Association for the Advancement of Mexican-Americans

Finding No. 2019-001: Compliance with Reporting Requirements U.S. DEPARTMENT OF HEALTH AND HUMAN SERVICES Prevention and Treatment of Substance Abuse Block Grants ? CFDA 93.788 / 93.959 Questioned Costs: None Condition: During our review of AAMA's compliance with grant reporting requirements, we noted that the following reports and documents were submitted later than the required due dates stipulated in the grant agreements. See Schedule of Findings and Questioned Costs for chart/table. Criteria: In accordance with the terms of the grant agreements, AAMA was required to submit certain reports and documents as stipulated in the grant agreements with HHSC. Cause: AAMA?s procedures related to the preparation and submission of HHSC's grant reports were not sufficient to ensure that these reports were submitted by the due dates. Effect: With respect to the instances noted above, AAMA did not comply with the terms of the grant agreements. Recommendation: We recommend that AAMA establish procedures to ensure that reports are submitted in accordance with the provisions of the contract agreements. Views of Responsible Officials and Planned Corrective Actions: See management?s corrective action plan on page 38.

January 13, 2020 Subject: Finding No. 2019-001 ? Compliance with Reporting Requirements / Prevention and Treatment of Substance Abuse Block Grants ? CFDA 93.788 / 93.959 With respect to McConnell & Jones? August 31, 2019 Schedule of Findings and Questioned Costs as noted above, the Association for the Advancement of Mexican-Americans respectfully submits the following Correction Action Plan: ? AAMA?s Executive Officers have met with the Prevention and Counseling Director to stress the critical importance of complying with all reporting due dates, regardless of the resources that may be necessary to do so. ? All Prevention and Counseling due dates of whatever nature will be placed on the Outlook calendars of those employees and backups who have been assigned the responsibility for submitting HHSC and other grantor required reports on time. ? Concurrently with the above, reminders ten (10) days prior to the respective due dates will be placed on the Outlook calendars of each responsible employee and backup. ? If the responsible employee or backup believes that additional time is needed to submit the required report, such employee will submit a request to the proper agency or grantor at least ten (10) days prior to the original due date. ? Depending upon the type of report being submitted, the following individuals in the order assigned, will assume reporting responsibilities: (1) Program Manager / Quality Assurance Manager; (2) Program Coordinator / Office Manager; (3) Quality Assurance Manager (if not primarily responsible) and; (4) Director of Prevention and Counseling. ? The above Correction Action Plan was implemented on or before December 13, 2019. ASSOCIATION FOR THE ADVANCEMENT OF MEXICAN-AMERICANS ________________________________ James R. Dunn CPA, CFE, CFF, CGMA Chief Financial Officer

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