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Corrective Action Plans

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City of Calais
ME
reviewed by the City and retained for further use and reference as may be warranted.
reviewed by the City and retained for further use and reference as may be warranted.
View Audit 305373
City of Calais
ME
Contact Person(s) For This Corrective Action – Crystal Gallina, City Finance Director (207-454-2521
Contact Person(s) For This Corrective Action – Crystal Gallina, City Finance Director (207-454-2521
View Audit 305373
City of Calais
ME
ext. 1003) and Julie Murray, School Department Bookkeeper (207-454-7561)
ext. 1003) and Julie Murray, School Department Bookkeeper (207-454-7561)
View Audit 305373
City of Calais
ME
Anticipated Completion Date For This Corrective Action – Immediately, For Use Commencing with
Anticipated Completion Date For This Corrective Action – Immediately, For Use Commencing with
View Audit 305373
City of Calais
ME
Fiscal Year Ending June 30, 2023
Fiscal Year Ending June 30, 2023
View Audit 305373
Finding 395692 (2022-002)
Significant Deficiency 2022
Saleian Missions, Inc.
NY
Questioned Costs Subrecipient Monitoring Eligibility
Finding Number: 2022-002 - Eligibility Programs: U.S. State Department. Award Listing Number 19.517 Overseas Refugee Assistance Programs for Africa: Sunrise Project, Cairo Urban Refugees VI U.S. State Department. Award Listing Number 19.517 Overseas Refugee Assistance Programs for Africa: Sunrise...
Finding Number: 2022-002 - Eligibility Programs: U.S. State Department. Award Listing Number 19.517 Overseas Refugee Assistance Programs for Africa: Sunrise Project, Cairo Urban Refugees VI U.S. State Department. Award Listing Number 19.517 Overseas Refugee Assistance Programs for Africa: Sunrise Project, Cairo Urban Refugees VII. Planned Corrective Action: Management has adjusted its internal policy related to files maintained related to eligibility. Due to the timing of the finding the first full period that this can be implemented will be in fiscal 2024. Person Responsible: Daniel DeFilippis, Controller Expected Completion Date: December 31, 2024
View Audit 305324 Questioned Costs: $1
Finding 395691 (2022-001)
Significant Deficiency 2022
Saleian Missions, Inc.
NY
Cash Management Reporting Significant Deficiency
Finding Number: 2022-001 – Reporting Programs: U.S. State Department. Award Listing Number 19.517 Overseas Refugee Assistance Programs for Africa: Sunrise Project, Cairo Urban Refugees VII U.S. State Department. Award Listing Number 19.517 Overseas Refugee Assistance Programs for Africa: Sunrise ...
Finding Number: 2022-001 – Reporting Programs: U.S. State Department. Award Listing Number 19.517 Overseas Refugee Assistance Programs for Africa: Sunrise Project, Cairo Urban Refugees VII U.S. State Department. Award Listing Number 19.517 Overseas Refugee Assistance Programs for Africa: Sunrise Project, Cairo Urban Refugees VIII U.S. Agency for International Development. Award Listing Number 98.003 Ocean Freight Reimbursement Program U.S. Agency for International Development. Award Listing Number 98.006 Foreign Assistance to American Schools and Hospitals Abroad (ASHA) - Don Bosco Sobre Ruedas (Don Bosco on Wheels) U.S. Agency for International Development. Award Listing Number 98.006 Foreign Assistance to American Schools and Hospitals Abroad (ASHA) - Walking Anew - El Salvador Planned Corrective Action: The planned correction plan is to file annual data collection forms upon the issuance of the Uniform Guidance financial statements and ensure that future data collection forms are filed timely. Person Responsible: Daniel DeFilippis, Controller Expected Completion Date: May 2024
View Audit 305324
Finding 395675 (2022-002)
Material Weakness 2022
Humboldt Community School District
IA
Internal Control / Segregation of Duties Reporting
The District will continue to review procedures to obtain the maximum internal control possible utilizing current personnel.
The District will continue to review procedures to obtain the maximum internal control possible utilizing current personnel.
View Audit 305301
Finding 395661 (2022-003)
Material Weakness 2022
Next Move Homeless Services
CA
Procurement, Suspension & Debarment § 200.303 § 200.317 § 200.327
Program: Continuum of Care, Emergency Solutions Grant Program Federal Financial Assistance Listing No.:14.267, 14.231 Federal Agency: U.S. Department of Housing and Urban Development Pass-through: Sacramento Steps Forward, Sacramento County Department of Human Assistance Award Year: 2022 Compliance ...
Program: Continuum of Care, Emergency Solutions Grant Program Federal Financial Assistance Listing No.:14.267, 14.231 Federal Agency: U.S. Department of Housing and Urban Development Pass-through: Sacramento Steps Forward, Sacramento County Department of Human Assistance Award Year: 2022 Compliance Requirement: Procurement, Suspension and Debarment Grant Award Number: CA0955L9T032007, CA0955L9T032108, CA0143L9T032013, CA0143L9T032114, CA1303L9T032006, CA1303L9T032107, DHA-PRTS-NM-06-22, DHA-NM-03-22, DHA-NM-03-23, DHA-NM-08-23, DHA-NM-10-23 Finding Summary: The Organization’s procurement policy did not include all the required elements as outlined in the Uniform Guidance. Additionally, the Organization did not retain documentation to support the procedures performed to ensure compliance with suspension and debarment requirements. Management’s Response: We concur. Views of Responsible Officials and Corrective Action: • Management will update policies and procedures to ensure they confirm to the Uniform Guidance regarding procurement, suspension and debarment (2 CFR 200.317 through 200.327, 2 CFR 180). • Train grant staff on new policies and procedures. Name of Responsible Person: Bryan Wagner, CFO Projected Implementation Date: December 31, 2024
View Audit 305283
Finding 395655 (2022-002)
Material Weakness 2022
Next Move Homeless Services
CA
Special Tests & Provisions HUD Housing Programs Material Weakness
Program: Continuum of Care Federal Financial Assistance Listing No.:14.267 Federal Agency: U.S. Department of Housing and Urban Development Pass-through: Sacramento Steps Forward Award Year: 2022 Compliance Requirement: Special Tests and Provisions – Reasonable Rental Rates Grant Award Number: CA095...
Program: Continuum of Care Federal Financial Assistance Listing No.:14.267 Federal Agency: U.S. Department of Housing and Urban Development Pass-through: Sacramento Steps Forward Award Year: 2022 Compliance Requirement: Special Tests and Provisions – Reasonable Rental Rates Grant Award Number: CA0955L9T032007, CA0955L9T032108, CA0143L9T032013, CA0143L9T032114, CA1303L9T032006, CA1303L9T032107 Finding Summary: As a result of our procedures performed, we noted for 56 out of 60 rental payment transactions tested, the Organization did not have policies and procedures in place to ensure the reasonableness of contract rents being paid for individual housing units in relation to rents being charged for comparable units. This should have included an analysis of rents in the immediate area of the participants housing. However, we noted the rental payments made using grant funds did not exceed the HUD-determined fair market rents and ranged from 1% to 39% below the 2022 HUD-determined fair market rents. Management’s Response: We concur. Views of Responsible Officials and Corrective Action: • Develop policies and procedures for staff working on grants to ensure that all contract rents being paid for individual housing units are reasonable in relation to rents being charged for comparable units. Additionally, the policies and procedures will ensure that grant funds being used to pay rent will not exceed HUD-determined fair market rents. • Train grant staff on new policies and procedures. Name of Responsible Person: Bryan Wagner, CFO Projected Implementation Date: December 31, 2024
View Audit 305283
Finding 395594 (2022-008)
Significant Deficiency 2022
Sacramento Housing and Revelopment Agency
CA
Subrecipient Monitoring HUD Housing Programs Reporting
Community Development Block Grants/Entitlement Grants – Assistance Listing No. 14.218 Recommendation: We recommend that the Agency provide additional training to program managers regarding the documentation of program compliance requirements and the development of internal controls to ensure that al...
Community Development Block Grants/Entitlement Grants – Assistance Listing No. 14.218 Recommendation: We recommend that the Agency provide additional training to program managers regarding the documentation of program compliance requirements and the development of internal controls to ensure that all compliance requirements are met. Explanation of disagreement with audit finding: There is no disagreement with the audit finding. Action taken in response to finding: We will ensure the federal program managers review the requirements of the Federal Funding Accountability and Transparency Act Requirements, and take the webinars and training through HUD, U.S Department of Education, and/or NCDA. In addition, Federal Programs Desk Guides and subrecipient agreements will be updated to include language regarding requirements of the Federal Funding Accountability and Transparency Act. Name(s) of the contact person(s) responsible for corrective action: Stephanie Green Planned completion date for corrective action plan: Completed 12/2023
View Audit 305205
Finding 395593 (2022-007)
Material Weakness 2022
Sacramento Housing and Revelopment Agency
CA
HUD Housing Programs Eligibility Material Weakness
Public and Indian Housing – Assistance Listing No. 14.850 Recommendation: We recommend management to assign a person that verifies all the documents are in place before processing the determination of eligibility. Explanation of disagreement with audit finding: There is no disagreement with the audi...
Public and Indian Housing – Assistance Listing No. 14.850 Recommendation: We recommend management to assign a person that verifies all the documents are in place before processing the determination of eligibility. Explanation of disagreement with audit finding: There is no disagreement with the audit finding. Action taken in response to finding: A checklist will be created that staff will use to check off all relevant data that has come in. This list will be reviewed by the Intake team before files are sent to Public Housing. Name(s) of the contact person(s) responsible for corrective action: Myvy Ngo Planned completion date for corrective action plan: Immediately
View Audit 305205
Finding 395592 (2022-006)
Material Weakness 2022
Sacramento Housing and Revelopment Agency
CA
Special Tests & Provisions HUD Housing Programs Material Weakness
Public and Indian Housing – Assistance Listing No. 14.850 Recommendation: We recommend management to assign a person that verifies all relevant documents are gathered and added to the tenant file before processing new move ins. Explanation of disagreement with audit finding: There is no disagreement...
Public and Indian Housing – Assistance Listing No. 14.850 Recommendation: We recommend management to assign a person that verifies all relevant documents are gathered and added to the tenant file before processing new move ins. Explanation of disagreement with audit finding: There is no disagreement with the audit finding. Action taken in response to finding: A checklist will be created that staff will use to check off all relevant data that has come in. This list will be reviewed by the Intake team before files are sent to Public Housing and public housing will review again before moving a prospective tenant into housing. Name(s) of the contact person(s) responsible for corrective action: Myvy Ngo Planned completion date for corrective action plan: Immediately
View Audit 305205
Finding 395589 (2022-005)
Significant Deficiency 2022
Sacramento Housing and Revelopment Agency
CA
HUD Housing Programs Special Tests & Provisions Significant Deficiency
Housing Choice Voucher Cluster – Assistance Listing No. 14.871 Recommendation: We recommend management should designate one person to oversee the inspection process to ensure that all inspections are being performed in a timely manner. Furthermore, management should ensure no HAP payments are issued...
Housing Choice Voucher Cluster – Assistance Listing No. 14.871 Recommendation: We recommend management should designate one person to oversee the inspection process to ensure that all inspections are being performed in a timely manner. Furthermore, management should ensure no HAP payments are issued for units that have not passed HQS housing inspections. Explanation of disagreement with audit finding: There is no disagreement with the audit finding. Action taken in response to finding: The supervisor for the Owner Services Department, Ilya Prozorov, is responsible for ensuring that all inspections are completed timely and that no HAP is issued for units that do not pass HQS. Name(s) of the contact person(s) responsible for corrective action: Ilya Prozorov, supervisor Planned completion date for corrective action plan: Immediately
View Audit 305205
Finding 395586 (2022-004)
Significant Deficiency 2022
Sacramento Housing and Revelopment Agency
CA
HUD Housing Programs Special Tests & Provisions Significant Deficiency
Housing Choice Voucher Cluster – Assistance Listing No. 14.871 Recommendation: We recommend that the housing authority designate an individual to reschedule all inconclusive QC inspections. Explanation of disagreement with audit finding: There is no disagreement with the audit finding. Explanation o...
Housing Choice Voucher Cluster – Assistance Listing No. 14.871 Recommendation: We recommend that the housing authority designate an individual to reschedule all inconclusive QC inspections. Explanation of disagreement with audit finding: There is no disagreement with the audit finding. Explanation of disagreement with audit finding: We contract with NanMcKay Associates, Inc to complete all inspections. The QC inspections are completed by their management team which are located outside the jurisdiction and are flown in at regular intervals to complete the QC inspections. In order to avoid the costs of bringing in the team a second time to follow up with inspections where the inspector cannot gain access to the unit, they schedule more inspections than are necessary to meet the quantity of QC that are required. Inspections are deemed “inconclusive” if the inspector cannot gain access or if the inspection is cancelled as the number of inspections have been met. Action taken in response to finding: The supervisor for the Owner Services Department is responsible for ensuring that QC inspections are scheduled and conducted in numbers sufficient to meet requirements. Name(s) of the contact person(s) responsible for corrective action: Ilya Prozorov, Supervisor for the Owner Services Unit Planned completion date for corrective action plan: Immediately
View Audit 305205
Finding 395583 (2022-003)
Significant Deficiency 2022
Sacramento Housing and Revelopment Agency
CA
HUD Housing Programs Eligibility Reporting
Housing Choice Voucher Cluster – Assistance Listing No. 14.871 Recommendation: We recommend that the person assigned to submit the 50058s to PIC, assure the fatal errors and warnings are correctly in a reasonable time to avoid variances. Explanation of disagreement with audit finding: There is no di...
Housing Choice Voucher Cluster – Assistance Listing No. 14.871 Recommendation: We recommend that the person assigned to submit the 50058s to PIC, assure the fatal errors and warnings are correctly in a reasonable time to avoid variances. Explanation of disagreement with audit finding: There is no disagreement with the audit finding. Explanation of disagreement with audit finding: There is no disagreement with the audit finding. Action taken in response to finding: Ken Olson, Senior Program Analyst, is responsible for submitting the 50058s to PIC. He will regularly review and correct errors and resubmit as needed. Name(s) of the contact person(s) responsible for corrective action: Ken Olson, Senior Program Analyst Planned completion date for corrective action plan: immediately
View Audit 305205
Finding 395580 (2022-002)
Significant Deficiency 2022
Sacramento Housing and Revelopment Agency
CA
HUD Housing Programs Subrecipient Monitoring Eligibility
Housing Choice Voucher Cluster – Assistance Listing No. 14.871/14.879 Recommendation: We recommend management should designate one person to review a sample of the files that have been recertified each month. The purpose of the review is to determine if the tenant files Were prepared in accordance w...
Housing Choice Voucher Cluster – Assistance Listing No. 14.871/14.879 Recommendation: We recommend management should designate one person to review a sample of the files that have been recertified each month. The purpose of the review is to determine if the tenant files Were prepared in accordance with internal policies and verify the compliance deficiencies have been corrected. Explanation of disagreement with audit finding: There is no disagreement with the audit finding. Explanation of disagreement with audit finding: There is no disagreement with the audit finding. Action taken in response to finding: Melanie Olson, Program Manager for the Operations Unit, is working with her management team to regularly review a sample of completed recertification from each of the staff in this unit. File reviews are important, not only for quality control purposes but also to review staff performance and to provide additional training/clarification as needed. Name(s) of the contact person(s) responsible for corrective action: Melanie Olson Planned completion date for corrective action plan: immediately
View Audit 305205
Finding 395460 (2022-003)
Material Weakness 2022
Mercer County
NJ
Material Weakness Reporting
Please be informed, due to the late filing of the single audit, the corrective action plan will be completed with the 2023 single audit.
Please be informed, due to the late filing of the single audit, the corrective action plan will be completed with the 2023 single audit.
View Audit 305165
Mercer County
NJ
Please be informed, due to the late filing of the single audit, the corrective action plan will be completed with the 2023 single audit.
Please be informed, due to the late filing of the single audit, the corrective action plan will be completed with the 2023 single audit.
View Audit 305165
Finding 395438 (2022-001)
Significant Deficiency 2022
Mercer County
NJ
Reporting Significant Deficiency
Please be informed, due to the late filing of the single audit, the corrective action plan will be completed with the 2023 single audit.
Please be informed, due to the late filing of the single audit, the corrective action plan will be completed with the 2023 single audit.
View Audit 305165
Finding 395405 (2022-002)
Significant Deficiency 2022
Community Services Consortium
OR
Subrecipient Monitoring Reporting Significant Deficiency
Information on the Federal Program: Assistance Listing Number 93.600 – Head Start Cluster, United States Department of Health & Human Services. Pass-Through Entity: N/A. Award Number: 10CH011432. Compliance Requirements: Reporting. Type of Finding: Material Noncompliance. Criteria: The entity should...
Information on the Federal Program: Assistance Listing Number 93.600 – Head Start Cluster, United States Department of Health & Human Services. Pass-Through Entity: N/A. Award Number: 10CH011432. Compliance Requirements: Reporting. Type of Finding: Material Noncompliance. Criteria: The entity should have a system of internal controls in place to ensure submission of applicable reports on a timely basis. Condition: During our compliance testing, we noted the SF-429 report was not submitted as required. Cause: We believe accounting staff turnover and inexperienced replacements during the year under audit were led to the lack of and/or failure in internal controls. Effect: The required report was not submitted to the agency. Identification of Repeat Finding: This is not a repeat finding. Recommendation: Staff turnover appears to have stabilized with the new finance director and the changes she implemented related to procedures and staffing. CSC may consider obtaining part-time or temporary assistance to help with fiscal year clean-up/close out to avoid similar problems with the accounting records in the current fiscal year due to a lack of time for current staff to prepare the accounting records while also performing their normal duties. Action Taken: We concur with the recommendation and have begun adding staff and restructuring the Finance Department. We have brought in 3 contract employees to assist with audits, have added an operations supervisor to assist with internal control implementations, and are actively recruiting a temporary accounting tech and a permanent accounting analyst to round out our team. We have also restricted the area of supervision of the grants supervisor to grants only rather than all financial operations. Given the large number of grants processed through CSC, we believe that having an individual dedicated to ensuring compliance on our grants will ensure that this type of significant deficiency will not continue. Names(s) and Title(s) of Responsible Person(s): Katie Henry, Finance Director
View Audit 305159
Finding 395401 (2022-004)
Significant Deficiency 2022
City of Huntington Park
CA
Procurement, Suspension & Debarment § 200.318
Management Response and Corrective Action Plan City's Response: The City concurs with the recommendation. Corrective Action Plan: The City will continue to address this finding through updating of policies and procedures for City-wide use. Update: in November 2023 the City updated the policies and p...
Management Response and Corrective Action Plan City's Response: The City concurs with the recommendation. Corrective Action Plan: The City will continue to address this finding through updating of policies and procedures for City-wide use. Update: in November 2023 the City updated the policies and procedures manual that was accepted by the DOJ in December 2023. Planned Implementation Date: June 30, 2024 Responsible Person: Finance Department
View Audit 305135
Finding 395400 (2022-003)
Material Weakness 2022
City of Huntington Park
CA
Reporting § 200.512
Management Response and Corrective Action Plan City's Response: The City concurs with the recommendation Corrective Action Plan: The Finance Department continues to bring its accounting records and account reconciliations up to date and is working on having the financial statements and Single Audits...
Management Response and Corrective Action Plan City's Response: The City concurs with the recommendation Corrective Action Plan: The Finance Department continues to bring its accounting records and account reconciliations up to date and is working on having the financial statements and Single Audits prepared in a timely manner. The City is also working on developing, documenting, and implementing policies and procedures for timely submission of the Single Audit Reporting Package. As of March 2024, the City has had all audits through FY 2022 completed and is completing the FY 2022 single audit in April 2024. Planned Implementation Date: June 30, 2024 Responsible Person: Director of Finance
View Audit 305135
Finding 395399 (2022-002)
Significant Deficiency 2022
City of Huntington Park
CA
Reporting
Management Response and Corrective Action Plan City's Response: The City concurs with the finding. Corrective Action Plan: Finance staff will be trained to monitor the different grants that are received and appropriately record the data. A third-party consultant has established a reconciliation and ...
Management Response and Corrective Action Plan City's Response: The City concurs with the finding. Corrective Action Plan: Finance staff will be trained to monitor the different grants that are received and appropriately record the data. A third-party consultant has established a reconciliation and tracking system for grants. Planned Implementation Date: Began in Q4 FY 2023 and continues in FY 2024 Responsible Person: Finance Staff
View Audit 305135
Finding 395398 (2022-001)
Significant Deficiency 2022
City of Huntington Park
CA
Procurement, Suspension & Debarment Internal Control / Segregation of Duties Reporting
Management Response and Corrective Action Plan City's Response: The City concurs with the finding. The staff responsible for this control during FY 2022 are no longer employed by the City. Corrective Action Plan: Current City Finance staff in conjunction with a third-party organization, Michael Bake...
Management Response and Corrective Action Plan City's Response: The City concurs with the finding. The staff responsible for this control during FY 2022 are no longer employed by the City. Corrective Action Plan: Current City Finance staff in conjunction with a third-party organization, Michael Baker, to ensure timely filing. Planned Implementation Date: started in Q4 FY 2023 and has continued into FY 2024
View Audit 305135
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