Audit 18841

FY End
2022-09-30
Total Expended
$52.55M
Findings
8
Programs
38
Year: 2022 Accepted: 2023-05-08

Organization Exclusion Status:

Checking exclusion status...

Findings

ID Ref Severity Repeat Requirement
15708 2022-004 Material Weakness - P
15709 2022-004 Material Weakness - P
15710 2022-004 Material Weakness - P
15711 2022-004 Material Weakness - P
592150 2022-004 Material Weakness - P
592151 2022-004 Material Weakness - P
592152 2022-004 Material Weakness - P
592153 2022-004 Material Weakness - P

Programs

ALN Program Spent Major Findings
21.023 Emergency Rental Assistance Program $34.18M Yes 0
93.568 Low-Income Home Energy Assistance $4.12M - 0
93.575 Child Care and Development Block Grant $969,878 - 1
14.900 Lead-Based Paint Hazard Control in Privately-Owned Housing $815,211 - 0
10.558 Child and Adult Care Food Program $812,337 - 0
93.870 Maternal, Infant and Early Childhood Home Visiting Grant $639,906 - 0
93.569 Community Services Block Grant $587,414 - 0
81.042 Weatherization Assistance for Low-Income Persons $457,915 - 0
94.011 Foster Grandparent Program $279,745 - 0
21.000 Neighborworks $209,271 - 0
16.582 Crime Victim Assistance/discretionary Grants $201,263 - 0
16.524 Legal Assistance for Victims $196,573 - 0
16.575 Crime Victim Assistance $151,939 - 0
10.433 Rural Housing Preservation Grants $124,005 - 0
14.228 Community Development Block Grants/state's Program and Non-Entitlement Grants in Hawaii $123,370 - 0
93.600 Head Start $118,497 - 0
16.736 Transitional Housing Assistance for Victims of Domestic Violence, Dating Violence, Stalking, Or Sexual Assault $115,093 - 0
16.589 Rural Domestic Violence, Dating Violence, Sexual Assault, and Stalking Assistance Program $93,290 - 0
93.667 Social Services Block Grant $81,522 - 0
20.509 Formula Grants for Rural Areas and Tribal Transit Program $74,943 - 0
93.829 Section 223 Demonstration Programs to Improve Community Mental Health Services $57,443 - 0
93.323 Epidemiology and Laboratory Capacity for Infectious Diseases (elc) $57,164 - 0
93.472 Title IV-E Prevention and Family Services and Programs (a) $41,270 - 0
14.276 Youth Homelessness Demonstration Program $40,376 - 0
16.842 Opioid Affected Youth Initiative $39,955 - 0
20.513 Enhanced Mobility of Seniors and Individuals with Disabilities $39,161 - 0
93.590 Community-Based Child Abuse Prevention Grants $37,044 - 0
94.002 Retired and Senior Volunteer Program $33,871 - 0
16.017 Sexual Assault Services Formula Program $22,146 - 0
93.602 Assets for Independence Demonstration Program $20,765 - 0
93.558 Temporary Assistance for Needy Families $19,843 Yes 0
93.136 Injury Prevention and Control Research and State and Community Based Programs $19,740 - 0
93.268 Immunization Cooperative Agreements $14,313 - 0
93.778 Medical Assistance Program $11,339 - 0
93.788 Opioid Str $4,823 - 0
93.959 Block Grants for Prevention and Treatment of Substance Abuse $3,815 - 0
93.497 Family Violence Prevention and Services/ Sexual Assault/rape Crisis Services and Supports $1,040 - 0
93.550 Transitional Living for Homeless Youth $162 - 0

Contacts

Name Title Type
FLJGNNHJJ6B3 Denice Conary Auditee
2079733519 Emily Parker Auditor
No contacts on file

Notes to SEFA

Title: Basis of Presentation Accounting Policies: Summary of Significant Accounting Policies - Expenditures reported on the Schedule are reported on the accrual basis of accounting. Such expenditures are recognized following the cost principles contained in the Uniform Guidance, wherein certain types of expenditures are not allowable or are limited as to reimbursement. Passed-through entity identifying numbers are presented where available. Negative amounts shown on the schedule, if applicable, represent adjustments or credits made in the normal course of business to amounts reported as expenditures in prior years. De Minimis Rate Used: N Rate Explanation: The Organization has elected not to use the 10% de minimus indirect cost rate allowed under the Uniform Guidance. The schedule of expenditures of federal awards (the Schedule) includes the federal grant activity of Penquis C.A.P., Inc. and its Affiliates (the Organization). The information in this Schedule is presented in accordance with the requirements of Title2 U.S. Code of Federal Regulations Part 200, Uniform Administrative Requirements, Cost Principles, and Audit Requirements for Federal Awards (Uniform Guidance). Because the Schedule presents only a selected portion of the operations of the Organization, it is not intended to, and does not present the financial position, changes in net assets, or cash flows of the Organization.
Title: Other Disclosure Accounting Policies: Summary of Significant Accounting Policies - Expenditures reported on the Schedule are reported on the accrual basis of accounting. Such expenditures are recognized following the cost principles contained in the Uniform Guidance, wherein certain types of expenditures are not allowable or are limited as to reimbursement. Passed-through entity identifying numbers are presented where available. Negative amounts shown on the schedule, if applicable, represent adjustments or credits made in the normal course of business to amounts reported as expenditures in prior years. De Minimis Rate Used: N Rate Explanation: The Organization has elected not to use the 10% de minimus indirect cost rate allowed under the Uniform Guidance. The Organization's financial statements include the operations of MaineStream Finance, which expended $1,540,593 in federal awards which is not included in the Schedule for the year ended September30, 2022, as MaineStream Finance issued its own separately available Schedule.

Finding Details

Programs Affected AL 93.600 Head Start AL 93.575 Child Care and Development Block Grant Criteria The Organization is responsible for designing, implementing and maintaining effective internal controls over compliance that provide reasonable assurance that the internal controls will prevent misstatements, intentional or unintentional, from occurring, or detect and correct misstatements on a timely basis. Condition and Context While comparing and reconciling the Schedule of Expenditures of Federal Awards (SEFA) to the consolidated financial statements, we noted certain program expenditures were excluded from the SEFA. Assistance Listing 93.575 was understated by approximately $299,000 and Assistance Listing 93.600 was understated by approximately $1,682,000. Cause and Effect The conditions identified related to turnover as well as a lack of processes to identify and report all federal funds on the SEFA. The condition resulted in management not identifying all programs to be included in the SEFA, which could have resulted in incomplete information reported to users of the SEFA. Questioned Costs N/A Identification of Repeat Findings N/A Recommendation We recommend the Organization implement a tracking system to identify and report all expenditures of federal awards on the SEFA in compliance with the requirements of the Uniform Guidance. Views of Responsible Officials and Planned Corrective Actions Management agrees with the finding. See attached Planned Corrective Actions.
Programs Affected AL 93.600 Head Start AL 93.575 Child Care and Development Block Grant Criteria The Organization is responsible for designing, implementing and maintaining effective internal controls over compliance that provide reasonable assurance that the internal controls will prevent misstatements, intentional or unintentional, from occurring, or detect and correct misstatements on a timely basis. Condition and Context While comparing and reconciling the Schedule of Expenditures of Federal Awards (SEFA) to the consolidated financial statements, we noted certain program expenditures were excluded from the SEFA. Assistance Listing 93.575 was understated by approximately $299,000 and Assistance Listing 93.600 was understated by approximately $1,682,000. Cause and Effect The conditions identified related to turnover as well as a lack of processes to identify and report all federal funds on the SEFA. The condition resulted in management not identifying all programs to be included in the SEFA, which could have resulted in incomplete information reported to users of the SEFA. Questioned Costs N/A Identification of Repeat Findings N/A Recommendation We recommend the Organization implement a tracking system to identify and report all expenditures of federal awards on the SEFA in compliance with the requirements of the Uniform Guidance. Views of Responsible Officials and Planned Corrective Actions Management agrees with the finding. See attached Planned Corrective Actions.
Programs Affected AL 93.600 Head Start AL 93.575 Child Care and Development Block Grant Criteria The Organization is responsible for designing, implementing and maintaining effective internal controls over compliance that provide reasonable assurance that the internal controls will prevent misstatements, intentional or unintentional, from occurring, or detect and correct misstatements on a timely basis. Condition and Context While comparing and reconciling the Schedule of Expenditures of Federal Awards (SEFA) to the consolidated financial statements, we noted certain program expenditures were excluded from the SEFA. Assistance Listing 93.575 was understated by approximately $299,000 and Assistance Listing 93.600 was understated by approximately $1,682,000. Cause and Effect The conditions identified related to turnover as well as a lack of processes to identify and report all federal funds on the SEFA. The condition resulted in management not identifying all programs to be included in the SEFA, which could have resulted in incomplete information reported to users of the SEFA. Questioned Costs N/A Identification of Repeat Findings N/A Recommendation We recommend the Organization implement a tracking system to identify and report all expenditures of federal awards on the SEFA in compliance with the requirements of the Uniform Guidance. Views of Responsible Officials and Planned Corrective Actions Management agrees with the finding. See attached Planned Corrective Actions.
Programs Affected AL 93.600 Head Start AL 93.575 Child Care and Development Block Grant Criteria The Organization is responsible for designing, implementing and maintaining effective internal controls over compliance that provide reasonable assurance that the internal controls will prevent misstatements, intentional or unintentional, from occurring, or detect and correct misstatements on a timely basis. Condition and Context While comparing and reconciling the Schedule of Expenditures of Federal Awards (SEFA) to the consolidated financial statements, we noted certain program expenditures were excluded from the SEFA. Assistance Listing 93.575 was understated by approximately $299,000 and Assistance Listing 93.600 was understated by approximately $1,682,000. Cause and Effect The conditions identified related to turnover as well as a lack of processes to identify and report all federal funds on the SEFA. The condition resulted in management not identifying all programs to be included in the SEFA, which could have resulted in incomplete information reported to users of the SEFA. Questioned Costs N/A Identification of Repeat Findings N/A Recommendation We recommend the Organization implement a tracking system to identify and report all expenditures of federal awards on the SEFA in compliance with the requirements of the Uniform Guidance. Views of Responsible Officials and Planned Corrective Actions Management agrees with the finding. See attached Planned Corrective Actions.
Programs Affected AL 93.600 Head Start AL 93.575 Child Care and Development Block Grant Criteria The Organization is responsible for designing, implementing and maintaining effective internal controls over compliance that provide reasonable assurance that the internal controls will prevent misstatements, intentional or unintentional, from occurring, or detect and correct misstatements on a timely basis. Condition and Context While comparing and reconciling the Schedule of Expenditures of Federal Awards (SEFA) to the consolidated financial statements, we noted certain program expenditures were excluded from the SEFA. Assistance Listing 93.575 was understated by approximately $299,000 and Assistance Listing 93.600 was understated by approximately $1,682,000. Cause and Effect The conditions identified related to turnover as well as a lack of processes to identify and report all federal funds on the SEFA. The condition resulted in management not identifying all programs to be included in the SEFA, which could have resulted in incomplete information reported to users of the SEFA. Questioned Costs N/A Identification of Repeat Findings N/A Recommendation We recommend the Organization implement a tracking system to identify and report all expenditures of federal awards on the SEFA in compliance with the requirements of the Uniform Guidance. Views of Responsible Officials and Planned Corrective Actions Management agrees with the finding. See attached Planned Corrective Actions.
Programs Affected AL 93.600 Head Start AL 93.575 Child Care and Development Block Grant Criteria The Organization is responsible for designing, implementing and maintaining effective internal controls over compliance that provide reasonable assurance that the internal controls will prevent misstatements, intentional or unintentional, from occurring, or detect and correct misstatements on a timely basis. Condition and Context While comparing and reconciling the Schedule of Expenditures of Federal Awards (SEFA) to the consolidated financial statements, we noted certain program expenditures were excluded from the SEFA. Assistance Listing 93.575 was understated by approximately $299,000 and Assistance Listing 93.600 was understated by approximately $1,682,000. Cause and Effect The conditions identified related to turnover as well as a lack of processes to identify and report all federal funds on the SEFA. The condition resulted in management not identifying all programs to be included in the SEFA, which could have resulted in incomplete information reported to users of the SEFA. Questioned Costs N/A Identification of Repeat Findings N/A Recommendation We recommend the Organization implement a tracking system to identify and report all expenditures of federal awards on the SEFA in compliance with the requirements of the Uniform Guidance. Views of Responsible Officials and Planned Corrective Actions Management agrees with the finding. See attached Planned Corrective Actions.
Programs Affected AL 93.600 Head Start AL 93.575 Child Care and Development Block Grant Criteria The Organization is responsible for designing, implementing and maintaining effective internal controls over compliance that provide reasonable assurance that the internal controls will prevent misstatements, intentional or unintentional, from occurring, or detect and correct misstatements on a timely basis. Condition and Context While comparing and reconciling the Schedule of Expenditures of Federal Awards (SEFA) to the consolidated financial statements, we noted certain program expenditures were excluded from the SEFA. Assistance Listing 93.575 was understated by approximately $299,000 and Assistance Listing 93.600 was understated by approximately $1,682,000. Cause and Effect The conditions identified related to turnover as well as a lack of processes to identify and report all federal funds on the SEFA. The condition resulted in management not identifying all programs to be included in the SEFA, which could have resulted in incomplete information reported to users of the SEFA. Questioned Costs N/A Identification of Repeat Findings N/A Recommendation We recommend the Organization implement a tracking system to identify and report all expenditures of federal awards on the SEFA in compliance with the requirements of the Uniform Guidance. Views of Responsible Officials and Planned Corrective Actions Management agrees with the finding. See attached Planned Corrective Actions.
Programs Affected AL 93.600 Head Start AL 93.575 Child Care and Development Block Grant Criteria The Organization is responsible for designing, implementing and maintaining effective internal controls over compliance that provide reasonable assurance that the internal controls will prevent misstatements, intentional or unintentional, from occurring, or detect and correct misstatements on a timely basis. Condition and Context While comparing and reconciling the Schedule of Expenditures of Federal Awards (SEFA) to the consolidated financial statements, we noted certain program expenditures were excluded from the SEFA. Assistance Listing 93.575 was understated by approximately $299,000 and Assistance Listing 93.600 was understated by approximately $1,682,000. Cause and Effect The conditions identified related to turnover as well as a lack of processes to identify and report all federal funds on the SEFA. The condition resulted in management not identifying all programs to be included in the SEFA, which could have resulted in incomplete information reported to users of the SEFA. Questioned Costs N/A Identification of Repeat Findings N/A Recommendation We recommend the Organization implement a tracking system to identify and report all expenditures of federal awards on the SEFA in compliance with the requirements of the Uniform Guidance. Views of Responsible Officials and Planned Corrective Actions Management agrees with the finding. See attached Planned Corrective Actions.