Finding 1217410 (2021-002)

Material Weakness Repeat Finding
Requirement
E
Questioned Costs
-
Year
2021
Accepted
2026-06-12

AI Summary

  • Answer: All tested participant files lacked proper signatures, failing to show segregation of duties in eligibility approval.
  • Trend: This issue indicates a consistent failure to meet the requirement for proper approval and review processes.
  • List: Ensure all forms are signed by the required individuals to prevent ineligible participants from receiving services.

Finding Text

Condition: All twenty-five participant files tested either only included one signature or lacked signatures to evidence segregation of duties around approval and review of the participant's eligibility. Criteria: There should be a segregation between the approval and review of a participant's eligibility for the program. Cause: The contract provider did not sign off on necessary form or the forms lacked necessary signatures to evidence segregation of duties between approval and review. Effect: There is potential that ineligible participants will be provided services. Recommendation: The client should make sure that all forms are appropriately signed by the necessary individuals.

Corrective Action Plan

In response to Finding 2021-002, the following corrective action will be taken: 1. Streamlining of enrollment to a singular assigned staff who has been trained specifically around enrollment/eligibility criteria. 2. Review of every enrollment by CRWDB leadership staff directly after enrollment to identify and correct any missing information. 3. CRWDB leadership staff will add a casenote into electronic record confirming review and accuracy of enrollment or to note missing items and plan to correct.

Categories

Eligibility

Other Findings in this Audit

  • 1217405 2021-001
    Material Weakness Repeat
  • 1217406 2021-002
    Material Weakness Repeat
  • 1217407 2021-001
    Material Weakness Repeat
  • 1217408 2021-002
    Material Weakness Repeat
  • 1217409 2021-001
    Material Weakness Repeat

Programs in Audit

ALN Program Name Expenditures
17.258 WIOA ADULT PROGRAM $579,162
17.259 WIOA YOUTH ACTIVITIES $510,839
17.278 WIOA DISLOCATED WORKER FORMULA GRANTS $353,474
17.207 EMPLOYMENT SERVICE/WAGNER-PEYSER FUNDED ACTIVITIES $93,375