3. Remedy reported internal control weaknesses and compliance Agency As dictated violations in a timely manner via implementation of agency Management by corrective action plans. (i.e., Finding timeframes Contact identified in Person(s) as the agency For all findings determined by agency management to be and corrected, or no longer applicable, ensure that ID on the corrective “resolved” agency action plan supporting documentation of the corrective measures taken is maintained and readily available for review and substantiation corrective action plan) by the OLA, MMB, and/or applicable state/federal agencies. 4. Prepare a quarterly CAPSU for each agency the database MMB Internal Per identifies as having or resolved” audit Control & schedule “unresolved” “partially findings (i.e., open findings). Accountability identified at left in Action CAPSUs will be prepared approximately 90 days on or around the following calendar quarter dates: column February 28 May 31 August 31 November 30 (includes additional information for the federal single Email CAPSUs to the two pre-established, designated contact persons at each applicable agency. Agencies will continue to receive quarterly CAPSUs on each open finding until the finding is fully resolved or until the OLA designates the finding is no longer applicable. (NOTE: MMB may ask individual agencies to complete CAPSUs at in addition to those listed above in order to comply with federal agency requests for information regarding the status of findings identified during federal compliance audits.) 5. Complete all CAPSUs and return to MMB Internal Control & Agency Within two Accountability via email to confirm and/or identify the following: Management weeks of (i.e., the receipt of designated MMB Date of last CAPSU submission; Status of corrective action plan for each audit finding agency request contact (i.e., resolved,” or “resolved,” “partially “unresolved”); Agency changes to individual corrective action person(s)) (i.e., revised actions to be taken, persons responsible, and/or planned resolution date); and, Changes to agency contact persons designated to receive quarterly CAPSUs and related inquiries. 6. Follow-up with agencies that failed to submit CAPSU response. MMB Internal Two Control & after Accountability sending CAPSU to agency
3. Remedy reported internal control weaknesses and compliance violations in a timely manner via implementation of agency corrective action plans. For all findings determined by agency management to be “resolved” and corrected, or no longer applicable, ensure that supporting documentation of the corrective measures taken is maintained and readily available for review and substantiation by the OLA, MMB, and/or applicable state/federal agencies. Agency Management (i.e., Finding Contact Person(s) as ID on the agency corrective action plan) As dictated by timeframes identified in the agency corrective action plan 4. Prepare a quarterly CAPSU for each agency the database identifies as having “unresolved” or “partially resolved” audit findings (i.e., open findings). CAPSUs will be prepared approximately 90 days on or around the following calendar quarter dates: February 28 May 31 August 31 November 30 (includes additional information for the federal single Email CAPSUs to the two pre-established, designated contact persons at each applicable agency. Agencies will continue to receive quarterly CAPSUs on each open finding until the finding is fully resolved or until the OLA designates the finding is no longer applicable. (NOTE: MMB may ask individual agencies to complete CAPSUs at in addition to those listed above in order to comply with federal agency requests for information regarding the status of findings identified during federal compliance audits.) MMB Internal Control & Accountability Per schedule identified at left in Action column 5. Complete all CAPSUs and return to MMB Internal Control & Accountability via email to confirm and/or identify the following: Date of last CAPSU submission; Status of corrective action plan for each audit finding (i.e., “resolved,” “partially resolved,” or “unresolved”); Agency changes to individual corrective action (i.e., revised actions to be taken, persons responsible, and/or planned resolution date); and, Changes to agency contact persons designated to receive quarterly CAPSUs and related inquiries. Agency Management (i.e., the designated agency contact person(s)) Within two weeks of receipt of MMB request 6. Follow-up with agencies that failed to submit CAPSU response. MMB Internal Control & Accountability Two after sending CAPSU to agency
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