EIN: 066032106
UEI: MSLZX37M6DY3
Data as of August 27, 2026
Management decision deadline — for entities that funded this organization
The FAC accepted this audit on March 3, 2020. Under 2 CFR 200.521(d), a pass-through entity that provided federal funds to this organization for this audit period must issue a management decision on these findings by September 3, 2020 (2184 days ago).
What is a management decision? →III. FEDERAL AWARD FINDINGS AND QUESTIONED COSTS Finding No. 2019-001 Performance reporting Program Eliminating Disparities in Perinatal Health CFDA # 93.926 Criteria Per the Notice of Award for this major program, The Foundation is required to prepare a Performance Report to the U.S. Department of Health and Human Services, Health Resources and Services Administration. In addition to this, The Foundation is required to maintain an environment of internal control that identifies individuals responsible for compiling, preparing and reviewing reports prior to submission. Condition The Foundation is required to prepare a Performance Report to the U.S. Department of Health and Human Services, Health Resources and Services Administration within 90 days after the end of the grant period (June 30, 2019). The report was not submitted prior to audit fieldwork beginning January 29, 2020. Cause There was turnover in the Program Director position during 2019. Effect Due to the report not being timely filed, the grantor may not have been able to monitor the program outcomes and program expenditures on a timely basis. Questioned costs No costs were questioned. Perspective The Performance Report is required to be submitted to the U.S. Department of Health and Human Services, Health Resources and Services Administration annually. Recommendation We recommend changes be implemented to the internal control structure as it pertains to report preparation to ensure a proper segregation of duties. We also recommend that report filing deadlines be closely monitored throughout the year. Views of Responsible Officials Management concurs with the finding. In June 2019, the long-time program director voluntarily separated from employment with The Foundation. In anticipation of this departure, a transition plan was put in place. This specific program report?s submission was represented by the employee, prior to his departure, to his supervisor as having been filed electronically and completed. Overall, the transition did not occur as planned or represented. As a result of what transpired, The Foundation reorganized its approach to the management of the federal award such that additional segregation of duties were implemented with checks and balances allocated between financial management and program management. As of August 2019, The Foundation added additional compliance supports to the New Haven Healthy Start program. Further implementation of controls have been in process. The Foundation does not expect this finding to be repeated.
Show full finding ▾Hide full finding ▴III. FEDERAL AWARD FINDINGS AND QUESTIONED COSTS Finding No. 2019-001 Performance reporting Program Eliminating Disparities in Perinatal Health CFDA # 93.926 Criteria Per the Notice of Award for this major program, The Foundation is required to prepare a Performance Report to the U.S. Department of Health and Human Services, Health Resources and Services Administration. In addition to this, The Foundation is required to maintain an environment of internal control that identifies individuals responsible for compiling, preparing and reviewing reports prior to submission. Condition The Foundation is required to prepare a Performance Report to the U.S. Department of Health and Human Services, Health Resources and Services Administration within 90 days after the end of the grant period (June 30, 2019). The report was not submitted prior to audit fieldwork beginning January 29, 2020. Cause There was turnover in the Program Director position during 2019. Effect Due to the report not being timely filed, the grantor may not have been able to monitor the program outcomes and program expenditures on a timely basis. Questioned costs No costs were questioned. Perspective The Performance Report is required to be submitted to the U.S. Department of Health and Human Services, Health Resources and Services Administration annually. Recommendation We recommend changes be implemented to the internal control structure as it pertains to report preparation to ensure a proper segregation of duties. We also recommend that report filing deadlines be closely monitored throughout the year. Views of Responsible Officials Management concurs with the finding. In June 2019, the long-time program director voluntarily separated from employment with The Foundation. In anticipation of this departure, a transition plan was put in place. This specific program report?s submission was represented by the employee, prior to his departure, to his supervisor as having been filed electronically and completed. Overall, the transition did not occur as planned or represented. As a result of what transpired, The Foundation reorganized its approach to the management of the federal award such that additional segregation of duties were implemented with checks and balances allocated between financial management and program management. As of August 2019, The Foundation added additional compliance supports to the New Haven Healthy Start program. Further implementation of controls have been in process. The Foundation does not expect this finding to be repeated.
Finding 2019-001 Performance Reporting Description of Finding The Foundation is required to prepare a Performance Report to the U.S. Department of Health and Human Services, Health Resources and Services Administration within 90 days after the end of the grant period (June 30, 2019). The report was not submitted prior to audit fieldwork beginning January 29, 2020. Statement of Concurrence Management concurs with this finding. Corrective Action In June 2019, the long-time program director voluntarily separated from employment with The Foundation. In anticipation of this departure, a transition plan was put in place. This specific program report?s submission was represented by the employee, prior to his departure, to his supervisor as having been filed electronically and completed. Overall, the transition did not occur as planned or represented. As a result of what transpired, The Foundation reorganized its approach to the management of the federal award such that additional segregation of duties were implemented with checks and balances allocated between financial management and program management. As of August 2019, The Foundation added additional compliance supports to the New Haven Healthy Start program. Further implementation of controls have been in process. The Foundation does not expect this finding to be repeated. Name of Contact Person A.F. Drew Alden, Senior V.P. for Investments and CFO Projected Completion Date February 29, 2020
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