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Corrective Action Plans

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Finding 400199 (2023-005)
Significant Deficiency 2023
State of Iowa
IA
Reporting Internal Control / Segregation of Duties
A policy and procedure has been established for reporting and filing the ETA 191. Included in the procedure is a requirement to submit the report to the Chief Financial Officer or Comptroller for review and approval. Evidence of review and transmittal is documented via email confirmation to the Acco...
A policy and procedure has been established for reporting and filing the ETA 191. Included in the procedure is a requirement to submit the report to the Chief Financial Officer or Comptroller for review and approval. Evidence of review and transmittal is documented via email confirmation to the Accountant 3 responsible for preparing the ETA 191. Review and approval of the ETA 191 is required to be completed prior to the reports due date. After transmittal to DOL of the ETA 191; a copy with supporting documentation is made available to the Unemployment Division Administrator
View Audit 308332
Finding 400197 (2023-004)
Significant Deficiency 2023
State of Iowa
IA
Cash Management
The agency implemented a revised cash management policy for federal programs. Included in the policy and procedure are review of ledger activity, instances in which federal programs reflect excess cash on hand, immediate review of the programs revenues and expenses is performed. In addition, federal...
The agency implemented a revised cash management policy for federal programs. Included in the policy and procedure are review of ledger activity, instances in which federal programs reflect excess cash on hand, immediate review of the programs revenues and expenses is performed. In addition, federal funds drawn that exceed defined thresholds require additional approval from the Accounting and Finance Bureau Chiefs and or the Department’s Chief Financial Officer.
View Audit 308332
Finding 400195 (2023-003)
Significant Deficiency 2023
State of Iowa
IA
Subrecipient Monitoring
The Department will follow policies and procedures in place for fiscal year 2023, to certify the amounts contributed annually and ensure discrepancies are followed up within 180 days. implemented a revised cash
The Department will follow policies and procedures in place for fiscal year 2023, to certify the amounts contributed annually and ensure discrepancies are followed up within 180 days. implemented a revised cash
View Audit 308332
Finding 400193 (2023-002)
Significant Deficiency 2023
State of Iowa
IA
Allowable Costs / Cost Principles Reporting Matching / Level of Effort / Earmarking
The Department will review allocable rates during the time frame to determine if corrective disbursement entries are needed to their respective program codes. The Department began the process in October 2023. The Department will also revise, and update policies and procedures related to allocable c...
The Department will review allocable rates during the time frame to determine if corrective disbursement entries are needed to their respective program codes. The Department began the process in October 2023. The Department will also revise, and update policies and procedures related to allocable costs based on time entries.
View Audit 308332
Finding 400191 (2023-001)
Significant Deficiency 2023
State of Iowa
IA
Allowable Costs / Cost Principles Matching / Level of Effort / Earmarking Reporting
The Department has implemented a payroll policy and procedure, that requires staff to enter a work reporting code for time worked and addresses timelines in which correcting entries must be completed. The Department will review all pay periods during the time frame to determine if corrective disburs...
The Department has implemented a payroll policy and procedure, that requires staff to enter a work reporting code for time worked and addresses timelines in which correcting entries must be completed. The Department will review all pay periods during the time frame to determine if corrective disbursement entries need to be made to properly allocate actual time reported to their respective program codes. The Department began the process in October 2023.
View Audit 308332
California Institute for Behavioral Health Solutions
CA
Subrecipient Monitoring Reporting Matching / Level of Effort / Earmarking
A. Contact Person: Victor Kogler, vkogler@cibhs.org B. Corrective Action Planned: 1. Quarterly report data collected and maintained by CIBHS, for example website statistics, number of grantee technical assistance sessions, session content and number of attendees. Will be compiled by the YOR Californ...
A. Contact Person: Victor Kogler, vkogler@cibhs.org B. Corrective Action Planned: 1. Quarterly report data collected and maintained by CIBHS, for example website statistics, number of grantee technical assistance sessions, session content and number of attendees. Will be compiled by the YOR California Senior Project Coordinator, a CIBHS employee. These records will be converted to PDF, printed and archived in a file cabinet at our offices at 1760 Creekside Oaks Dr., Ste. 175, Sacramento, CA 95833. The PDF files will also be stored in a dedicated folder on the project SharePoint site. 2. Quarterly report data collected and maintained by AHP, for example Learning Collaborative attendees; training webinar attendees; number of grantee newsletters produced and distributed; and grantee activities and caseloads will be sent in PDF format to the YOR California Senior Project Coordinator at CIBHS. These records will be printed and archived in a file cabinet at our offices at 1760 Creekside Oaks Dr., Ste. 175, Sacramento, CA 95833. The PDF files will also be stored in a dedicated folder on the project SharePoint site. 3. A provision will be added to CIBHS’s contract with AHP to make the submission of data supporting the quarterly report a contractual obligation. C. Anticipated Completion Date: 6/30/2024
View Audit 308324
Finding 400184 (2023-002)
Significant Deficiency 2023
City of Prichard
AL
Questioned Costs Significant Deficiency Internal Control / Segregation of Duties
a. Implement a three-way match process for all invoices, where the purchase order, receiving report, and vendor invoice are matched and verified before payment is processed. b. Utilize invoice tracking and payment monitoring systems to identify and prevent duplicate payments. c. Establish a centra...
a. Implement a three-way match process for all invoices, where the purchase order, receiving report, and vendor invoice are matched and verified before payment is processed. b. Utilize invoice tracking and payment monitoring systems to identify and prevent duplicate payments. c. Establish a centralized accounts payable function with clear policies and procedures for processing vendor payments. d. Conduct regular audits or reviews of vendor payments to identify and investigate any potential duplicate payments. e. Implement system controls or automated checks to flag potential duplicate invoices or payments based on criteria such as vendor, invoice number, amount, or date range. f. Provide training to accounts payable staff on the importance of detecting and preventing duplicate payments, as well as the procedures for investigating and resolving any identified instances. g. Maintain a comprehensive vendor master file with accurate and up-to-date information to prevent duplicate vendor records, which can lead to duplicate payments.
View Audit 308321 Questioned Costs: $1
Finding 400167 (2023-005)
Significant Deficiency 2023
City of Peshtigo
WI
Procurement, Suspension & Debarment § 200.320
Action taken in response to finding: The City will review procurement policies for the entire City to ensure it meets the minimum requirements of 2 CFR 200 for all federal grants.
Action taken in response to finding: The City will review procurement policies for the entire City to ensure it meets the minimum requirements of 2 CFR 200 for all federal grants.
View Audit 308306
Finding 400166 (2023-004)
Material Weakness 2023
City of Peshtigo
WI
Procurement, Suspension & Debarment
Action taken in response to finding: The City will use sam.gov or the ELPS listing to review clients at the beginning of the year or before a transaction is incurred in accordance with Uniform Guidance requirements.
Action taken in response to finding: The City will use sam.gov or the ELPS listing to review clients at the beginning of the year or before a transaction is incurred in accordance with Uniform Guidance requirements.
View Audit 308306
Finding 400165 (2023-003)
Material Weakness 2023
Seminole Hospital District of Gaines County
TX
Reporting Internal Control / Segregation of Duties
Corrective Action Plan for Finding 2023-003 We are in receipt of the Finding Required to be Reported by Uniform Guidance, regarding an other instance of noncompliance with respect to Reporting. Management agrees with the finding. Policies and procedures over federal grant reporting will be modified ...
Corrective Action Plan for Finding 2023-003 We are in receipt of the Finding Required to be Reported by Uniform Guidance, regarding an other instance of noncompliance with respect to Reporting. Management agrees with the finding. Policies and procedures over federal grant reporting will be modified to ensure reports are prepared using complete and accurate information. We will increase compensation controls by introducing additional oversight and review for future COVID-19 PRF reporting. John Everett, CFO, will be responsible to ensure that the corrective action plan is followed. When the Period 4 lost revenue calculation was updated, the district had sufficient lost revenues for Period 4 funding received. The corrective action plan will be implemented by September 30, 2024.
View Audit 308302
Finding 400159 (2023-001)
Significant Deficiency 2023
Eldorado Community Unit School District No. 4
IL
District agrees with the finding and will implement additional reconciliation procedures. See detail in PDF
District agrees with the finding and will implement additional reconciliation procedures. See detail in PDF
View Audit 308295
Finding 400144 (2023-001)
Material Weakness 2023
Harmony Community Development Corporation, Inc.
TX
Questioned Costs Allowable Costs / Cost Principles Eligibility § 200.403
Reference Finding Number: 2023-001 Eligibility and Allowable Costs To Whom It May Concern, This letter is in reference to the 2023 audit conducted by Capin Crouse on Harmony Community Development Corporation (Harmony CDC). Please find below the corrective action plan devised by Harmony CDC managemen...
Reference Finding Number: 2023-001 Eligibility and Allowable Costs To Whom It May Concern, This letter is in reference to the 2023 audit conducted by Capin Crouse on Harmony Community Development Corporation (Harmony CDC). Please find below the corrective action plan devised by Harmony CDC management to address the findings in the audit: The (SOP) standard operating procedure will be revised to ensure client documentation is being stored in more than one place. There will be a process to backup all files on an external drive. This will serve as a secondary storage place. Currently client documentation is stored in the housing portal and on the shared drive in the organization. In addition, a required documentation checklist will be maintained and verified for each client. A policy will be developed to complete quarterly internal audit reviews and evaluate 10-15% of the client case files. Staff will conduct ongoing peer reviews of the client files. When a staff member is on a Leave of Absence, the employee’s network access will be revoked during the time off. If a staff member is on a disciplinary action plan, the employee’s network access will be monitored. Mandatory compliance & ethical training will be completed by all employees. All employees will review and sign employee handbooks, conflict of interest and code ethics. Person Responsible for Corrective Action Plan: Mark Porter, Executive Director Anticipated Date of Completion: May 1, 2024 and ongoing internal audits quarterly
View Audit 308286 Questioned Costs: $1
Presbyterian Homes and Family Services, Incorpoarted, Dba Humankind
VA
Special Tests & Provisions
MANAGEMENT AGREES WITH THE AUDITOR'S RECOMMENDATION, AND THE FOLLOWING ACTION WAS TAKEN TO IMPROVE THE SITUATION. STARTING IN 2024, THE BOARD OF DIRECTORS RECEIVES A MONTHLY PACKET ALONG WITH THE HEAD START POLICY COUNCIL THAT CONTAINS ALL NECESSARY MONTHLY FINANCIAL AND PROGRAM REQUIREMENTS, INCLU...
MANAGEMENT AGREES WITH THE AUDITOR'S RECOMMENDATION, AND THE FOLLOWING ACTION WAS TAKEN TO IMPROVE THE SITUATION. STARTING IN 2024, THE BOARD OF DIRECTORS RECEIVES A MONTHLY PACKET ALONG WITH THE HEAD START POLICY COUNCIL THAT CONTAINS ALL NECESSARY MONTHLY FINANCIAL AND PROGRAM REQUIREMENTS, INCLUDING CREDIT CARD EXPENDITURES.
View Audit 308282
Finding 400142 (2023-001)
Significant Deficiency 2023
Independent Housing Ii, Inc.--Costello House 022-Ee-035
MA
HUD Housing Programs Cash Management
FINDINGS - MAJOR FEDERAL AWARD PROGRAM AUDIT Department of Housing and Urban Development Finding, 2023-001: Section 202 Supportive Housing for the Elderly Program, Capital Advance - Accumulated Balance, CFDA 14.157. RECOMMENDATION The auditor recommends depositing the surplus cash amount of $18,...
FINDINGS - MAJOR FEDERAL AWARD PROGRAM AUDIT Department of Housing and Urban Development Finding, 2023-001: Section 202 Supportive Housing for the Elderly Program, Capital Advance - Accumulated Balance, CFDA 14.157. RECOMMENDATION The auditor recommends depositing the surplus cash amount of $18,172 into the residual receipts account immediately. The auditor also recommends that the management company continue to monitor the 60 days after year-end deadline and transmit the funds to the residual receipts account prior to this deadline, if applicable, in future years. ACTION TAKEN Management has deposited the surplus cash amount of $18,172 into the residual receipts account and will continue to monitor the 60 days after year-end deadline in the future. If the Department of Housing and Urban Development has questions regarding this plan, please call Bryan Joyce at (413)-525-4321.
View Audit 308265
Independent Housing I, Inc. - Independence House 023-Eh-020
MA
HUD Housing Programs Subrecipient Monitoring Eligibility
FINDINGS - MAJOR FEDERAL AWARD PROGRAM AUDIT Department of Housing and Urban Development Finding 2023-001: Major Program: Section 8 Housing Assistance Payments Program, Federal Assistance Listing Number 14.195 RECOMMENDATION The auditor recommends ensuring all current and new staff are trained o...
FINDINGS - MAJOR FEDERAL AWARD PROGRAM AUDIT Department of Housing and Urban Development Finding 2023-001: Major Program: Section 8 Housing Assistance Payments Program, Federal Assistance Listing Number 14.195 RECOMMENDATION The auditor recommends ensuring all current and new staff are trained on tenants’ 90-day EIV reports and ensuring they are generated within the required time period to verify tenant information promptly and help reduce errors in subsidy payments. ACTION TAKEN The Project will be monitoring use of the EIV system for move-ins and recertifications. If the Department of Housing and Urban Development has questions regarding this plan, please call Bryan Joyce at (413)-525-4321.
View Audit 308264
Finding 400138 (2023-001)
Material Weakness 2023
Port Authority of the City of St. Paul
MN
Procurement, Suspension & Debarment
ARRA – State Energy Program – Assistance Listing No. 81.041 Recommendation: We recommend the Port re-implement its previous controls of using a tracking checklist and retaining timestamped screenshots of SAM.gov prior to funding any State Energy Program loan. Explanation of disagreement with audit f...
ARRA – State Energy Program – Assistance Listing No. 81.041 Recommendation: We recommend the Port re-implement its previous controls of using a tracking checklist and retaining timestamped screenshots of SAM.gov prior to funding any State Energy Program loan. Explanation of disagreement with audit finding: There is no disagreement with the audit finding. Action taken in response to finding: The Port Authority will re-examine its loan processing procedures to ensure debarment check procedures and controls are included in the process, whether through previously utilized checklists or other more effective and efficient methods. Name(s) of the contact person(s) responsible for corrective action: Bruce Kessel, CFO Planned completion date for corrective action plan: December 31, 2024
View Audit 308252
Finding 400137 (2023-101)
Significant Deficiency 2023
Mid-State Child Care and Nutrition
AZ
Procurement, Suspension & Debarment Cash Management Matching / Level of Effort / Earmarking § 200.303
CORRECTIVE ACTION PLAN SEPTEMBER 30, 2023 REFERENCE: 2023-101 REPEAT FINDING REFERENCE: 2022-001 CFDA NUMBER: 10.558 – CHILD AND ADULT CARE FOOD PROGRAM U.S. DEPARTMENT OF AGRICULTURE - FOOD AND NUTRITION - 2023 PASSED THROUGH ARIZONA STATE DEPARTMENT OF EDUCATION GRANT NUMBER 6AZ300003 CLIENT R...
CORRECTIVE ACTION PLAN SEPTEMBER 30, 2023 REFERENCE: 2023-101 REPEAT FINDING REFERENCE: 2022-001 CFDA NUMBER: 10.558 – CHILD AND ADULT CARE FOOD PROGRAM U.S. DEPARTMENT OF AGRICULTURE - FOOD AND NUTRITION - 2023 PASSED THROUGH ARIZONA STATE DEPARTMENT OF EDUCATION GRANT NUMBER 6AZ300003 CLIENT RESPONSE AND CORRECTIVE ACTION PLAN We concur with the condition. 1. Name of the contact person responsible for corrective action: Deanna Barrowdale, Director 2. Corrective action planned: Corrective action planned will include technical assistance with staff on review of the menu/meal counts, creditable meal components for accuracy, dates received, and children in attendance and ratios. Director and Co-Director will carefully review the provider menus to ensure that menus are mathematically accurate. We will contact our providers via newsletter, website, annual training and correspondence of ongoing changes and reminders for compliance of credible mealtimes and reimbursement. 3. Anticipated completion date: FY 2024
View Audit 308251
Finding 400136 (2023-022)
Material Weakness 2023
City of Carencro
LA
This compliance finding relates to the previous administration. The City has provided written assurance to the Office of Community Development that this requirement will be met under any future LCDBG programs.
This compliance finding relates to the previous administration. The City has provided written assurance to the Office of Community Development that this requirement will be met under any future LCDBG programs.
View Audit 308248
Finding 400135 (2023-021)
Material Weakness 2023
City of Carencro
LA
This compliance finding relates to the previous administration. The City has provided written assurance to the Office of Community Development that it will submit the notice of contract award within thirty days after the contract award date under any future LCDBG program.
This compliance finding relates to the previous administration. The City has provided written assurance to the Office of Community Development that it will submit the notice of contract award within thirty days after the contract award date under any future LCDBG program.
View Audit 308248
Finding 400134 (2023-020)
Material Weakness 2023
City of Carencro
LA
The City has provided written assurance to the Office of Community Development that notification will be made, in writing, of any further changes to the persons or position descriptions relative to the financial management functions related to the LCDBG Program.
The City has provided written assurance to the Office of Community Development that notification will be made, in writing, of any further changes to the persons or position descriptions relative to the financial management functions related to the LCDBG Program.
View Audit 308248
Finding 400133 (2023-014)
Material Weakness 2023
City of Carencro
LA
Procurement, Suspension & Debarment Subrecipient Monitoring Material Weakness
This compliance finding relates to the previous administration. The City has provided written assurance to the Office of Community Development that this requirement will be met under any future LCDBG programs.
This compliance finding relates to the previous administration. The City has provided written assurance to the Office of Community Development that this requirement will be met under any future LCDBG programs.
View Audit 308248
Finding 400132 (2023-013)
Material Weakness 2023
City of Carencro
LA
Procurement, Suspension & Debarment Subrecipient Monitoring Material Weakness
This compliance finding relates to the previous administration. The City has provided written assurance to the Office of Community Development that it will submit the notice of contract award within thirty days after the contract award date under any future LCDBG program.
This compliance finding relates to the previous administration. The City has provided written assurance to the Office of Community Development that it will submit the notice of contract award within thirty days after the contract award date under any future LCDBG program.
View Audit 308248
Finding 400131 (2023-012)
Material Weakness 2023
City of Carencro
LA
Subrecipient Monitoring Material Weakness
The City has provided written assurance to the Office of Community Development that notification will be made, in writing, of any further changes to the persons or position descriptions relative to the financial management functions related to the LCDBG Program.
The City has provided written assurance to the Office of Community Development that notification will be made, in writing, of any further changes to the persons or position descriptions relative to the financial management functions related to the LCDBG Program.
View Audit 308248
Finding 400130 (2023-026)
Material Weakness 2023
City of Carencro
LA
Questioned Costs
The City will review grant reimbursements before submitting to ensure that all amounts requested represent actual expenditures.
The City will review grant reimbursements before submitting to ensure that all amounts requested represent actual expenditures.
View Audit 308248 Questioned Costs: $1
Finding 400129 (2023-025)
Material Weakness 2023
City of Carencro
LA
The City had significant difficulties accessing the reporting website, and filed the report on the day access was granted. However, the City will review their established policies and procedures and make any necessary changes to ensure an effective control environment.
The City had significant difficulties accessing the reporting website, and filed the report on the day access was granted. However, the City will review their established policies and procedures and make any necessary changes to ensure an effective control environment.
View Audit 308248
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