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Corrective Action Plans

Browse how organizations respond to audit findings

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Gibb Chipley Village, Inc.
FL
Questioned Costs HUD Housing Programs
Management agrees with the finding. Management has requested a refund from the vendor.
Management agrees with the finding. Management has requested a refund from the vendor.
View Audit 6100 Questioned Costs: $1
Finding 3862 (2023-001)
Significant Deficiency 2023
MacAlester College
MN
Student Financial Aid Reporting Significant Deficiency
Department of Education Macalester College respectfully submits the following corrective action plan for the year ended May 31, 2023. Audit period: June 01, 2022 – May 31, 2023 The findings from the schedule of findings and questioned costs are discussed below. The findings are numbered consistently...
Department of Education Macalester College respectfully submits the following corrective action plan for the year ended May 31, 2023. Audit period: June 01, 2022 – May 31, 2023 The findings from the schedule of findings and questioned costs are discussed below. The findings are numbered consistently with the numbers assigned in the schedule. FINDINGS—FINANCIAL STATEMENT AUDIT There were no findings in the current year that require corrective action plan. FINDINGS—FEDERAL AWARD PROGRAMS AUDITS DEPARTMENT OF EDUCATION 2023-001 Title: Student Financial Assistance Cluster – Assistance Listing Nos. 84.038, 84.268, 84.007, 84.063 Recommendation: We recommend the College evaluate the circumstances that delayed reporting disbursements to COD to ensure that it will not happen again. Explanation of disagreement with audit finding: There is no disagreement with the audit finding. Action taken in response to finding: We experienced a malfunction in our reporting software and were not aware of the issue until after the reporting deadline. We now have procedures in place whereby we confirm that COD has received the file once we have submitted it. Name(s) of the contact person(s) responsible for corrective action: Jenae Schmidt Planned completion date for corrective action plan: Implemented in November 2022. If the Department of Education has questions regarding this plan, please call Jenae Schmidt at 651-696-6214.
View Audit 6092
Voami Independence House of Detroit, Inc. (oak Village)
LA
Cash Management HUD Housing Programs
Management agrees with the finding. The residual receipts account deficiency was funded on February 27,2023 in the amount of $5,787. Management will ensure that the residual receipts account is properly funded in the future.
Management agrees with the finding. The residual receipts account deficiency was funded on February 27,2023 in the amount of $5,787. Management will ensure that the residual receipts account is properly funded in the future.
View Audit 6090
Texas State Affordable Housing Corporation
TX
Program Income
Schedule of Corrective Action Plan (Auditee Prepared) Year Ended August 31, 2023 Finding 2023-001 Planned Corrective Action: Beginning in March 2023, the Corporation alerted Capital Magnet Fund of a potential issue committing the required amount of funds by August 31, 2023. The Corporation asked for...
Schedule of Corrective Action Plan (Auditee Prepared) Year Ended August 31, 2023 Finding 2023-001 Planned Corrective Action: Beginning in March 2023, the Corporation alerted Capital Magnet Fund of a potential issue committing the required amount of funds by August 31, 2023. The Corporation asked for an extension, but it was not granted. As of August 31, 2023, the Corporation was under committed by $700,000 and is working diligently to commit the funds to a qualified development as soon as possible. For Questions: Katie Claflin, Senior Director of Communications and Development Estimated Completion Date: March 26, 2024
View Audit 6082
Finding 3857 (2023-001)
Significant Deficiency 2023
Northeast Iowa Mental Health Center
IA
Internal Control / Segregation of Duties Reporting
Internal control deficiencies: See Finding 2023-001
Internal control deficiencies: See Finding 2023-001
View Audit 6077
Finding 3857 (2023-001)
Significant Deficiency 2023
Northeast Iowa Mental Health Center
IA
Internal Control / Segregation of Duties Reporting
Recommendation: We realize that with a limited number of office employees, segregation of duties is difficult. However, the Center should review the operating procedures to obtain the maximum internal control possible under the circumstances. The Center should also consider the potential consequenc...
Recommendation: We realize that with a limited number of office employees, segregation of duties is difficult. However, the Center should review the operating procedures to obtain the maximum internal control possible under the circumstances. The Center should also consider the potential consequence of reliance on one person for financial, grant and payroll reporting.
View Audit 6077
Finding 3857 (2023-001)
Significant Deficiency 2023
Northeast Iowa Mental Health Center
IA
Internal Control / Segregation of Duties Reporting
Action Taken: This issue is reviewed annually through the audit review with the Board of Directors. The size of the Center prevents further segregation of duties.
Action Taken: This issue is reviewed annually through the audit review with the Board of Directors. The size of the Center prevents further segregation of duties.
View Audit 6077
Finding 3857 (2023-001)
Significant Deficiency 2023
Northeast Iowa Mental Health Center
IA
Internal Control / Segregation of Duties Reporting
Anticipated Date of Completion: June 30, 2024
Anticipated Date of Completion: June 30, 2024
View Audit 6077
Finding 3853 (2023-003)
Material Weakness 2023
Appalachian Mountain Community Health Centers
NC
Procurement, Suspension & Debarment
In Finding 2023-003, a condition was noted in which the Organization did not verify that certain employees were not suspended, debarred, or otherwise excluded from participating in federal programs before entering into transactions with them. Management recognizes the importance of complying with ...
In Finding 2023-003, a condition was noted in which the Organization did not verify that certain employees were not suspended, debarred, or otherwise excluded from participating in federal programs before entering into transactions with them. Management recognizes the importance of complying with procurement, debarment, and suspension guidelines. In response to Finding 2023-003, procedures will be implemented to ensure debarment searches are completed and properly documented.
View Audit 6064
Finding 3849 (2023-002)
Material Weakness 2023
Appalachian Mountain Community Health Centers
NC
Special Tests & Provisions Internal Control / Segregation of Duties
for certain patients with visits to the Organization during the year ended June 30, 2023. Management recognizes the importance of complying with sliding fee guidelines. In response to Finding 2023-002, proper training will be given to employees and sliding fee discounts will be reviewed by a supe...
for certain patients with visits to the Organization during the year ended June 30, 2023. Management recognizes the importance of complying with sliding fee guidelines. In response to Finding 2023-002, proper training will be given to employees and sliding fee discounts will be reviewed by a supervisor on a periodic basis the ensure compliance with the sliding fee scale.
View Audit 6064
Western Governors University
UT
Questioned Costs Student Financial Aid Matching / Level of Effort / Earmarking
WGU has implemented the appropriate identification of the TPD comment codes with our new aid year configuration and will continue this course of action whenever the new aid year FAFSA is released. The comment code numbering changed in 2024‐ 2025 from 2023‐2024. WGU will review and match the new 2024...
WGU has implemented the appropriate identification of the TPD comment codes with our new aid year configuration and will continue this course of action whenever the new aid year FAFSA is released. The comment code numbering changed in 2024‐ 2025 from 2023‐2024. WGU will review and match the new 2024‐2025 codes with its corresponding 2023‐2024 codes to ensure our system is configured to identify ISIR records that are flagged by FSA requiring further action accordingly. Auditee Contact Person(s) Responsible for Corrective Action: Patti Kohler Vice President, Financial Aid.
View Audit 6063 Questioned Costs: $1
Finding 3844 (2023-002)
Significant Deficiency 2023
Cherry Street Services, INC - Cherry Health
MI
Significant Deficiency Special Tests & Provisions
Contact person responsible for corrective action: Cynthia Duncanson, CFO. All findings related to the sliding fee application and calculations are results of occurrences at the front desk. In order to gain a better management of training and monitoring of this process, we have formed a team throug...
Contact person responsible for corrective action: Cynthia Duncanson, CFO. All findings related to the sliding fee application and calculations are results of occurrences at the front desk. In order to gain a better management of training and monitoring of this process, we have formed a team through the revenue cycle with oversite of front desk staff training, performance tracking and reporting and competency testing. This team consists of 2 revenue cycle supervisors, and 4 superusers. Performance outcomes, including sliding fee application calculation efficiency and application completion, will be reported to the site supervisors monthly, carrying a significant weight on overall performance measures Implementation/ Completion: Team development, immediate. Performance outcome reporting, January, 2024.
View Audit 6061
Finding 3835 (2023-001)
Significant Deficiency 2023
Commodore Perry School District
PA
Equipment & Real Property Management Procurement, Suspension & Debarment
We concur with the auditor's finding that the District's inventory listing did not contain all necessary equipment. We addressed the concerns upon discovery. We have implemented procedures to ensure that our inventory listing contains all necessary items.
We concur with the auditor's finding that the District's inventory listing did not contain all necessary equipment. We addressed the concerns upon discovery. We have implemented procedures to ensure that our inventory listing contains all necessary items.
View Audit 5999
Finding 3832 (2023-001)
Significant Deficiency 2023
Ocracoke Health Center, Inc.
NC
Reporting
The Organization has procedures in place to ensure timely submissions to the Federal Audit Clearinghouse are made. In the current year under audit, however, management faced challenges finding a replacement accounting firm timely with FQHC experience, which led to delays in completing the audit time...
The Organization has procedures in place to ensure timely submissions to the Federal Audit Clearinghouse are made. In the current year under audit, however, management faced challenges finding a replacement accounting firm timely with FQHC experience, which led to delays in completing the audit timely and submitting the necessary reports. Now that a replacement firm has been found, we will return to our historical timely filing with the Federal Audit Clearinghouse.
View Audit 5988
Finding 3827 (2023-002)
Material Weakness 2023
Northern Tioga School District
PA
Cash Management Reporting School Nutrition Programs
The district has implemented procedures for the future to ensure all transacttions are recorded in the period of benefit and account reconciliations are performed in a timely manner. Anticipated Completion Date: June 30, 2023 Responsible Party: Kathy VanSchaick
The district has implemented procedures for the future to ensure all transacttions are recorded in the period of benefit and account reconciliations are performed in a timely manner. Anticipated Completion Date: June 30, 2023 Responsible Party: Kathy VanSchaick
View Audit 5986
Finding 3823 (2023-001)
Significant Deficiency 2023
Victory College Prep., Inc.
IN
Significant Deficiency Matching / Level of Effort / Earmarking Internal Control / Segregation of Duties § 200.326
1780 Sloan Avenue Indianapolis, IN 46203 (317) 351-1534 To Whom It May Concern, This letter is in response to our Single Audit/Uniform Guidance Finding. We understand that we are to verify two items when ESSER funds are used for construction contracts over $2,000: 1. Verify that the required prevail...
1780 Sloan Avenue Indianapolis, IN 46203 (317) 351-1534 To Whom It May Concern, This letter is in response to our Single Audit/Uniform Guidance Finding. We understand that we are to verify two items when ESSER funds are used for construction contracts over $2,000: 1. Verify that the required prevailing wage rate clauses are included in the contract—also known as Davis-Bacon Act compliance. 2. For each week in which work was performed under the contract, verify that the contractor submitted the required certified payrolls. Although we did state the contractor was to be compliant with all applicable laws and regulations, the contractor did not provide this information in a timely manner and we were subsequently unable to provide these requirements during the audit. Regarding Finding 2023-001, please know that our organization understands this requirement and will adhere to it moving forward. Our plan of action includes incorporating strict language of the requirement in both contract and bid documents, correspondence submitted weekly, and explicit penalties for a contractor if they are unable to comply, which could include withholding of payment or stopped work. In addition to the measures above, I will be responsible to ensure all contractors are following these requirements. If you have any questions, please do not hesitate to contact me. Best Regards, Luke Kahren Chief Operating Officer luke.kahren@vcpindy.org (317) 351-1534
View Audit 5982
Finding 3822 (2023-001)
Significant Deficiency 2023
Village Cooperative of Centennial
CO
Internal Control / Segregation of Duties Significant Deficiency
The Board of Directors is and will remain involved in the financial affairs of the Cooperative.
The Board of Directors is and will remain involved in the financial affairs of the Cooperative.
View Audit 5976
Finding 3821 (2023-001)
Significant Deficiency 2023
Village Cooperative of Fergus Falls
MN
Internal Control / Segregation of Duties Significant Deficiency
The Board of Directors is and will remain involved in the financial affairs of the Cooperative.
The Board of Directors is and will remain involved in the financial affairs of the Cooperative.
View Audit 5975
Finding 3820 (2023-002)
Significant Deficiency 2023
Village Cooperative of Fort Collins
CO
HUD Housing Programs Special Tests & Provisions Subrecipient Monitoring
The Cooperative will make required deposits to the General Operating Reserve.
The Cooperative will make required deposits to the General Operating Reserve.
View Audit 5974
Finding 3819 (2023-001)
Significant Deficiency 2023
Village Cooperative of Fort Collins
CO
Internal Control / Segregation of Duties Significant Deficiency
The Board of Directors is and will remain involved in the financial affairs of the Cooperative.
The Board of Directors is and will remain involved in the financial affairs of the Cooperative.
View Audit 5974
Finding 3818 (2023-001)
Significant Deficiency 2023
Village Cooperative of Longmont
CO
Internal Control / Segregation of Duties Significant Deficiency
The Board of Directors is and will remain involved in the financial affairs of the Cooperative.
The Board of Directors is and will remain involved in the financial affairs of the Cooperative.
View Audit 5973
University of Pennsylvania
PA
Subrecipient Monitoring Eligibility
While this finding is isolated to the Wood Clinic which ended its AACO program in November 2022, we have communicated the requirement to maintain supporting award documentation to all Penn Medicine practices continuing with Ryan White programs.
While this finding is isolated to the Wood Clinic which ended its AACO program in November 2022, we have communicated the requirement to maintain supporting award documentation to all Penn Medicine practices continuing with Ryan White programs.
View Audit 5957
University of Pennsylvania
PA
Procurement, Suspension & Debarment Subrecipient Monitoring
The University uses the Visual Compliance tool to provide dynamic screening of vendors in order to reduce administrative burden, eliminating the need to run screenings periodically, and to provide timely notification of any potential suspension and debarment issues with vendors. As part of the FY22 ...
The University uses the Visual Compliance tool to provide dynamic screening of vendors in order to reduce administrative burden, eliminating the need to run screenings periodically, and to provide timely notification of any potential suspension and debarment issues with vendors. As part of the FY22 audit, we realized that during the transition from manual screening of vendors to the integration of Visual Compliance with our vendor system, the initial screening in Visual Compliance for certain vendors, appeared to have been missed. Therefore, in February 2023, the Procurement Office ran a batch screen on all active vendors missing the screening documentation in VC at that time; and no further action is needed as a result of the current finding. However, due to the timing of that corrective action plan, the 2 vendors, BMG Labtech Inc and Diagnostic Biochips Inc, had invoices paid in FY23 prior to the corrective action such that there was no evidence of their screening in our system at the time of payment.
View Audit 5957
Oklahoma Wesleyan University
OK
Student Financial Aid Eligibility Matching / Level of Effort / Earmarking
The Financial Aid Director recalculated the “need” for each student in question. The Financial Aid Director agreed with the auditor’s calculations. The following corrections were made on August 8, 2023: For the first student, $2,000 of subsidized federal direct loans were reallocated to unsubsidized...
The Financial Aid Director recalculated the “need” for each student in question. The Financial Aid Director agreed with the auditor’s calculations. The following corrections were made on August 8, 2023: For the first student, $2,000 of subsidized federal direct loans were reallocated to unsubsidized federal direct loans. For the second student, $382 of subsidized federal direct loans were reallocated to unsubsidized federal direct loans. For the third student, $1,649 of subsidized federal direct loans were reallocated to unsubsidized federal direct loans. For the fourth student, $1,145 of federal work study funds were returned to the Department of Education. The student had already worked for the University and earned the funds in question. He was treated as a regular employee of the University and paid with institutional funds instead of federal work study funds. Anticipated Completion Date: The corrective action was completed on August 8, 2023. Contact Person Shala LaTorraca, Director of Financial Aid 918-335-6260
View Audit 5956
Finding 3760 (2023-001)
Significant Deficiency 2023
Southern Wesleyan University
SC
Subrecipient Monitoring Significant Deficiency
Gramm-Leach-Bliley Act (GLBA) Compliance Planned Corrective Action: In order to remediate cited deficiencies and to bring Southern Wesleyan University into compliance with updated regulation changes to the Gramm-Leach-Bliley Act, the Department of Information Technology will update its written info...
Gramm-Leach-Bliley Act (GLBA) Compliance Planned Corrective Action: In order to remediate cited deficiencies and to bring Southern Wesleyan University into compliance with updated regulation changes to the Gramm-Leach-Bliley Act, the Department of Information Technology will update its written information security program. In addition, the department will also sufficiently document its security risk assessment and safeguards. This documentation will include sufficient information on general threats, the implementation of vendor management policies and reviews, and the implementation of an incident response plan. After all the aforementioned documentation has been compiled, the department will provide a report to the Board at the university's fall 2024 Board of Trustee’s meeting, detailing the measures enacted. Person Responsible for Corrective Action Plan: Warren Dennis, Assistant Director of Information Technology Anticipated Date of Completion: 06/01/2024
View Audit 5944
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