Corrective Action Plans

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CONTACT PERSON: A. Nicole Verner, Finance Director, averner@cityoflakecity.org CORRECTIVE ACTION: The City acknowledges the finding related to expenditures not being approved prior to disbursement for federally funded programs. Management recognizes that staffing changes contributed to insufficient ...
CONTACT PERSON: A. Nicole Verner, Finance Director, averner@cityoflakecity.org CORRECTIVE ACTION: The City acknowledges the finding related to expenditures not being approved prior to disbursement for federally funded programs. Management recognizes that staffing changes contributed to insufficient oversight and monitoring of grant-related expenditures. To address this finding, the City is implementing strengthened internal controls over grant expenditures to ensure that all costs are properly reviewed and approved prior to payment. The City will require that all expenditures charged to grant funds, including Coronavirus State and Local Fiscal Recovery Funds, receive documented pre-approval from appropriate management personnel prior to disbursement. This approval will confirm that the expenditure is allowable, properly classified, and consistent with the purpose of the grant. A standardized grant expenditure approval form or checklist will be implemented to document the review process. This documentation will be maintained with the supporting records for each transaction. The City will establish a segregation of duties within the grant management process so that no single individual is responsible for initiating, approving, and processing grant-related disbursements. In addition, a secondary review process will be implemented for all grant expenditures to ensure compliance with federal requirements and City policies. The City will also maintain detailed records of all grant expenditures and perform periodic internal reviews to ensure compliance with applicable guidelines, even when funds are used under the revenue loss provision. Training will be provided to staff responsible for grant administration and financial processing to ensure a clear understanding of allowable costs, approval requirements, and documentation standards. Management will monitor compliance with these procedures on an ongoing basis and take corrective action if any deficiencies are identified. PROPOSED COMPLETION DATE: June 30, 2027
CONTACT PERSON: A. Nicole Verner, Finance Director, averner@cityoflakecity.org CORRECTIVE ACTION: The City acknowledges the finding regarding the failure to submit the required Coronavirus State and Local Fiscal Recovery Funds compliance report by the established deadline. Management recognizes that...
CONTACT PERSON: A. Nicole Verner, Finance Director, averner@cityoflakecity.org CORRECTIVE ACTION: The City acknowledges the finding regarding the failure to submit the required Coronavirus State and Local Fiscal Recovery Funds compliance report by the established deadline. Management recognizes that staffing changes contributed to a breakdown in tracking and fulfilling grant reporting requirements. To address this finding, the City is implementing enhanced grant management and compliance procedures to ensure all reporting requirements are met in a timely manner. The City will develop and maintain a centralized grants management schedule that identifies all reporting requirements, including due dates, responsible parties, and submission procedures for each grant. This schedule will be monitored regularly by management to ensure compliance. Responsibility for grant reporting will be clearly assigned to qualified personnel, and a secondary reviewer will be designated to verify that all required reports are completed accurately and submitted on time. The City will implement a formal review and approval process for all grant reports prior to submission to ensure completeness and compliance with applicable requirements. In addition, the City will establish reminder and tracking mechanisms, including calendar alerts and periodic status reviews, to prevent missed deadlines. The City will also provide training to staff responsible for grant administration to ensure a clear understanding of compliance and reporting requirements associated with federal and state funding. Management will monitor compliance with all grant reporting requirements and will take corrective action promptly if any issues are identified. PROPOSED COMPLETION DATE: June 30, 2027
Management acknowledges the finding and recognizes that the Single Audit reporting package for the fiscal year ended June 30, 2024 was not submitted to the Federal Audit Clearinghouse within the deadline established by Uniform Guidance. Management recognizes that the delayed filing resulted primaril...
Management acknowledges the finding and recognizes that the Single Audit reporting package for the fiscal year ended June 30, 2024 was not submitted to the Federal Audit Clearinghouse within the deadline established by Uniform Guidance. Management recognizes that the delayed filing resulted primarily from the extended year-end financial closing process, timing of reconciliations and adjustments, limited accounting resources, and the additional time required to compile and finalize supporting grant documentation associated with the FEMA Public Assistance program. Management acknowledges the finding and recognizes that the Single Audit reporting package for the fiscal year ended June 30, 2024 was not submitted to the Federal Audit Clearinghouse within the deadline established by Uniform Guidance. Management recognizes that the delayed filing resulted primarily from the extended year-end financial closing process, timing of reconciliations and adjustments, limited accounting resources, and the additional time required to compile and finalize supporting grant documentation associated with the FEMA Public Assistance program. The Company has implemented and initiated corrective measures designed to improve the timeliness and efficiency of future audit reporting processes, including: Establishment of formal year-end closing schedules and internal reporting deadlines; Earlier preparation and review of audit schedules and supporting documentation; Improved coordination between accounting personnel, grant administrators, and external auditors; Enhancement of interim reconciliation and financial reporting procedures throughout the year; Evaluation of staffing and external support needs to strengthen the financial reporting process. Management believes these corrective actions will improve the efficiency of the audit process and help ensure timely completion and submission of future Single Audit reporting packages in accordance with federal requirements.
Management acknowledges the finding. During the initial stages of administration of the FEMA Public Assistance Program (ALN 97.036 – PA-4339), the Company relied substantially on existing operational, administrative, and accounting procedures while management worked to further tailor, document, and ...
Management acknowledges the finding. During the initial stages of administration of the FEMA Public Assistance Program (ALN 97.036 – PA-4339), the Company relied substantially on existing operational, administrative, and accounting procedures while management worked to further tailor, document, and formalize grant-specific compliance policies, procedures, and internal controls required under Uniform Guidance and FEMA regulations. Management notes that the Company maintained supporting documentation for expenditures and transactions related to the grant and that no questioned costs resulted from this matter. Management has substantially developed and implemented a significant number of corrective measures, policies, procedures, and internal controls designed to strengthen the Company’s internal control environment and support compliance with applicable federal award requirements. These actions included: Development and formal documentation of Financial Policies and Procedures; Implementation of procedures related to allowability of costs, disbursements, cash management, and property/equipment management; Enhancement of internal compliance monitoring procedures; Documentation and communication of grant administration responsibilities; Implementation of employee training and compliance guidance processes related to federal award administration. Management continues to enhance and formalize certain grant-specific controls, procedures, and compliance documentation as part of its ongoing efforts to further strengthen its federal award administration framework. Certain policies and procedures that had not yet been fully finalized remain in process and/or have been scheduled for completion and implementation. Management will continue periodically reviewing and updating these policies and procedures to ensure continued compliance with applicable federal regulations, FEMA guidance, and grant requirements.
Management acknowledges the finding and recognizes that the year-end financial closing and reconciliation process was not completed within the desired timeframe during the audit period. The delays were primarily attributable to limited staffing resources within the finance and accounting department ...
Management acknowledges the finding and recognizes that the year-end financial closing and reconciliation process was not completed within the desired timeframe during the audit period. The delays were primarily attributable to limited staffing resources within the finance and accounting department and the concentration of significant accounting and reporting responsibilities among limited personnel. Management notes, however, that the Company maintains its accounting records in an integrated accounting system capable of supporting timely financial reporting and that transactions are substantially recorded, classified, reconciled, and segregated by fund and grant throughout the year. In addition, all material adjustments and reconciliations were ultimately completed as part of the audit and financial reporting process. To address this matter, management has implemented and continues to enhance several corrective measures designed to improve the timeliness, efficiency, and overall effectiveness of the financial reporting and closing process, including: Strengthening internal accounting procedures and closing processes; Implementing enhanced monthly and year-end reconciliation procedures; Redistributing and segregating accounting responsibilities to the extent practicable; Increasing the use of the accounting system’s reporting and reconciliation capabilities; Establishing internal timelines and schedules for interim and annual closing procedures; Evaluating additional accounting and administrative support resources. Management will continue working to further strengthen the financial reporting process and improve the timeliness of future financial closings and related reporting requirements.
The City will develop written policies and procedures for procurement, including the relevant provisions required by 2 CFR § 200.318 through 2 CFR § 200.326 Contract provisions.
The City will develop written policies and procedures for procurement, including the relevant provisions required by 2 CFR § 200.318 through 2 CFR § 200.326 Contract provisions.
The City will design and implement controls to ensure that the costs of goods and services charged to federal awards are allowable and in accordance with the applicable cost principles.
The City will design and implement controls to ensure that the costs of goods and services charged to federal awards are allowable and in accordance with the applicable cost principles.
The City will design and implement controls to ensure that federal awards are expended only for allowable activities.
The City will design and implement controls to ensure that federal awards are expended only for allowable activities.
The City will develop written policies and procedures which include the relevant provisions required by 2 CFR § 200.318 through 2 CFR § 200.327 Contract provisions.
The City will develop written policies and procedures which include the relevant provisions required by 2 CFR § 200.318 through 2 CFR § 200.327 Contract provisions.
The City will develop written standards of conduct that satisfy the requirements of 2 CFR § 200.318(c)(1).
The City will develop written standards of conduct that satisfy the requirements of 2 CFR § 200.318(c)(1).
The City has will develop written procedures for determining the allowability of costs in accordance with 2 CFR 200, Subpart E—Cost Principles and the terms and conditions of the Federal award.
The City has will develop written procedures for determining the allowability of costs in accordance with 2 CFR 200, Subpart E—Cost Principles and the terms and conditions of the Federal award.
The City will develop written procedures to implement the requirements of 2 CFR § 200.305 Payment.
The City will develop written procedures to implement the requirements of 2 CFR § 200.305 Payment.
Corrective Action Plan (CAP) Name of auditee: Amsterdam Housing I, Inc. TIN: 014-EE264 Name of Audit Firm: EFPR Group, CPAs, PLLC Period covered by audit: June 30, 2024 CAP prepared by: Henry Rodriguez, Jr. President Corvus Property Intelligence, LLC (410) 896-6770 Current Finding on the Schedule of...
Corrective Action Plan (CAP) Name of auditee: Amsterdam Housing I, Inc. TIN: 014-EE264 Name of Audit Firm: EFPR Group, CPAs, PLLC Period covered by audit: June 30, 2024 CAP prepared by: Henry Rodriguez, Jr. President Corvus Property Intelligence, LLC (410) 896-6770 Current Finding on the Schedule of Findings and Questioned Costs and Recommendations (2) Finding 2024-002 (a) Comments on the finding and recommendation: Management agrees with the finding. Management also agrees with the recommendation, please see below for action taken. (b) Action taken: Management will deposit the underfunded amounts when a cash flow surplus is realized. Management is actively working with HUD to collect retroactive subsidy payments.
Corrective Action Plan (CAP) Name of auditee: Amsterdam Housing I, Inc. TIN: 014-EE264 Name of Audit Firm: EFPR Group, CPAs, PLLC Period covered by audit: June 30, 2024 CAP prepared by: Henry Rodriguez, Jr. President Corvus Property Intelligence, LLC (410) 896-6770 Current Finding on the Schedule of...
Corrective Action Plan (CAP) Name of auditee: Amsterdam Housing I, Inc. TIN: 014-EE264 Name of Audit Firm: EFPR Group, CPAs, PLLC Period covered by audit: June 30, 2024 CAP prepared by: Henry Rodriguez, Jr. President Corvus Property Intelligence, LLC (410) 896-6770 Current Finding on the Schedule of Findings and Questioned Costs and Recommendations (1) Finding 2024-001 (a) Comments on the finding and recommendation: Management agrees with the finding. Management also agrees with the recommendation, please see below for action taken. (b) Action taken: Management will deposit the underfunded amounts when a cash flow surplus is realized. Management is actively working with HUD to collect retroactive subsidy payments.
Concerning Finding 2024-002 Reporting Contact Person Responsible for Corrective Action: William Dobbins, Superintendent Corrective Action: The Limestone Public Schools will take the following actions to address finding 2024-002: Limestone Community School will strengthen internal controls over feder...
Concerning Finding 2024-002 Reporting Contact Person Responsible for Corrective Action: William Dobbins, Superintendent Corrective Action: The Limestone Public Schools will take the following actions to address finding 2024-002: Limestone Community School will strengthen internal controls over federal reporting to ensure all required reports are completed, submitted timely, and properly retained. The school will develop written procedures outlining reporting requirements for all federal programs, including ESSER (ALN 84.425). These procedures will identify responsible personnel, submission deadlines, and documentation retention requirements. Copies of all submitted federal reports, including Annual Performance Reports and Annual Performance and Expenditure Reports will be saved electronically and maintained in a centralized grant compliance file. The School will also maintain documentation confirming submission, such as submission receipts or screenshots from the online reporting system."Please note, all Invoices, and back up materials were available along with the draft of the final report. The final report was not obtainable due to the web page being closed. Also, the audit was competed half way through FY-26." Anticipated Completion Date: February 2, 2026
Concerning Finding 2024-001-Wage Requirements Contact Person Responsible for Corrective Action: William Dobbins, Superintendent Corrective Action: The Limestone Public School will take the following actions to address finding 2024-001: The school will strengthen internal controls over federally fund...
Concerning Finding 2024-001-Wage Requirements Contact Person Responsible for Corrective Action: William Dobbins, Superintendent Corrective Action: The Limestone Public School will take the following actions to address finding 2024-001: The school will strengthen internal controls over federally funded construction projects to ensure compliance with federal wage requirements. Specifically, the School will: 1. Implement procedures to property identify construction projects charged to federal grants prior to payment approval. 2. Update procurement and contract review processes to ensure that all construction contracts exceeding $2000.00 include required federal wage rate clauses in accordance with 2 CFR Appendix II to Part 200 and 29 CFR Parts 5.2 and 5.5. 3. Require contractors performing construction work funded by federal awards to submit certified payrolls and accompanying Statements of Compliance before payments are processed. 4. Maintain documentation of certified payrolls and Statements of Compliance in accordance with federal record retention requirements. 5. Provide training to applicable administrative and finance staff on federal wage rate requirements related to construction projects funded by federal awards. Anticipated Completion Date: February 2, 2026
Significant deficiency in internal control over compliance and compliance as it relates to allowable costs and activities. Federal Agency: All awards within the Research and Development Cluster Program Title: All awards within the Research and Development Cluster Assistance Listing Number: All award...
Significant deficiency in internal control over compliance and compliance as it relates to allowable costs and activities. Federal Agency: All awards within the Research and Development Cluster Program Title: All awards within the Research and Development Cluster Assistance Listing Number: All awards within the Research and Development Cluster Award Number: All awards within the Research and Development Cluster Award Period: All awards within the Research and Development Cluster Criteria 2 U.S. Code of Federal Regulations (CFR) 200 Uniform Administrative Requirements, Cost Principles, and Audit Requirements for Federal Awards Section 200.303 requires that each recipient of federal awards “Establish, document, and maintain effective internal control over the Federal award that provides reasonable assurance that the recipient is managing the Federal award in compliance with Federal statutes, regulations, and the terms and conditions of the Federal award.” Condition/Context for Evaluation During our audit, we tested nonpayroll costs charged to the federal awards for adherence to necessary compliance requirements and internal control over compliance requirements. Out of 25 sample selections, we noted the following related to seven sample items: - Five of seven sample items selected involved overcharges to the grants. All five showed management approval for the incorrect amounts. - One of seven sample items selected had no supporting documentation. - One of seven sample items had no management approval. Questioned Costs $1,790 Effect or Potential Effect AAHI may have charged unallowable or incorrect costs to the federal awards. Repeat Finding No. Recommendation We recommend AAHI implement the necessary internal controls to (1) ensure documentation is retained to support costs spent on federal awards and (2) ensure all costs are properly approved and for the correct amounts. Views of Responsible Officials of Auditee Management concurs with the finding and has provided the accompanying corrective action plan.
Description of Finding: The Organization submitted its Audited Financial Statements and Single Audit report to the federal clearing house in May 2026, eight months after it was due. Statement of Concurrence or Nonconcurrence: The Organization concurs with this finding. In 2025, the Organization hired...
Description of Finding: The Organization submitted its Audited Financial Statements and Single Audit report to the federal clearing house in May 2026, eight months after it was due. Statement of Concurrence or Nonconcurrence: The Organization concurs with this finding. In 2025, the Organization hired a new accounting firm with a firm commitment to system integration to improve efficiency in month-end and year-end close, as well as upgrades to its time keeping and payroll system that allows for real time posting of allocated time directly to the accounting software. In prior years, this was a manual process. This automation will eliminate the lag time in posting payroll allocations to the general ledger and greatly reduce the end of year closing process timeline. David Heitstuman, Chief Executive Officer, Phone 916 442-0185, email David.heitsuman@sacccenter.org
Finding 2024-002 Information on the federal program: Federal Agency: Federal Transportation Administration Pass-Through Entity: N/A Federal Program: Federal Transit Cluster Assistance Listing Number: 20.507 Compliance Requirement: Activities Allowed or Unallowed and Allowable Costs – Cost Principles...
Finding 2024-002 Information on the federal program: Federal Agency: Federal Transportation Administration Pass-Through Entity: N/A Federal Program: Federal Transit Cluster Assistance Listing Number: 20.507 Compliance Requirement: Activities Allowed or Unallowed and Allowable Costs – Cost Principles Audit Findings: Material Weakness Criteria: 2 CFR 200.403 establishes principles and standards for determining costs for federal awards carried out through grants, cost reimbursement contracts, and other agreements with state and local governments. To be allowable, under federal awards, cost must meet certain criteria: a) Be necessary and reasonable for the performance of the Federal award and be allocable thereto under these principles. b) Conform to any limitations or exclusions set forth in these principles or in the Federal award as to types or amount of cost items. c) Be consistent with policies and procedures that apply uniformly to both federally financed and other activities of the non-Federal entity. d) Be accorded consistent treatment. A cost may not be assigned to a Federal award as a direct cost if any other cost incurred for the same purpose in like circumstances has been allocated to the Federal award as an indirect cost. e) Be determined in accordance with generally accepted accounting principles (GAAP), except, for state and local governments and Indian tribes only, as otherwise provided for in this part. f) Not be included as a cost or used to meet cost sharing or matching requirements of any other federally financed program in either the current or a prior period. g) Be adequately documented. h) Cost must be incurred during the approved budget period. Additionally, 2 CFR 200.303 indicates that non-Federal Entities receiving Federal awards must establish and maintain effective internal control over the Federal award that provides reasonable assurance that the nonfederal entity is managing the Federal award in compliance with Federal statutes, regulations and terms and conditions of the Federal award. The Corporation should have controls in place to document that salaries and overtime paid with federal funds were allowable. Timecards supporting hours worked should be approved and pay rates reviewed. Condition and Context: A summary of allowable charges for the grant was prepared for submission. Within the sample of 42, we noted that 9 timecards for bus operators did not have documented review. Documented review was implemented in September 2024. All instances of the error were prior to September 2024. We also noted 1 timecard showed 2 hours more than reflected on the pay register, resulting in a net underpayment. Views of Responsible Officials and Planned Corrective Actions: Management acknowledges the finding. Each department is responsible for ensuring proper timecard records with approval are maintained. A documented review process for bus operators was implemented over timecard records in September 2025. Payroll is responsible for ensuring that the appropriate number of hours are paid to each employee. Additional review will be performed prior to issuance of pay checks to ensure that the appropriate number of hours are being paid.
The Organization has started audit preparation for the 2025 audit. We expect to be caught up by our 2025 audit.
The Organization has started audit preparation for the 2025 audit. We expect to be caught up by our 2025 audit.
Finding 2024-002: Allocation of Payroll Costs - Significant Deficiency in Internal Control Over Compliance and Instance of Noncompliance – Allowable Costs/Cost Principles Program: U.S. Department of Health and Human Services – Medicaid Cluster Response and Corrective Action Plan: Management acknowle...
Finding 2024-002: Allocation of Payroll Costs - Significant Deficiency in Internal Control Over Compliance and Instance of Noncompliance – Allowable Costs/Cost Principles Program: U.S. Department of Health and Human Services – Medicaid Cluster Response and Corrective Action Plan: Management acknowledges that documentation supporting payroll allocations for PATH CITED-related activities did not fully align with Uniform Guidance expectations for federal awards. However, similar to Finding 2024-001, the Organization was not aware that PATH CITED funding constituted federal assistance during FY2024 due to the absence of federal identifiers in grant documentation and related communications from DHCS. As such, payroll costs were managed under the Organization’s standard operational practices rather than federal compliance-specific requirements. The Organization applied a reasonable and consistent allocation methodology based on supervisory oversight and expected levels of effort, which management believes appropriately reflected the work performed, given the nature of the program at that time. Upon confirmation of the federal nature of the funding, management will take the following corrective actions which includes enhancing a time attestation/time studies process for personnel working on federal awards and strengthening policies requiring periodic after-the-fact review of payroll allocations and documentation retention requirements for supervisory approvals. Anticipated Completion Date: by June 30, 2026 Responsible Person: Virginia Lui VP, Controller
Finding 2024-001: Preparation of the Schedule of Expenditures of Federal Awards - Significant Deficiency in Internal Control Over Compliance Program: U.S. Department of Health and Human Services – Medicaid Cluster Management acknowledges the omission of PATH CITED expenditures from the SEFA for the ...
Finding 2024-001: Preparation of the Schedule of Expenditures of Federal Awards - Significant Deficiency in Internal Control Over Compliance Program: U.S. Department of Health and Human Services – Medicaid Cluster Management acknowledges the omission of PATH CITED expenditures from the SEFA for the year ended June 30, 2024. Management notes that the federal nature of the PATH CITED program was not identified in the original grant documentation or publicly available information provided by DHCS at the time the funding was awarded. Upon confirmation in 2025 that the program includes federal pass-through funding, the Organization worked to restate the SEFA and include the appropriate federal expenditures. To strengthen internal controls going forward, management has implemented procedures requiring review of funding agreements for federal funding indicators, maintaining a centralized register of federal awards to support SEFA preparation, and obtaining confirmation from funding agencies when the federal status of a program is unclear. Anticipated Completion Date: by June 30, 2026 Responsible Person: Virginia Lui VP, Controller
The School Board agrees that, while the reimbursable expenses did not include personnel costs, the Wage Rate (Davis Bacon Act) was not included in the contract language as required for federally funded projects. Management has implemented processes to ensure that any current and future contracts for...
The School Board agrees that, while the reimbursable expenses did not include personnel costs, the Wage Rate (Davis Bacon Act) was not included in the contract language as required for federally funded projects. Management has implemented processes to ensure that any current and future contracts for federally funded projects will include the Wage Rate (Davis Bacon Act) and DOL regulations to ensure compliance.
Management will work to complete the annual audit in a more timely manner, which is necessary to submit the annual data collection form in a more timely manner in future years.
Management will work to complete the annual audit in a more timely manner, which is necessary to submit the annual data collection form in a more timely manner in future years.
CONTACT PERSON: Mandy Hess, Finance Director, mhess@pickenscity.com CORRECTIVE ACTION: The City has implemented procedures to ensure that amounts reported for grant reporting amounts are accurate and are consistent with the City’s general ledger. PROPOSED COMPLETION DATE: December 31, 2026
CONTACT PERSON: Mandy Hess, Finance Director, mhess@pickenscity.com CORRECTIVE ACTION: The City has implemented procedures to ensure that amounts reported for grant reporting amounts are accurate and are consistent with the City’s general ledger. PROPOSED COMPLETION DATE: December 31, 2026
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