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Corrective Action Plans

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Finding 505247 (2023-002)
Significant Deficiency 2023
Scott County School District
MS
Questioned Costs
• Title: Business Manager
• Title: Business Manager
View Audit 327862 Questioned Costs: $1
Finding 505247 (2023-002)
Significant Deficiency 2023
Scott County School District
MS
Questioned Costs
b. Description of correction action to be taken:
b. Description of correction action to be taken:
View Audit 327862 Questioned Costs: $1
Finding 505247 (2023-002)
Significant Deficiency 2023
Scott County School District
MS
Questioned Costs
• The District will implement controls that ensure the district records accurately reflect
• The District will implement controls that ensure the district records accurately reflect
View Audit 327862 Questioned Costs: $1
Finding 505247 (2023-002)
Significant Deficiency 2023
Scott County School District
MS
Questioned Costs
the intentions of employment of district staff.
the intentions of employment of district staff.
View Audit 327862 Questioned Costs: $1
Finding 505247 (2023-002)
Significant Deficiency 2023
Scott County School District
MS
Questioned Costs
c. Anticipated completion date of corrective action:
c. Anticipated completion date of corrective action:
View Audit 327862 Questioned Costs: $1
Finding 505247 (2023-002)
Significant Deficiency 2023
Scott County School District
MS
Questioned Costs
• Immediately
• Immediately
View Audit 327862 Questioned Costs: $1
Finding 505246 (2023-001)
Significant Deficiency 2023
Scott County School District
MS
Questioned Costs
Corrective Action Plan
Corrective Action Plan
View Audit 327862 Questioned Costs: $1
Finding 505246 (2023-001)
Significant Deficiency 2023
Scott County School District
MS
Questioned Costs
a. Contact person responsible for corrective action:
a. Contact person responsible for corrective action:
View Audit 327862 Questioned Costs: $1
Finding 505246 (2023-001)
Significant Deficiency 2023
Scott County School District
MS
Questioned Costs
• Name: Al Ladner
• Name: Al Ladner
View Audit 327862 Questioned Costs: $1
Finding 505246 (2023-001)
Significant Deficiency 2023
Scott County School District
MS
Questioned Costs
• Title: Business Manager
• Title: Business Manager
View Audit 327862 Questioned Costs: $1
Finding 505246 (2023-001)
Significant Deficiency 2023
Scott County School District
MS
Questioned Costs
b. Description of correction action to be taken:
b. Description of correction action to be taken:
View Audit 327862 Questioned Costs: $1
Finding 505246 (2023-001)
Significant Deficiency 2023
Scott County School District
MS
Questioned Costs
• Business Manager will review and ensure that invoices have proper documentation
• Business Manager will review and ensure that invoices have proper documentation
View Audit 327862 Questioned Costs: $1
Finding 505246 (2023-001)
Significant Deficiency 2023
Scott County School District
MS
Questioned Costs
before approving payment.
before approving payment.
View Audit 327862 Questioned Costs: $1
Finding 505246 (2023-001)
Significant Deficiency 2023
Scott County School District
MS
Questioned Costs
• The District will review and implement controls to ensure compliance with grant
• The District will review and implement controls to ensure compliance with grant
View Audit 327862 Questioned Costs: $1
Finding 505246 (2023-001)
Significant Deficiency 2023
Scott County School District
MS
Questioned Costs
accountability.
accountability.
View Audit 327862 Questioned Costs: $1
Finding 505246 (2023-001)
Significant Deficiency 2023
Scott County School District
MS
Questioned Costs
c. Anticipated completion date of corrective action:
c. Anticipated completion date of corrective action:
View Audit 327862 Questioned Costs: $1
Finding 505246 (2023-001)
Significant Deficiency 2023
Scott County School District
MS
Questioned Costs
• October 24, 2024
• October 24, 2024
View Audit 327862 Questioned Costs: $1
Finding 505229 (2023-003)
Significant Deficiency 2023
National Council for Community Development, Inc.
NY
Subrecipient Monitoring Reporting Significant Deficiency
Finding No. 2023-003 - Reporting – Significant Deficiency Name of Federal Agency: U.S. Department of Treasury Federal Program Name: COVID-19: Coronavirus State and Local Fiscal Recovery Funds Assistance Listing Number: 21.027 Federal Award Identification Number and Year: Not available Name of Pass-t...
Finding No. 2023-003 - Reporting – Significant Deficiency Name of Federal Agency: U.S. Department of Treasury Federal Program Name: COVID-19: Coronavirus State and Local Fiscal Recovery Funds Assistance Listing Number: 21.027 Federal Award Identification Number and Year: Not available Name of Pass-through Entity (if applicable): City of Scranton Condition: During our testing, we noted that the Organization did not provide the required monthly reports to the City of Scranton. Recommendation: We recommend that the Organization establish policies, procedures, and controls to ensure that the required information is submitted on a timely basis. Action Taken: Management has incorporated procedures into our grant compliance and administration policies and procedures to ensure that a Project Director reviews, understands and takes the necessary steps to comply with reporting requirements or other, as set forth by the client agreements. This step includes but is not limited to the Project Director completing a Grant Award File Checklist. Anticipated completion date: Immediately.
View Audit 327833
Finding 505222 (2023-002)
Material Weakness 2023
National Council for Community Development, Inc.
NY
Procurement, Suspension & Debarment Subrecipient Monitoring
Finding No. 2023-002 - Procurement, Suspension and Debarment - Material Weakness Name of Federal Agency: U.S. Department of Treasury Federal Program Name: COVID-19: Coronavirus State and Local Fiscal Recovery Funds Assistance Listing Number: 21.027 Federal Award Identification Number and Year: Not a...
Finding No. 2023-002 - Procurement, Suspension and Debarment - Material Weakness Name of Federal Agency: U.S. Department of Treasury Federal Program Name: COVID-19: Coronavirus State and Local Fiscal Recovery Funds Assistance Listing Number: 21.027 Federal Award Identification Number and Year: Not available Name of Pass-through Entity (if applicable): City of Seattle, City of Scranton Condition: During our testing, we noted that the Organization did not provide adequate supporting documentation for ensuring proper suspension and debarment checks were performed. Recommendation: We recommend that the Organization establish written suspension and debarment policies and procedures to ensure that Organization is in compliance with the Uniform Guidance and that all staff are trained on this policy to ensure compliance and related internal controls over compliance are operating effectively. Action Taken: Management has clarified the necessary roles and responsibilities for this requirement in our grant compliance and administration policies and procedures that includes appropriate searches for suspension and debarment, amongst others. prior to executing any financial transactions with individuals and/or organizations. Anticipated completion date: Immediately.
View Audit 327833
Finding 505148 (2022-001)
Material Weakness 2023
Bay Area Environmental Research Institute
CA
Reporting § 200.512
Finding 2022-001—Reporting The administrative staffing turnover BAERI experienced was detrimental to our ability to meet the reporting deadline for the 2022 audit. Moving forward, BAERI will ensure that our audit report and SF-SAC form are submitted to the Federal Audit Clearinghouse within nine mon...
Finding 2022-001—Reporting The administrative staffing turnover BAERI experienced was detrimental to our ability to meet the reporting deadline for the 2022 audit. Moving forward, BAERI will ensure that our audit report and SF-SAC form are submitted to the Federal Audit Clearinghouse within nine months after the end of the audit period. Corrective Action Plan for Finding 2022-001—Reporting BAERI has taken the following steps in order to meet the reporting and deadline requirements outlined in 2 CFR 200.512 moving forward: 1. Implement policies and procedures to ensure that the internal documentation needed for our annual audit is easily accessible by finance staff and not onerous for staff to compile for the auditor. 2. Hire and train additional finance staff in order to implement the above mentioned policies and procedures needed to allow for a smooth, timely audit.
View Audit 327810
Finding 505128 (2023-011)
Material Weakness 2023
City of Long Beach
CA
Reporting Matching / Level of Effort / Earmarking § 200.303 § 200.502 § 200.510
Program: Disaster Grants - Public Assistance (Presidentially Declared Disasters) Finding: 2023-011 Contact Person: Sarah Castillo Grants Accounting Officer Emergency Operations Center (EOC) Finance Division Phone: (562) 570-5479 Email: Sarah.Castillo@longbeach.gov Planned Actions: The Emergency ...
Program: Disaster Grants - Public Assistance (Presidentially Declared Disasters) Finding: 2023-011 Contact Person: Sarah Castillo Grants Accounting Officer Emergency Operations Center (EOC) Finance Division Phone: (562) 570-5479 Email: Sarah.Castillo@longbeach.gov Planned Actions: The Emergency Operations Center (EOC) Finance division acknowledges there has been deficiencies in the manner we report expenditures related to a declared disaster on the SEFA, which will be addressed by issuing a Financial Management Disaster Procedure Manual that will include a narrative on this specific matter. The manual will be published on our City Intranet and utilized for all City Staff as a resource for all future disasters that occur. Revisions to the Procedure Manual will be made as needed to ensure we are up to date with the latest compliance changes. Expected Completion Date: 12/31/2024
View Audit 327788
Finding 505127 (2023-010)
Material Weakness 2023
City of Long Beach
CA
Questioned Costs Allowable Costs / Cost Principles Eligibility § 200.303
Program: Coronavirus State and Local Fiscal Recovery Funds Finding: 2023-010 Contact Person: Arlen Crabtree Business Operations Manager Economic Development Department Phone: (562) 570-5024 Email: Arlen.Crabtree@longbeach.gov Planned Actions: In April 2024, Economic Development Department worke...
Program: Coronavirus State and Local Fiscal Recovery Funds Finding: 2023-010 Contact Person: Arlen Crabtree Business Operations Manager Economic Development Department Phone: (562) 570-5024 Email: Arlen.Crabtree@longbeach.gov Planned Actions: In April 2024, Economic Development Department worked with the vendor to implement improved evaluation processes related to the income eligibility verification process, including: a. Enhanced Training: The vendor will provide comprehensive training to all reviewers involved in verifying income documentation. This training will emphasize the importance of accurately inputting pay period frequency and using gross income for calculations. b. Secondary checks: The vendor will establish additional quality assurance checks to validate the accuracy of income calculations before final eligibility determinations are made. This may include double-checking calculations by a second reviewer or implementing automated systems to flag potential errors. Additionally, in May 2024 the Economic Development Department has re-evaluated and revised its policy for additional review by staff; increasing the number of applications reviewed by the Economic Development Department from 10% to 30%. In the view of Management of Economic Development Department, increasing the review sample size to 30% sufficiently mitigates the risk of further error while preserving the benefits and efficiencies that utilizing a contract processor provides. Further, the Economic Development Department worked with the vendor to review all applications manually qualified by the vendor to identify any further ineligible applications not found in the sample. Regarding the questioned costs, the Economic Development Department implemented a second round of the Guaranteed Income Program that was funded by non-grant funds. Costs associated with the ineligible applications identified in the audit were reclassified from American Rescue Plan Act funding to the City’s General Fund, and replaced by costs from confirmed eligible applications in the second round of the program. Finally, the City has sought restitution from the vendor on August 29, 2024 for administrative costs of the improperly vetted applications. The City will not seek repayment from the ineligible applicants. The applicants were not responsible for the error. Expected Completion Date: 9/30/2024
View Audit 327788 Questioned Costs: $1
Finding 505125 (2023-009)
Material Weakness 2023
City of Long Beach
CA
Questioned Costs HUD Housing Programs Eligibility § 200.303
Program: Section 8 Housing Choice Vouchers Finding: 2023-009 Contact Person: Jennifer Saatjian Accounting Services Officer Health & Human Services Department Phone: (562) 570-4022 Email: Jennifer.Saatjian@longbeach.gov Planned Actions: To address delays in reexamination processes, in fiscal yea...
Program: Section 8 Housing Choice Vouchers Finding: 2023-009 Contact Person: Jennifer Saatjian Accounting Services Officer Health & Human Services Department Phone: (562) 570-4022 Email: Jennifer.Saatjian@longbeach.gov Planned Actions: To address delays in reexamination processes, in fiscal year 2024, HACLB has contracted with an agency to assist in processing overdue reexaminations, and HACLB has submitted recruiting requisitions to its Human Resources department to hire additional housing specialists to improve upon its management of the high volume of HCV program participants, documentation and processes, and to meet various requirement deadlines. Regarding the testing of HUD-50058 forms, the HUD-50058 form is generated after information is inputted into HUD’s system. Error warnings are produced from the system if information is missing. Accuracy is based on the information inputted. HACLB will provide additional training to staff inputting the information, and reviews will continue to be done by the supervisor. To further improve upon the process, HACLB implemented new housing software in August 2024, which enhances reporting and tracking of payments, of HUD-50058 forms and of contract amendments. Housing Assistance Coordinators will use these reports to identify and address discrepancies. Regarding the City’s control with the HAP register’s required signatures, HACLB’s internal procedures do not require all six Housing Coordinators to approve the check run/HAP register, as KPMG assumed. There are only three assigned Housing Assistance Coordinators that have designated staff who are allowed to make adjustments and review the check-run adjustment register to confirm the work of their respective teams. If one of the approvers is absent, another approver may review and approve the adjustments that can be completed via email. No further change or action is necessary for this process. Furthermore, supervisors will continue to review completed files and train staff on errors identified in the review process. Expected Completion Date: 9/30/2024
View Audit 327788 Questioned Costs: $1
Finding 505123 (2023-008)
Material Weakness 2023
City of Long Beach
CA
HUD Housing Programs Matching / Level of Effort / Earmarking Allowable Costs / Cost Principles § 200.303
Program: Section 8 Housing Choice Vouchers Finding: 2023-008 Contact Person: Jennifer Saatjian Accounting Services Officer Health & Human Services Department Phone: (562) 570-4022 Email: Jennifer.Saatjian@longbeach.gov Planned Actions: To ensure that required repairs are completed within the 30-...
Program: Section 8 Housing Choice Vouchers Finding: 2023-008 Contact Person: Jennifer Saatjian Accounting Services Officer Health & Human Services Department Phone: (562) 570-4022 Email: Jennifer.Saatjian@longbeach.gov Planned Actions: To ensure that required repairs are completed within the 30-day time period, in fiscal year 2024, HACLB has implemented a process to ensure reinspection dates occur before the expiration of the 30-day remediation period. By January 31, 2025, HACLB will also establish clear criteria and standards for the Inspections Housing Assistance Coordinator who is responsible for timely abatement entries, ensuring compliance with operational and regulatory requirements. The Inspections Housing Assistance Coordinator will receive additional training on abatement procedures to enhance their skills and understanding by May 2025, or earlier, depending upon the availability of training opportunities. Furthermore, by January 1, 2025, the Housing Assistance Coordinator will conduct weekly reviews of deficiencies that exceed the 30-day remediation period to ensure timely action for abatement or proration. Regarding the City’s control with the HAP register’s required signatures, HACLB’s internal procedures do not require all six Housing Coordinators to approve the check run/HAP register, as KPMG assumed. There are only three assigned Housing Assistance Coordinators that have designated staff who are allowed to make adjustments and review the check-run adjustment register to confirm the work of their respective teams. If one of the approvers is absent, another approver may review and approve the adjustments that can be completed via email. No further change or action is necessary for this process. Expected Completion Date: 1/1/2025
View Audit 327788
City of Long Beach
CA
HUD Housing Programs Special Tests & Provisions
Program: Section 8 Housing Choice Vouchers Finding: 2023-007 Contact Person: Jennifer Saatjian Accounting Services Officer Health & Human Services Department Phone: (562) 570-4022 Email: Jennifer.Saatjian@longbeach.gov Planned Actions: The gap in completing the required number of quality control...
Program: Section 8 Housing Choice Vouchers Finding: 2023-007 Contact Person: Jennifer Saatjian Accounting Services Officer Health & Human Services Department Phone: (562) 570-4022 Email: Jennifer.Saatjian@longbeach.gov Planned Actions: The gap in completing the required number of quality control inspections was primarily due to lack of resources and training. In addressing the requirement for 5% of initial inspections having a quality control inspection completed, HACLB will establish clear criteria and standards for the Inspections Housing Assistance Coordinator, who is responsible for quality control inspections to ensure compliance with operational and regulatory requirements. Furthermore, the Inspections Housing Assistance Coordinator will receive additional training on quality control procedures to enhance their skills and understanding of the review process. Clear criteria and standards for the Inspections Housing Assistance Coordinator, who is responsible for quality control inspections to ensure compliance with operational and regulatory requirements will be established by January 31, 2025 The Inspections Housing Assistance Coordinator will receive additional training on quality control procedures to enhance their skills and understanding of the review process by May 2025, or earlier depending on the availability of training opportunities. Expected Completion Date: 6/30/2025
View Audit 327788
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