Corrective Action Plans

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Medicaid deployed a system enhancement to automatically run eligibility on CHIP individuals for whom TPL information was received from MMIS. This enhancement went live in May 2026. This enhancement will improve the accuracy of eligibility determinations for the Medicaid and CHIP populations. In July...
Medicaid deployed a system enhancement to automatically run eligibility on CHIP individuals for whom TPL information was received from MMIS. This enhancement went live in May 2026. This enhancement will improve the accuracy of eligibility determinations for the Medicaid and CHIP populations. In July 2024, federal partners operating the PARIS interstate match informed the State of a hold on PARIS interstate matching files. PARIS lifted the hold in October 2024. In November 2024, the State identified several defects in the PARIS results and suppressed requests for verification. A temporary system enhancement was logged to address the deficiencies and ensure the process was only requesting residency verification from individuals believed to be receiving Medicaid in another State. Long-term enhancements to the PARIS interstate match process are scheduled for late 2027. Anticipated Completion Date: Q4 2027 Contact Person: Anthony Salvo, Implementation Director of Policy and Programs, Executive Office of Health and Human Services Anthony.Salvo@ohhs.ri.gov
DCYF has created separate GAP administrative and prevention services accounts since this deficiency was identified. Anticipated Completion Date: Complete Contact Person: Kimberly Reynolds, Associate Director of Financial Management, Department of Children, Youth and Families kim.reynolds@dcyf.ri.gov
DCYF has created separate GAP administrative and prevention services accounts since this deficiency was identified. Anticipated Completion Date: Complete Contact Person: Kimberly Reynolds, Associate Director of Financial Management, Department of Children, Youth and Families kim.reynolds@dcyf.ri.gov
2025-056a: Management and budget will work with team members to allow for proper separation of responsibilities, as well as, ensure that proper training is provided. 2025-056b: MARVIN will address this issue as the department will not be waiting 45 days after the QE for the RPT54. It is going to be ...
2025-056a: Management and budget will work with team members to allow for proper separation of responsibilities, as well as, ensure that proper training is provided. 2025-056b: MARVIN will address this issue as the department will not be waiting 45 days after the QE for the RPT54. It is going to be more real time. MARVIN is proposed to go live at the end of CY2027 which means that we will have this issue for both 2026 and 2027 fiscal close. Anticipated Completion Date: Ongoing Contact Person: Kimberly Reynolds, Associate Director of Financial Management, Department of Children, Youth and Families kim.reynolds@dcyf.ri.gov
DCYF will continue to work with Public Consulting Group to ensure that eligibility quality control reviews are performed in a timely manner. Anticipated Completion Date: Ongoing Contact Person: Kimberly Reynolds, Associate Director of Financial Management, Department of Children, Youth and Families ...
DCYF will continue to work with Public Consulting Group to ensure that eligibility quality control reviews are performed in a timely manner. Anticipated Completion Date: Ongoing Contact Person: Kimberly Reynolds, Associate Director of Financial Management, Department of Children, Youth and Families kim.reynolds@dcyf.ri.gov
Management agrees with the finding regarding health and safety requirements for timely unannounced monitoring visits. While several providers identified in the audit did receive a monitoring visit within 60 days of the annual due date, the Licensing Department experienced delays in completing some m...
Management agrees with the finding regarding health and safety requirements for timely unannounced monitoring visits. While several providers identified in the audit did receive a monitoring visit within 60 days of the annual due date, the Licensing Department experienced delays in completing some monitoring visits due to staff shortages and employee leave. To address the backlog and prioritize oversight activities, The Department has implemented a team-based prioritization approach rather than individual caseload management. This approach allows the unit to prioritize providers with the greatest need for monitoring and ensure that available resources are directed toward the highest-risk areas. The Department is actively working to increase staffing capacity within the unit. The Department is currently onboarding four new staff members to address existing vacancies and has recently received two additional FTE positions to further support monitoring activities. The unit continues to manage the impact of two staff members being out on extended medical leave with undetermined return dates; however, despite these staffing challenges, the unit has completed 423 monitoring visits since January 1, 2026. The Department will continue to monitor progress toward eliminating the backlog, strengthening system processes, and ensuring timely completion and documentation of required unannounced monitoring visits. DHS has also implemented enhanced monitoring capabilities within RISES. The system now generates automated notifications to the Licensing Department at established intervals before monitoring visits are due for both child care centers and family child care programs. These automated reminders strengthen monitoring workflows, improve oversight of upcoming monitoring requirements, and support the timely completion of unannounced visits. In addition, RISES has strengthened the Department's ability to consistently track provider compliance, document corrective actions, and identify providers requiring increased oversight. These enhanced monitoring tools have improved accountability by providing greater visibility into provider compliance and enabling licensing staff to more effectively prioritize regulatory activities based on risk. Management does not concur with the findings related to corrective action plans and inspections but has implemented various enhancements to support streamlined processes in these areas since the audit time period. As discussed during the audit, several factors affect the timing and applicability of required inspections and do not necessarily indicate provider noncompliance. For example, radon testing may only be conducted during specific times of the year. Providers may make timely efforts to schedule testing but be unable to obtain an inspection due to limited inspector availability or because the request falls outside the allowable testing window. In these circumstances, DHS does not consider the provider to be out of compliance. Similarly, fire inspections must be completed by the State Fire Marshal's Office. In recent years, staffing challenges have affected the ability to complete inspections within standard timeframes, despite providers' efforts to obtain them. When a provider has a history of compliant fire inspections, the Licensing Department accepts documentation demonstrating the provider's attempt to schedule the required inspection and may proceed with license renewal while awaiting the inspection. Additionally, lead inspections are not required for facilities constructed after the applicable regulatory date and are not required for school-age programs. During the audit process, DHS identified several providers flagged for inspection concerns that appeared to fall into one or both of these exempt categories. To strengthen compliance monitoring, RISES now generates automated notifications beginning 90 days before inspection expiration dates. DHS has already observed improved provider responsiveness in renewing required inspections and will continue to use RISES to proactively monitor inspection status and work with providers to maintain current inspection documentation. Regarding corrective action plans, under the previous licensing system, providers submitted corrective action plans and supporting documentation directly to the assigned licensor. This is typically through email. As a result, documentation was often maintained outside of the licensing system and may not have been consistently reflected in the inspection record. If the corrective action or follow-up information was not documented within the system or the inspection status was not updated, the report could continue to appear as pending, even when the provider had submitted the required information. To address this limitation, DHS intentionally designed the RISES system to centralize the corrective action process. Following an inspection, the report is issued to the provider through RISES, where the provider is required to submit a corrective action plan directly within the system. The corrective action plan is then routed to DHS for review and approval, creating a documented workflow and improving the consistency and completeness of recordkeeping. If a provider does not submit a corrective action plan, DHS is able to identify the outstanding item within RISES and determine whether a follow-up inspection is warranted to verify that the noncompliance has been addressed. Currently, DHS prioritizes follow-up for high-risk noncompliance, including issues related to facilities, background checks, staff-to-child ratios and supervision, and infant and toddler care. Anticipated Completion Date: This corrective action has since been completed through the implementation of the 2026 requirement that all regulated providers utilize RISES. Contact Person: Nicole Chiello, Associate Director, Office of Child Care, Department of Human Services nicole.chiello@dhs.ri.gov
Management concurs with the findings related to controls over child care eligibility determinations and provider payments. Management notes that the number and scope of findings identified in the current audit have been substantially reduced compared to prior Single Audits, reflecting continued prog...
Management concurs with the findings related to controls over child care eligibility determinations and provider payments. Management notes that the number and scope of findings identified in the current audit have been substantially reduced compared to prior Single Audits, reflecting continued progress in strengthening internal controls. The Office of Child Care remains committed to enhancing eligibility determination processes and related internal controls, including ensuring that required eligibility documentation is consistently maintained in the electronic case record. Corrective actions to address the remaining findings, along with the anticipated completion dates, are outlined below. [See Corrective Action Plans for table.] In addition to the corrective actions outlined above, the Department is strengthening supervisory oversight through implementation of routine pre-authorization quality reviews and standardized supervisory monitoring practices. Supervisors will utilize these tools as part of ongoing quality assurance activities to verify that required eligibility documentation is complete prior to authorization, identify recurring error trends, and provide targeted coaching, training, and process improvements to strengthen program integrity and reduce future eligibility errors. Management agrees with the recommendation to evaluate modifications to the existing eligibility system to support eligibility determinations under the CCAP Child Care Staff program. The Department previously assessed the feasibility of modifying RIBridges to accommodate eligibility determinations for the CCAP Child Care Educators and Child Care Staff pilot program. At that time, implementation was not feasible due to competing system development priorities, limited vendor development capacity, and the pilot status of the program. Since the period covered by the audit, the Department has implemented a requirement that participants in the pilot program also apply for the traditional CCAP program. This change has strengthened documentation requirements and helped mitigate risks associated with incomplete eligibility documentation. While these interim measures have improved program administration, the Department recognizes that administering eligibility determinations outside of the primary eligibility system is not a sustainable long-term approach. Accordingly, the Department is reassessing the future administration of the pilot program and evaluating options to incorporate eligibility determinations into RIBridges or, alternatively, to develop the functionality within RISES and integrate it with RIBridges. The Department will determine the most appropriate path forward based on program needs, system capabilities, and available resources to ensure a sustainable and well-controlled eligibility process. Additionally, the Department has strengthened controls over provider payments for the CCAP Child Care Staff pilot program since the audit period. Prior to each payment, the CCAP program team reviews the copayment workbook to identify and resolve discrepancies between pilot program payments and traditional CCAP benefits. In addition, the CCAP Finance team performs a formal review of each payment workbook before payments are processed. The vendor supporting the pilot has also enhanced its payment file process by implementing an additional level of financial review by the project team prior to submission and incorporating safeguards to identify attendance records that may have been previously paid, reducing the risk of duplicate payments. The Department has established procedures to recover identified overpayments, including both one-time recoveries through withholding from future pilot payments, where appropriate, and a formal recoupment process for providers who are no longer participating in the pilot program. These enhanced controls are intended to strengthen payment accuracy and support effective stewardship of program funds. Anticipated Completion Dates: See table above Contact Person: Nicole Chiello, Associate Director, Office of Child Care, Department of Human Services nicole.chiello@dhs.ri.gov
Although the Department remained in compliance with applicable CCDF earmarking requirements, DHS will strengthen its review procedures to ensure that only expenditures applicable to the reporting period are included in quarterly earmarking calculations. These procedures will include verification tha...
Although the Department remained in compliance with applicable CCDF earmarking requirements, DHS will strengthen its review procedures to ensure that only expenditures applicable to the reporting period are included in quarterly earmarking calculations. These procedures will include verification that expenditures are reported within the appropriate reporting period, reconciliation of source expenditure reports to supporting accounting records, documented supervisory review of quarterly earmarking calculations to verify the accuracy, completeness, and appropriateness of expenditures included in the calculation prior to finalization, and formal approval prior to finalization. In addition, DHS will update written procedures and provide training to staff responsible for preparing and reviewing quarterly earmarking calculations to ensure the enhanced controls are consistently applied. The corrective actions implemented in response to Finding 2025-051 will further strengthen the reliability of the expenditure data used in quarterly earmarking calculations and support effective monitoring of compliance with CCDF earmarking requirements. These enhancements will strengthen the reliability of quarterly compliance calculations, improve management oversight, and provide greater assurance that CCDF earmarking requirements continue to be accurately monitored and documented. Anticipated Completion Date: June 30, 2027 Contact Person: Eileen Asselin, Assistant Director, Financial and Contract Management, Department of Human Services eileen.asselin@dhs.ri.gov
The Department is developing standardized written procedures for the preparation, reconciliation, review, and submission of required federal financial reports. The procedures will include reconciliation of reported expenditures to the State accounting system, identification of applicable appropriati...
The Department is developing standardized written procedures for the preparation, reconciliation, review, and submission of required federal financial reports. The procedures will include reconciliation of reported expenditures to the State accounting system, identification of applicable appropriation accounts, reporting thresholds, required documentation, submission deadlines, and documented supervisory review and approval prior to submission. The Department will also review previously identified reporting discrepancies and amend reports, as appropriate, to ensure compliance with federal reporting requirements. Development of these standardized procedures was temporarily delayed due to implementation of the State's Enterprise Resource Planning (ERP) system. DHS anticipates resuming this work during State Fiscal Year 2027 and incorporating lessons learned from the ERP implementation into its reporting procedures to strengthen financial reporting controls. Anticipated Completion Date: June 30, 2027 Contact Person: Ben Quattrucci, Assistant Director, Financial Contract Management, Department of Human Services benjamin.a.quattrucci@dhs.ri.gov
During the audit period, responsibility for FFATA reporting transitioned among multiple staff due to staffing changes, which contributed to untimely reporting. To strengthen internal controls and ensure continuity of operations, DHS will cross-train multiple employees on FFATA reporting requirements...
During the audit period, responsibility for FFATA reporting transitioned among multiple staff due to staffing changes, which contributed to untimely reporting. To strengthen internal controls and ensure continuity of operations, DHS will cross-train multiple employees on FFATA reporting requirements and reporting procedures. In addition, DHS will establish a standardized reporting calendar, designate primary and backup staff responsible for FFATA submissions, and implement a supervisory review process to verify that all required subaward reports are submitted timely and in accordance with federal reporting requirements. These actions are intended to strengthen monitoring controls, reduce the risk of reporting delays, and ensure ongoing compliance with FFATA reporting requirements. Anticipated Completion Date: July 31, 2026 Contact Person: Ben Quattrucci, Assistant Director, Financial Contract Management, Department of Human Services benjamin.a.quattrucci@dhs.ri.gov
The RI Works unit has completed a comprehensive revision of the State's Work Verification Plan. The revised plan is currently undergoing an internal quality review to ensure consistency, appropriate terminology, removal of legacy references, and alignment with current program operations. Upon comple...
The RI Works unit has completed a comprehensive revision of the State's Work Verification Plan. The revised plan is currently undergoing an internal quality review to ensure consistency, appropriate terminology, removal of legacy references, and alignment with current program operations. Upon completion of this review, the Work Verification Plan will be submitted to the Administration for Children and Families (ACF) for review and approval. To strengthen ongoing compliance with the Work Verification Plan, DHS will implement documented supervisory quality assurance reviews to verify work participation documentation, ensure compliance with established verification procedures, and confirm the accuracy of work participation data reported to ACF. In addition, the Multi-Program Eligibility Review Tool referenced in Finding 2025-046 will be incorporated into the Department's supervisory monitoring process. Supervisors will utilize the tool to conduct routine case reviews to verify eligibility accuracy, work verification documentation, and compliance with federal and State requirements. Review results will be used to identify trends, provide targeted coaching, and strengthen ongoing quality assurance activities. Anticipated Completion Date: October 1, 2026 Contact Person: Donna Rook, Administrator, Family & Adult Services, Department of Human Services donna.m.rook@dhs.ri.gov
The Department has worked with the ACF Data Unit and the system vendor to identify the required coding corrections and implement updates consistent with current ACF reporting guidance. System enhancements are underway to address the identified coding issues. The Department will also implement a docu...
The Department has worked with the ACF Data Unit and the system vendor to identify the required coding corrections and implement updates consistent with current ACF reporting guidance. System enhancements are underway to address the identified coding issues. The Department will also implement a documented quality assurance review process for each quarterly ACF-199 submission. Prior to submission, designated staff will validate report data against RIBridges case information, verify compliance with current ACF reporting guidance, and document supervisory review and approval. DHS has incorporated updated ACF reporting guidance into its reporting procedures and will provide training and technical assistance to staff responsible for preparing and reviewing ACF-199 reports to ensure consistent application of federal reporting requirements. The Department will also obtain documentation on a quality assurance review for the quarterly 199 reports. Anticipated Completion Date: Ongoing Contact Person: Nikolaos Petropoulos, Data Analyst III, Office of Performance Analytics & Continuous Improvement, Department of Human Services nikolaos.petropoulos@dhs.ri.gov
The Department updated Policy (218-RICR-20-002) to reflect 45 CFR 205.55, including procedures for using IEVS interfaces and incorporating the resulting information into eligibility determinations. The updated policy will be sent to OMB 7/1/26. Additionally, the updated policy will be discussed at m...
The Department updated Policy (218-RICR-20-002) to reflect 45 CFR 205.55, including procedures for using IEVS interfaces and incorporating the resulting information into eligibility determinations. The updated policy will be sent to OMB 7/1/26. Additionally, the updated policy will be discussed at meetings (Office Hours, Training consultations, and Quarterlies). System interfaces will run on a quarterly basis consistent with the language in 45 CFR §205.55 regarding all applicants. This process is being tracked and prioritized in BRR-141767 which is the ticket number used to communicate with the vendor. In addition, DHS is strengthening operational controls to ensure required IEVS interfaces are executed, reviewed, and acted upon within required federal timeframes. Supervisors will monitor outstanding interface matches and timeliness of case actions as part of routine quality assurance activities to ensure interface information is appropriately evaluated, documented within the electronic case record, and incorporated into eligibility determinations. These actions will be supported by the Department's broader supervisory quality assurance and pre-authorization review initiatives to improve verification accuracy, ensure timely processing of electronic data matches, and reduce future eligibility errors. The Department also notes that a portion of the untimely processing identified during the audit occurred during the RIBridges cybersecurity incident, when staff were operating under documented Business Continuity Plan (BCP) procedures to restore critical operations and address processing backlogs. While these circumstances contributed to delays during the audit period, the Department recognizes the need to strengthen routine controls and has implemented the corrective actions described above. Information security enhancements are further addressed in response to Finding 2025-032. Anticipated Completion Date: Ongoing – The process of posting updated policy and then the public comment period historically takes about 6 months. Disseminating information to staff regarding the policy updates will begin July 2026 and continue until saturation. Contact Person: Donna Rook, Administrator, Family & Adult Services, Department of Human Services donna.m.rook@dhs.ri.gov
The Department has developed a comprehensive Multi-Program Eligibility Review Tool designed to strengthen supervisory oversight and improve consistency in eligibility determinations across public assistance programs. The tool, currently in final development, will be implemented statewide and utilize...
The Department has developed a comprehensive Multi-Program Eligibility Review Tool designed to strengthen supervisory oversight and improve consistency in eligibility determinations across public assistance programs. The tool, currently in final development, will be implemented statewide and utilized by supervisory staff as part of routine quality assurance and case review activities. The review tool has been expanded to specifically address the documentation deficiencies identified through the audit, including verification of citizenship and identity for all household members, residency documentation, hardship determinations, employment plans, initial applications, recertifications, interim reports, and required case documentation maintained within RIBridges. In addition, the Department has revised the DHS-2H Hardship Request form to clearly document hardship eligibility criteria and require participant attestation for the applicable hardship category, strengthening documentation supporting eligibility determinations. To further strengthen internal controls, the Department will: • implement supervisory case reviews using the Multi-Program Review Tool; • provide staff training on documentation and eligibility requirements; • monitor review results to identify recurring trends and implement corrective coaching where needed; and • incorporate findings into ongoing quality assurance and program monitoring to ensure sustained compliance with eligibility documentation requirements. These actions are intended to strengthen supervisory oversight, improve documentation compliance, and reduce the risk of unsupported eligibility determinations identified in the audit. Anticipated Completion Date: Fall of 2026 Contact Persons: Donna Rook, Administrator, Family & Adult Services, Department of Human Services donna.m.rook@dhs.ri.gov Vania Rebollo, Assistant Administrator Family and Children Service, Department of Human Services Vania.Rebollo@dhs.ri.gov
RIDOH agrees with the finding and recommendations. 2025-045a: RIDOH will require review of all UGSs monthly against the Workday transactional data and the Federal Monthly Grants Tracker to ensure expenditure amounts agree on all spreadsheets. 2025-045b: Grants Management staff will verify cumulative...
RIDOH agrees with the finding and recommendations. 2025-045a: RIDOH will require review of all UGSs monthly against the Workday transactional data and the Federal Monthly Grants Tracker to ensure expenditure amounts agree on all spreadsheets. 2025-045b: Grants Management staff will verify cumulative transactional data before signing off on all Federal Financial Reports (FFRs). 2025-045c: RIDOH will review the RIFANS and Workday transactional data for Immunization FFRs submitted in SFY2025 and submit amended FFRs as required. RIDOH will complete and submit the remaining two overdue FFRs. Anticipated Completion Dates: 2025-045a / 2025-045b: July 31, 2026 2025-045c: July 31, 2026 for ELC, December 31, 2026 for Immunization Contact Persons: Carla Lundquist, Deputy CFO / Federal Grants Manager, Department of Health carla.lundquist@health.ri.gov Shannon Healy, Assistant Federal Grants Manager, Department of Health shannon.healy@health.ri.gov Julie DeMelo, Assistant Director of Health (Budget & Finance), Department of Health julie.demelo@health.ri.gov
RIDOH agrees with the finding and recommendations. 2025-044a: RIDOH will examine and document internal processes for requesting federal drawdowns and will create and implement revised policies and procedures to align with both federal requirements and Workday requirements for documentation of expend...
RIDOH agrees with the finding and recommendations. 2025-044a: RIDOH will examine and document internal processes for requesting federal drawdowns and will create and implement revised policies and procedures to align with both federal requirements and Workday requirements for documentation of expenditures. 2025-044b: RIDOH will review and reconcile ELC and Immunization grant awards reporting excess cash drawdowns as of 6/30/2025 and will make adjustments as appropriate to ensure accurate grant award tracking. Anticipated Completion Dates: 2025-044a: June 30, 2027 2025-044b: October 31, 2026 Contact Persons: Alisha Collella, Chief Financial Office, Department of Health alisha.colella@health.ri.gov Sarah Parker, Assistant Director of Health (Budget & Finance), Department of Health sarah.parker@health.ri.gov Carla Lundquist, Deputy CFO / Federal Grants Manager, Department of Health carla.lundquist@health.ri.gov Julie DeMelo, Assistant Director of Health (Budget & Finance), Department of Health julie.demelo@health.ri.gov
RIDOH agrees with this repeat finding and recommendations. RIDOH staff often do not pay attention to the Budgeted Allocation column on their time sheets, focusing only on their reporting of time and effort, which leads to inaccurate cumulative Budgeted Allocations on Variance Reports leading to inac...
RIDOH agrees with this repeat finding and recommendations. RIDOH staff often do not pay attention to the Budgeted Allocation column on their time sheets, focusing only on their reporting of time and effort, which leads to inaccurate cumulative Budgeted Allocations on Variance Reports leading to inaccurate variances for correction. The RIDOH reconciliation methodology includes a step to compare reported time and effort to financial system payroll reports (the Variance Correction tab in each reconciliation adjustment calculation spreadsheet). This ensures that all adjustments are accurately processed to the appropriate grants even if they do not appear to agree with the variances in individual Variance Reports. 2025-043a: RIDOH abolished all “umbrella” or general Programs/Activities from Time Sheet Workbooks as of SFY2027 Qtr1. All grant activities now are reported with Appropriation numbers, and grouped activities were removed, except for Medicaid Match account pairs and consecutive federal awards for the same purpose which are spent down in sequence (e.g., DWQ State Revolving Fund awards). RIDOH continues to monitor the status of reporting by Project Tags in Workday, which will provide automatic reconciliation per time and effort reported. Currently, reporting by Project Tags results in inaccurate charging of leave time. When that issue has been resolved, RIDOH will switch to Workday Project Tag reporting and will discontinue using Time Sheet Workbooks. 2025-043b: RIDOH will review SFY2026 Time Sheet Workbooks and revise them to show the correct budgeted allocations, providing the basis for the variance adjustments. Any revisions will be documented. Time and effort reported will not be changed. For SFY2027, RIDOH Grants Management began providing payroll reports formatted by the Time Sheet Workbook Programs/Activities for Division Finance Liaisons to update and share with Division staff, to support correct recording of Budgeted Allocations in Time Sheet Workbooks. RIDOH Grants Management will continue to do this quarterly, ensuring accurate variance calculations on quarterly Variance Reports. 2025-043c: RIDOH will review the SFY2025 payroll reconciliations in question and make corrections as needed. Anticipated Completion Dates: 2025-043a: Enhanced reporting completed. Transition to Workday Project Tag reporting by June 30, 2027 2025-043b: Ongoing 2025-043c: December 31, 2026 Contact Persons: Carla Lundquist, Deputy CFO / Federal Grants Manager, Department of Health carla.lundquist@health.ri.gov Shannon Healy, Assistant Federal Grants Manager, Department of Health shannon.healy@health.ri.gov
Any missing or incomplete policy and procedure items identified during the audit process are currently in the process of being included in a revised draft of the Corporation’s federal grants policy manual. The Corporation expects a revised and all-encompassing version of the manual to be finalized a...
Any missing or incomplete policy and procedure items identified during the audit process are currently in the process of being included in a revised draft of the Corporation’s federal grants policy manual. The Corporation expects a revised and all-encompassing version of the manual to be finalized and filed by the end of March 2026. Anticipated Completion Date: March 31, 2026 Contact Person: Justin Medeiros, Senior Controller / CFO, Rhode Island Commerce Corporation justin.medeiros@commerceri.com
Management agrees with this finding and will improve the documentation of subrecipient audit report reviews to include notation of whether any findings in the single audit report pertained to the CPF subaward require a management decision in accordance with Uniform Guidance and whether any other fin...
Management agrees with this finding and will improve the documentation of subrecipient audit report reviews to include notation of whether any findings in the single audit report pertained to the CPF subaward require a management decision in accordance with Uniform Guidance and whether any other findings reported could indirectly impact the administration of the subaward. Management will add the following fields to the Pandemic Recovery Office’s reviewing document titled “PRO Fin Risk Template -DOA-PRO-LTCTR4”: 1. Does the Single Audit report include any findings pertaining to the CPF subaward? (YES/NO) 2. Are there any other findings reported that could indirectly impact the administration of the subaward? (YES/NO) Anticipated Completion Date: Immediately but no later than August 31, 2026. Contact Persons: Paul Dion, Director, Pandemic Recovery Office, Department of Administration paul.l.dion@doa.ri.gov Sagree Sharma, Capital Projects Fund Administrator, Pandemic Recovery Office, Department of Administration sagree.sharma@doa.ri.gov
The Corporation’s legal counsel is currently working to draft amendments to those contracts discovered during the audit process that did not contain specific Uniform Guidance (2 CFR § 200.327 and 2 CFR Part 200, Appendix II) provisions referenced in the finding narrative. The Corporation expects the...
The Corporation’s legal counsel is currently working to draft amendments to those contracts discovered during the audit process that did not contain specific Uniform Guidance (2 CFR § 200.327 and 2 CFR Part 200, Appendix II) provisions referenced in the finding narrative. The Corporation expects these amendments to be finalized and executed by the end of March 2026. Anticipated Completion Date: March 31, 2026 Contact Person: Justin Medeiros, Senior Controller / CFO, Rhode Island Commerce Corporation justin.medeiros@commerceri.com
Management agrees with the finding that subrecipient monitoring procedures were insufficient to ensure subrecipient audit reports are obtained and reviewed. Monitoring procedures were not in place to ensure adequate documentation was obtained regarding the use of payment advances. The Pandemic Recov...
Management agrees with the finding that subrecipient monitoring procedures were insufficient to ensure subrecipient audit reports are obtained and reviewed. Monitoring procedures were not in place to ensure adequate documentation was obtained regarding the use of payment advances. The Pandemic Recovery Office has communicated with the Executive Office of Housing on the best practices to be employed to ensure that effective subrecipient monitoring takes place. To that end the Executive Office of Housing has implemented policies and procedures to: • Ensure the timely review of subrecipient audit reports and the issuance of management decisions in accordance with the Uniform Guidance. In particular, the Executive of Housing (EOH) now requires that subrecipients submit their Single Audit Report or financial audit report when submitting for annual funding. At that time, these reports are reviewed by EOH, and action is taken as needed regarding management decisions. • Develop and implement internal controls to ensure that adequate documentation of monitoring procedures and support for subrecipient expenditures is obtained. EOH executes periodic site visits of subrecipients at which time expenditures are reviewed and documentation for said expenditures is obtained (i.e., invoices, demonstration of services performed, etc.). • Strengthen and improve subrecipient monitoring procedures to ensure compliance with the terms and conditions of the grant award. PRO will communicate to EOH the need to provide the proper reconciliation documentation for payment advances made to subrecipients and acquire supporting documentation for reimbursement of subrecipient expenditures. • Enhance controls to ensure all award identifying information required by 2 CFR §200.332(b)(1) is accurately included in the subaward. PRO will reiterate to EOH the need for subrecipients to have an accurate Unique Entity Identification (UEI) number, issued by SAM.gov, to receive funding under the State Fiscal Recovery Fund and/or the Emergency Rental Assistance programs. Further, EOH will review all subawards to ensure that every subaward includes the Federal Award Identification Number, Assistance Listing Number, and program title. Anticipated Completion Date: September 30, 2026 Contact Persons: Paul Dion, Director, Pandemic Recovery Office, Department of Administration paul.l.dion@doa.ri.gov Brianna Ruggiero, Chief of Staff, Pandemic Recovery Office, Department of Administration brianna.ruggiero@doa.ri.gov
Initially, the Pandemic Recovery Office used contractors to help with the ERA 2 program data validation function for U.S. Treasury reporting purposes. PRO decided to directly incorporate the ERA 2 data validation process into PRO’s operations using State personnel rather than contractors. At this tr...
Initially, the Pandemic Recovery Office used contractors to help with the ERA 2 program data validation function for U.S. Treasury reporting purposes. PRO decided to directly incorporate the ERA 2 data validation process into PRO’s operations using State personnel rather than contractors. At this transition point, PRO staff became aware that inconsistencies existed in the demographic categorization of ERA 2 participant data. PRO hired a consultant, who along with PRO staff, developed a Power BI model and standardized the logic associated with the assessment of the ERA 2 participant data. Once PRO standardized the data across ERA 2 participants, PRO updated the ERA 2 participant demographic data in the final ERA 2 report to U.S. Treasury to reflect the new data standardization process PRO implemented. The standardization of the ERA 2 participant demographic data corrected the earlier reports submitted to U.S. Treasury. The final ERA 2 report, as is the case with all U.S. Treasury reports, is cumulative as of the date of submission of the report. The final ERA 2 report covered the entire period of performance for the ERA 2 program, the end point of which was September 30, 2026. Anticipated Completion Date: January 26, 2026, the date on which the final ERA 2 report was submitted. Contact Persons: Paul Dion, Director, Pandemic Recovery Office, Department of Administration paul.l.dion@doa.ri.gov Brianna Ruggiero, Chief of Staff, Pandemic Recovery Office, Department of Administration brianna.ruggiero@doa.ri.gov
2025-037a: Members of the Income Support team will meet regularly with the WDS team to identify areas of concern and to evaluate alternative ways to strengthen the overall program effectiveness including subsequent RESEA activities will be among the topics discussed. These activities, among others, ...
2025-037a: Members of the Income Support team will meet regularly with the WDS team to identify areas of concern and to evaluate alternative ways to strengthen the overall program effectiveness including subsequent RESEA activities will be among the topics discussed. These activities, among others, have been limited due to inadequate funding. 2025-037b: The DLT Data and Performance Unit prepared recommendations for an amended RESEA algorithm. The resolution team (comprised of members from the Data and Performance Unit, Income Support, Workforce Development Services, and the Office of Planning, Integrity, and Compliance) endorsed the recommendation. During Quarter 3 the proposal was brought before Department Executive Leadership. Leadership endorsed and approved the final draft. Anticipated Completion Date: November 30, 2026 Contact Person: Philip D’Ambra, Deputy Director (Income Support) UI Director, Department of Labor and Training philip.l.dambra@dlt.ri.gov
2025-036a: ETA 2112 & ETA 191: RIDLT’s Business Affairs Division agrees with the audit findings that this report has been submitted late due to delays in completing the required reconciliations. The figures reported on the ETA-2112 & ETA 191 must agree with bank records, and reconciling balances wit...
2025-036a: ETA 2112 & ETA 191: RIDLT’s Business Affairs Division agrees with the audit findings that this report has been submitted late due to delays in completing the required reconciliations. The figures reported on the ETA-2112 & ETA 191 must agree with bank records, and reconciling balances with another State agency has been particularly challenging, especially following the transition to the new system. To address this issue, we will meet with the other agency as soon as possible to review the reconciliation process, identify and resolve outstanding differences, and establish a timelier reconciliation schedule. We will also make the other agency aware of this audit finding and emphasize the importance of completing reconciliations promptly to ensure future reports are submitted accurately and on time. ETA 9130 & ETA 2208A: RIDLT’s Business Affairs Division agrees with the audit findings and has already implemented a schedule and secondary review documentation process for USDOL’s new ETA 9130 reporting system. This new system requires preparer and certifier approvals. USDOL does not allow for these two approvers to be the same person. The report itself shows only the final certifier’s approval. RIDLT has found additional documentation within the system that we subsequently printed as proof that there were two separate signatures on the reports and will continue to do so going forward. This along with dates for preparer and certifier to complete the reporting process will be added to the procedures and marked as recurring “to do” items in employees’ calendars to ensure timely reporting. ETA 9050, 9052, and 9055: RIDLT’s Labor Market Information Division agrees with the audit findings. To improve accountability and monitoring, a formal report tracking process has been implemented. All required reports are now documented on the date of submission. For any report not submitted by the established deadline, the reason for the delay is documented and maintained as part of the reporting record. Examples of documented exceptions may include delays resulting from missing source data, data requiring clarification or validation, system-related issues, or other circumstances affecting the timely completion of the report. Additionally, management has implemented a supervisory review and verification process. Supervisors are now required to verify that reports have been submitted by the required due date and that the underlying data has been reviewed for completeness and accuracy. Documentation of this review is maintained to provide an audit trail and strengthen internal oversight. Management also recognizes the need for a formal communication protocol when circumstances outside the reporting unit's control may affect the ability to meet established reporting deadlines. To address this, management will develop and implement a notification procedure requiring timely communication with ETA whenever reporting delays are anticipated. Such notifications will identify the cause of the delay, including but not limited to staffing shortages resulting from temporary employee leave, vacancies, delays in receiving required information from other divisions, or other operational constraints. The notification will also include, when available, an estimated timeline for report completion and submission. Management believes these corrective actions will strengthen internal controls, improve documentation and oversight, and enhance communication regarding reporting requirements. These measures are intended to reduce the risk of future late submissions and ensure greater compliance with reporting deadlines and program requirements. 2025-036b: The report in question was amended on 3/31/2026. Anticipated Completion Dates: ETA 2112 & ETA 191: September 2026. This timeframe will allow us to complete the outstanding reconciliations from previous months, resolve any discrepancies, and implement processes to support timely submission of future reports. ETA 9050, 9052, and 9055: September 2026. ETA 9130 & ETA 2208A: Reports for quarter ending June 30, 2026. Contact Persons: Rosanna Hernandez, Business Affairs, Department of Labor and Training rossanna.hernandez@dlt.ri.gov Kathleen Greenwell, Labor Market Information, Department of Labor and Training kathleen.greenwell@dlt.ri.gov Barbara Seiler, Business Affairs, Department of Labor and Training barbara.j.seiler@dlt.ri.gov
We concur with the recommendation. Regarding (1) – RIDLT UI Administrative staff meet weekly with ETSS to review and prioritize pending projects. The programming changes required to calculate and apply the 15% fraud penalty are included in these priorities. Currently, RIDLT has one dedicated IT reso...
We concur with the recommendation. Regarding (1) – RIDLT UI Administrative staff meet weekly with ETSS to review and prioritize pending projects. The programming changes required to calculate and apply the 15% fraud penalty are included in these priorities. Currently, RIDLT has one dedicated IT resource, who is fully engaged with the Online Employer Form Modernization project (see #2). Following the completion of these initiatives, RIDLT will begin development for the 15% fraud penalty programming. Regarding (2) – RIDLT is currently engaged in the Online Employer Form Modernization project. This system enhancement is necessary to: • Eliminate unnecessary employer forms that do not require adjudication. • Use conditional logic to display only relevant questions. • Automatically identify and flag responses that may affect eligibility. • Reduce staff time spent on non-actionable forms. • Enable staff to focus limited resources on claims that require review. • Make an adequacy determination (RIGL 28- 43-3(2)(viii)). Anticipated Completion Date: November 30, 2026 Contact Person: Philip D’Ambra, Deputy Director (Income Support) UI Director, Department of Labor and Training Philip.l.dambra@dlt.ri.gov
2025-034a: We appreciate the work performed by OAG and understand the importance of the SAR. While the noted exception, was an isolated incident, our internal control was lacking. We do have compensating controls in place to identify potential noncompliance with the registration requirement, this is...
2025-034a: We appreciate the work performed by OAG and understand the importance of the SAR. While the noted exception, was an isolated incident, our internal control was lacking. We do have compensating controls in place to identify potential noncompliance with the registration requirement, this isolated transaction did not appear on the daily error report. ETSS is investigating how this occurred and will ensure that similar exception do not occur in the future. We will also use your recommendation as an opportunity to review and modify any control deficiencies related to the current legacy limitations. For example, not having a field on the AS400 to capture the dependent SS#, after initial application is filed. 2025-034b: DLT’s 2024 Systems Modernization Strategic Plan outlines long-term efforts to enhance system integration, automation, and data monitoring capabilities. RI DLT Modernization Strategic Plan - 2024.pdf. The Department is actively evaluating the feasibility of financing this effort. 2025-034c: UI Administration will consult with DLT legal office to update applicable regulations. Anticipated Completion Dates: 2025-034a: October 31, 2026 2025-034b: Ongoing 2025-034c: October 31, 2026 Contact Person: Sarah Fresch, Deputy Director, COO, Department of Labor and Training sarah.fresch@dlt.ri.gov Philip D’Ambra, Deputy Director (Income Support) UI Director, Department of Labor and Training Philip.l.dambra@dlt.ri.gov
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