Finding 1210834 (2025-001)

Material Weakness Repeat Finding
Requirement
C
Questioned Costs
-
Year
2025
Accepted
2026-04-29

AI Summary

  • Core Issue: Case files are not maintained properly, lacking essential assessments and service plans for clients.
  • Impacted Requirements: Federal guidelines require detailed documentation of individual needs and service plans for each refugee, which are currently missing.
  • Recommended Follow-Up: Implement new training for staff and enhance monitoring procedures to ensure compliance with documentation standards.

Finding Text

Condition: Case files not properly maintained. Criteria: Federral Award Identification Number SPRMC022CA006 Core Services, Section e - Case File Preparation and Maintenance states "a copy of the resettlement service plan, documenting a clear plan of action, follow-up, and progress in reaching goals for each refugee, including children, based on an assessment of individual neds and which indicates the initial assessment of employability for each adult, including the reason(s) a person may not be employable shall be contained in each case file". Cause: Staff not properly trained and monitored. Effect: The files do not depict the needs of the client at enrollment or what type of service that will be provided. Context: 17 of the 31 files reviewed did not have completed assessments in the case file for all individuals included in the case. Likewise 18 of 31 files reviewed did not have completed service plans. Recommendation: The agency should establish new staff training and program quality monitoring procedures.

Corrective Action Plan

View of Responsible Officials and Planned Corrective Actions: In actual practice, the resettlement case managers make their best efforts to respond to the refugees' needs fully. That is why they are usually too short of time to make complete case notes. As a corrective action, we have arranged for the department director and supervisor to receiive regular training sessions with our funding source's grant specialist.

Categories

Subrecipient Monitoring

Other Findings in this Audit

  • 1210835 2025-004
    Material Weakness Repeat
  • 1210836 2025-004
    Material Weakness Repeat
  • 1210837 2025-004
    Material Weakness Repeat
  • 1210838 2025-004
    Material Weakness Repeat
  • 1210839 2025-004
    Material Weakness Repeat
  • 1210840 2025-004
    Material Weakness Repeat
  • 1210841 2025-004
    Material Weakness Repeat

Programs in Audit

ALN Program Name Expenditures
19.510 U.S. REFUGEE ADMISSIONS PROGRAM $3.89M
93.567 REFUGEE AND ENTRANT ASSISTANCE VOLUNTARY AGENCY PROGRAMS $1.14M
93.576 REFUGEE AND ENTRANT ASSISTANCE DISCRETIONARY GRANTS $208,173
93.566 REFUGEE AND ENTRANT ASSISTANCE STATE/REPLACEMENT DESIGNEE ADMINISTERED PROGRAMS $180,186
10.561 STATE ADMINISTRATIVE MATCHING GRANTS FOR THE SUPPLEMENTAL NUTRITION ASSISTANCE PROGRAM $42,413
21.009 VOLUNTEER INCOME TAX ASSISTANCE (VITA) MATCHING GRANT PROGRAM $7,002
14.218 COMMUNITY DEVELOPMENT BLOCK GRANTS/ENTITLEMENT GRANTS $1,231