Corrective Action Plans

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Surplus cash be deposited into the residual receipts account, within 60 days after the end of the fiscal year.
Surplus cash be deposited into the residual receipts account, within 60 days after the end of the fiscal year.
(1) Comments on the Finding and Each Recommendation. Management concurs with the finding and the auditor’s recommendation that surplus cash should be deposited into the residual receipts account within 60 days after the end of the fiscal year.
(1) Comments on the Finding and Each Recommendation. Management concurs with the finding and the auditor’s recommendation that surplus cash should be deposited into the residual receipts account within 60 days after the end of the fiscal year.
(2) Actions Taken on the Finding.
(2) Actions Taken on the Finding.
A payment of $31,902 will be made.
A payment of $31,902 will be made.
1. Current Findings on the Schedule of Finding, Questioned Cost and Recommendation
1. Current Findings on the Schedule of Finding, Questioned Cost and Recommendation
Finding ref number: 2024-001 Finding caption: The City did not have adequate internal controls and did not comply with federal wage-rate requirements. Name, address, and telephone of City’s contact person: Josh DeLay 271 9th St NE East Wenatchee, WA 98802 (509) 886-4507 Corrective action the auditee...
Finding ref number: 2024-001 Finding caption: The City did not have adequate internal controls and did not comply with federal wage-rate requirements. Name, address, and telephone of City’s contact person: Josh DeLay 271 9th St NE East Wenatchee, WA 98802 (509) 886-4507 Corrective action the auditee plans to take in response to the finding: (If the auditee does not concur with the finding, the auditee must list the reasons for disagreement). All the projects audited this period are still in progress and have not been closed out or accepted by the City. As a result, the final project files were not available, leading to the audit evaluating “working” files. Auditing these files with the expectation that they would be in a finalized state is both misrepresenting the City’s standard of care for accepted projects and created an added financial burden to provide support from working files. The City would like it noted the audit did not find any payments to have been processed that did not include payment of prevailing wage. Additionally, as stated above, these projects are all still in progress and will not be fully closed out until all certified payrolls are received. In a theoretical case where there was an instance of a contractor not paying prevailing wage on one of these projects, the City would address it prior to closeout, which would ensure it is not liable for paying additional wages. The City hires consultants to administer these projects in accordance with all relevant statutes and best practices. The City also provided the SAO with emails showing the City’s consultants requesting overdue certified payrolls as a part of the pay estimate preparation process. To mitigate any risk that may exist in the City’s current process the City will develop a cover sheet to accompany pay estimates on federally funded projects that will require the consultant to certify that certified payrolls from all contractors are up to date, tracks how far overdue any non-submitted certified payrolls are, and ensure the City verifies certified payrolls in a timely manner. The City will also look further into the applicable statutes to determine whether it needs to establish a policy outlining when to withhold payment from a contractor due to outstanding certified payrolls. The City does not believe that an audit finding is necessary on this issue. These certified payrolls will be collected prior to the projects being accepted, ensuring that any noncompliance from contractors are not the financial responsibility of the City. As outlined above, the City acknowledges that there are areas that it could improve its process and will implement policies and systems to continue delivering the best possible projects for taxpayers. Anticipated date to complete the corrective action: Immediately, where necessary
Corrective Action Plan June 30, 2024 67 Finding 2024-001 Noncompliance with Federal and State Reporting Requirements Assistance Listing Numbers 93.667 Social Service Block Grant Program 21.027 Coronavirus State and Local Fiscal Recovery Funds Program Federal Agency U.S. Department of Health and Huma...
Corrective Action Plan June 30, 2024 67 Finding 2024-001 Noncompliance with Federal and State Reporting Requirements Assistance Listing Numbers 93.667 Social Service Block Grant Program 21.027 Coronavirus State and Local Fiscal Recovery Funds Program Federal Agency U.S. Department of Health and Human Services Passthrough Agency Illinois Department of Human Services Award Number/Year 2024 Condition UFC did not submit its audited financial statements and SEFA to the Federal Audit Clearinghouse website within nine (9) months of June 30, 2024. UFC also didn’t submit its audited financial statements, SEFA, CFR, CYEFR and other required information to the GATA portal within nine (9) months after June 30, 2024. Views of Responsible Officials and Planned Corrective Actions Management concurs with the auditor’s finding and will 1) hire personnel within the accounting and finance department so that all defined tasks can be performed in a more timely manner and 2) evaluate current processes to determine how to make them more efficient so that the current personnel within the accounting and finance department are able to complete their tasks in a more timely manner. Persons Responsible: Marlin Bryant, CFO Date of Implementation: September 2025
The Organization will document a procurement policy to ensure it fully complies with the Uniform Guidance requirements.
The Organization will document a procurement policy to ensure it fully complies with the Uniform Guidance requirements.
Management agrees with the findings and recommendation. The District has updated its policies and procedures during 2025 to ensure they meet the Uniform Guidance Requirements.
Management agrees with the findings and recommendation. The District has updated its policies and procedures during 2025 to ensure they meet the Uniform Guidance Requirements.
Audit Finding Item 2024-002 Corrective Action Taken: Tulsa Cares has implemented timebound triggers to document all attempts to contact and schedule HQS inspections within the HQS Policy and Procedures. Specifically: • Initial inspection notification will be sent to the client no later than 30 days ...
Audit Finding Item 2024-002 Corrective Action Taken: Tulsa Cares has implemented timebound triggers to document all attempts to contact and schedule HQS inspections within the HQS Policy and Procedures. Specifically: • Initial inspection notification will be sent to the client no later than 30 days an inspection is due. • Once scheduled, a reminder notification will be sent 1 week prior to the scheduled inspection date. • Follow-up notifications for missed inspections will be documented in client management system at least every 5 business days until the inspection is rescheduled. • Post-inspection notifications will be sent within 4 business days of the inspection outcome to the property manager/landlord. • If a client is unreachable after 14 days, staff will record at least 3 attempts to contact the client using multiple communication methods (e.g., phone, email, mail) with all attempts logged in the client management system. These triggers have been embedded into the housing program’s workflow to ensure consistency. This corrective action was fully implemented on September 24, 2025. Responsible Party: Amy Walton, Housing Program Manager, will monitor adherence to notification triggers and ensure corrective action if noncompliance is identified.
Audit Finding Item 2024-001 Corrective Action Taken: In response to this finding, Tulsa Cares is developing and will formally adopt written procurement policies and procedures in alignment with the requirements outlined in 2 CFR 200.318(a). These policies will establish standards of conduct, ensure ...
Audit Finding Item 2024-001 Corrective Action Taken: In response to this finding, Tulsa Cares is developing and will formally adopt written procurement policies and procedures in alignment with the requirements outlined in 2 CFR 200.318(a). These policies will establish standards of conduct, ensure full and open competition, and provide clear guidance for the procurement of goods and services under federal awards. This corrective action will be completed by the next board meeting, scheduled for December 4, 2025. Responsible Party: Natalie Jarred, Chief Financial and Administrative Officer, is responsible for monitoring compliance with procurement policies and updating them as necessary.
View Audit 368292 Questioned Costs: $1
Management has put procedures in place in the current year to ensure timely submission.
Management has put procedures in place in the current year to ensure timely submission.
Finding 2024-002 Finding: The Organization has not timely submitted the Single Audit Reporting Packages for the year ended December 31, 2023. Planned Corrective Action: The Organization will submit the Single Audit Reporting Packages for the year ended December 31, 2024 in accordance with 2 CFR 200....
Finding 2024-002 Finding: The Organization has not timely submitted the Single Audit Reporting Packages for the year ended December 31, 2023. Planned Corrective Action: The Organization will submit the Single Audit Reporting Packages for the year ended December 31, 2024 in accordance with 2 CFR 200.512(a)(1). Responsible Contact Person: Barbara Ewing, Chief Executive Officer
FINDING 2024-004 Finding Subject: Water and Waste Disposal Systems for Rural Communities – Reporting Contact Person Responsible for Corrective Action: Timothy Detrick – Clerk-Treasurer Contact Phone Number and Email Address: treasurer@townoffrankton.in.gov Views of Responsible Officials: Concur with...
FINDING 2024-004 Finding Subject: Water and Waste Disposal Systems for Rural Communities – Reporting Contact Person Responsible for Corrective Action: Timothy Detrick – Clerk-Treasurer Contact Phone Number and Email Address: treasurer@townoffrankton.in.gov Views of Responsible Officials: Concur with the finding Description of Corrective Action Plan: I will learn more about Federal Reporting requirement, so I can report and give correct totals to the correct agencies. Once I have a good understanding, I will then train a clerk and council member so then we have oversight and internal controls over that reporting. Anticipated Completion Date: End of 2025 Date December 31st, 2025
FINDING 2024-003 Finding Subject: Water and Waste Disposal Systems for Rural Communities - Procurement and Suspension and Debarment Contact Person Responsible for Corrective Action: Timothy Detrick – Clerk-Treasurer Contact Phone Number and Email Address: treasurer@townoffrankton.in.gov Views of Res...
FINDING 2024-003 Finding Subject: Water and Waste Disposal Systems for Rural Communities - Procurement and Suspension and Debarment Contact Person Responsible for Corrective Action: Timothy Detrick – Clerk-Treasurer Contact Phone Number and Email Address: treasurer@townoffrankton.in.gov Views of Responsible Officials: Concur with the finding Description of Corrective Action Plan: I’ve already spoken with our Council President regarding the creation of an ordinance to establish a formal Procurement Policy, that mimics state law that’s already established. This ordinance will ensure that all new contracts entered into by the Town comply with Build America, Buy America (BABA) requirements. The ordinance will also ensure that the Town verifies both current and prospective vendors through the SAM.gov website to confirm their eligibility to receive federal funding. The ordinance will have in it that BABA must be follow and the town will verify that the contract is in good standing with the state but checking the SAM.gov website. Once check an affidavit will be made stating that that are in good standing, and signed by the council president and Clerk-Treasurer. Anticipated Completion Date: End of 2025 Date December 31st, 2025 INDIANA STATE
Finding 2024-003 - VMS Reporting Deficiencies We concur with the recommendation and we will establish standard operating procedures that ensure that the HAP amounts and number of vouchers stated on the VMS report are both accurate and properly documented. We are working with our software provider to...
Finding 2024-003 - VMS Reporting Deficiencies We concur with the recommendation and we will establish standard operating procedures that ensure that the HAP amounts and number of vouchers stated on the VMS report are both accurate and properly documented. We are working with our software provider to ensure that VMS reporting software is being fully and correctly utilized. We are also planning on additional training for HCV employees to make sure they are qualified to meet VMS reporting and documentation requirements.
To the Department of Housing and Urban Development, During the audit of the Housing Authority’s fiscal year ended December 31, 2024 financial statements, it was determined that the unaudited financial data schedule was submitted to HUD after the deadline for unaudited financial data schedules had oc...
To the Department of Housing and Urban Development, During the audit of the Housing Authority’s fiscal year ended December 31, 2024 financial statements, it was determined that the unaudited financial data schedule was submitted to HUD after the deadline for unaudited financial data schedules had occurred. Secondly, the Housing Authority did not conduct HQS re-inspections during the 30-day period required by HUD. And lastly, a desk review was performed by HUD and it was determined that the Housing Authority had not properly documented its calculation of monthly voucher amounts in its VMS reporting. Patricia Logan is responsible for implementing the corrective action plan. CAP developed to resolve audit findings: Finding 2024-001 - Internal Control over Financial Reporting – Unaudited Submission We concur with the recommendation and we will establish controls that ensure that the unaudited FDS filing occurs before March 31st of each year. This would include providing our fee accountant with all financial documents necessary to complete the unaudited FDS submission on a timely basis. We will also keep a list of all federal submission deadlines and we will request updates from our fee accountant on a regular basis. Finding 2024-002 - Section 8 HQS Inspection Deficiencies We concur with the recommendation and we will establish controls that ensure that re-inspections are performed within the 30-day requirement and that HAP abatements are properly assessed. We are also planning on additional training for employees to make sure they are qualified to meet the HQS re-inspection requirements.
2024-004 CONTROLS OVER REPORTING Federal Agency: Department of Health and Human Services Federal Program Name: Medical Assistance Assistance Listing Number: 93.778 Federal Award Identification Number and Year: 2405MN5ADM and 2405MN5MAP, 2024 Pass-Through Agency: Minnesota Department of Health Pass-T...
2024-004 CONTROLS OVER REPORTING Federal Agency: Department of Health and Human Services Federal Program Name: Medical Assistance Assistance Listing Number: 93.778 Federal Award Identification Number and Year: 2405MN5ADM and 2405MN5MAP, 2024 Pass-Through Agency: Minnesota Department of Health Pass-Through Number: 2405MN5ADM and 2405MN5MAP Type of Finding: Significant Deficiency in Internal Controls over Compliance Recommendation: It is recommended Becker County implement procedures to ensure there is a second person reviewing these reports before they are submitted to DHS which includes receiving backup data to ensure the amounts match. Explanation of disagreement with audit finding: There is no disagreement with the audit finding. Action taken in response to finding: Becker County will implement procedures to ensure there is a second person reviewing these reports before they are submitted to DHS. Name of contact person responsible for corrective action plan: Mary Hendrickson, Auditor-Treasurer Planned completion date for corrective action plan: December 31, 2025
MATERIAL WEAKNESS Preparation of Schedule of Expenditures of Federal Awards Recommendation: We recommend the School implement internal controls over SEFA including a reconciliation and review process before submission. Explanation of disagreement with audit finding: There is no disagreement with the...
MATERIAL WEAKNESS Preparation of Schedule of Expenditures of Federal Awards Recommendation: We recommend the School implement internal controls over SEFA including a reconciliation and review process before submission. Explanation of disagreement with audit finding: There is no disagreement with the audit finding. Action Planned/Taken : Management agrees with the finding and has created and filled the position of Manager of Grants Management. This staff member will be responsible for the oversight and management of all grants, including the SEFA. Additionally, the School has contracted with an outside firm that specializes in State Board of Accounts compliance, as well as Federal Award Compliance in line with Uniform Guidance. The firm will assist in the development of the required Internal Controls and Processes, with an estimated completion date is December 31, 2025.
MATERIAL WEAKNESS Financial Statement Preparation and Audit Adjustments Recommendation: We recommend that management review controls related to financial statement preparation review at the end of each period. Financial statement preparation should include a review of reconciliations and balances to...
MATERIAL WEAKNESS Financial Statement Preparation and Audit Adjustments Recommendation: We recommend that management review controls related to financial statement preparation review at the end of each period. Financial statement preparation should include a review of reconciliations and balances to ensure that financial statement line items are properly stated and classified. Internally prepared financial statements should also be thoroughly reviewed by members of the board and management outside the finance department on a periodic (monthly or quarterly) basis. Explanation of disagreement with audit finding: There is no disagreement with the audit finding. Action Planned/Taken : Management agrees with the finding and has contracted with an outside firm that specializes in SBOA compliance, to assist with developing the required Internal Controls and Processes, with an estimated completion date of December 31, 2025.
Finding 2024-003 AL No.: 66.468 Program Title: Drinking Water State Revolving Fund Federal Agency: U.S. Environmental Protection Agency Pass-Through Agency: Wisconsin Department of Natural Resources Award Number/Year: Unknown / 2024 Criteria: The Uniform Guidance requires in 2 CFR section 200.318(h)...
Finding 2024-003 AL No.: 66.468 Program Title: Drinking Water State Revolving Fund Federal Agency: U.S. Environmental Protection Agency Pass-Through Agency: Wisconsin Department of Natural Resources Award Number/Year: Unknown / 2024 Criteria: The Uniform Guidance requires in 2 CFR section 200.318(h) that entities receiving federal awards verify the suspension and debarment status of vendors before procurement takes place. Condition and Context: During testing, it was noted that the City did not document its review of suspension and debarment for both of the vendors tested for the federal program. Our sample was not statistically valid. Cause: The City did not complete and document the review of suspended and debarred vendors as required for expenditures of federal awards in accordance with the Uniform Guidance. Effect: If transactions occur with a suspended or debarred vendor, the funding agency may disallow the costs associated with the transaction. Questioned Costs: None noted. Recommendation: We recommend that the City complete and document the review for suspended and debarred vendors as required for expenditures of federal awards in accordance with Uniform Guidance before contracting with a vendor. Management's Response: The City did not perform a review for suspended and debarred vendors. Neither we, nor our engineering firm, had prior knowledge of this requirement and were not informed by the State of Wisconsin to conduct such a review. Moving forward, the Utilities Department will work with our engineering firm to conduct a review for suspended and debarred vendors prior to contracting with a specific vendor. We will implement this protocol as of September 15, 2025. Official Responsible for Ensuring the Corrective Action Plan: Travis Thull Planned Completion Date for the Corrective Action Plan: September 2025
Finding 2024-002 AL No.: 21.027 Program Title: COVID-19 Coronavirus State and Local Fiscal Recovery Funds Federal Agency: U.S. Department of Treasury Award Number/Year: 1505-0271 / 2021 Criteria: The Uniform Guidance requires that local entities receiving federal awards establish and maintain intern...
Finding 2024-002 AL No.: 21.027 Program Title: COVID-19 Coronavirus State and Local Fiscal Recovery Funds Federal Agency: U.S. Department of Treasury Award Number/Year: 1505-0271 / 2021 Criteria: The Uniform Guidance requires that local entities receiving federal awards establish and maintain internal control designed to reasonably ensure compliance with laws, regulations, and program compliance requirements. The Uniform Guidance further requires auditors to obtain an understanding of the local entity's internal control over federal programs. To minimize the risk of errors, internal controls should be in place for all program compliance requirements, including the preparation and submission of financial reports, which should be reviewed and approved by a responsible party other than the original preparer before they are submitted to the granting agency. Condition and Context: A sample of one annual P&E report was selected for testing. There was no documentation available to support that the report was reviewed and approved by an individual separate from the preparer prior to submission. This sample was not statistically valid. Cause: The City does not have procedures in place requiring an independent person to review the reports before submission. Effect: Reports could be submitted that contain errors, or reports may not be submitted within the allowed reporting periods. Questioned Costs: None noted. Recommendation: We recommend that an employee other than the preparer review all reports before they are submitted to the Department of Treasury and documentation of the review be retained. Management's Response: The Finance Department will have a staff member initial and review the final report before it is submitted on the Department of Treasury website. This will be corrected right away in September 2025 for future reports being filed. Official Responsible for Ensuring the Corrective Action Plan: Carrie Winklbauer Planned Completion Date for the Corrective Action Plan: September 2025
Management concurs with the findings. The closing process will be improved; physical inventory will be taking and improvements for documentation will be made.
Management concurs with the findings. The closing process will be improved; physical inventory will be taking and improvements for documentation will be made.
Corrective Action Plan (Unaudited): To address this finding and prevent future recurrence, the City will implement the following corrective actions: 1) Updated grant management policies and procedures: The new grant management policy and procedures will explicitly cover informal procurements funded ...
Corrective Action Plan (Unaudited): To address this finding and prevent future recurrence, the City will implement the following corrective actions: 1) Updated grant management policies and procedures: The new grant management policy and procedures will explicitly cover informal procurements funded with federal dollars, highlighting the need for compliance with the Uniform Guidance and requiring suspension and debarment checks regardless of contract type. 2) Procurement controls: Procurement will continue conducting SAM.gov checks for all federally-funded vendors, including any payments that hit grant funds within the financial system, and save documentation in the contract files. 3) Training: Annual training will emphasize the uniform guidance, specifically suspension and debarment rules, with added focus on informal procurements and direct payments without a contract. Contact Person: Jamie Robichaud, Economy Director Anticipated Completion Date: January 1, 2026
Corrective Action Plan (Unaudited): To address this finding and prevent future recurrence, the City will implement the following corrective actions: 1) Updated grant management policies and procedures: The new grant management policy and procedures will explicitly cover informal procurements funded ...
Corrective Action Plan (Unaudited): To address this finding and prevent future recurrence, the City will implement the following corrective actions: 1) Updated grant management policies and procedures: The new grant management policy and procedures will explicitly cover informal procurements funded with federal dollars, highlighting the need for compliance with the Uniform Guidance and requiring suspension and debarment checks regardless of contract type. 2) Procurement controls: Procurement will continue conducting SAM.gov checks for all federally-funded vendors, including any payments that hit grant funds within the financial system, and save documentation in the contract files. 3) Training: Annual training will emphasize the uniform guidance, specifically suspension and debarment rules, with added focus on informal procurements and direct payments without a contract. Contact Person: Jamie Robichaud, Economy Director Anticipated Completion Date: January 1, 2026
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