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Corrective Action Plans

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Facts-Sunrise, Inc.
RI
HUD Housing Programs Internal Control / Segregation of Duties
New Security deposits were deposited into the wrong account. The Finance Dept will make a transfer to the proper account. Charles Lynch, Finance Director will be the responsible person.
New Security deposits were deposited into the wrong account. The Finance Dept will make a transfer to the proper account. Charles Lynch, Finance Director will be the responsible person.
View Audit 322563
Facts-Sunrise, Inc.
RI
HUD Housing Programs Internal Control / Segregation of Duties
After reviewing the analysis for this finding, the housing department will initiate the proper paperwork to process the refunds. William Mann, Housing Coordinator, will be the responsible party.
After reviewing the analysis for this finding, the housing department will initiate the proper paperwork to process the refunds. William Mann, Housing Coordinator, will be the responsible party.
View Audit 322563
Finding 499741 (2024-002)
Significant Deficiency 2024
Facts-Sunrise, Inc.
RI
Internal Control / Segregation of Duties
During the past few months management has been in discussions with two banks and reviewing their options for either opening accounts with corresponding banks or purchasing revolving Treasury notes. A final decision will be made in the current fiscal year.
During the past few months management has been in discussions with two banks and reviewing their options for either opening accounts with corresponding banks or purchasing revolving Treasury notes. A final decision will be made in the current fiscal year.
View Audit 322563
Facts-Sunrise, Inc.
RI
HUD Housing Programs Internal Control / Segregation of Duties
We have corrected/updated the clients records where necessary. Subsequent to your field work the client files were updated for signatures and the rent calculations was verified. William Mann, Housing Coordinator, will be the responsible party.
We have corrected/updated the clients records where necessary. Subsequent to your field work the client files were updated for signatures and the rent calculations was verified. William Mann, Housing Coordinator, will be the responsible party.
View Audit 322563
Finding 499625 (2024-001)
Significant Deficiency 2024
University of Saint Francis
IN
Questioned Costs Student Financial Aid Special Tests & Provisions
We will implement the following solutions immediately to help mitigate our R2T4 processes: the Business Office (BO) will submit refunds to the Department of Education (DOE) as separate transactions rather than netting them with drawdowns; Financial Aid (FA) will confirm correct withdrawal date befor...
We will implement the following solutions immediately to help mitigate our R2T4 processes: the Business Office (BO) will submit refunds to the Department of Education (DOE) as separate transactions rather than netting them with drawdowns; Financial Aid (FA) will confirm correct withdrawal date before starting R2T4 processes and the BO will also confirm after FA has completed these processes; and the BO will save the Student Complete Withdrawal Form, R2T4 Workflow item, ROFC screenshot, FATP email and file from FA, Student Statement, G5/G6 screenshot and email confirmation of refund
View Audit 322507 Questioned Costs: $1
Finding 499522 (2024-003)
Significant Deficiency 2024
Richardton Health Center
ND
Special Tests & Provisions Significant Deficiency Matching / Level of Effort / Earmarking § 200.303
Finding 2024-003 Federal Agency Name: United States Department of Agriculture Program Name: Community Facilities Loans and Grants Federal Assistance Listing #10.766 Finding Summary: During our testing, there was no formal review separate from the preparer over the reserve fund reconciliation for the...
Finding 2024-003 Federal Agency Name: United States Department of Agriculture Program Name: Community Facilities Loans and Grants Federal Assistance Listing #10.766 Finding Summary: During our testing, there was no formal review separate from the preparer over the reserve fund reconciliation for the federal program and there was no formal review of the balance in comparison to the required minimum reserve balance. Responsible Individual: Mandy Robinson, Administrator Corrective Action Plan: We will implement additional control processes to ensure a formal review over the reserve fund reconciliation and a formal review of the balance in comparison to the required minimum reserve balance is completed by staff separate from the preparer. Anticipated Completion Date: 12/31/2024
View Audit 322385
Finding 499462 (2024-008)
Material Weakness 2024
Outpatient Medical Center, Inc.
LA
Questioned Costs Cash Management Subrecipient Monitoring § 200.305
2024-008 Cash Management Corrective action planned: Federal draws will be made with approval of the Director of Financial Operations or their designee for expenditures that have been incurred and recorded in the general ledger. Electronic documentation will be organized by draw to ensure proper d...
2024-008 Cash Management Corrective action planned: Federal draws will be made with approval of the Director of Financial Operations or their designee for expenditures that have been incurred and recorded in the general ledger. Electronic documentation will be organized by draw to ensure proper documentation is maintained. Anticipated completion date: 11-30-2024 Contact person responsible for corrective action: Cathy Liles, Director of Fiscal Operations
View Audit 322303 Questioned Costs: $1
Finding 499458 (2024-007)
Material Weakness 2024
Outpatient Medical Center, Inc.
LA
Allowable Costs / Cost Principles Material Weakness Reporting
2024-007 Reporting (repeat of finding 2023-003) Corrective action planned: The new accounting system which OMC implemented in April 2024, allows for better tracking of UDS related costs, primarily financial related data. Documentation for UDS reporting will be maintained and updated when needed. ...
2024-007 Reporting (repeat of finding 2023-003) Corrective action planned: The new accounting system which OMC implemented in April 2024, allows for better tracking of UDS related costs, primarily financial related data. Documentation for UDS reporting will be maintained and updated when needed. Internal auditing has already been implemented to ensure compliance with reporting requirements. Anticipated completion date: 11-30-2024 Contact person responsible for corrective action: Richard Bruce, Chief Operating Officer
View Audit 322303
Finding 499454 (2024-006)
Material Weakness 2024
Outpatient Medical Center, Inc.
LA
Questioned Costs Procurement, Suspension & Debarment § 200.320
2024-006 Procurement Corrective action planned: OMC’s Purchasing Policy will be updated to ensure compliance with federal regulations. Documentation will be reviewed by accounting staff. Anticipated completion date: 11-30-2024 Contact person responsible for corrective action: Cathy Liles, Directo...
2024-006 Procurement Corrective action planned: OMC’s Purchasing Policy will be updated to ensure compliance with federal regulations. Documentation will be reviewed by accounting staff. Anticipated completion date: 11-30-2024 Contact person responsible for corrective action: Cathy Liles, Director of Fiscal Operations
View Audit 322303 Questioned Costs: $1
Finding 499450 (2024-005)
Material Weakness 2024
Outpatient Medical Center, Inc.
LA
Questioned Costs Allowable Costs / Cost Principles § 200.403
2024-005 Period of Performance Corrective action planned: The Fiscal Supervisor and/or the Director of Fiscal Operations will review expenditures before payment to ensure that GAAP and the accrual basis of accounting are being followed. Month-end closing procedures will include a review of all pre...
2024-005 Period of Performance Corrective action planned: The Fiscal Supervisor and/or the Director of Fiscal Operations will review expenditures before payment to ensure that GAAP and the accrual basis of accounting are being followed. Month-end closing procedures will include a review of all prepaid expenses to assure that a separate schedule is maintained and reconciled to the general ledger. Anticipated completion date: 11-30-2024 Contact person responsible for corrective action: Cathy Liles, Director of Fiscal Operations
View Audit 322303 Questioned Costs: $1
Finding 499446 (2024-004)
Material Weakness 2024
Outpatient Medical Center, Inc.
LA
Questioned Costs Allowable Costs / Cost Principles
2024-004 Allowable Costs/Cost Principles Corrective action planned: The Fiscal Supervisor and/or the Director of Fiscal Operations will review expenditures before payment and will ensure that goods and/or services have been received before expenditure is posted into the accounting records. OMC c...
2024-004 Allowable Costs/Cost Principles Corrective action planned: The Fiscal Supervisor and/or the Director of Fiscal Operations will review expenditures before payment and will ensure that goods and/or services have been received before expenditure is posted into the accounting records. OMC clerical and other staff will be trained on expenditure coding, based on the current year’s budget. Financial reports for each grant cost center will be reviewed each month and reconciled to the cash disbursements shown in the Payment Management System. Anticipated completion date: 11-30-24 Contact person responsible for corrective action: Cathy Liles, Director of Fiscal Operations
View Audit 322303 Questioned Costs: $1
Dogwood Manor Apartments, Inc.
TN
Findings Reference Number: 2024-001 Federal Agency: Department of Housing and Urban Development Federal Program:Supportive Housing for the Elderly CFDA Number: 14.157 Management's response: Management concurs with the finding. Corrective Action Plan: Management will request a rent increase when the ...
Findings Reference Number: 2024-001 Federal Agency: Department of Housing and Urban Development Federal Program:Supportive Housing for the Elderly CFDA Number: 14.157 Management's response: Management concurs with the finding. Corrective Action Plan: Management will request a rent increase when the property is eligible and budget for monthly tax and escrow deposits to prevent future shortfalls in escrow cash. Implementation Date: Immediately.
View Audit 322302
Peyton Manor, Inc.
TN
HUD Housing Programs
Findings Reference Number: 2024-001 Federal Agency: Department of Housing and Urban Development Federal Program:Supportive Housing for Persons with Disabilities CFDA Number: 14.181 Management's response: Management concurs with the finding. Corrective Action Plan: Management will request a rent incr...
Findings Reference Number: 2024-001 Federal Agency: Department of Housing and Urban Development Federal Program:Supportive Housing for Persons with Disabilities CFDA Number: 14.181 Management's response: Management concurs with the finding. Corrective Action Plan: Management will request a rent increase when the property is eligible and budget for monthly tax and escrow deposits to prevent future shortfalls in escrow cash.
View Audit 322301
Shenandoah Haven, Inc.
TN
HUD Housing Programs
Findings Reference Number: 2024-002 Federal Agency: Department of Housing and Urban Development Federal Program:Supportive Housing for Persons with Disabilities CFDA Number: 14.181 Management's response: Management concurs with the finding. Corrective Action Plan: Management will request a rent incr...
Findings Reference Number: 2024-002 Federal Agency: Department of Housing and Urban Development Federal Program:Supportive Housing for Persons with Disabilities CFDA Number: 14.181 Management's response: Management concurs with the finding. Corrective Action Plan: Management will request a rent increase when the property is eligible and budget for monthly tax and escrow deposits to prevent future shortfalls in escrow cash .
View Audit 322299
Finding 499442 (2024-001)
Significant Deficiency 2024
Shenandoah Haven, Inc.
TN
Allowable Costs / Cost Principles HUD Housing Programs
Findings Reference Number: 2024-001 Federal Agency: Department of Housing and Urban Development Federal Program:Supportive Housing for Persons with Disabilities CFDA Number: 14.181 Management's response: Management concurs with the finding. Corrective Action Plan: Management will re -evaluate contro...
Findings Reference Number: 2024-001 Federal Agency: Department of Housing and Urban Development Federal Program:Supportive Housing for Persons with Disabilities CFDA Number: 14.181 Management's response: Management concurs with the finding. Corrective Action Plan: Management will re -evaluate controls around cost identification and authorization in efforts to minimize potential error going forward. Implementation Date: Immediately.
View Audit 322299
Shenandoah Apartments, Inc.
TN
Findings Reference Number: 2024-001 Federal Agency: Department of Housing and Urban Development Federal Program:Supportive Housing for the Elderly CFDA Number: 14.157 Management's response: Management concurs with the finding. Corrective Action Plan: Management will request a rent increase when the ...
Findings Reference Number: 2024-001 Federal Agency: Department of Housing and Urban Development Federal Program:Supportive Housing for the Elderly CFDA Number: 14.157 Management's response: Management concurs with the finding. Corrective Action Plan: Management will request a rent increase when the property is eligible and budget for monthly tax and escrow deposits to prevent future shortfalls in escrow cash. Implementation Date: Immediately ·
View Audit 322298
MacE Apartments, Inc.
TN
HUD Housing Programs
Findings Reference Number: 2024-001 Federal Agency: Department of Housing and Urban Development Federal Program:Supportive Housing for Persons with Disabilities CFDA Number: 14.181 Management's response: Management concurs with the finding. Corrective Action Plan: Management will request a rent incr...
Findings Reference Number: 2024-001 Federal Agency: Department of Housing and Urban Development Federal Program:Supportive Housing for Persons with Disabilities CFDA Number: 14.181 Management's response: Management concurs with the finding. Corrective Action Plan: Management will request a rent increase when the property is eligible and budget for monthly tax and escrow deposits to prevent future shortfalls in escrow cash. Implementation Date: Immediately .
View Audit 322297
Hilltop Manor, Inc.
TN
Findings Reference Number: 2024-001 Federal Agency: Department of Housing and Urban Development Federal Program:Supportive Housing for the Elderly CFDA Number: 14.157 Management's response: Management concurs with the finding. Corrective Action Plan: Management will request a rent increase when the ...
Findings Reference Number: 2024-001 Federal Agency: Department of Housing and Urban Development Federal Program:Supportive Housing for the Elderly CFDA Number: 14.157 Management's response: Management concurs with the finding. Corrective Action Plan: Management will request a rent increase when the property is eligible and budget for monthly tax and escrow deposits to prevent future shortfalls in escrow cash. Implementation Date: Immediately.
View Audit 322296
Fiddler's Annex, Inc.
TN
Findings – Federal Awards Program Findings Reference Number: 2024-001 Federal Agency: Department of Housing and Urban Development Federal Program: Supportive Housing for the Elderly CFDA Number: 14.157 Management’s response: Management concurs with the finding. Corrective Action Plan: Management ...
Findings – Federal Awards Program Findings Reference Number: 2024-001 Federal Agency: Department of Housing and Urban Development Federal Program: Supportive Housing for the Elderly CFDA Number: 14.157 Management’s response: Management concurs with the finding. Corrective Action Plan: Management will request a rent increase when the property is eligible and budget for monthly tax and escrow deposits to prevent future shortfalls in escrow cash. Implementation Date: Immediately.
View Audit 322287
Fairground Apartments, Inc.
TN
HUD Housing Programs
Findings - Federal Awards Program Findings Reference Number: 2024-001 Federal Agency: Department of Housing and Urban Development Federal Program:Supportive Housing for Persons with Disabilities CFDA Number: 14.181 Management's response: Management concurs with the finding. Corrective Action Plan: M...
Findings - Federal Awards Program Findings Reference Number: 2024-001 Federal Agency: Department of Housing and Urban Development Federal Program:Supportive Housing for Persons with Disabilities CFDA Number: 14.181 Management's response: Management concurs with the finding. Corrective Action Plan: Management will request a rent increase when the property is eligible and budget for monthly tax and escrow deposits to prevent future shortfalls in escrow cash .
View Audit 322286
Finding 499413 (2024-002)
Significant Deficiency 2024
Stoddard CO Public Water District #4
MO
Internal Control / Segregation of Duties Matching / Level of Effort / Earmarking
a. We concur with the finding and recommendation. b. The Board is responsible for evaluating the condition of the replacement and extension fund account. The funding of the account will be more closely controlled. As cash flow allows, efforts will be made to remedy the underfunding of the account. A...
a. We concur with the finding and recommendation. b. The Board is responsible for evaluating the condition of the replacement and extension fund account. The funding of the account will be more closely controlled. As cash flow allows, efforts will be made to remedy the underfunding of the account. A responsible member of the Board will be assigned to oversight responsibilities. c. The Board of Directors is responsible for oversight of the funding of the replacement and extension fund account. d. The anticipated completion date of correcting the underfunding of the account will be within two years
View Audit 322270
Finding 499412 (2024-001)
Significant Deficiency 2024
Stoddard CO Public Water District #4
MO
Internal Control / Segregation of Duties Procurement, Suspension & Debarment Subrecipient Monitoring
1. Finding 2024-001 a. We concur with the finding and recommendation. b. Management realizes the duties are reevaluated regularly and with the size of the District it is not feasible to add additional employees. They believe that they have adequate safeguards against material misstatements; however...
1. Finding 2024-001 a. We concur with the finding and recommendation. b. Management realizes the duties are reevaluated regularly and with the size of the District it is not feasible to add additional employees. They believe that they have adequate safeguards against material misstatements; however, they will continue to strive to improve this deficiency. c. The Board of Directors is responsible for evaluating safeguards against material misstatements to the financial statements. d. This is an ongoing process, therefore, there is no anticipated completion date.
View Audit 322270
Finding 499151 (2024-001)
Significant Deficiency 2024
Sheridan Village, Inc.
KS
Questioned Costs HUD Housing Programs Reporting
2024-001 Finding Management did not properly calculate adjusted gross income on the annual recertification for one tenant based on information verified in the tenant's file. Adjusted gross income for the tenant was understated by $2,000 on the annual recertification, resulting in excess rental assis...
2024-001 Finding Management did not properly calculate adjusted gross income on the annual recertification for one tenant based on information verified in the tenant's file. Adjusted gross income for the tenant was understated by $2,000 on the annual recertification, resulting in excess rental assistance of $50 per month for the period affected. There are questioned costs of $200 associated with this finding. Comments on Finding and Recommendation Management agrees with the finding and recommendation. Management should process a corrected HUD-50059 certification and the PRAC should be adjusted for the overpayment. Management should review previous certifications for similar errors and process corrected certifications as necessary. Actions Taken A corrected certification was processed on August 14, 2024 and the PRAC was adjusted by $200. Previous certifications will be reviewed and corrected as necessary.
View Audit 321934 Questioned Costs: $1
Finding 498870 (2024-001)
Material Weakness 2024
Old Towne Square, Inc.
OK
Eligibility HUD Housing Programs Material Weakness
OLD TOWNE SQUARE, INC. CORRECTIVE ACTION PLAN YEAR ENDED JUNE 30, 2024 AND 2023 Old Towne Square, Inc 609 SW F Avenue Lawton, OK 73501 Telephone: (580) 353-7392 Fax: (580) 353-6111 Corrective Action Plan Finding: 2024-001-Lack of Adequate Quality Control Regarding Tenant Procedures- Eligibil...
OLD TOWNE SQUARE, INC. CORRECTIVE ACTION PLAN YEAR ENDED JUNE 30, 2024 AND 2023 Old Towne Square, Inc 609 SW F Avenue Lawton, OK 73501 Telephone: (580) 353-7392 Fax: (580) 353-6111 Corrective Action Plan Finding: 2024-001-Lack of Adequate Quality Control Regarding Tenant Procedures- Eligibility Condition: The quality of supervision over tenant file functions, such as calculating tenant rent and Housing Assistance Payments should be timely and sufficient to find errors in calculations or mis-application or mis-understanding of procedures. Corrective Action Planned: I am Rita Love, Executive Director. We will comply with the auditor’s recommendation. Person responsible for corrective action: Rita Love, Executive Director Telephone: (580) 353-7392 Old Towne Square, Inc. Fax: (580) 353-6111 609 SW F Avenue Lawton, OK 73501 Anticipated Completion Date: By November 30, 2024
View Audit 321636
Finding 498829 (2024-001)
Significant Deficiency 2024
Brescia University Inc.
KY
Student Financial Aid Special Tests & Provisions Matching / Level of Effort / Earmarking
Students’ information is submitted by the Clearinghouse to NSLDS based on a report generated from the University’s Student Information System database. Due to significant database software changes, the report no longer included all of the information required on a student who had withdrawn. The Un...
Students’ information is submitted by the Clearinghouse to NSLDS based on a report generated from the University’s Student Information System database. Due to significant database software changes, the report no longer included all of the information required on a student who had withdrawn. The University has identified the error with the report and has created a new database report that includes all of the required information, including for students who have withdrawn. The new database report will be submitted to the Clearinghouse and to NSLDS. Student information, including social security numbers, is submitted to the Clearinghouse based on reports from the University’s Student Information System database. To prevent submitting batches with incorrect social security numbers, the Registrar’s Office will provide a report of student information to the Financial Aid Office prior to submitting batches to the Clearinghouse. The Financial Aid Office will verify the SIS data with the Financial Aid database, and report any discrepancies to the Registrar’s Office for correction, prior to the batch submission.
View Audit 321580
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