Corrective Action Plans

Browse how organizations respond to audit findings

Total CAPs
61,799
In database
Filtered Results
58,544
Matching current filters
Showing Page
406 of 2342
25 per page

Filters

Clear
Finding #2024-001 Prior Year Reporting Package and Data Collection Not Filed Timely (Capital Advance): ALN 14.157: Recommendation: We recommend that management implement procedures to ensure that reporting packages and data collection forms are filed timely in the future. Action taken: Smokey Hollow...
Finding #2024-001 Prior Year Reporting Package and Data Collection Not Filed Timely (Capital Advance): ALN 14.157: Recommendation: We recommend that management implement procedures to ensure that reporting packages and data collection forms are filed timely in the future. Action taken: Smokey Hollow Apartments agrees with the auditor’s recommendations and will implement procedures to ensure timely filing in the future. For questions regarding this corrective action plan, please contact John Lutz, Vice President of Financial Strategy, at (315) 424-1821.
Contact Person – Matt Bakke, Executive Director Corrective Action Plan – The Project will implement formal procedures requiring documentation evidencing the completion of periodic reviews. Completion Date – 12/31/26
Contact Person – Matt Bakke, Executive Director Corrective Action Plan – The Project will implement formal procedures requiring documentation evidencing the completion of periodic reviews. Completion Date – 12/31/26
Contact Person – Matt Bakke, Executive Director Corrective Action Plan – The Project will review its policies and procedures over timely reporting of report submissions. Completion Date – 12/31/26
Contact Person – Matt Bakke, Executive Director Corrective Action Plan – The Project will review its policies and procedures over timely reporting of report submissions. Completion Date – 12/31/26
Contact Person – Matt Bakke, Executive Director Corrective Action Plan – The Project will review its policies and procedures over selection from waiting list. Completion Date – 12/31/26
Contact Person – Matt Bakke, Executive Director Corrective Action Plan – The Project will review its policies and procedures over selection from waiting list. Completion Date – 12/31/26
Contact Person – Matt Bakke, Executive Director Corrective Action Plan – The Project will review its policies and procedures over documentation of periodic review of tenant files. Completion Date – 12/31/26
Contact Person – Matt Bakke, Executive Director Corrective Action Plan – The Project will review its policies and procedures over documentation of periodic review of tenant files. Completion Date – 12/31/26
Contact Person – Matt Bakke, Executive Director Corrective Action Plan – The Project will review its policies and procedures over timely reporting submissions. Completion Date – 12/31/26
Contact Person – Matt Bakke, Executive Director Corrective Action Plan – The Project will review its policies and procedures over timely reporting submissions. Completion Date – 12/31/26
Good Neighbor Authority; We recommend that the District check on the SAM.GOV website to determine if a venddor is eligible for the grant program.; Management's Response: While SVRCD has a current SAM.GOV registration and includes our SAM's number on all our grant applications that require it, we wer...
Good Neighbor Authority; We recommend that the District check on the SAM.GOV website to determine if a venddor is eligible for the grant program.; Management's Response: While SVRCD has a current SAM.GOV registration and includes our SAM's number on all our grant applications that require it, we were unaware that we needed to confirm vendor eligibility on the site.; Responsible Individual: Rod Dowsee, SVRCD District Manager working with SVRCD Staff.; Corrective Action Plan: SVRCD District Manager will train and work with SVRCD staff on the requirement of reviewing vendor eligibility on the SAM.GOV website. We will review how to search for a vendor to make sure they are eligible for the grant program, making sure we are in compliance with this requirement.; Anticipated Completion Date: January 1, 2026
Good Neighbor Authority; We recommed that the District include all Federal Assistance Listing Numbers on the report to be audited.; Management's Response: SVRCD Project Managers, all staff and finance management will make sure that we include the Federal Assistance Listing Numbers with every contrac...
Good Neighbor Authority; We recommed that the District include all Federal Assistance Listing Numbers on the report to be audited.; Management's Response: SVRCD Project Managers, all staff and finance management will make sure that we include the Federal Assistance Listing Numbers with every contract and agreement that we accept. SVRCD District Manager will review each federal grant to sign off that the number has been secured.; Responsible Individual: Rod Dowse, SVRCD District Manager; Corrective Action Plan: SVRCD Project Managers, all staff and finance management will make sure that we include the Federal Assistance Listing Numbers with every new contract and agreement that we accept. We will also review each current Federal grant we have and make sure they are listed on the Contract Use report and in the grant folder. We will update all 24-25 grants which have a missing number as well. SVRCD District Manager will review each federal grant to sign off that the number has been secured.; Anticipated Completion Date: SVRCD will review all federal grants to make sure we have the proper coding number attached to the grant by January 1, 2026.
2024-001 Late Submission of Single Audit Report Root Cause: In May of 2020 SEA unexpectedly experienced the loss of its Chief Financial Office during the midst of a global shut down. SEA was unable to close out the fiscal year in a timely manner due to challenges of identifiying and hiring qualified...
2024-001 Late Submission of Single Audit Report Root Cause: In May of 2020 SEA unexpectedly experienced the loss of its Chief Financial Office during the midst of a global shut down. SEA was unable to close out the fiscal year in a timely manner due to challenges of identifiying and hiring qualified staff after this loss. This began a domino effect of let audits. Name of Contact Persons: Nathan Arias, President and Chief Executive Officer and Mirna Romero, Director of Opertations and Chief Financial Officer Corrective Action: Once the FY 23-24 audit is finalized, SEA will immediately begin working on the audit for FY 24-25 and are ready to diligently work on completing this audit with a new team. Proposed Completion Date: SEA will esnure that the next single audit, for fiscal year 2024-25 is completed by October 15, 2026, with plans to expedite the 2026 audit thereafter.
OMEGA will engage an accounting consultant to assist with the preparation of the annual financial statements to ensure timely reporting.
OMEGA will engage an accounting consultant to assist with the preparation of the annual financial statements to ensure timely reporting.
MCHA has created a documented policy and procedure for all significant accounting transactions which includes monitoring practices for financials and material account balances. Also included are procedures related to monthly and annual account reconciliation and filing of source documents.
MCHA has created a documented policy and procedure for all significant accounting transactions which includes monitoring practices for financials and material account balances. Also included are procedures related to monthly and annual account reconciliation and filing of source documents.
MCHA has created policies to address this issue and staff have received training on how to follow it. The 2025 unaudited submission was filed in a timely manner.
MCHA has created policies to address this issue and staff have received training on how to follow it. The 2025 unaudited submission was filed in a timely manner.
MCHA has hired an independent HR consultant to review all personnel files and procedures and provide guidelines to ensure that supporting documentation exists for all payroll expenses. Additionally, new systems have been put into place with three layers of checks and balances to ensure that timeshee...
MCHA has hired an independent HR consultant to review all personnel files and procedures and provide guidelines to ensure that supporting documentation exists for all payroll expenses. Additionally, new systems have been put into place with three layers of checks and balances to ensure that timesheets match expenses. Policy has been set by board to ensure any bonuses or additional payments are board approved and no additional payments will be issued without board signature. MCHA has established allocation percentages for payroll and indirect costs in relation to units and/or time spent. All costs will be allocated on this basis. Allocations will be reviewed and updated annually and/or as changes are necessitated.
1. Comprehensive Grant Reconciliation Process- Management will perform a formal year-end reconciliation of all federal grant expenditures to the general ledger, grant agreements, reimbursement requests, and funding agency reports prior to completion of the SEFA. 2. Centralized Federal Award Inventor...
1. Comprehensive Grant Reconciliation Process- Management will perform a formal year-end reconciliation of all federal grant expenditures to the general ledger, grant agreements, reimbursement requests, and funding agency reports prior to completion of the SEFA. 2. Centralized Federal Award Inventory- Management has established a centralized schedule of all federal awards that identifies the fed eral agency, Assistance Listing Number {ALN), passthrough entity, grant number, award period, and responsible program personnel. This inventory will be reviewed and updated throughout the year. 3. Formal SEFA Review Control -A secondary review of the completed SE FA will be performed by a member of management independent of the preparer. The review will include verification of all federal programs, ALNs, pass-through awards, expenditures, and required disclosures. 4. Year-End Program Certifications - Program and finance personnel responsible for grant administration will provide written confirmation of all federal awards and expenditures incurred during the reporting period to ensure completeness. 5. Training and Compliance Monitoring- Finance staff responsible forfederal grant accounting and reporting will receive periodic training regardi ng Uniform Guidance requirements, including SEFA preparation and reporting responsibilities.
Calendar Controls: Add both the audit and DCF submission deadlines to our compliance calendar and set automated reminders so these dates cannot be missed. Cross-Training: Ensure at least two team members are fully trained on audit preparation and the DCF process, so the work continues smoothly even ...
Calendar Controls: Add both the audit and DCF submission deadlines to our compliance calendar and set automated reminders so these dates cannot be missed. Cross-Training: Ensure at least two team members are fully trained on audit preparation and the DCF process, so the work continues smoothly even during staffing gaps or transitions. Document Access: House all required audit and financial documents in a secure, shared folder (e.g., SharePoint) that the finance team can access at any time. This should reduce the time it takes to seek files. Proactive External Support: Engage our audit firm earlier in the fiscal year to prevent last-minute bottlenecks and keep the flow of information moving. Responsible Party: CFO Monitoring: CEO will confirm timely DCF submission each year.
Based on the recommendation, Management agrees with the finding and will ensure all requested information is available for the auditor in order to facilitate timely completion of the audit by March 31.
Based on the recommendation, Management agrees with the finding and will ensure all requested information is available for the auditor in order to facilitate timely completion of the audit by March 31.
Based on the recommendation, management anticipates taking actions such as updating its process for recording transactions, addressing cutoff, and implementing a more rigorous review process to ensure compliance. In addition, management will prepare information on federal awards to determine whether...
Based on the recommendation, management anticipates taking actions such as updating its process for recording transactions, addressing cutoff, and implementing a more rigorous review process to ensure compliance. In addition, management will prepare information on federal awards to determine whether a Single Audit is necessary and prepare a Schedule of Expenditures of Federal Awards as part of preparation for future audits.
Based on the recommendation, management anticipates taking actions such as updating its process for recording transactions, addressing cutoff, and implementing a more rigorous review process to ensure compliance.
Based on the recommendation, management anticipates taking actions such as updating its process for recording transactions, addressing cutoff, and implementing a more rigorous review process to ensure compliance.
Contact Person Jackie Cordie, Business Manager Corrective Action Plan The District plans to implement the auditor's recommendation. Planned Completion Date for CAP Fiscal year beginning July 1, 2025
Contact Person Jackie Cordie, Business Manager Corrective Action Plan The District plans to implement the auditor's recommendation. Planned Completion Date for CAP Fiscal year beginning July 1, 2025
The Organization should develop a compliance calendar that includes financial reporting deadlines and set automatic reminders in advance of each deadline to aid in properly planning and timing submission of reporting packages. Additionally, the Organization should engage the audit firm well before t...
The Organization should develop a compliance calendar that includes financial reporting deadlines and set automatic reminders in advance of each deadline to aid in properly planning and timing submission of reporting packages. Additionally, the Organization should engage the audit firm well before the fiscal year end, and the auditors should put this engagement on their calendar well in advance of the due date. The Organization should establish a timeline with the auditors that aligns with internal deadlines to ensure sufficient time to conduct the audit. The Organization’s Board of Directors should be more actively engaged in the auditing and reporting process to establish a greater degree of accountability and oversight. Anticipated Completion Date: 09/30/2026 Actions Taken: The Organization has begun implementing the above-mentioned recommendations. The Organization will ensure that it has a working compliance calendar to assist in meeting the reporting deadline. Additionally, the Organization has engaged the audit firm for their upcoming fiscal year-end, and the audit firm has put it on its calendar to begin the audit process well in advance. The Organization’s board of directors has agreed to oversee the auditing and reporting processes to a greater extent. With these actions, the Organization expects to comply with the Uniform Guidance for single audits deadline for the fiscal year end December 31, 2025. Mr. Joel Stein, executive director, has been designated to monitor the plan of corrective action for this finding. He can be reached at 845-356-2761. Contact Person Responsible for Corrective Action: Joel Stein, Executive Director
Corrective Action Plan:The City will strengthen monitoring procedures over federally funded construction projects by reviewing certified payroll reports and labor classifications for consistency with the applicable wage determination. The City will coordinate with project engineers and contractors t...
Corrective Action Plan:The City will strengthen monitoring procedures over federally funded construction projects by reviewing certified payroll reports and labor classifications for consistency with the applicable wage determination. The City will coordinate with project engineers and contractors to ensure any labor classifications not included in the wage determination are submitted for conformance approval when required.Anticipated Completion Date:Immediately implemented for current and future federally funded construction projects
Corrective Action Plan:The City will implement procedures to review all grant agreements and funding documentation to identify federal awards subject to Uniform Guidance requirements. The City will also establish a monitoring process for federal reporting deadlines and coordinate with its external a...
Corrective Action Plan:The City will implement procedures to review all grant agreements and funding documentation to identify federal awards subject to Uniform Guidance requirements. The City will also establish a monitoring process for federal reporting deadlines and coordinate with its external auditor to ensure the reporting package is submitted timely to the Federal Audit Clearinghouse.Anticipated Completion Date:Immediately implemented for future reporting periods.
Management's Response: Management concurs with this finding. We acknowledge that the documentation supporting payroll backup and allocations to federal awards require strengthening to meet the strict standards of 2 CFR 200 (Uniform Guidance) and are committed to strengthening the systems and interna...
Management's Response: Management concurs with this finding. We acknowledge that the documentation supporting payroll backup and allocations to federal awards require strengthening to meet the strict standards of 2 CFR 200 (Uniform Guidance) and are committed to strengthening the systems and internal control around payroll process and tracking of allowable costs charges to federal grants. Responsible Party: Consultant/CEO/Legal Counsel/CFO. Completion Date: Within 60 to 90 days of the final audit report.
2024-14 Segregation of Duties Material Weakness Recommendation: We recommend that management and the governing board be aware of the lack of segregation of duties and implement controls whenever possible to mitigate this risk. The governing board should remove the finance manager from the list of ch...
2024-14 Segregation of Duties Material Weakness Recommendation: We recommend that management and the governing board be aware of the lack of segregation of duties and implement controls whenever possible to mitigate this risk. The governing board should remove the finance manager from the list of check signers. Action Taken: The Housing Authority agrees with this finding and will implement this recommendation within 120 days of this audit report.
2024-013 Support for Payroll Material Weakness Recommendation: Auditor’s recommend the governing board require proper documentation on all types of expenditures and that only members of the board have the authority to sign checks. Action Taken: The Housing Authority agrees with this finding and will...
2024-013 Support for Payroll Material Weakness Recommendation: Auditor’s recommend the governing board require proper documentation on all types of expenditures and that only members of the board have the authority to sign checks. Action Taken: The Housing Authority agrees with this finding and will implement this recommendation within 120 days of this audit report.
« 1 404 405 407 408 2342 »