Corrective Action Plan – Hidalgo County Urban County Program (UCP) concurs with the recommendation and has taken steps to strengthen its internal controls to ensure the timely preparation, review, submission, and documentation of Section 3 quarterly reports and other State Program reporting requirem...
Corrective Action Plan – Hidalgo County Urban County Program (UCP) concurs with the recommendation and has taken steps to strengthen its internal controls to ensure the timely preparation, review, submission, and documentation of Section 3 quarterly reports and other State Program reporting requirements. The untimely reports identified in the finding occurred during a period of significant personnel turnover within the State Division. Management recognizes that regulatory compliance and reporting continuity should not depend upon the knowledge or availability of any one employee.Accordingly, UCP has begun transitioning from individually maintained deadline tracking to a more centralized and transparent reporting-control process. Approximately six months ago, UCP implemented a requirement that State Programs staff enter all grant-related reporting deadlines and other critical compliance dates into the County/Urban County shared electronic calendar. This calendar is accessible to State Programs staff and management and provides department-wide visibility of upcoming deadlines, thereby reducing reliance on individual calendars or institutional memory. In addition to this existing control, UCP will implement the following measures specifically for Section 3 reporting: • Establish internal preparation deadlines at least 5 calendar days before each required Section 3 submission date. • Assign primary responsibility for preparation and submission of each Section 3 report to the applicable State Grant Coordinator, with supervisory review by the State Programs Manager/Coordinator or other designated supervisor prior to submission. • Designate and cross-train at least one additional State Programs employee as backup personnel for Section 3 reporting to ensure continuity during vacancies, leave, employee transitions, or other absences. • Maintain a centralized reporting log for each applicable grant documenting the reporting period, regulatory or contractual due date, internal preparation deadline, responsible employee, supervisory review date, actual submission date, and confirmation or other evidence of submission. • Maintain supporting Section 3 reporting documentation within the applicable grant's official administrative file in accordance with applicable record-retention requirements. • Include upcoming reporting deadlines as a standing compliance item during State Programs staff meetings so that approaching deadlines, assignments, and outstanding reporting requirements can be reviewed collectively. • Require supervisory follow-up when a report has not reached the review stage by its established internal deadline, allowing management sufficient time to intervene before the external submission deadline. • Periodically review the shared reporting calendar and reporting log to verify that required reports have been submitted timely and that supporting documentation has been retained. These controls are intended to establish multiple levels of accountability—deadline visibility, assigned responsibility, supervisory review, backup coverage, documentation of submission, and management oversight—so that required reporting continues timely despite employee turnover or other staffing changes. UCP will also incorporate Section 3 reporting procedures into written State Programs standard operating procedures and employee cross-training materials so that the reporting process becomes documented institutional knowledge available to current and future staff. Proposed Completion Date - Existing shared calendar control (implemented and currently in use); Remaining corrective measures (September 30, 2026 - Implementation will begin immediately and be incorporated into State Program operating procedures and reporting practices). Contact Person - Steven De La Cruz, Assistant Director, Urban County Program