2023
City of Lead
SD
Reporting Internal Control / Segregation of Duties
Finding 2023-001: Financial Statement and Schedule of Expenditures of Federal Awards (SEFA) Preparation Responsible Official: Billie Jo Inhofer, Finance Officer Corrective Action Plan: The City has accepted the risk associated with Finding #2023-001 regarding the preparation of the financial stateme...
Finding 2023-001: Financial Statement and Schedule of Expenditures of Federal Awards (SEFA) Preparation Responsible Official: Billie Jo Inhofer, Finance Officer Corrective Action Plan: The City has accepted the risk associated with Finding #2023-001 regarding the preparation of the financial statements and SEFA and will continue to have the independent auditor prepare the annual financial statements and SEFA. Anticipated Completion Date: Ongoing
View Audit 319467
Finding 496653 (2023-002)
Significant Deficiency 2023
Berks Community Health Center
PA
Reporting Internal Control / Segregation of Duties
Condition and Context: For 3 of the 5 reports tested, the Center did not submit the report by the program's required deadline. This is not a statistically valid sample. Corrective Action Plan Corrective Action Planned: The Center agrees with this finding. The Center will review the HRSA electroni...
Condition and Context: For 3 of the 5 reports tested, the Center did not submit the report by the program's required deadline. This is not a statistically valid sample. Corrective Action Plan Corrective Action Planned: The Center agrees with this finding. The Center will review the HRSA electronic handbook on a weekly basis to ensure that all reports that are due that month are responded to in a timely manner. Name(s) of Contact Person(s) Responsible for Corrective Action: Mary Kargbo Anticipated Completion Date: 4th quarter 2024
View Audit 319443
Valencia Shelter for Victims of Domestic Violence
NM
VSS has hired and is onboarding and participating with YPTC with a timeline of the remainder of the current fiscal year (FY24) and the beginning of next fiscal year (FY25). YPTC’s scope of work will include working with VSS’ staff, evaluating current policies and procedures, ensuring the implementat...
VSS has hired and is onboarding and participating with YPTC with a timeline of the remainder of the current fiscal year (FY24) and the beginning of next fiscal year (FY25). YPTC’s scope of work will include working with VSS’ staff, evaluating current policies and procedures, ensuring the implementation of best-practices systems of posting, year-end close, and review of standard practices and programing to evaluate, update, and train, on new finance policies and procedures. This partnership with YPTC will ensure future annual independent financial audits will be conducted on a timely basis and meet the nine-month filing requirements.
View Audit 319441
Finding 496651 (2023-005)
Significant Deficiency 2023
Valencia Shelter for Victims of Domestic Violence
NM
Internal Control / Segregation of Duties
The partnership between VSS and YPTC will serve to comprehensively evaluate current policies and procedures and ensure a best-practice, audit-compliant system of posting and review. Fair Market Rents (FMR) will be reviewed along with the HQS worksheet and income limits during annual recertification ...
The partnership between VSS and YPTC will serve to comprehensively evaluate current policies and procedures and ensure a best-practice, audit-compliant system of posting and review. Fair Market Rents (FMR) will be reviewed along with the HQS worksheet and income limits during annual recertification for active participants in the HUD program. VSS will review the HQS worksheet and income limits during annual recertification for active participants in the HUD program.
View Audit 319441
Finding 496650 (2023-004)
Material Weakness 2023
Valencia Shelter for Victims of Domestic Violence
NM
Questioned Costs Period of Performance
VSS has hired and is onboarding and participating with YPTC with a timeline of the remainder of the current fiscal year (FY24) and the beginning of next fiscal year (FY25). YPTC’s scope of work will include evaluating, updating, and training on new finance policies and procedures to include but not ...
VSS has hired and is onboarding and participating with YPTC with a timeline of the remainder of the current fiscal year (FY24) and the beginning of next fiscal year (FY25). YPTC’s scope of work will include evaluating, updating, and training on new finance policies and procedures to include but not limited to reviewing period of performance requirements.
View Audit 319441 Questioned Costs: $1
Finding 496649 (2023-003)
Material Weakness 2023
Valencia Shelter for Victims of Domestic Violence
NM
Allowable Costs / Cost Principles Internal Control / Segregation of Duties
VSS has already updated its financial policies to include electronic approval of expenditures through Bill.com. Bill.com was established for accounts payables mid FY 2024-FY 2025 for credit card payments. VSS has added Bill.com Accounts Payable and credit card services to include approvals required ...
VSS has already updated its financial policies to include electronic approval of expenditures through Bill.com. Bill.com was established for accounts payables mid FY 2024-FY 2025 for credit card payments. VSS has added Bill.com Accounts Payable and credit card services to include approvals required per grant and department.
View Audit 319441
Finding 496648 (2023-002)
Material Weakness 2023
Valencia Shelter for Victims of Domestic Violence
NM
Equipment & Real Property Management Procurement, Suspension & Debarment
VSS will add additional information into the inventory list so that it meets federal requirements. The inventory list will be maintained during the fiscal year and an internal audit will be conducted at the end of the fiscal year to ensure all equipment is accounted for.
VSS will add additional information into the inventory list so that it meets federal requirements. The inventory list will be maintained during the fiscal year and an internal audit will be conducted at the end of the fiscal year to ensure all equipment is accounted for.
View Audit 319441
Finding 496647 (2023-002)
Significant Deficiency 2023
Honor Ehg INC
NY
Subrecipient Monitoring HUD Housing Programs
2023-002 Rent Reasonableness Controls The Administration of HONOR acknowledges the findings identified in our 2023 Financial Audit concerning the inadequacies in our "rent reasonableness controls". The following response outlines the steps the HONOR Administration, Management and Direct Support Tea...
2023-002 Rent Reasonableness Controls The Administration of HONOR acknowledges the findings identified in our 2023 Financial Audit concerning the inadequacies in our "rent reasonableness controls". The following response outlines the steps the HONOR Administration, Management and Direct Support Team will take to address these issues and prevent recurrence. Corrective Actions Taken: -Staff Training: A comprehensive training program has been initiated for all relevant staff, focusing on rent reasonableness determination and compliance with applicable regulations. The New Hire Checklist and training requirements will ensure these policies are covered and understood. This In-service will take place by 9/30/2024. -Revamping Verification Procedures: HONOR has obtained/updated all required HUD reasonableness verification forms and processes to ensure it includes the latest market data and a consistent methodology. -Strengthening Documentation: HONOR has introduced new documentation standards to ensure that all rent reasonableness determinations are properly supported and can withstand audit scrutiny. -Periodic Reviews: The Quality Assurance/Compliance Mgr will conduct a regularly scheduled review process to monitor HUD reasonableness verification forms, ensuring ongoing compliance and addressing any issues proactively. -Additional position to provide support and oversight: HONOR identified the need to provide additional infrastructure to ensure regulatory requirements are met. The Housing First Program Manager, new position, (hired by end of 11/30/2024) will be responsible for ensuring that all client documentation includes the HUD regulatory requirements, including but not limited to the Rent Reasonableness/FMRs and rent calculations -Periodic Reviews. The Quality Assurance/Compliance Mgr will conduct a regularly scheduled review process to monitor documentation, ensuring ongoing compliance and addressing any issues proactively. Monitoring and Follow-up: -To ensure the effectiveness of the corrective actions, HONOR administrative team will be conducting a quarterly review of internal audits, trends and data.
View Audit 319438
Finding 496646 (2023-003)
Significant Deficiency 2023
Honor Ehg INC
NY
Cash Management
2023-003 TANF Voucher Controls The Administration of HONOR acknowledges the finding identified in our 2023 Financial Audit concerning the inadequacies regarding ''TANF Voucher Controls". The following response outlines the steps the HONOR Administration, Management and Direct Support Team will take...
2023-003 TANF Voucher Controls The Administration of HONOR acknowledges the finding identified in our 2023 Financial Audit concerning the inadequacies regarding ''TANF Voucher Controls". The following response outlines the steps the HONOR Administration, Management and Direct Support Team will take to address these issues and prevent recurrence. Corrective Actions Taken: -Create a Policy and Procedure by 9/30/2024. HONOR has identified verification forms and processes to ensure accurate data is recorded. -Staff Training: A comprehensive training program has been initiated for all relevant staff, focusing on verifications forms, admissions/discharges, and bed nights. Training requirements will ensure these policies are covered and understood. Staff will receive in-depth training on nightly bed sheets and data entry of client attendance in the EMR system, (NETSMART), to generate an accurate attendance roster. This in-service will take place by 10/15/2024. - Revamping Verification Procedures: HONOR has designated a position, Administrative Response Coordinator, to be responsible for verifying the nightly bed sheets and roster at the end of the month. Any discrepancies are reported to the Case Management Supervisor for verification. If changes are to be made, documentation will be made on the bed sheets and data entry will be corrected in NETSMART and roster reprinted. - HONOR will re-engage, when determined and or required, with designated team members of the Orange County Department of Social Services. Any possible disputes and or concerns regarding possible inaccuracies with TANF vouchers will be reviewed and documented by the Shelter Manager. -Periodic Reviews. The Quality Assurance/Compliance Mgr will conduct a regularly scheduled review process to monitor documentation, ensuring ongoing compliance and addressing any issues proactively. Monitoring and Follow-up: -To ensure the effectiveness of the corrective actions, HONOR administrative team will be conducting a quarterly review of internal audits, trends and data. HONOR's Executive Director along with the Administration and Management teams take this audit seriously and are committed to strengthening our internal controls to prevent future incidents. The steps outlined above will help us maintain compliance and ensure the proper use of resources. HONOR thanks RBT for their due diligence and bringing these matters to our attention.
View Audit 319438
Finding 496643 (2023-002)
Significant Deficiency 2023
Goggle Works
PA
Reporting Significant Deficiency § 200.512
2023-002 REPORTING - SIGNIFICANT DEFICIENCY Federal Program COVID-19 Coronavirus State and Local Fiscal Recovery Funds - ALN 21.027 Criteria Per the Uniform Guidance 2 CFR 200.512, management is responsible for the preparation and submission of expenditure reports detailing costs allocated to spec...
2023-002 REPORTING - SIGNIFICANT DEFICIENCY Federal Program COVID-19 Coronavirus State and Local Fiscal Recovery Funds - ALN 21.027 Criteria Per the Uniform Guidance 2 CFR 200.512, management is responsible for the preparation and submission of expenditure reports detailing costs allocated to specific federal grants, for each funding agency. Condition/Cause During the audit, we noted that the client submitted the same expenditure report to two different pass through agencies for federal funding received for a capital project. One of the grants did not include a reporting template and the overall costs of the project exceeded the total of grant funds allocated to the Organization. The Organization did not have proper controls in place to approve and allocate specific costs to each of the agencies through the reporting process. Effect The report submitted to the funding agency had incorrect costs included. Questioned Costs None. Context We examined the monthly reports submitted to two of the local government funders and noted the same expenses were reported to both funding agencies. The Organization submitted revised reports to each funder which were approved prior to the end of the audit. Repeat Finding No. Recommendation The Organization should review and update policies and procedures, as needed, to ensure that appropriate procedures and controls are in place for properly reporting tracked costs to the funding agencies. This should include identifying the individual responsible for review and approval of expenditure reports to ensure that tracked costs are property reported to the funding agencies Management Response The Organization tracks funds received from funding agencies and submits interim and final expenditure reports to the funding agencies. The expenditure reports will be sent to the CEO for review and approval prior to submission to ensure that the appropriate costs are being allocated to the correct funds. Completed as of August 12th, 2024. Please contact Suhyla Gohar, Finance Director, for additional information at phone 610-374-4600 x 136 or email at sgohar@goggleworks.org
View Audit 319436
Finding 496642 (2023-016)
Material Weakness 2023
City of Boston
MA
Internal Control / Segregation of Duties Procurement, Suspension & Debarment Allowable Costs / Cost Principles § 200.303
Boston Fire Department (BFD) incorporated and implemented proper control procedures around all grant related matter; including but not limited to programmatic reporting and oversight. Anticipated Completion Date: June 30, 2024 Responsible Contact Person: Colin Musto, Assistant City Auditor, Grants...
Boston Fire Department (BFD) incorporated and implemented proper control procedures around all grant related matter; including but not limited to programmatic reporting and oversight. Anticipated Completion Date: June 30, 2024 Responsible Contact Person: Colin Musto, Assistant City Auditor, Grants Monitoring Unit colin.musto@boston.gov
View Audit 319431
Finding 496641 (2023-015)
Material Weakness 2023
City of Boston
MA
Reporting Internal Control / Segregation of Duties § 200.303
Boston Fire Department (BFD) incorporated and implemented proper control procedures around all grant related matter; including but not limited to financial reporting and oversight. Anticipated Completion Date: June 30, 2024 Responsible Contact Person: Colin Musto, Assistant City Auditor, Grants Mo...
Boston Fire Department (BFD) incorporated and implemented proper control procedures around all grant related matter; including but not limited to financial reporting and oversight. Anticipated Completion Date: June 30, 2024 Responsible Contact Person: Colin Musto, Assistant City Auditor, Grants Monitoring Unit colin.musto@boston.gov
View Audit 319431
Finding 496640 (2023-014)
Material Weakness 2023
City of Boston
MA
Allowable Costs / Cost Principles § 200.303 § 200.430
Boston Fire Department (BFD) has implemented additional procedures to ensure all pay rates are accurate, and evidence of approval exist. Anticipated Completion Date: June 30, 2024 Responsible Contact Person: Colin Musto, Assistant City Auditor, Grants Monitoring Unit colin.musto@boston.gov
Boston Fire Department (BFD) has implemented additional procedures to ensure all pay rates are accurate, and evidence of approval exist. Anticipated Completion Date: June 30, 2024 Responsible Contact Person: Colin Musto, Assistant City Auditor, Grants Monitoring Unit colin.musto@boston.gov
View Audit 319431
Finding 496639 (2023-013)
Significant Deficiency 2023
City of Boston
MA
Allowable Costs / Cost Principles § 200.303 § 200.430
Boston Public Schools (BPS) has revised their policies and procedures for timekeepers to timely report any system issues related to department time summary reporting. Anticipated Completion Date: June 30, 2024 Responsible Contact Person: Colin Musto, Assistant City Auditor, Grants Monitoring Unit ...
Boston Public Schools (BPS) has revised their policies and procedures for timekeepers to timely report any system issues related to department time summary reporting. Anticipated Completion Date: June 30, 2024 Responsible Contact Person: Colin Musto, Assistant City Auditor, Grants Monitoring Unit colin.musto@boston.gov
View Audit 319431
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