Finding Text
Type of Finding: Non-compliance within Major Programs
•Criteria: Caritas Family Solutions is responsible for submitting monthly reporting (i.e. SCSEP subgrantee
reports) to monitor and ensure compliance with the major program and grant requirements.
Condition: During the audit, it was observed that 4 months of the SCSEP sub-grantee reports were not
available for review. This lack of documentation hindered the ability to verify whether these reports
were properly submitted and reviewed.
•Cause: The absence of monthly SCSEP sub-grantee reports may result from inadequate reporting
procedures, a lack of established review mechanisms, or an oversight in documentation requirements.
•Effect: The inability to obtain and review these reports raises concerns about compliance with major
program requirements and the oversight of sub-grantee activities, potentially impacting the grant's
integrity and transparency.
•Recommendation: The Organization should promptly establish and enforce procedures for the
submission and review of monthly reports to ensure compliance with major program requirements.
•Responsible Party: Gary Huelsmann, Chief Executive Officer
•Management Response and Corrective Action Plan: The monthly reports are submitted through the
CWI portal and since the former Project Manager left the agency, no one else has been granted access
to the portal. Several requests have been made to CWI and promises from CWI to grant access to the
current Project Manager, but access remains elusive. Without access to the portal, - Caritas Family
Solutions does not have the template for the report and do not know what data are reported. Moving
forward, a hardcopy of the report will be kept on file in the SCSEP office for future reference and audit
purposes. The reports are submitted via the funder’s portal and with the departure of the previous
program manager, no one at Caritas has access to the portal. Several requests were made to the funder
to grant the new program manager access, but those requests have not been honored.
•Anticipated Completion Date: The process will be ongoing once management receives access to the
portal.