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Corrective Action Plans

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Finding 40137 (2022-016)
Significant Deficiency 2022
State of North Carolina
NC
Subrecipient Monitoring Reporting Allowable Costs / Cost Principles
Errors in FFATA Reporting Department Name: Health and Human Services Contact Name / Telephone Number of Person Responsible for CAP: Jeneen Preciose - (919) 428-6102 The Division of Public Health (DPH) has updated the FFATA reporting policy to include report monitoring and standardization guidance. I...
Errors in FFATA Reporting Department Name: Health and Human Services Contact Name / Telephone Number of Person Responsible for CAP: Jeneen Preciose - (919) 428-6102 The Division of Public Health (DPH) has updated the FFATA reporting policy to include report monitoring and standardization guidance. In addition, DPH will establish a contingency plan to ensure FFATA reporting is completed during a public health emergency or other disruption. Anticipated Completion Date: March 31, 2023.
View Audit 53638
Finding 40136 (2022-015)
Significant Deficiency 2022
State of North Carolina
NC
Questioned Costs Procurement, Suspension & Debarment Subrecipient Monitoring
Immunization Funds Used for Unallowable Activities Department Name: Health and Human Services Contact Name / Telephone Number of Person Responsible for CAP: Jennifer Street - (919) 855-4856 The expenditures in question were reclassified in SFY 23. Department management has ensured through TEAMS call...
Immunization Funds Used for Unallowable Activities Department Name: Health and Human Services Contact Name / Telephone Number of Person Responsible for CAP: Jennifer Street - (919) 855-4856 The expenditures in question were reclassified in SFY 23. Department management has ensured through TEAMS calls/ verbal instruction that staff responsible for reviewing and approving program spending have a clear understanding of the funding sources. The Department has completed its work to ensure improved communication and awareness specific to this finding. Corrective Action was completed on: September 2022.
View Audit 53638 Questioned Costs: $1
Finding 40135 (2022-014)
Material Weakness 2022
State of North Carolina
NC
Subrecipient Monitoring
Incomplete Monitoring Department Name: Public Instruction Contact Name / Telephone Number of Person Responsible for CAP: Shirley McFadden - (984) 236-2258 See 2022-009 for Corrective Action Plan.
Incomplete Monitoring Department Name: Public Instruction Contact Name / Telephone Number of Person Responsible for CAP: Shirley McFadden - (984) 236-2258 See 2022-009 for Corrective Action Plan.
View Audit 53638
Finding 40134 (2022-013)
Material Weakness 2022
State of North Carolina
NC
Reporting
Errors in FFATA Reporting Department Name: Public Instruction Contact Name / Telephone Number of Person Responsible for CAP: LaTricia Townsend - (984) 236-2787 See 2022-008 for Corrective Action Plan.
Errors in FFATA Reporting Department Name: Public Instruction Contact Name / Telephone Number of Person Responsible for CAP: LaTricia Townsend - (984) 236-2787 See 2022-008 for Corrective Action Plan.
View Audit 53638
Finding 40133 (2022-012)
Material Weakness 2022
State of North Carolina
NC
Subrecipient Monitoring
Incomplete Monitoring Department Name: Public Instruction Contact Name / Telephone Number of Person Responsible for CAP: Shirley McFadden - (984) 236-2258 See 2022-009 for Corrective Action Plan.
Incomplete Monitoring Department Name: Public Instruction Contact Name / Telephone Number of Person Responsible for CAP: Shirley McFadden - (984) 236-2258 See 2022-009 for Corrective Action Plan.
View Audit 53638
Finding 40132 (2022-011)
Material Weakness 2022
State of North Carolina
NC
Reporting
Errors in FFATA Reporting Department Name: Public Instruction Contact Name / Telephone Number of Person Responsible for CAP: LaTricia Townsend - (984) 236-2787 See 2022-008 for Corrective Action Plan.
Errors in FFATA Reporting Department Name: Public Instruction Contact Name / Telephone Number of Person Responsible for CAP: LaTricia Townsend - (984) 236-2787 See 2022-008 for Corrective Action Plan.
View Audit 53638
Finding 40131 (2022-010)
Material Weakness 2022
State of North Carolina
NC
Subrecipient Monitoring
Incomplete Monitoring Department Name: Public Instruction Contact Name / Telephone Number of Person Responsible for CAP: Shirley McFadden - (984) 236-2258 See 2022-009 for Corrective Action Plan.
Incomplete Monitoring Department Name: Public Instruction Contact Name / Telephone Number of Person Responsible for CAP: Shirley McFadden - (984) 236-2258 See 2022-009 for Corrective Action Plan.
View Audit 53638
Finding 40130 (2022-009)
Material Weakness 2022
State of North Carolina
NC
Subrecipient Monitoring
Incomplete Monitoring Department Name: Public Instruction Contact Name / Telephone Number of Person Responsible for CAP: Shirley McFadden - (984) 236-2258 During fiscal year 2023 management updated fiscal monitoring policies and procedures to incorporate the need for review and revision of the monit...
Incomplete Monitoring Department Name: Public Instruction Contact Name / Telephone Number of Person Responsible for CAP: Shirley McFadden - (984) 236-2258 During fiscal year 2023 management updated fiscal monitoring policies and procedures to incorporate the need for review and revision of the monitoring plan in response to changes in operations during the year. Department management will consider additional resources, scope changes, and adjusting the number and type of monitoring events as part of the contingency planning to ensure monitoring is completed when employee turnover occurs. Monitoring and Compliance continues to strive to provide high quality fiscal monitoring of PSUs. Anticipated Completion Date: June 30, 2023.
View Audit 53638
Finding 40129 (2022-008)
Material Weakness 2022
State of North Carolina
NC
Subrecipient Monitoring Reporting
Errors in FFATA Reporting Department Name: Public Instruction Contact Name / Telephone Number of Person Responsible for CAP: LaTricia Townsend - (984) 236-2787 The Office of Federal Programs will continue to interface with the federal agency regarding the technical difficulties of the system. A data...
Errors in FFATA Reporting Department Name: Public Instruction Contact Name / Telephone Number of Person Responsible for CAP: LaTricia Townsend - (984) 236-2787 The Office of Federal Programs will continue to interface with the federal agency regarding the technical difficulties of the system. A data entry plan will be developed and implemented to input required data as quickly as possible with system constraints. Staff will enter and track subaward information in accordance with the plan. Anticipated Completion Date: September 30, 2023.
View Audit 53638
Finding 40128 (2022-004)
Significant Deficiency 2022
State of North Carolina
NC
Questioned Costs Subrecipient Monitoring
Errors in Program Spending Department Name: Public Safety Contact Name / Telephone Number of Person Responsible for CAP: Amanda Stapleton - (919) 418-0554 The North Carolina Office of Recovery and Resiliency?s (NCORR) Compliance and Business Systems Department are actively working to reconcile the p...
Errors in Program Spending Department Name: Public Safety Contact Name / Telephone Number of Person Responsible for CAP: Amanda Stapleton - (919) 418-0554 The North Carolina Office of Recovery and Resiliency?s (NCORR) Compliance and Business Systems Department are actively working to reconcile the population of awards impacted by the errors identified. NCORR had already begun recapture efforts on many of the awards identified during this audit however, any remaining awards identified by NCORR will immediately enter the recapture process. In the event any recaptured amounts enter default, NCORR reserves the right to engage our federal partners and, additional resources, such as collections to recover the funds. Anticipated Completion Date: December 31, 2023.
View Audit 53638 Questioned Costs: $1
Finding 40127 (2022-003)
Material Weakness 2022
State of North Carolina
NC
Subrecipient Monitoring
Inadequate Monitoring of Coronavirus Relief Funds Department Name: Office of the Governor ? Office of State Budget and Management Contact Name / Telephone Number of Person Responsible for CAP: Stephanie McGarrah - (984) 236-0712 The Coronavirus Relief Funds (CRF) closed on December 31, 2022. Therefo...
Inadequate Monitoring of Coronavirus Relief Funds Department Name: Office of the Governor ? Office of State Budget and Management Contact Name / Telephone Number of Person Responsible for CAP: Stephanie McGarrah - (984) 236-0712 The Coronavirus Relief Funds (CRF) closed on December 31, 2022. Therefore, no corrective action will be taken to improve monitoring efforts surrounding the CRF funds. Anticipated Completion Date: Not applicable since the funds closed out December 31, 2022.
View Audit 53638
Finding 40126 (2022-002)
Significant Deficiency 2022
State of North Carolina
NC
Questioned Costs Allowable Costs / Cost Principles Internal Control / Segregation of Duties
Administration Funds Used for Unallowable Activities Department Name: Commerce Contact Name / Telephone Number of Person Responsible for CAP: Kevin Carlson - (984) 236-5933 The questioned nonautomation costs will be moved to an alternative funding source. In addition, new staff have been trained on ...
Administration Funds Used for Unallowable Activities Department Name: Commerce Contact Name / Telephone Number of Person Responsible for CAP: Kevin Carlson - (984) 236-5933 The questioned nonautomation costs will be moved to an alternative funding source. In addition, new staff have been trained on the internal controls that are in place to catch these types of errors. Additional monitoring on a quarterly basis will be instituted as well as identified during our federal fiscal year crossover process. Anticipated Completion Date: June 30, 2023.
View Audit 53638 Questioned Costs: $1
Finding 40125 (2022-001)
Material Weakness 2022
Spencer-Owen Community Schools
IN
Equipment & Real Property Management Procurement, Suspension & Debarment Material Weakness § 200.303 § 200.313
FINDING 2022-001 Contact Person Responsible for Corrective Action: Annette Brown, Treasurer Contact Phone Number: (812)829-2233 Views of Responsible Official: We concur with Audit Finding Description of Corrective Action Plan: The School Corporation will implement procedures and processes to ensure ...
FINDING 2022-001 Contact Person Responsible for Corrective Action: Annette Brown, Treasurer Contact Phone Number: (812)829-2233 Views of Responsible Official: We concur with Audit Finding Description of Corrective Action Plan: The School Corporation will implement procedures and processes to ensure that the School Corporation and 3rd Party Inventory Vendor includes all required information on all property purchased with federal funds that is outlined in 2 CFR 200.313(d)(1). The Treasurer will list items that are purchased with federal funds and forward that information to the 3rd Party Vendor. Once the report from the 3rd Party Vendor is received either the Treasurer/Deputy Treasurer/Grant Administrator will review the report to ensure all required information has been included on all items purchased with federal funds. Anticipated Completion Date: Will begin this process moving forward with any property purchased after February 2023.
View Audit 53434
Finding 40121 (2022-002)
Material Weakness 2022
Spencer-Owen Community Schools
IN
Internal Control / Segregation of Duties Subrecipient Monitoring Material Weakness § 200.303
FINDING 2022-002 Contact Person Responsible for Corrective Action: Annette Brown, Treasurer Contact Phone Number: (812) 829-2233 Views of Responsible Official: We concur with the Audit Finding Description of Corrective Action Plan: The School Corporation will implement procedures and processes to en...
FINDING 2022-002 Contact Person Responsible for Corrective Action: Annette Brown, Treasurer Contact Phone Number: (812) 829-2233 Views of Responsible Official: We concur with the Audit Finding Description of Corrective Action Plan: The School Corporation will implement procedures and processes to ensure that the reporting compliance requirement is met for the Education Stabilization Fund. All reporting information will be gathered either by the Treasurer, Payroll Clerk or Accounts Payable depending on the information being requested. The information will then be reviewed for accuracy by the Grant Administrator or Superintendent before being submitted. All documentation will be signed and dated by the appropriate individuals and be filed with the appropriate ESF. Anticipated Completion Date: Will begin this process moving forward with future reporting after February 2023.
View Audit 53434
William Peace Universirty
NC
Special Tests & Provisions Student Financial Aid
The Student Accounts Office will return funds to students within 14 days of the disbursement of Title IV funds when those funds create a credit balance on the student account. New procedures have been added within the department to review for credit balances upon their creation to ensure refunds are...
The Student Accounts Office will return funds to students within 14 days of the disbursement of Title IV funds when those funds create a credit balance on the student account. New procedures have been added within the department to review for credit balances upon their creation to ensure refunds are processed timely for all students owed a refund. Individuals Responsible for Corrective Action Plan: Susan Childs, Associate Vice President for Finance & Controller, 919-508-2033 Completion Date: September 2022
View Audit 53433
Finding 40116 (2022-001)
Material Weakness 2022
Cordova Community Medical Center
AK
HUD Housing Programs Material Weakness Reporting
2022-001 Provider Relief Fund Reporting of Lost Revenue Corrective action planned: Use of the new methodology for calculating net patient revenue for all subsequent reporting periods. Anticipated completion date: Complete as of May 11, 2023 Contact person responsible for corrective action: Denna Sta...
2022-001 Provider Relief Fund Reporting of Lost Revenue Corrective action planned: Use of the new methodology for calculating net patient revenue for all subsequent reporting periods. Anticipated completion date: Complete as of May 11, 2023 Contact person responsible for corrective action: Denna Stavig, Director of Finance
View Audit 51015
Finding 40115 (2022-004)
Material Weakness 2022
Warren County Fiscal Court
KY
Subrecipient Monitoring § 200.332 § 200.501
Prepared by: Greg Burrell Date Prepared: 12/21/2022 Person Respomible for Corrective Action Plan: Warren County Fiscal Court Anticipated Completion Date: 3/31/2023 Official's Response: The Treasurer and County Judge have been in communication with Live the Dream Development about proper sub reci...
Prepared by: Greg Burrell Date Prepared: 12/21/2022 Person Respomible for Corrective Action Plan: Warren County Fiscal Court Anticipated Completion Date: 3/31/2023 Official's Response: The Treasurer and County Judge have been in communication with Live the Dream Development about proper sub recipient reporting and they are providing quarterly reports. The project had not started and there was some confusion on whether they had to report that they hadn't started. They had communicated this verbally to the county but a written report was not received by June 30, 2022.
View Audit 51178
Finding 40112 (2022-001)
Significant Deficiency 2022
Midmichigan Health Services
MI
HUD Housing Programs Significant Deficiency Matching / Level of Effort / Earmarking
Finding Number: 2022-001 Condition: The Company has a sliding fee discount policy that is based on income and family size in place. However, management did not follow the Company's policy for all patients during the period under audit. Planned Corrective Action: The Company will maintain a master r...
Finding Number: 2022-001 Condition: The Company has a sliding fee discount policy that is based on income and family size in place. However, management did not follow the Company's policy for all patients during the period under audit. Planned Corrective Action: The Company will maintain a master roster of all eligible and approved sliding fee patients. On a monthly basis the listing of patients who have received a sliding fee adjustment will be compared and verified against the master roster of all eligible and approved sliding fee patients. Any patient who received a sliding fee adjustment and is not on the master roster will be researched and corrected. Contact person responsible for corrective action: William E. Collin Anticipated Completion Date: 6/1/2023
View Audit 51007
Therapeutic Living Services, Inc. and Affiliates
NM
Internal Control / Segregation of Duties § 200.512
To ensure audits get submitted in a timely manner to the Federal Audit Clearinghouse, TLS? current financial officer will start compiling all necessary documentation and schedule an independent audit in late summer or early fall. This will allow TLS to meet the required deadlines.
To ensure audits get submitted in a timely manner to the Federal Audit Clearinghouse, TLS? current financial officer will start compiling all necessary documentation and schedule an independent audit in late summer or early fall. This will allow TLS to meet the required deadlines.
View Audit 51005
Finding 40110 (2022-001)
Significant Deficiency 2022
Therapeutic Living Services, Inc. and Affiliates
NM
HUD Housing Programs Significant Deficiency Internal Control / Segregation of Duties
TLS has implemented the following procedures to ensure a copy of lease agreements as supporting documents for rental assistance payments. The new CoC/HUD Programs Manager has been auditing all rental assistance clients to ensure each client has the proper documentation. TLS utilizes a flowchart to d...
TLS has implemented the following procedures to ensure a copy of lease agreements as supporting documents for rental assistance payments. The new CoC/HUD Programs Manager has been auditing all rental assistance clients to ensure each client has the proper documentation. TLS utilizes a flowchart to document all new rental assistance intakes. In addition, there are checklists in every file and a spreadsheet was created to track all documentation.
View Audit 51005
Finding 40109 (2022-002)
Material Weakness 2022
Center for the Future of Arizona
AZ
Allowable Costs / Cost Principles Internal Control / Segregation of Duties Material Weakness
U.S. Department of Education Education Innovation and Research CFDA #84.411C Activities Allowed Allowable Costs Period of Performance Material Weakness in Internal Control Condition: One out of 19 non-payroll expenditures tested lacked the required signature of the Director of Fiscal a...
U.S. Department of Education Education Innovation and Research CFDA #84.411C Activities Allowed Allowable Costs Period of Performance Material Weakness in Internal Control Condition: One out of 19 non-payroll expenditures tested lacked the required signature of the Director of Fiscal and Business Operations. Cause: Due to an oversight by CFA, the signatures of both the Director of Fiscal and Business Operations and the Manager of Business Operations were not present on the expenditure documentation. Management?s Response and Corrective Action Plan: Staff will ensure that both staff sign all expenditure documents. Responsible Individuals: Amanda Burke, Jessi Black Anticipated Completion Date: 3/23/23
View Audit 51004
Finding 40108 (2022-001)
Material Weakness 2022
Center for the Future of Arizona
AZ
Reporting Material Weakness
Preparation of the Financial Statements, Schedule of Expenditures of Federal Awards and Material Audit Adjustments Material Weakness Condition: As auditors, we were requested to draft the financial statements from data provided by CFA. The data included material misstatements which, if not correct...
Preparation of the Financial Statements, Schedule of Expenditures of Federal Awards and Material Audit Adjustments Material Weakness Condition: As auditors, we were requested to draft the financial statements from data provided by CFA. The data included material misstatements which, if not corrected through audit adjustments, would have resulted in financial statements that were materially misstated. The data also contained an error considered to be a prior period adjustment that overstated current revenue by $129,408. Additionally, the schedule of expenditures of federal awards was completed by the auditors with data provided by CFA that was incorrect as a result of audit adjustments. Cause: CFA has limited staff to prepare full disclosure financial statements. Management?s Response and Corrective Action Plan: The year-end closing process will be revised to include accrual of revenue for expenses allocated to reimbursable grants that are reimbursed in the next fiscal year. Responsible Individuals: Amanda Burke, Jessi Black Anticipated Completion Date: 6/30/23
View Audit 51004
Finding 40106 (2022-001)
Material Weakness 2022
Bainbridge Island School District No. 303
WA
Subrecipient Monitoring Internal Control / Segregation of Duties Allowable Costs / Cost Principles
Finding Ref number: 2022-001 Finding caption: The District?s internal controls were inadequate for ensuring compliance with requirements for time-and-effort documentation. Name,...
Finding Ref number: 2022-001 Finding caption: The District?s internal controls were inadequate for ensuring compliance with requirements for time-and-effort documentation. Name, address, and telephone of District contact person: Kelly Pearson 8489 Madison Avenue N. Bainbridge Island, WA 98110 (206) 780-1061 Corrective action the auditee plans to take in response to the finding: All federal grants will be reviewed by the Grant Manager at the start of the grant to determine if Time and Effort reporting is required. The Grant Manager will coordinate with Human Resources and the manager of the federal grant to ensure proper forms and instructions are provided. The Grant Manager will monitor Time and Effort form submission throughout the grant period. Anticipated date to complete the corrective action: Immediately
View Audit 49875
Finding 40105 (2022-002)
Material Weakness 2022
Assumption Parish Police Jury
LA
Procurement, Suspension & Debarment Matching / Level of Effort / Earmarking Special Tests & Provisions
Personnel Manual and Internal Control document will be amended to include all the contract provisions for Non-Federal Entity contracts under Federal Awards required. Requirements will be reinforced to all staff and department heads for inclusion in all future federally funded contracts.
Personnel Manual and Internal Control document will be amended to include all the contract provisions for Non-Federal Entity contracts under Federal Awards required. Requirements will be reinforced to all staff and department heads for inclusion in all future federally funded contracts.
View Audit 48327
Finding 40104 (2022-001)
Material Weakness 2022
Assumption Parish Police Jury
LA
Questioned Costs Procurement, Suspension & Debarment Allowable Costs / Cost Principles § 200.319
Procurement of professional services for all federally funded projects will take place immediately. Police Jurors have been fully advised of the requirement and commit to adhering to the policies and procedures.
Procurement of professional services for all federally funded projects will take place immediately. Police Jurors have been fully advised of the requirement and commit to adhering to the policies and procedures.
View Audit 48327 Questioned Costs: $1
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