Corrective Action Plans

Browse how organizations respond to audit findings

Total CAPs
48,653
In database
Filtered Results
46,113
Matching current filters
Showing Page
18 of 1845
25 per page

Filters

Clear
OBI will update current purchasing and procurement policy to specifically address the acquisition of property or services using federal grant funds to ensure adherence to Federal procurement standards in 2 CFR Part 200 sections 200.317-200.327. Our policy will outline requirements regarding vendor s...
OBI will update current purchasing and procurement policy to specifically address the acquisition of property or services using federal grant funds to ensure adherence to Federal procurement standards in 2 CFR Part 200 sections 200.317-200.327. Our policy will outline requirements regarding vendor selection and vendor qualification. It will address the simplified acquisition threshold, micro purchases threshold, and the formal procurement methods that must be adhered to when the value exceeds those thresholds. The policy will include when sealed bids, proposals/requests for proposals are required and when sole source procurement is appropriate and allowable. Whenever sole source procurement is used, the rationale will be documented and approved. Our policy will include language requiring that all vendors and contractors paid using federal funds be checked for federal suspension & debarment using Sam.gov. Vendors found on the exclusion list will not be paid using federal funds. The policy outlines requirements for written approvals and documentation of all procurements. Additionally, OBI has implemented procedures to ensure that at the point of receiving the Notice of Award, any federal money or grant awarded to OBI will be immediately communicated to the CFO, Controller, and the Senior Accountant. Person(s) Responsible: Senior Accountant with review and approvals from Controller and CFO Estimated Completion Date: January 31, 2026
2025-001: Missing Exit Counseling Documentation - Student Financial Aid Cluster Assistance Listing Number 84.007, 84.033, 84.063, 84.268, Grant Period - Year Ended June 30, 2025 Condition Found During our student file testing, we noted four students out of forty did not have documentation in their f...
2025-001: Missing Exit Counseling Documentation - Student Financial Aid Cluster Assistance Listing Number 84.007, 84.033, 84.063, 84.268, Grant Period - Year Ended June 30, 2025 Condition Found During our student file testing, we noted four students out of forty did not have documentation in their file that exit counseling was sent thirty days after the student withdrew. We consider the missing exit counseling to be a instance of noncompliance with the Eligibility Compliance Requirement. This is a repeat finding, see Prior Year Audit Findings 2024-002. Corrective Action Plan LLCC has developed reports to identify students who require exit counseling. The Financial Aid Compliance Coordinator is responsible for overseeing and administering exit counseling process for students who are graduating, withdrawing, or dropping below half-time enrollment. Responsibilities include ensuring compliance with federal regulations, providing accurate loan repayment information, and maintaining proper documentation of completed counseling sessions. Responsible Person for Corrective Action Plan Alison Mills Implementation Date of Corrective Action Plan FY26
2025-002 Child Nutrition Cluster – 10.CNC Recommendation: CLA recommends the District ensure its policies are in effect by verifying vendors are not suspended or debarred and proper documentation is maintained of this verification. Explanation of disagreement with audit finding: There is no disagree...
2025-002 Child Nutrition Cluster – 10.CNC Recommendation: CLA recommends the District ensure its policies are in effect by verifying vendors are not suspended or debarred and proper documentation is maintained of this verification. Explanation of disagreement with audit finding: There is no disagreement with the audit finding. Action planned/taken in response to finding: The District will review its internal controls and implement a procedure to ensure vendors are not suspended or debarred. Name of the contact person responsible for corrective action: Kim Sinclair, District Business Manager. Planned completion date for corrective action plan: June 30, 2026
The Academy has put in place a review process within the Food Services Team to ensure future deadlines are met.
The Academy has put in place a review process within the Food Services Team to ensure future deadlines are met.
The Academy has already resolved this process, since we did get the current Food Service contract for the 25-26 school year approved by the Board in August 2025 and will continue to do so every year going forward.
The Academy has already resolved this process, since we did get the current Food Service contract for the 25-26 school year approved by the Board in August 2025 and will continue to do so every year going forward.
The Academy has now put a control in place with the Accounts Payable Team, to review vendors, expected to be paid more than $25,000 on Sam.gov for active suspensions or disbarments.
The Academy has now put a control in place with the Accounts Payable Team, to review vendors, expected to be paid more than $25,000 on Sam.gov for active suspensions or disbarments.
The Academy has now put a control in place in which the Business Manager at each district reviews the monthly reimbursement request to ensure it agrees to the daily counts' spreadsheet.
The Academy has now put a control in place in which the Business Manager at each district reviews the monthly reimbursement request to ensure it agrees to the daily counts' spreadsheet.
View Audit 374247 Questioned Costs: $1
CONTACT PERSON: Matt Pettit, Chief Financial Officer, matthew.pettit@cherokee1.org CORRECTIVE ACTION: The District will ensure that all employees charged to the Title I program have appropriate time and effort documentation. PROPOSED COMPLETION DATE: Prior to June 30, 2026
CONTACT PERSON: Matt Pettit, Chief Financial Officer, matthew.pettit@cherokee1.org CORRECTIVE ACTION: The District will ensure that all employees charged to the Title I program have appropriate time and effort documentation. PROPOSED COMPLETION DATE: Prior to June 30, 2026
CONTACT PERSON: Matt Pettit, Chief Financial Officer, matthew.pettit@cherokee1.org CORRECTIVE ACTION: The District will ensure that it does not use local exemptions for any federal programs. PROPOSED COMPLETION DATE: Prior to June 30, 2026
CONTACT PERSON: Matt Pettit, Chief Financial Officer, matthew.pettit@cherokee1.org CORRECTIVE ACTION: The District will ensure that it does not use local exemptions for any federal programs. PROPOSED COMPLETION DATE: Prior to June 30, 2026
View Audit 374232 Questioned Costs: $1
Finding Number Federal Programs Audit: 2025-001; Responsible Person: Kristen Curtis, Food Service Director. Holly Kleyn, Assitant Superintendent of Finance; Management Views: Management agrees with the finding and is in the proess of implementing the recommendation.; Corrective Action: The District ...
Finding Number Federal Programs Audit: 2025-001; Responsible Person: Kristen Curtis, Food Service Director. Holly Kleyn, Assitant Superintendent of Finance; Management Views: Management agrees with the finding and is in the proess of implementing the recommendation.; Corrective Action: The District has implemented internal controls to ensure the accuracy and integrity of reimbursement claims prior to submission to the State agency. As part of this process, a reimbursement claim report is generated and reviewed for potential anomalies, including but not limited to the number of students served and the number of operating days reported. These data points are then reconciled against site-level production records to confirm alignment and accuracy. In the event discrepancies are identified, the District requires the site lead to provide clarification and supporting documentation. Necessary corrections are made prior to laim submission. Furthermore, corrective action includes retraining of the site lead to mitigate recurrence of similar errors and to reinforce compliance with federal and state program requirements. These procedures were in place before fiscal year-end to maintain the accuracy of reimursement claims and to ensure compliance with all applicable program regulations.; Anticipated Completion Date: Procedures were in place before fiscal year-end.
The Academy has already resolved this process, since we did get the current Food Service contract for the 25-26 school year approved by the Board in August 2025 and will continue to do so every year going forward.
The Academy has already resolved this process, since we did get the current Food Service contract for the 25-26 school year approved by the Board in August 2025 and will continue to do so every year going forward.
The Academy has now put a control in place with the Accounts Payable Team, to review vendors, expected to be paid more than $25,000 on Sam.gov for active suspensions or disbarments.
The Academy has now put a control in place with the Accounts Payable Team, to review vendors, expected to be paid more than $25,000 on Sam.gov for active suspensions or disbarments.
The Academy has now put a control in place in which the Business Manager at each district reviews the monthly reimbursement request to ensure it agrees to the daily counts' spreadsheet.
The Academy has now put a control in place in which the Business Manager at each district reviews the monthly reimbursement request to ensure it agrees to the daily counts' spreadsheet.
View Audit 374212 Questioned Costs: $1
Inaccurate and Untimely Returns of Title IV Funds (R2T4) Planned Corrective Action: The R2T4 findings were applicable to online students who may have stopped attending but neglected to initiate the withdrawal process. The students were assigned failing grades but were considered unofficial withdrawa...
Inaccurate and Untimely Returns of Title IV Funds (R2T4) Planned Corrective Action: The R2T4 findings were applicable to online students who may have stopped attending but neglected to initiate the withdrawal process. The students were assigned failing grades but were considered unofficial withdrawals. The financial aid office will review failing grades at the end of each module more closely by comparing the attendance record in the SIS (Campus Cafe) with the relevant online course sites (Moodle) to ensure the last date of attendance corresponds to the last activity date from the course site. In addition, the financial aid office will consult with the academic departments to ensure attendance records are properly entered on both the SIS and online course platforms. The financial aid office will work with our third-party servicer, FA Solutions, to process R2T4s for any online student with failing grade who attended less than 60% of a module or modules, unless the student meets other conditions that exempt them from the R2T4 calculation. Person Responsible for Corrective Action Plan: Jean-Claude St. Juste, Director of Financial Aid. Anticipated Date of Completion: February 27, 2026
Finding 2025-001 Late Reporting and Noncompliance with Reporting Requirements Name of Contact Person: Jarrett J Roethke Corrective Action Plan: Action 1: Establish Internal Reporting Calendar • Create a detailed internal reporting schedule that sets deadlines 15 days prior to the official due date. ...
Finding 2025-001 Late Reporting and Noncompliance with Reporting Requirements Name of Contact Person: Jarrett J Roethke Corrective Action Plan: Action 1: Establish Internal Reporting Calendar • Create a detailed internal reporting schedule that sets deadlines 15 days prior to the official due date. • Calendar will include responsible staff, required documentation, and checkpoints. Responsible Party: CFO Proposed Completion Date: Within 30 days Action 2: Implement a Reminder & Tracking System • Add all reporting deadlines to the shared organizational calendar with automatic reminders at 30, 15, and 5 days before the deadline. • Use a simple project-tracking tool (e.g., Smartsheet, Teams Planner, or internal system) to monitor report progress. Responsible Party: Grants Coordinator Proposed Completion Date: Within 45 days Action 3: Designate Backup Staff & Cross-Training Identify and train a secondary staff member to prepare and submit quarterly financial reports in the absence of the primary responsible employee. Create a documented checklist for the reporting process to support consistent review. Responsible Party: CFO, Grant Coordinator Proposed Completion Date: Within 60 days
Contact person(s) responsible: Tiffany Tucker, Fiscal Director Corrective Action Planned: When placing a new participant in a HUD funded housing program, or upon relocation of an existing participant, Program Management wil l conduct a review of the staff prepared Utility Allowance and Rent Reasonab...
Contact person(s) responsible: Tiffany Tucker, Fiscal Director Corrective Action Planned: When placing a new participant in a HUD funded housing program, or upon relocation of an existing participant, Program Management wil l conduct a review of the staff prepared Utility Allowance and Rent Reasonable documentation to confirm calculations have been completed accurately and all supporting documentation is present. Program Management will indicate by signature on the File Checklist that they have confirmed all Utility Allowance and Rent Reasonable documentation is present and accurate. The File Checklist is submitted to the fiscal department prior to first payment for a new participant and upon relocation of an existing participant. Program Management will conduct a retrospective review of all current files to ensure Utilit y Allowance and Rent Reasonable documentation is completed accurately and all supporting documentation is present. Anticipated Completion Date: December 31, 2025
Planned Corrective Action 1.Corrective Action Already Taken •Staff involved in ARP-ESSER closeout have been briefed on the specific compliance failure and the regulatory requirement under 2 CFR § 200.344(c). 2.Corrective Actions to Prevent Recurrence A . Strengthened Reimbursement Request Review Pro...
Planned Corrective Action 1.Corrective Action Already Taken •Staff involved in ARP-ESSER closeout have been briefed on the specific compliance failure and the regulatory requirement under 2 CFR § 200.344(c). 2.Corrective Actions to Prevent Recurrence A . Strengthened Reimbursement Request Review Process •No reimbursement request may be submitted without a two-step compliance review: 1.Grant Coordinator Review – Verifies liquidation occurred before the federal deadline and confirms documentation accuracy. 2.Finance Director Approval – Confirms federal compliance and signs off before submission. •Claims based solely on obligation without liquidation confirmation are now prohibited. B. Staff Training and Compliance Reinforcement •Annual training on federal grant compliance—including obligations, liquidation, period of performance, and closeout requirements under 2 CFR Part 200—will be provided to all finance, grants, and program staff. •Staff with direct responsibility for reimbursement claims will receive targeted training on liquidation rules. C. Internal Monitoring and Audit Review •Quarterly internal audits will be conducted to ensure: oExpenditures are liquidated within allowable periods. oThe new controls are functioning as intended. oAny exceptions are immediately corrected and reported to the Superintendent. 3.Person(s) Responsible for Corrective Action •Finance Director – Oversight of grant compliance, monitoring, approvals, and reporting. •Grant Coordinator – Daily oversight of liquidation timelines, tracking logs, documentation, and extension requests. 4.Anticipated Completion Date •Initial corrective actions implemented: March 2026. •Full implementation of revised policies, procedures, training, and documentation: June 30, 2026.
View Audit 374178 Questioned Costs: $1
Federal Assistance Listing No. 93.224 Health Center Program Cluster Award #: H80CS26510, Award year: March 1, 2023 – February 29, 2025, extended to February 28, 2026 U.S. Department of Health and Human Services Criteria: Special Tests and Provision: Sliding Fee Discounts (42 USC 254(k)(3)(g); 42 CFR...
Federal Assistance Listing No. 93.224 Health Center Program Cluster Award #: H80CS26510, Award year: March 1, 2023 – February 29, 2025, extended to February 28, 2026 U.S. Department of Health and Human Services Criteria: Special Tests and Provision: Sliding Fee Discounts (42 USC 254(k)(3)(g); 42 CFR sections 51c.303(g); and 42 CFR sections 56.303 (f)) Condition: Patients received a sliding fee discount that was inconsistent with the stated sliding fee discount categories under the Organization’s policy. Questioned Costs: None Context: A sample of 25 encounters out of a population of 6,030 encounters were tested and 2 errors were noted where patients received an incorrect sliding fee adjustment. The sampling methodology used is not and is not intended to be statistically valid. Two patients received a sliding fee adjustment that was inconsistent with the approved policy for the proper sliding fee adjustments based on their income documentation. Effect: Sliding fee discounts were given to patients that were inconsistent with the Organization’s sliding fee discount policy. Cause: The Organization did not comply with their sliding fee policy. Identification as a repeat finding: Not a repeat finding. Recommendation: We recommend management continue to ensure all personnel understand the sliding fee scale policy and adhere to the requirements and guidelines set forth in the policy. Procedures should be implemented to ensure that eligible patients receive discounts in accordance with the sliding fee scale. CLIENT PLANNED ACTION: A new integrated EHR was implemented and will standardize and improve the accuracy and consistency of Sliding Fee Discount data entry, streamline training, auditing and compliance activities related to the Sliding Fee Discount Program going forward. In direct response to this finding related to the dental program, supplemental training has been developed to enhance existing programs. Dental front desk and billing staff will complete this required training by end of January 2026. Quarterly internal audits of the Sliding Fee Discount Program are conducted in the new EHR by the Director of Reimbursement, sampling all CHC locations with dental encounters included each time. Results are used to track compliance trends and trigger targeted training or oversight for locations or staff to ensure eligible patients receive appropriate income-based discounts. CLIENT RESPONSIBLE PARTY: JC Carrica III, Chief Administrative Officer (CAO) COMPLETION DATE: • Sliding Fee Discount Program quarterly audits – ongoing. • Identified staff will complete the specialized training session by January 31, 2026.
DEPARTMENT OF AGRICULTURE 2025 – 002 Community Facilities Loans and Grants Recommendation: The Medical Center should work with the USDA to determine what reserve accounts are required, or to the extent they are not required, properly document that understanding in writing with the USDA. Action taken...
DEPARTMENT OF AGRICULTURE 2025 – 002 Community Facilities Loans and Grants Recommendation: The Medical Center should work with the USDA to determine what reserve accounts are required, or to the extent they are not required, properly document that understanding in writing with the USDA. Action taken in response to finding: The Medical Center will work with the USDA to agree to the reserve funding requirements in writing or fund the accounts as required. Name of the contact person responsible for corrective action: Brittany Mooney, Chief Financial Officer. Planned completion date for corrective action plan: December 31, 2025
The Office of the Registrar will continue to submit enrollment data to the National Student Clearinghouse via the current schedule. The Office of the Registrar will investigate and resolve any errors returned by the National Student Clearinghouse. After the enrollment data is transferred from the NS...
The Office of the Registrar will continue to submit enrollment data to the National Student Clearinghouse via the current schedule. The Office of the Registrar will investigate and resolve any errors returned by the National Student Clearinghouse. After the enrollment data is transferred from the NSC to NSLDS the Registrar's office will review the data in NSLDS for any discrepancies including cross-checking graduation files and complete withdrawals. Any inconsistencies will be discussed and timely resolved by the applicable units and officially updated in NSLDS and NSC respectively. The University will keep track of any changes manually made within the NSLDS or NSC database by university representatives, so that the student information system, NSC, and NSLDS records are in-sync.
Corrective Action Plan (Management Response): The District acknowledges the finding and has initiated corrective measures:1. Policy Development: Draft comprehensive written policies and procedures addressing procurement, allowable costs, eligibility, reporting, and record retention for all major fed...
Corrective Action Plan (Management Response): The District acknowledges the finding and has initiated corrective measures:1. Policy Development: Draft comprehensive written policies and procedures addressing procurement, allowable costs, eligibility, reporting, and record retention for all major federal programs. 2. Approval and Adoption: Policies will be reviewed and formally adopted by the Board of Trustees prior to acceptance of further federal grants. 3. Training and Implementation: Staff responsible for federal program administration will be trained on the new procedures. Training materials will include checklists and step by step guides to ensure consistent application. 4. Monitoring: The District will conduct quarterly reviews of federal programs (if applicable) to ensure compliance. Exceptions will be documented and corrective action taken immediately.
This finding will not completely resolve itself given the cost/benefits basis the Organization continues to base this decision on.
This finding will not completely resolve itself given the cost/benefits basis the Organization continues to base this decision on.
This finding will not completely resolve itself given the cost/benefit basis the Organization continues to make.
This finding will not completely resolve itself given the cost/benefit basis the Organization continues to make.
Management agrees with the auditor’s finding and their recommendation. The School returned $37 of Pell Grant Funds on November 25, 2025. Communication will be improved between the financial aid office and the registrar. Procedures will be improved to ensure that R2T4s are calculated correctly. Antic...
Management agrees with the auditor’s finding and their recommendation. The School returned $37 of Pell Grant Funds on November 25, 2025. Communication will be improved between the financial aid office and the registrar. Procedures will be improved to ensure that R2T4s are calculated correctly. Anticipated Completion Date: The corrective action was completed on November 25, 2025. Contact Person Valorie Quesenberry, Financial Aid Coordinator 513-763-6659
View Audit 374120 Questioned Costs: $1
CORRECTIVE ACTION PLAN 2025-001 – REPORTING AND SPECIAL TESTS: Auditee’s Response and Planned Corrective Action Planned Implementation In Response to our 2025 Audit, it was noted that Bourne Housing Authority’s SEMAP report was not sent in a timely manner. The new Executive Director at that time was...
CORRECTIVE ACTION PLAN 2025-001 – REPORTING AND SPECIAL TESTS: Auditee’s Response and Planned Corrective Action Planned Implementation In Response to our 2025 Audit, it was noted that Bourne Housing Authority’s SEMAP report was not sent in a timely manner. The new Executive Director at that time was not aware it was due to be done due to the recent turnover and staffing. We have already started putting together our next SEMAP so that we are ahead of the game and will work with the HCVP administrator on this reporting. Bourne Housing Authority plans to be on time with reporting moving forward Person Responsible for Corrective Action: Kara Galasso Garcia, Executive Director and the Admin for HCVP
« 1 16 17 19 20 1845 »