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Corrective Action Plans

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Finding 23444 (2022-050)
Significant Deficiency 2022
State of Rhode Island
RI
Subrecipient Monitoring § 200.331 § 200.332 § 200.501 § 200.521
Finance and the Office of Highway Safety will work together to create policies and procedures to ensure compliance with subrecipient monitoring. Anticipated Completion Date: September 30, 2023 Contact Person: Loren Doyle, Acting Chief Operating Officer / Chief Financial Officer Department of Trans...
Finance and the Office of Highway Safety will work together to create policies and procedures to ensure compliance with subrecipient monitoring. Anticipated Completion Date: September 30, 2023 Contact Person: Loren Doyle, Acting Chief Operating Officer / Chief Financial Officer Department of Transportation loren.doyle@dot.ri.gov
View Audit 23102
Finding 23443 (2022-049)
Material Weakness 2022
State of Rhode Island
RI
Reporting § 200.502 § 200.510
2022-049a ? Finance and the Office of Highway Safety will work together to create policies and procedures for the completion and submission of the Highway Safety Plan. 2022-049b ? Finance and the Office of Highway Safety will work together to create policies and procedures for the completion and su...
2022-049a ? Finance and the Office of Highway Safety will work together to create policies and procedures for the completion and submission of the Highway Safety Plan. 2022-049b ? Finance and the Office of Highway Safety will work together to create policies and procedures for the completion and submission of the Federal reimbursement voucher. 2022-049c ? DOT is working with DOA Accounts and Control to develop and implement policies to ensure Federal expenditures are not duplicated in the State system and on the SEFA. Anticipated Completion Date: September 30, 2023 Contact Person: Loren Doyle, Acting Chief Operating Officer / Chief Financial Officer Department of Transportation loren.doyle@dot.ri.gov
View Audit 23102
Finding 23442 (2022-048)
Significant Deficiency 2022
State of Rhode Island
RI
Allowable Costs / Cost Principles Period of Performance
Finance and the Office of Highway Safety will work together to create policies and procedures to ensure compliance with Period of Performance. Anticipated Completion Date: September 30, 2023 Contact Person: Loren Doyle, Acting Chief Operating Officer / Chief Financial Officer Department of Transpo...
Finance and the Office of Highway Safety will work together to create policies and procedures to ensure compliance with Period of Performance. Anticipated Completion Date: September 30, 2023 Contact Person: Loren Doyle, Acting Chief Operating Officer / Chief Financial Officer Department of Transportation loren.doyle@dot.ri.gov
View Audit 23102
Finding 23441 (2022-047)
Significant Deficiency 2022
State of Rhode Island
RI
Matching / Level of Effort / Earmarking Questioned Costs Subrecipient Monitoring
Finance and the Office of Highway Safety will work together to create policies and procedures to ensure compliance with earmarking. Anticipated Completion Date: September 30, 2023 Contact Person: Loren Doyle, Acting Chief Operating Officer / Chief Financial Officer Department of Transportation lor...
Finance and the Office of Highway Safety will work together to create policies and procedures to ensure compliance with earmarking. Anticipated Completion Date: September 30, 2023 Contact Person: Loren Doyle, Acting Chief Operating Officer / Chief Financial Officer Department of Transportation loren.doyle@dot.ri.gov
View Audit 23102
Finding 23440 (2022-046)
Significant Deficiency 2022
State of Rhode Island
RI
Matching / Level of Effort / Earmarking Questioned Costs
Effective March 8, 2023, the Maintenance of Effort (MOE) is no longer required. This elimination of this requirement was part of a Federal Register published on February 6, 2023. 23 CFR part 1300 (Docket No. NHTSA-2022-0036) states: The 5-State DOTs acknowledged that NHTSA removed the Maintenance ...
Effective March 8, 2023, the Maintenance of Effort (MOE) is no longer required. This elimination of this requirement was part of a Federal Register published on February 6, 2023. 23 CFR part 1300 (Docket No. NHTSA-2022-0036) states: The 5-State DOTs acknowledged that NHTSA removed the Maintenance of Effort (MOE) requirement in the NPRM and requested that NHTSA retain that change. The BIL removed this requirement, and therefore NHTSA retains that change. Anticipated Completion Date: Completed Contact Person: Loren Doyle, Acting Chief Operating Officer / Chief Financial Officer Department of Transportation loren.doyle@dot.ri.gov
View Audit 23102
Finding 23439 (2022-038)
Significant Deficiency 2022
State of Rhode Island
RI
Subrecipient Monitoring
We agree with the recommendations and are actively taking steps to address the noncompliance. We expect these steps will result in more consistent FFATA reporting by state agencies with applicable subawards. ? The Grant Management System implemented in December 2022 includes a dedicated section for...
We agree with the recommendations and are actively taking steps to address the noncompliance. We expect these steps will result in more consistent FFATA reporting by state agencies with applicable subawards. ? The Grant Management System implemented in December 2022 includes a dedicated section for each subrecipient at the entity level for the collection of required information for FFATA reporting. If an agency has a subaward that meets the FFATA threshold, key information they need for FFATA reporting is easily accessible. ? Provided mandatory FFATA reporting training for all state agencies with active subawards. The training was conducted 2/8/23. ? Launched a dedicated FFATA reporting page on the Grants Management Office website which contains training resources and a helpful FFATA reporting worksheet. ? Forthcoming FFATA reporting policy. Expected in first half of 2023. Anticipated Completion Date: September 30, 2023 Contact Person: Steve Thompson, Chief of Strategic Planning, Monitoring and Evaluation Department of Administration, Office of Management & Budget, Grants Management Office steve.thompson@omb.ri.gov
View Audit 23102
Finding 23436 (2022-045)
Material Weakness 2022
State of Rhode Island
RI
Allowable Costs / Cost Principles Questioned Costs Cash Management
These reimbursements will be reviewed by an independent individual for accuracy. Anticipated Completion Date: Immediately Contact Person: Caroline Muldoon, Grants Specialist Rhode Island Public Transit Authority cmuldoon@ripta.com
These reimbursements will be reviewed by an independent individual for accuracy. Anticipated Completion Date: Immediately Contact Person: Caroline Muldoon, Grants Specialist Rhode Island Public Transit Authority cmuldoon@ripta.com
View Audit 23102 Questioned Costs: $1
Finding 23435 (2022-044)
Material Weakness 2022
State of Rhode Island
RI
Allowable Costs / Cost Principles Cash Management Eligibility
This documentation will include expense reimbursements being prepared based on the Authority?s general ledger going forward. Anticipated Completion Date: Immediately Contact Person: Caroline Muldoon, Grants Specialist Rhode Island Public Transit Authority cmuldoon@ripta.com
This documentation will include expense reimbursements being prepared based on the Authority?s general ledger going forward. Anticipated Completion Date: Immediately Contact Person: Caroline Muldoon, Grants Specialist Rhode Island Public Transit Authority cmuldoon@ripta.com
View Audit 23102
Finding 23431 (2022-043)
Significant Deficiency 2022
State of Rhode Island
RI
Questioned Costs Reporting Internal Control / Segregation of Duties
The DLT will develop and implement procedures for a secondary review to be performed on all reports prior to submission. Deadlines will be prepared that allows sufficient time for preparation of all reports, a secondary review, a period for corrections to be made, and for timely submission in accor...
The DLT will develop and implement procedures for a secondary review to be performed on all reports prior to submission. Deadlines will be prepared that allows sufficient time for preparation of all reports, a secondary review, a period for corrections to be made, and for timely submission in accordance with the federal requirements. Anticipated Completion Date: June 30, 2023 Contact Persons: Denise Paquet, Assistant Director of Business Affairs Department of Labor & Training denise.paquet@dlt.ri.gov Donna Murray, Assistant Director of Labor Market Information Department of Labor & Training donna.murray@dlt.ri.gov
View Audit 23102
Finding 23430 (2022-042)
Material Weakness 2022
State of Rhode Island
RI
Questioned Costs Reporting
A path is set to address movement on the 15% project with a phased approach. Discussions on non-relief of charges will begin when programming for the 15% project is complete. The programming to implement the 15% will require IT resources that are also utilized for other competing projects. Theref...
A path is set to address movement on the 15% project with a phased approach. Discussions on non-relief of charges will begin when programming for the 15% project is complete. The programming to implement the 15% will require IT resources that are also utilized for other competing projects. Therefore, discussions with the Executive Office and UI management will be ongoing to prioritize this work and ensure that it does get implemented. Anticipated Completion Date: January 31, 2024 Contact Person: Dyana Bogan, Labor & Training Administrator Department of Labor & Training dyana.bogan@dlt.ri.gov
View Audit 23102
Finding 23429 (2022-041)
Material Weakness 2022
State of Rhode Island
RI
Eligibility Questioned Costs
2022-041a ? In April 2022, the Department implemented a new, modernized front end application. This application utilizes advanced fraud technology by partnering with Lexis Nexis. Claimant identity information is scrubbed and claimants who have a high potential for fraud are required to contact the...
2022-041a ? In April 2022, the Department implemented a new, modernized front end application. This application utilizes advanced fraud technology by partnering with Lexis Nexis. Claimant identity information is scrubbed and claimants who have a high potential for fraud are required to contact the Call Center for additional identity verification. Those not at high risk are presented identity verification quizzes before being allowed to file a claim for unemployment insurance. In April 2023, the Department is looking into additional enhancements to the existing Lexis Nexis tools as part of an ongoing effort to enhance fraud detection and prevention while also ensuring the system is accessible to claimants. In addition, the Department is discussing other technology possibilities that can assist in the identity verification process. We are hopeful to partner with DOL through TIGER TEAMS funding to achieve this. Anticipated Completion Date: December 31, 2023 2022-041b ? Regarding claw backs of ID theft overpayments, the Department has been collaborating with USDOL, other Region 1 states and Business Affairs to identify the best process for recovering ID theft fraud claw backs. Part of this work would involve enhancing the overpayment system to record these types of overpayments properly. Anticipated Completion Date: March 31, 2024 Contact Person: Dyana Bogan, Labor & Training Administrator Department of Labor & Training dyana.bogan@dlt.ri.gov
View Audit 23102 Questioned Costs: $1
State of Rhode Island
RI
Allowable Costs / Cost Principles Questioned Costs
2022-037a ? The Department disagrees with the classification that these costs are questionable. Prior to the issuance of this single audit, the Department began conversations with our federal cognizant agency to amend the 2022 and 2023 SWCAP budget submissions to reflect these costs. Our federal p...
2022-037a ? The Department disagrees with the classification that these costs are questionable. Prior to the issuance of this single audit, the Department began conversations with our federal cognizant agency to amend the 2022 and 2023 SWCAP budget submissions to reflect these costs. Our federal partner agreed with this methodology and agreed that these costs are allowable and this was simply an administrative error. Anticipated Completion Date: June 1, 2023 (subject to federal partner timeline) 2022-037b ? The Department began conversations with our federal cognizant agency to amend the 2022 and 2023 SWCAP budget submissions to reflect these costs prior to the issuance of this audit report. Anticipated Completion Date: May 15, 2023 (subject to federal partner timeline) Contact Person: Alex Herald, Administrator of Financial Management Department of Administration, Office of Accounts & Control alexander.herald@doa.ri.gov
View Audit 23102 Questioned Costs: $1
Finding 23424 (2022-040)
Significant Deficiency 2022
State of Rhode Island
RI
Subrecipient Monitoring Internal Control / Segregation of Duties Eligibility
2022-040a ? The State will expand its formalized risk assessment procedures for the MMIS and RIBridges by enhancing its documentation of the responsibilities of the various State agencies that utilize and manage the systems. 2022-040b ? The MARSE-2.2 Security Framework implemented for RIBridges, in...
2022-040a ? The State will expand its formalized risk assessment procedures for the MMIS and RIBridges by enhancing its documentation of the responsibilities of the various State agencies that utilize and manage the systems. 2022-040b ? The MARSE-2.2 Security Framework implemented for RIBridges, including a formal Risk Assessment performed on RIBridges at startup that determined the System Security and Privacy Control Plan (SSP) that has been implemented. All new system changes are assessed and the SSP controls are updated to remain compliant as needed. The SSP is assessed annual by a third party auditor and defects in the controls are tracked on the system POAM for these as well as other defects that are identified through continuous monitoring and other audits. A General Attestation (in lieu of SOC2 Type2) is in progress for next fiscal year and this will be one of the corrective actions. Anticipated Completion Date: Ongoing Contact Person: Deb Merrill, Information Security Officer Department of Administration, Division of Information Technology deb.merrill@doit.ri.gov
View Audit 23102
Finding 23423 (2022-001)
Significant Deficiency 2022
Montgomery County Housing Authority
PA
Questioned Costs HUD Housing Programs Significant Deficiency
Views of Responsible Officials and Planned Corrective Action: The Authority accepts the recommendation of the auditor. The Authority will increase oversight in the Section 8 Housing Choice Vouchers program to ensure that established internal control policies are being followed on a timely basis. Joe...
Views of Responsible Officials and Planned Corrective Action: The Authority accepts the recommendation of the auditor. The Authority will increase oversight in the Section 8 Housing Choice Vouchers program to ensure that established internal control policies are being followed on a timely basis. Joel Johnson, Executive Director, is responsible for implementing this corrective action by December 31, 2023.
View Audit 19795 Questioned Costs: $1
Finding 23422 (2022-001)
Material Weakness 2022
Firelands Regional Health System
OH
Questioned Costs Material Weakness Reporting
Finding Number: 2022-001 Condition: The System does not have a formal review process to ensure the revenue reported within the PRF reporting submissions properly reconciles to the underlying financial statements. The System selected Option i for reporting lost revenues, however the actual revenue...
Finding Number: 2022-001 Condition: The System does not have a formal review process to ensure the revenue reported within the PRF reporting submissions properly reconciles to the underlying financial statements. The System selected Option i for reporting lost revenues, however the actual revenue reported for each quarter of 2022 did not reconcile to the underlying accounting records. Planned Corrective Action: Management will implement a process to ensure an independent review of the reporting submission is completed prior to submission. The lost revenue reported in the period four portal submission was overstated by approximately $360,000 as a result of the error identified. The System had excess lost revenue that did not have to be utilized to justify recognition of the funding received, therefore this error had no impact on meeting the conditions of the funding received. Contact person responsible for corrective action: Kevin Riley, CFO Anticipated Completion Date: 9/30/2023
View Audit 18951
Territory of American Samoa
AS
Internal Control / Segregation of Duties Reporting
This finding has subsequently been resolved. The ASG department of commerce DOC had technical issues with the treasury portal and could not submit their reports in a timely manner. The issue has been resolved and will not be a repeated finding in the next single audit. Key individual responsible: DO...
This finding has subsequently been resolved. The ASG department of commerce DOC had technical issues with the treasury portal and could not submit their reports in a timely manner. The issue has been resolved and will not be a repeated finding in the next single audit. Key individual responsible: DOC Assistant Director Victor Tuiasosopo. Will be completed and closed in FY 2023
View Audit 18950
Finding 23420 (2022-004)
Significant Deficiency 2022
Territory of American Samoa
AS
Special Tests & Provisions Questioned Costs Subrecipient Monitoring
The department of public works updated and put into effect its SOPs for electronic project billing in January 2021. DPW's action plan is to continue adhering to its updated process and procedures. Key individuals responsible: DPW Deputy Director Laupele Tilei, Civil Engineer Uaealesi Doris Faumuina...
The department of public works updated and put into effect its SOPs for electronic project billing in January 2021. DPW's action plan is to continue adhering to its updated process and procedures. Key individuals responsible: DPW Deputy Director Laupele Tilei, Civil Engineer Uaealesi Doris Faumuina-Sipelii; to be completed by September 30 2023
View Audit 18950
Territory of American Samoa
AS
Internal Control / Segregation of Duties Questioned Costs Procurement, Suspension & Debarment
This finding has been addressed in fiscal year 2023. ASGDOE school lunch Is working with a representative who oversees civil rights for the USDA wester region. Civil rights training for all SLP staff continues yearly with sign-in sheets and agendas for documentation purposes. Reports are submitted t...
This finding has been addressed in fiscal year 2023. ASGDOE school lunch Is working with a representative who oversees civil rights for the USDA wester region. Civil rights training for all SLP staff continues yearly with sign-in sheets and agendas for documentation purposes. Reports are submitted to USDA for inventory and mean counts on the 15th of each month. Special dietary accomodations have since been rolled out and schools have been notified of the process should a student require accomodation. USDA has an on-site visit scheduled not that borders are open. Key individuals responsible: SLP Assistant Director Christina Fualaau. Will be completed and closed in 2023.
View Audit 18950
The Avalon Center, Inc.
TN
Questioned Costs
THE CENTER WILL TAKE STEPS TO ENSURE ALL EMKPLOYEES TIME SHEETS ACCURATELY REFLECT THE MATCH REQUIREMENTS SET FORTH BY OJCP.
THE CENTER WILL TAKE STEPS TO ENSURE ALL EMKPLOYEES TIME SHEETS ACCURATELY REFLECT THE MATCH REQUIREMENTS SET FORTH BY OJCP.
View Audit 26236 Questioned Costs: $1
Finding 23390 (2022-001)
Significant Deficiency 2022
City of Camarillo
CA
Subrecipient Monitoring
City of Camarillo respectfully submits the following corrective action plan for the year ended June 30, 2022. Name and address of independent public accounting firm: CliftonLarsonAllen LLP 2875 Michelle Drive, Suite 300 Irvine, CA 92606 Audit Period: July 1, 2021 ? June 30, 2022 Significant Defi...
City of Camarillo respectfully submits the following corrective action plan for the year ended June 30, 2022. Name and address of independent public accounting firm: CliftonLarsonAllen LLP 2875 Michelle Drive, Suite 300 Irvine, CA 92606 Audit Period: July 1, 2021 ? June 30, 2022 Significant Deficiency in Internal Control over Compliance and Other Matter: 2022-001 Recommendation: We recommend that the City implement policies and procedures to ensure that FFATA reporting occurs for all subawards of $30,000 or more for all federal awards. Action Taken: The City works with a consultant that provides the FFATA reporting for all Department of Housing and Urban Development grants. The City is updating its grant procedures to include a new process to file the FFATA report for all federal grants that have subawards of $30,000 or greater. For any questions regarding this plan, please contact me at (805) 388-5320 or email muribe@cityofcamarillo.org.
View Audit 24983
Finding 23387 (2022-003)
Significant Deficiency 2022
Family Guidance Center of Alabama, Inc.
AL
Reporting
Corrective Action Plan: Individuals tasked with preparing and submitting the reports will familiarize themselves with all reporting requirements under the grant. Individual(s) Responsible: Allison Hayes and Jessi Walters Completion Date: Plan has been implemented as of date of audit submission.
Corrective Action Plan: Individuals tasked with preparing and submitting the reports will familiarize themselves with all reporting requirements under the grant. Individual(s) Responsible: Allison Hayes and Jessi Walters Completion Date: Plan has been implemented as of date of audit submission.
View Audit 24687
Finding 23383 (2022-002)
Significant Deficiency 2022
Family Guidance Center of Alabama, Inc.
AL
Reporting Internal Control / Segregation of Duties
Corrective Action Plan: Individuals tasked with preparing and submitting the reports will familiarize themselves with all reporting requirements under the grant. Individual(s) Responsible: Allison Hayes Completion Date: Plan has been implemented as of date of audit submission.
Corrective Action Plan: Individuals tasked with preparing and submitting the reports will familiarize themselves with all reporting requirements under the grant. Individual(s) Responsible: Allison Hayes Completion Date: Plan has been implemented as of date of audit submission.
View Audit 24687
Finding 23382 (2022-001)
Significant Deficiency 2022
Family Guidance Center of Alabama, Inc.
AL
Reporting
Corrective Action Plan: The 2021 Single Audit reporting package and Data Collection Form will be filed with the Federal Audit Clearinghouse as required. Individual(s) Responsible: Allison Hayes Completion Date: Plan has been implemented as of date of audit sub...
Corrective Action Plan: The 2021 Single Audit reporting package and Data Collection Form will be filed with the Federal Audit Clearinghouse as required. Individual(s) Responsible: Allison Hayes Completion Date: Plan has been implemented as of date of audit submission.
View Audit 24687
Hollis-Brookline Cooperative School District
NH
Allowable Costs / Cost Principles Cash Management School Nutrition Programs
Finding Summary: The Hollis Brookline Cooperative School District?s Food Service Fund net cash resources were in excess of the maximum allowable amount by $395,282. Responsible Individual: Kelly Seeley, Business Administrator Corrective Action Plan: The School District has developed a spend-down pla...
Finding Summary: The Hollis Brookline Cooperative School District?s Food Service Fund net cash resources were in excess of the maximum allowable amount by $395,282. Responsible Individual: Kelly Seeley, Business Administrator Corrective Action Plan: The School District has developed a spend-down plan for reducing the Food Service Fund Balance to compliance level during the 2022-23 fiscal year, and has submitted the plan to the State of New Hampshire Department of Education for approval. Anticipated Completion Date: June 30, 2023
View Audit 23711
Finding 23372 (2022-001)
Material Weakness 2022
Thruston Regional Planning Council
WA
Procurement, Suspension & Debarment Subrecipient Monitoring
Thurston Regional Planning Council January 1, 2022 through December 31, 2022 This schedule presents the corrective action planned by the Council for findings reported in this report in accordance with Title 2 U.S. Code of Federal Regulations (CFR) Part 200, Uniform Administrative Requirements, Cost...
Thurston Regional Planning Council January 1, 2022 through December 31, 2022 This schedule presents the corrective action planned by the Council for findings reported in this report in accordance with Title 2 U.S. Code of Federal Regulations (CFR) Part 200, Uniform Administrative Requirements, Cost Principles, and Audit Requirements for Federal Awards (Uniform Guidance). Finding ref number: 2022-001 Finding caption: The Council lacked adequate internal controls for ensuring compliance with suspension and debarment requirements. Name, address, and telephone of Council contact person: Tyson Justis 2411 Chandler Court S.W. Olympia, WA 98502 360-741-2515 Corrective action the auditee plans to take in response to the finding: The Council plans on implementing a formalized suspension/debarment verification process in our contracting and procurement procedures for goods and services. In addition, a debarment certification section will be included in our federally funded professional service contracts. Anticipated date to complete the corrective action: 9/1/2023
View Audit 21766
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