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Corrective Action Plans

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Finding 402904 (2023-002)
Material Weakness 2023
Mayo Clinic
MN
Allowable Costs / Cost Principles Matching / Level of Effort / Earmarking
Federal Program Information Federal Agencies: U.S. Department of Health and Human Services and U.S. Department of Defense Pass-Through Entities: Georgia Institute of Technology, Massachusetts General Hospital, NYU Grossman School of Medicine, University of Chicago, University of Michigan, and Washin...
Federal Program Information Federal Agencies: U.S. Department of Health and Human Services and U.S. Department of Defense Pass-Through Entities: Georgia Institute of Technology, Massachusetts General Hospital, NYU Grossman School of Medicine, University of Chicago, University of Michigan, and Washington University Federal Cluster: Research and Development (R&D) Assistance Listing Nos.: 12.300, 12.420, 93.233, 93.273, 93.279, 93.310, 93.350, 93.393, 93.395, 93.396, 93.397, 93.837, 93.838, 93.846, 93.847, 93.853, 93.855, 93.865, and 93.866 Award Numbers: Various Award Periods: Various Corrective Action Planned Management implemented revisions to the monthly/quarterly review packet in January 2024 to ensure review of internal service charges and retention of review documentation. Management's expectations have been communicated to those responsible for the control process regarding timely reviews and retention of documentation. Persons Responsible for Corrective Action Susan Norby, Division Chair - Financial and Accounting Services, Research Finance Sarah Ward, Vice Chair - Financial and Accounting Services, Research Finance Target Completion Date January 31, 2024
View Audit 310163
Finding 402901 (2023-001)
Material Weakness 2023
Congregation Darkei Tshivo of Dinov
NY
Management concurs with the finding and has implemented a system to limit access to the school food service bank account. In addition, management has designated a responsible and capable employee to monitor the new system and to periodically review the terms, conditions and requirements governing an...
Management concurs with the finding and has implemented a system to limit access to the school food service bank account. In addition, management has designated a responsible and capable employee to monitor the new system and to periodically review the terms, conditions and requirements governing any future grants to ensure compliance. Implementation of the corrective action is further evidenced by the bank account being used solely for school food service transactions once management recognized the issue.
View Audit 310160
Finding 402900 (2023-001)
Significant Deficiency 2023
Mid-East Regional Housing Authority
NC
HUD Housing Programs Eligibility Reporting
Mid-East Regional Housing Authority Corrective Action Plan for the year ended September 30, 2023 Section II - Financial Statement Findings - None Section III - Federal Award Findings and Questioned Costs Finding 2023-001 Name of Contact Person: Lynn Alligood Executive Director Corrective Action: ...
Mid-East Regional Housing Authority Corrective Action Plan for the year ended September 30, 2023 Section II - Financial Statement Findings - None Section III - Federal Award Findings and Questioned Costs Finding 2023-001 Name of Contact Person: Lynn Alligood Executive Director Corrective Action: We will implement proper internal control procedures for the Housing Choice Voucher program eligibility requirements. Proposed Completion Date: Immediately
View Audit 310158
Finding 402898 (2023-001)
Significant Deficiency 2023
Harrisburg Area YMCA
PA
Questioned Costs Allowable Costs / Cost Principles § 200.430
Recommendation: We recommend that controls be reviewed and revised to ensure that time and effort distribution records are prepared for staff who are charged to federal programs. These records should also be reviewed, approved, and maintained by administrative personnel. Action Taken: The Harrisbu...
Recommendation: We recommend that controls be reviewed and revised to ensure that time and effort distribution records are prepared for staff who are charged to federal programs. These records should also be reviewed, approved, and maintained by administrative personnel. Action Taken: The Harrisburg Area YMCA's Compliance Officer has created a tracking sheet that will allow employees to keep track of their tasks and hours as related to grant programs. The employee will sign off on each sheet.
View Audit 310145 Questioned Costs: $1
Finding 402891 (2023-002)
Significant Deficiency 2023
Young Men's Christian Association of Middle Tennessee
TN
Reporting Significant Deficiency Internal Control / Segregation of Duties
Finding 2023-002 – Significant Deficiency in Internal Controls over Reports Submitted to Grantors – Child Care and Development Block Grant – 93.575 Recommendation: YMCA management should strengthen its controls related to the review and approval of information on grant reporting ensuring that proper...
Finding 2023-002 – Significant Deficiency in Internal Controls over Reports Submitted to Grantors – Child Care and Development Block Grant – 93.575 Recommendation: YMCA management should strengthen its controls related to the review and approval of information on grant reporting ensuring that proper evidence is maintained of the control over compliance with financial reporting requirements. Corrective Action: Management will ensure that reviews of documents submitted to grantors will be reviewed and documented such that evidence of such reviews will be retained. Person Responsible for Corrective Action: Chief Financial Officer Anticipated Completion Date for Corrective Action: The Corrective Action will be immediately implemented in response to the auditor’s recommendation. If there are questions regarding this corrective action plan, please call Marcy Towns, Chief Financial Officer, at (615) 259-9622.
View Audit 310136
Finding 402890 (2023-001)
Significant Deficiency 2023
Young Men's Christian Association of Middle Tennessee
TN
Allowable Costs / Cost Principles Significant Deficiency Internal Control / Segregation of Duties
Finding 2023-001 – Significant Deficiency in Internal Controls over Allowable Costs (Payroll) – COVID-19 ARPA Child Care and Development Block Grant – 93.575 Recommendation: YMCA management should strengthen its controls related to the review and approval of information on employee time sheets and p...
Finding 2023-001 – Significant Deficiency in Internal Controls over Allowable Costs (Payroll) – COVID-19 ARPA Child Care and Development Block Grant – 93.575 Recommendation: YMCA management should strengthen its controls related to the review and approval of information on employee time sheets and pay rates including proper evidence is maintained of the control over compliance with allowable cost requirements, related to payroll. Corrective Action: The referenced significant deficiency was due to several factors including, but not limited to system migration from one third party payroll provider to another. For any future system migrations, the evidence of the review and approval of employee time sheets and pay rates will be retained. Person Responsible for Corrective Action: Chief Financial Officer Anticipated Completion Date for Corrective Action: The third party payroll provider has transitioned to one more well suited to the needs of the YMCA and management has begun efforts to ensure that the approval of payroll, as captured within the system at the time of processing payroll, will also be retained for future reference, should it be needed. The remaining aspects of the Corrective Action will be immediately implemented in response to the auditor's recommendation.
View Audit 310136
Mha Housing of Eastern North Carolina, Inc.
NC
Corrective Action Plan: The Project is doing all that is within its control to get the vacant units rented. Auditee Contact: John Nash (The Arc of North Carolina, Inc.), Management Agent
Corrective Action Plan: The Project is doing all that is within its control to get the vacant units rented. Auditee Contact: John Nash (The Arc of North Carolina, Inc.), Management Agent
View Audit 310128
Community Apartments Corporation of Wilson County #3
NC
HUD Housing Programs
Corrective Action Plan: The Project is doing all that is within its control to get the vacant units rented. Auditee Contact: John Nash (The Arc of North Carolina, Inc.), Management Agent
Corrective Action Plan: The Project is doing all that is within its control to get the vacant units rented. Auditee Contact: John Nash (The Arc of North Carolina, Inc.), Management Agent
View Audit 310126
Community Apartments Corporation of Rutherford County #2
NC
HUD Housing Programs
Corrective Action Plan: The Project is doing all that is within its control to get the vacant units rented. Auditee Contact: John Nash (The Arc of North Carolina, Inc.), Management Agent
Corrective Action Plan: The Project is doing all that is within its control to get the vacant units rented. Auditee Contact: John Nash (The Arc of North Carolina, Inc.), Management Agent
View Audit 310125
Community Apartments Corporation of Nash/rocky Mount
NC
HUD Housing Programs
Corrective Action Plan: The Project is doing all that is within its control to get the vacant units rented. Auditee Contact: John Nash (The Arc of North Carolina, Inc.), Management Agent
Corrective Action Plan: The Project is doing all that is within its control to get the vacant units rented. Auditee Contact: John Nash (The Arc of North Carolina, Inc.), Management Agent
View Audit 310123
Community Apartments Corporation of Forsyth County #3
NC
HUD Housing Programs
Corrective Action Plan: The Project is doing all that is within its control to get the vacant units rented. Auditee Contact: John Nash (The Arc of North Carolina, Inc.), Management Agent
Corrective Action Plan: The Project is doing all that is within its control to get the vacant units rented. Auditee Contact: John Nash (The Arc of North Carolina, Inc.), Management Agent
View Audit 310121
Community Apartments Corporation of Columbus County
NC
HUD Housing Programs
Corrective Action Plan: The Project is doing all that is within its control to get the vacant units rented. Auditee Contact: John Nash (The Arc of North Carolina, Inc.), Management Agent
Corrective Action Plan: The Project is doing all that is within its control to get the vacant units rented. Auditee Contact: John Nash (The Arc of North Carolina, Inc.), Management Agent
View Audit 310119
Community Apartments Corporation of Rockingham County
NC
HUD Housing Programs
Corrective Action Plan: The Project is doing all that is within its control to get the vacant units rented. Auditee Contact: John Nash (The Arc of North Carolina, Inc.), Management Agent
Corrective Action Plan: The Project is doing all that is within its control to get the vacant units rented. Auditee Contact: John Nash (The Arc of North Carolina, Inc.), Management Agent
View Audit 310114
Easter Seals United Cerebral Palsy Nc Housing, Inc.
NC
HUD Housing Programs
Corrective Action Plan: The Project is doing all that is within its control to get the vacant units rented. Auditee Contact: Bryant Edgerton, Board Chairman
Corrective Action Plan: The Project is doing all that is within its control to get the vacant units rented. Auditee Contact: Bryant Edgerton, Board Chairman
View Audit 310104
City of Hanford
CA
Reporting
The City immediately changed procedure on submission of required reports due to missing the deadline referenced by one day. A second authorized submitter was added into the US Treasury reporting system so there is an additional person to review and timely submit required reports.
The City immediately changed procedure on submission of required reports due to missing the deadline referenced by one day. A second authorized submitter was added into the US Treasury reporting system so there is an additional person to review and timely submit required reports.
View Audit 310095
Finding 402872 (2023-001)
Significant Deficiency 2023
City of Hanford
CA
Reporting § 200.510
The City has immediately assigned Finance staff (Financial Analyst and Accounting Technician) to initiate the draft SEFA and work with administrating departments for thorough review. Departments will be requested to be as clear as possible on regular reconciliation of spending to the City's financia...
The City has immediately assigned Finance staff (Financial Analyst and Accounting Technician) to initiate the draft SEFA and work with administrating departments for thorough review. Departments will be requested to be as clear as possible on regular reconciliation of spending to the City's financial system throughout the year. After submission from an administrating department of a federal program, a reconciliation of federal monies spent to what is posted in the City's financial system will be required. Finance staff will review this reconciliation with the submitting department, after any corrections, submit to Finance management for a final review prior to submission for audit purposes. This updated process will be reviewed with all city departments during year-end review notifications sent out by the Finance Department or individually to departments with active federal programs.
View Audit 310095
Finding 402870 (2023-007)
Material Weakness 2023
Tullahoma Housing Authority
TN
HUD Housing Programs Internal Control / Segregation of Duties
2023-007 – ALN 14.872 – Public Housing Capital Funds Program – Wage Rate Requirements Planned Corrective Action: The Interim Executive Director acknowledges the finding and is following the auditor’s recommendation as presented in the Audit Report. Person Responsible for Correction of Finding: Chris...
2023-007 – ALN 14.872 – Public Housing Capital Funds Program – Wage Rate Requirements Planned Corrective Action: The Interim Executive Director acknowledges the finding and is following the auditor’s recommendation as presented in the Audit Report. Person Responsible for Correction of Finding: Christy Amacher, Interim Executive Director Projected Completion Date: September 30, 2024
View Audit 310090
Finding 402869 (2023-006)
Material Weakness 2023
Tullahoma Housing Authority
TN
Cash Management HUD Housing Programs
2023-006 – ALN 14.872 – Public Housing Capital Fund Program – Cash Management Planned Corrective Action: The Interim Executive Director acknowledges the finding and is following the auditor’s recommendation as presented in the Audit Report. Person Responsible for Correction of Finding: Christy Amach...
2023-006 – ALN 14.872 – Public Housing Capital Fund Program – Cash Management Planned Corrective Action: The Interim Executive Director acknowledges the finding and is following the auditor’s recommendation as presented in the Audit Report. Person Responsible for Correction of Finding: Christy Amacher, Interim Executive Director Anticipated Completion Date: September 30, 2024
View Audit 310090
Finding 402868 (2023-005)
Material Weakness 2023
Tullahoma Housing Authority
TN
Questioned Costs Allowable Costs / Cost Principles
2023-005 – ALN 14.872 – Public Housing Capital Fund Program – Allowable Costs Planned Corrective Action: The Interim Executive Director acknowledges the finding and is following the auditor’s recommendation as presented in the Audit Report. Person Responsible for Correction of Finding: Christy Amach...
2023-005 – ALN 14.872 – Public Housing Capital Fund Program – Allowable Costs Planned Corrective Action: The Interim Executive Director acknowledges the finding and is following the auditor’s recommendation as presented in the Audit Report. Person Responsible for Correction of Finding: Christy Amacher, Interim Executive Director Anticipated Completion Date: September 30, 2024
View Audit 310090 Questioned Costs: $1
Finding 402867 (2023-101)
Material Weakness 2023
El Rio Santa Cruz Neighborhood Health Center, INC
AZ
Eligibility Internal Control / Segregation of Duties
Federal Award Findings and Questioned Costs: 2023-101 Reporting Recommendation: We recommend that the PRF Reports are reviewed and approved by a management team member who is not involved in the preparation, and has sufficient knowledge of the program's requirements. Action Taken: The Center concurs...
Federal Award Findings and Questioned Costs: 2023-101 Reporting Recommendation: We recommend that the PRF Reports are reviewed and approved by a management team member who is not involved in the preparation, and has sufficient knowledge of the program's requirements. Action Taken: The Center concurs and has implemented the recommendation. Contact Person: Controller Completion date: Fiscal year ending 2024.
View Audit 310074
Finding 402860 (2023-005)
Significant Deficiency 2023
National Fair Housing Alliance
DC
Allowable Costs / Cost Principles Reporting § 200.301
Views of Responsible Officials: NFHA has a process for review of programmatic reports that can be discerned by review of emails and documents. However, NFHA will ensure that all Federal award grant reports, both financial and programmatic, have documented evidence of review and approval prior to sub...
Views of Responsible Officials: NFHA has a process for review of programmatic reports that can be discerned by review of emails and documents. However, NFHA will ensure that all Federal award grant reports, both financial and programmatic, have documented evidence of review and approval prior to submission to the relevant agencies.
View Audit 310063
Finding 402859 (2023-004)
Significant Deficiency 2023
National Fair Housing Alliance
DC
Procurement, Suspension & Debarment § 200.303 § 200.318 § 200.319 § 200.320
Views of Responsible Officials: NFHA will review and update its current Procurement Policies to ensure that they meet all current Federal and Uniform Guidance requirements. This will include documentation of contractor selection and single source vendor criteria. NFHA will provide additional trainin...
Views of Responsible Officials: NFHA will review and update its current Procurement Policies to ensure that they meet all current Federal and Uniform Guidance requirements. This will include documentation of contractor selection and single source vendor criteria. NFHA will provide additional training to all staff on the revised policies and procedures.
View Audit 310063
Finding 402858 (2023-003)
Material Weakness 2023
National Fair Housing Alliance
DC
Procurement, Suspension & Debarment § 200.214 § 200.303
Views of Responsible Officials: NFHA previously had a process in place, but it was not implemented properly during this fiscal year by the person to whom the responsibility was transferred. NFHA has resumed the process to perform checks in SAM.gov as part of the onboarding process for all new vendor...
Views of Responsible Officials: NFHA previously had a process in place, but it was not implemented properly during this fiscal year by the person to whom the responsibility was transferred. NFHA has resumed the process to perform checks in SAM.gov as part of the onboarding process for all new vendors. NFHA will also perform reviews of existing vendors on an annual basis and maintain evidence of these checks with the appropriate vendor files.
View Audit 310063
Finding 402857 (2023-001)
Significant Deficiency 2023
Project Reality
UT
Corrective Action: In January 2024, the internal control structure for grant reimbursement documentation was modified. William Harrison, Controller, will review the cumulative grant reimbursement total for prescription drugs to ensure the total cumulative expenditures do not exceed the $30,000 limit...
Corrective Action: In January 2024, the internal control structure for grant reimbursement documentation was modified. William Harrison, Controller, will review the cumulative grant reimbursement total for prescription drugs to ensure the total cumulative expenditures do not exceed the $30,000 limit for the grant period. Once reviewed by Mr. Harrison, the grant reimbursement requested will be presented to Judd Nielsen, Grant Evaluator, and Krista Byrd, Program Director, and to Maureen Collins, Executive Director, for their review and approval. In addition, when new grants or continuation funding awards are received, the Controller, William Harrison, Program Director, Krista Byrd, and Grant Evaluator, Judd Nielsen will meet to review all grant documentation to ensure everyone is aware of funding limitations.
View Audit 310050
Finding 402855 (2023-001)
Significant Deficiency 2023
Scott County Redevelopment and Housing Authority
VA
Questioned Costs HUD Housing Programs Internal Control / Segregation of Duties
Management agrees with finding, will reevaluate salary levels and staffing for HCV program
Management agrees with finding, will reevaluate salary levels and staffing for HCV program
View Audit 310040 Questioned Costs: $1
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