Corrective Action Plans

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2024-008 – CORONAVIRUS CAPITAL PROJECT FUND – LACK OF SUPPORT FOR PROCUREMENT – ALN 21.029 - MATERIAL WEAKNESS & MATERIAL NONCOMPLIANCE Condition: Williston Basin Public School District No. 7 did not maintain support surrounding the selection process for the construction management at-risk (CMAR) fo...
2024-008 – CORONAVIRUS CAPITAL PROJECT FUND – LACK OF SUPPORT FOR PROCUREMENT – ALN 21.029 - MATERIAL WEAKNESS & MATERIAL NONCOMPLIANCE Condition: Williston Basin Public School District No. 7 did not maintain support surrounding the selection process for the construction management at-risk (CMAR) for the CTE Center. Therefore, we were unable to determine if the CMAR selection was properly completed. In addition, Willison Basin Public School did not have a procurement policy. Management’s Response: We agree. The District will work to ensure that future projects are properly procured within state law and federal guidelines. Anticipated Completion Date: FY 2025
To mitigate further delays in completing our 2025 audit, SERC has discussed amending the agreement with its current auditing firm to conduct the 2025 audit. SERC has also contracted with an external consultant to facilitate the fiscal department's operations while we find a permanent fiscal departme...
To mitigate further delays in completing our 2025 audit, SERC has discussed amending the agreement with its current auditing firm to conduct the 2025 audit. SERC has also contracted with an external consultant to facilitate the fiscal department's operations while we find a permanent fiscal department head.
To mitigate further delays in completing our 2025 audit, SERC has discussed amending the agreement with its current auditing firm to conduct the 2025 audit. SERC has also contracted with an external consultant to facilitate the fiscal department's operations while we find a permanent fiscal departme...
To mitigate further delays in completing our 2025 audit, SERC has discussed amending the agreement with its current auditing firm to conduct the 2025 audit. SERC has also contracted with an external consultant to facilitate the fiscal department's operations while we find a permanent fiscal department head.
Planned Corrective Action: We will add an updated section about suspension and debarment checks via SAM.gov to be included as part of the Procurement Authorization Form that is submitted to the Board of Trustees for approval for all vendors with contracts that exceed $50,000 annually. Contact Name a...
Planned Corrective Action: We will add an updated section about suspension and debarment checks via SAM.gov to be included as part of the Procurement Authorization Form that is submitted to the Board of Trustees for approval for all vendors with contracts that exceed $50,000 annually. Contact Name and Title Responsible for Corrective Action Kwabena Sika, Founding Director Status: Completed
Planned Corrective Action: The organization has discontinued all but one program and shifted to entirely virtual-based operations since this audit period. Therefore all indirect costs incurred in the future will support this singular programming. In addition, as part of our monthly reconciliation pr...
Planned Corrective Action: The organization has discontinued all but one program and shifted to entirely virtual-based operations since this audit period. Therefore all indirect costs incurred in the future will support this singular programming. In addition, as part of our monthly reconciliation process, all indirect costs will be crossed-checked to ensure compliance. Should there be any indirect costs that require an allocation breakdown, proposed prescriptions will be submitted by the accounting team and approved by either Finance or Founding Director. Contact Name and Title Responsible for Corrective Action Kwabena Sika, Founding Director Status: Completed
Planned Corrective Action: We are in the process of drafting and implementing a new set of accounting procedures that will modify the manner in which we document and realize revenue. Therefore the revenue in reference to federal grants that provide advances will be in alignment with recognized expen...
Planned Corrective Action: We are in the process of drafting and implementing a new set of accounting procedures that will modify the manner in which we document and realize revenue. Therefore the revenue in reference to federal grants that provide advances will be in alignment with recognized expenditures. Contact Name and Title Responsible for Corrective Action Kwabena Sika, Founding Director Status: In-progress
Planned Corrective Action: We are planning to implement a regular review of documented processes, as well as develop a log and recording system of the results of running our financial processes. Contact Name and Title Responsible for Corrective Action Kwabena Sika, Founding Director Status: In progr...
Planned Corrective Action: We are planning to implement a regular review of documented processes, as well as develop a log and recording system of the results of running our financial processes. Contact Name and Title Responsible for Corrective Action Kwabena Sika, Founding Director Status: In progress
Planned Corrective Action: We are in the process of implementing a monthly reconciliation process, which will involve a documented regular review of transactions. This documentation will be relayed to the Board Treasurer. (240) 685-6898 ujima@ourspaceworld.org Contact Name and Title Responsible for ...
Planned Corrective Action: We are in the process of implementing a monthly reconciliation process, which will involve a documented regular review of transactions. This documentation will be relayed to the Board Treasurer. (240) 685-6898 ujima@ourspaceworld.org Contact Name and Title Responsible for Corrective Action Kwabena Sika, Founding Director Status: In-progress
FINDING 2024-002 Finding Subject: Airport Improvement Program - Special Tests and Provisions - Wage Rate Requirements Contact Person Responsible for Corrective Action: Judy King, Clerk-Treasurer Contact Phone Number and Email Address: 219-474-5062, jmking1@purdue.edu Views of Responsible Officials: ...
FINDING 2024-002 Finding Subject: Airport Improvement Program - Special Tests and Provisions - Wage Rate Requirements Contact Person Responsible for Corrective Action: Judy King, Clerk-Treasurer Contact Phone Number and Email Address: 219-474-5062, jmking1@purdue.edu Views of Responsible Officials: We concur with the finding. Description of Corrective Action Plan: Still working on solutions but plan to have Airport Manager track payroll claims to make sure all payrolls are obtained and sign off on the payroll claims and make sure the correct wages are being paid. Anticipated Completion Date: Immediately 6/2025
Corrective Actions Taken or Planned 1. Title I Expenditure Documentation • The District has implemented a dedicated Title I expenditure tracking and documentation system. All Title I expenditures must now be supported by an approved purchase order, invoice, receipt, or equivalent documentation, revi...
Corrective Actions Taken or Planned 1. Title I Expenditure Documentation • The District has implemented a dedicated Title I expenditure tracking and documentation system. All Title I expenditures must now be supported by an approved purchase order, invoice, receipt, or equivalent documentation, reviewed by the Title I program coordinator prior to payment. • A pre-payment checklist specific to federal program expenditures has been created and will be completed for each Title I transaction to confirm allowability and documentation prior to disbursement. • The Finance Director will conduct a monthly review of Title I expenditures to verify that all transactions are properly documented and allowable under 2 CFR Part 200 and the terms of the award. 2. Indirect Cost Rate Compliance • The District has identified the cause of the $6,867 excess indirect cost claim and has taken steps to ensure that future indirect cost claims do not exceed the approved rate. The District will review the approved indirect cost rate at the beginning of each grant year and establish an internal cap to prevent over-claiming. • The Finance Director will reconcile indirect cost claims against the approved rate on a quarterly basis and will make adjustments in the same grant year if an overage is identified. • The District will work with the Arkansas Department of Education to address the $6,867 in questioned indirect costs identified in this finding and will comply with any required repayment or reallocation. 3. Staff Training on Federal Award Requirements • The District will provide training to all staff involved in administering federal awards, including Title I, on requirements under 2 CFR Part 200, including allowable costs, documentation standards, and internal controls over federal expenditures. • Training will be conducted prior to the start of each grant year and documented with sign-in sheets retained on file. 4. Ongoing Monitoring • The District will engage AMS Impact Group to perform periodic internal compliance reviews of Title I and other major federal program expenditures to identify and address documentation or allowability issues on a timely basis, prior to the annual audit. • Results of internal reviews will be presented to the Superintendent and, as appropriate, the Board of Directors.
1. Supporting Documentation Policy and Procedures • The District has adopted a revised Written Documentation Policy requiring that all expenditures, including payroll, non-payroll, credit card, and Amazon business account transactions, be supported by approved invoices, receipts, or equivalent docum...
1. Supporting Documentation Policy and Procedures • The District has adopted a revised Written Documentation Policy requiring that all expenditures, including payroll, non-payroll, credit card, and Amazon business account transactions, be supported by approved invoices, receipts, or equivalent documentation prior to payment processing. • All credit card and Amazon purchases now require pre-approval by the applicable department head through the purchase requisition process and an approved purchase order is documented for use of the credit card. The credit card must be signed out with the finance department and all receipts are turned in immediately when the credit card is returned to the finance department. Transactions lacking documentation will be flagged for immediate follow-up. 2. Payroll Accuracy and Leave Record Maintenance • The District has implemented a formal review process for all additional pay authorizations. All extra-duty pay, stipends, and additional compensation must now be supported by a written authorization from the Board of Directors prior to payroll processing. • The District is updating its leave management system to ensure accurate tracking of sick leave used and accumulated for all employees, in compliance with Ark. Code Ann. § 6-17-1205. Leave records will be reconciled monthly by the finance department. • AMS Impact Group conducts a secondary review of all payroll runs prior to submission to verify supporting documentation is complete and on file. This began in October 2025. 3. Journal Entry Controls • The District has established a formal journal entry approval policy. Effective December 2025 all journal entries must include written documentation of the purpose, supporting calculations or backup, and an authorized approval signature/email approval prior to posting. • Beginning in December 2025, AMS Impact Group reviews and approves all journal entries before they are recorded in the general ledger. No journal entry is to be posted without documented approval. 4. Procurement Authority and Contract Approval • The District has reviewed and reinforced its compliance with School Board Policy Rule 7.5 regarding procurement thresholds. All contracts or purchase commitments exceeding the competitive bid threshold ($21,604 for commodities) must be presented to and approved by the Board of Directors prior to execution. • A procurement review workflow has been established in which the Finance Director reviews all proposed contracts for threshold compliance before the Superintendent signs. Contracts requiring Board approval will be placed on the next available Board agenda before execution. • District administration has communicated these procurement requirements to all staff with purchasing authority. Training will be provided to department heads and administrators on allowable purchasing limits. 5. Management Oversight and Staffing • The District has filled or is actively recruiting for key financial positions that were vacant during the audit period. Adequate staffing is essential to sustaining effective internal control activities. • The District will engage its external financial consultant (AMS Impact Group) to provide ongoing monitoring support and to assist with training of newly hired financial staff.
Reporting – Incomplete Schedule of Expenditures of Federal Awards Recommendation: Management should implement procedures to ensure all grant agreements, loan agreements, pass-through award notices, and related amendments are reviewed by the finance department to determine whether they include federa...
Reporting – Incomplete Schedule of Expenditures of Federal Awards Recommendation: Management should implement procedures to ensure all grant agreements, loan agreements, pass-through award notices, and related amendments are reviewed by the finance department to determine whether they include federal funds. Management should also require communication between project management and finance personnel, perform a year-end reconciliation of loan draws and outstanding balances to the SEFA, and document review of the SEFA and related notes before issuance. Explanation of disagreement with audit finding: There is no disagreement with the audit finding. Action taken in response to the finding: The Authority will strengthen controls over identifying and reporting federal funds. All grant and loan agreements, including amendments, will be reviewed to determine federal funding applicability. As part of this process, a Federal Funding Review Checklist will be developed and required for each agreement. Name(s) of the contact person(s) responsible for corrective action: Lowel Kruger, Executive Director. Planned completion date for corrective action plan: December 31, 2024
2024-001 Reporting – Late Report Submission to Federal Audit Clearinghouse and HUD Recommendation: Develop internal controls that provide month-end and year-end accounting close milestones that include deadlines that will ensure external reporting deadlines are able to be met. Explanation of disagre...
2024-001 Reporting – Late Report Submission to Federal Audit Clearinghouse and HUD Recommendation: Develop internal controls that provide month-end and year-end accounting close milestones that include deadlines that will ensure external reporting deadlines are able to be met. Explanation of disagreement with audit finding: There is no disagreement with the audit finding. Action taken in response to the finding: The Authority has reviewed and updated its financial reporting and closing processes and controls for the preparation of the final trial balances and related schedules. As part of this process, the Authority has created a year-end checklist with deadlines and status meetings to monitor the progress. Name(s) of the contact person(s) responsible for corrective action: Lowel Kruger, Executive Director. Planned completion date for corrective action plan: December 31, 2024.
The LEA funding that was budgeted and expended was consistent with expectations, as the required worksheet was completed and submitted to the State for approval of the original allotment. The issue identified in the finding appears to relate specifically to the ARP IDEA funding, which was an additio...
The LEA funding that was budgeted and expended was consistent with expectations, as the required worksheet was completed and submitted to the State for approval of the original allotment. The issue identified in the finding appears to relate specifically to the ARP IDEA funding, which was an additional allocation provided to the district well after the FY23/24 IDEA award was issued. The State did not communicate that revisions to the MOE were required; therefore, a revised version was not initially submitted. The district continued to receive grant approval despite the ARP IDEA allocation not being reflected in the original worksheet. This was not the result of a misunderstanding of MOE reporting requirements, insufficient training, or inadequate review processes to ensure data accuracy. Additionally, the district was not notified that supplemental documentation needed to be submitted. The district has received multiple commendations from the State for its effective management of IDEA funds. After this issue appeared in another district’s single audit, Pembroke revised and submitted the MOE through GMS to ensure all required funding and expenditure areas were accurately captured. Moving forward, the district will revise the MOE whenever additional funding is received to ensure all allocated and expended funds are included, regardless of whether formal notification is provided by the State.
The district continually monitors the food service program’s cash resources. During the fiscal year, a formal written plan was submitted to and approved by NSLP and implemented to reduce cash resources so they would not exceed the three-month average expenditure threshold. Although a plan was in pla...
The district continually monitors the food service program’s cash resources. During the fiscal year, a formal written plan was submitted to and approved by NSLP and implemented to reduce cash resources so they would not exceed the three-month average expenditure threshold. Although a plan was in place, the district was unable to fully implement the plan within the allotted timeframe. Moving forward, the district will ensure that the approved plan is fully executed prior to June 30.
Finding Number 2024-007 Corrective Action Plan (CAP) CSG has implemented a CAP following the previous finding in the FY 2023 Audit. The Department of Administrative Services requires a printed verification search on Sams.gov for all transactions in the amount of $25,000 and above. This verification ...
Finding Number 2024-007 Corrective Action Plan (CAP) CSG has implemented a CAP following the previous finding in the FY 2023 Audit. The Department of Administrative Services requires a printed verification search on Sams.gov for all transactions in the amount of $25,000 and above. This verification is provided at the department level and reviewed by the Funds Department and Compact Funds Control Commission (CFCC). A memorandum was provided to the Funds Department requiring them to return payment requests of $25,000 and above that do not have this search verification. CSG will draft an official policy on Procurement Suspension and Debarment specifically regarding verification search on Sams.gov. Anticipated Completion Date December 31, 2026 Responsible Person (Contact Details) Jonas Paul, Director (DAS) jpaulckdas@gmail.com Kayviann Hallers Umwech, Internal Control (DAS) kayviannhallers@gmail.com Roxalyn Kaminanga, Chief (DAS) roxalynkaminanga@gmail.com
Finding Number 2024-006 Corrective Action Plan (CAP) CSG will draft and implement a policy on Period of Performance, specifically regarding the timely reversals of voided expenditures during the fiscal year. This policy will include: • The appropriate departments and/or persons responsible for voidi...
Finding Number 2024-006 Corrective Action Plan (CAP) CSG will draft and implement a policy on Period of Performance, specifically regarding the timely reversals of voided expenditures during the fiscal year. This policy will include: • The appropriate departments and/or persons responsible for voiding transactions must do so within a timely manner. • All recognized transactions to be cancelled must be voided and removed from expenditures by the closing of the fiscal period. Anticipated Completion Date December 31, 2026 Responsible Person (Contact Details) Jonas Paul, Director (DAS) jpaulckdas@gmail.com Kayviann Hallers Umwech, Internal Control (DAS) kayviannhallers@gmail.com Roxalyn Kaminanga, Chief (DAS) roxalynkaminanga@gmail.com
Finding Number 2024-005 Corrective Action Plan (CAP) CSG will draft and implement a policy on Equipment and Real Property Management, specifically regarding safe-guarding equipment and reporting. Policy will include: • A requirement for each department to assign a custodian to manage all capitalized...
Finding Number 2024-005 Corrective Action Plan (CAP) CSG will draft and implement a policy on Equipment and Real Property Management, specifically regarding safe-guarding equipment and reporting. Policy will include: • A requirement for each department to assign a custodian to manage all capitalized equipment. • A requirement for each department to report all incidents via an Equipment Incident Report form. • Each department will be required to update DAS on the status of all capitalized equipment on a quarterly basis. • A Physical Inventory Count will be done annually to ensure proper reporting of existing equipment. Anticipated Completion Date December 31, 2026 Responsible Person (Contact Details) Jonas Paul, Director (DAS) jpaulckdas@gmail.com Kayviann Hallers Umwech, Internal Control (DAS) kayviannhallers@gmail.com Roxalyn Kaminanga, Chief (DAS) roxalynkaminanga@gmail.com
Finding Number 2024-004 Corrective Action Plan (CAP) CSG will draft and implement a policy on Cash Management specifically regarding cash disbursement to vendors for infrastructure projects. • CSG will assign a designated person to request drawdowns for Infrastructure projects. This same individual ...
Finding Number 2024-004 Corrective Action Plan (CAP) CSG will draft and implement a policy on Cash Management specifically regarding cash disbursement to vendors for infrastructure projects. • CSG will assign a designated person to request drawdowns for Infrastructure projects. This same individual will keep track of this request and will notify the appropriate individuals at Chuuk State Finance who will authorize the disbursement of the check/s to the vendor. • A specific timeframe in which CSG will minimize the time between cash drawdown received from FSM National Government and disbursement to vendors will be established upon consultation with grantor agency. Anticipated Completion Date December 31, 2026 Responsible Person (Contact Details) Jonas Paul, Director (DAS) jpaulckdas@gmail.com Kayviann Hallers Umwech, Internal Control (DAS) kayviannhallers@gmail.com Roxalyn Kaminanga, Chief (DAS) roxalynkaminanga@gmail.com
Management will work to complete annual audits within the prescribed due dates.
Management will work to complete annual audits within the prescribed due dates.
Implement policies and procedures requiring a vendor to provide proof of good standing with Sam.gov when bidding a project. The county will double check for accuracy.
Implement policies and procedures requiring a vendor to provide proof of good standing with Sam.gov when bidding a project. The county will double check for accuracy.
The County will ensure that the Wage Rate Requirements for Federal grants are being used and reported accordingly. A copy of ODOT Quality Assurance Program will be obtained and referenced for all federal projects.
The County will ensure that the Wage Rate Requirements for Federal grants are being used and reported accordingly. A copy of ODOT Quality Assurance Program will be obtained and referenced for all federal projects.
Develop procurement policy for federal grants noting that bids on federal grants will be advertised for at least three weeks.
Develop procurement policy for federal grants noting that bids on federal grants will be advertised for at least three weeks.
Develop and document formal policies and procedures for grant management, including repo1iing, monitoring, and compliance. Implement these policies and ensure that each office is using them correctly.
Develop and document formal policies and procedures for grant management, including repo1iing, monitoring, and compliance. Implement these policies and ensure that each office is using them correctly.
The Board acknowledges the recommendation regarding documentation and will ensure improved documentation is maintained in the future to support sole source determinations and purchasing decisions.
The Board acknowledges the recommendation regarding documentation and will ensure improved documentation is maintained in the future to support sole source determinations and purchasing decisions.
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