Audit 291609

FY End
2022-06-30
Total Expended
$20.77M
Findings
12
Programs
50
Organization: City of Winchester, Virginia (VA)
Year: 2022 Accepted: 2024-02-22

Organization Exclusion Status:

Checking exclusion status...

Findings

ID Ref Severity Repeat Requirement
370078 2022-001 Significant Deficiency - A
370079 2022-001 Significant Deficiency - A
370080 2022-001 Significant Deficiency - A
370081 2022-002 - - B
370082 2022-002 - - B
370083 2022-002 - - B
946520 2022-001 Significant Deficiency - A
946521 2022-001 Significant Deficiency - A
946522 2022-001 Significant Deficiency - A
946523 2022-002 - - B
946524 2022-002 - - B
946525 2022-002 - - B

Programs

ALN Program Spent Major Findings
21.027 Coronavirus State and Local Fiscal Recovery Funds $3.42M Yes 0
84.010 Title I Grants to Local Educational Agencies $1.40M - 0
84.027 Special Education_grants to States $1.17M - 0
84.411 Investing in Innovation (i3) Fund $1.01M - 0
20.507 Federal Transit_formula Grants $931,874 Yes 0
10.561 State Administrative Matching Grants for the Supplemental Nutrition Assistance Program $923,709 Yes 0
84.374 Teacher Incentive Fund $859,299 Yes 0
93.659 Adoption Assistance $706,592 - 0
21.019 Coronavirus Relief Fund $630,539 - 0
10.553 School Breakfast Program $602,265 - 0
93.778 Medical Assistance Program $486,766 - 0
84.425 Education Stabilization Fund $450,684 Yes 2
14.218 Community Development Block Grants/entitlement Grants $422,141 - 0
93.658 Foster Care_title IV-E $384,458 - 0
93.667 Social Services Block Grant $373,491 - 0
32.009 Emergency Connectivity Fund Program $347,226 - 0
93.558 Temporary Assistance for Needy Families $315,464 - 0
84.367 Improving Teacher Quality State Grants $303,933 - 0
84.181 Special Education-Grants for Infants and Families $221,441 - 0
84.365 English Language Acquisition State Grants $156,837 - 0
84.048 Career and Technical Education -- Basic Grants to States $136,107 - 0
10.555 National School Lunch Program $118,315 - 0
16.575 Crime Victim Assistance $115,535 - 0
20.205 Highway Planning and Construction $111,857 - 0
97.044 Assistance to Firefighters Grant $105,841 - 0
16.710 Public Safety Partnership and Community Policing Grants $98,016 - 0
84.184 Safe and Drug-Free Schools and Communities_national Programs $95,877 - 0
93.596 Child Care Mandatory and Matching Funds of the Child Care and Development Fund $71,005 - 0
95.001 High Intensity Drug Trafficking Areas Program $65,635 - 0
84.173 Special Education_preschool Grants $63,466 - 0
16.540 Juvenile Justice and Delinquency Prevention_allocation to States $63,434 - 0
93.556 Promoting Safe and Stable Families $50,960 - 0
93.568 Low-Income Home Energy Assistance $49,193 - 0
97.073 State Homeland Security Program (shsp) $45,903 - 0
84.387 McKinney-Vento Education for Homeless Children and Youth $34,537 - 0
20.601 Alcohol Impaired Driving Countermeasures Incentive Grants I $18,296 - 0
16.607 Bulletproof Vest Partnership Program $15,952 - 0
93.090 Guardianship Assistance $11,644 - 0
93.472 Title IV-E Prevention and Family Services and Programs (a) $9,149 - 0
97.042 Emergency Management Performance Grants $8,905 - 0
93.599 Chafee Education and Training Vouchers Program (etv) $7,166 - 0
93.674 John H. Chafee Foster Care Program for Successful Transition to Adulthood $6,220 - 0
10.664 Cooperative Forestry Assistance $5,900 - 0
93.767 Children's Health Insurance Program $4,971 - 0
93.603 Adoption Incentive Payments $4,952 - 0
45.025 Promotion of the Arts_partnership Agreements $4,500 - 0
93.566 Refugee and Entrant Assistance_state Administered Programs $3,899 - 0
93.590 Community-Based Child Abuse Prevention Grants $993 - 0
16.738 Edward Byrne Memorial Justice Assistance Grant Program $778 - 0
93.645 Stephanie Tubbs Jones Child Welfare Services Program $754 - 0

Contacts

Name Title Type
NAZGLF3NYJR4 Celeste Broadstreet Auditee
5406671815 Susan Chapman Auditor
No contacts on file

Notes to SEFA

Title: FOOD DISTRIBUTION Accounting Policies: The accompanying schedule of federal expenditures includes the activity of all federally assisted programs of the City of Winchester, Virginia and is presented on the modified accrual basis of accounting, as described in Note 1 to the City's basic financial statements. All federal awards received directly from federal agencies, as well as federal awards passed through other government agencies, are included on this schedule. De Minimis Rate Used: N Rate Explanation: The City did not elect to use the 10% de minimus indirect cost rate. Nonmonetary assistance is reported in the schedule at the fair market value of the commodities received and disbursed.
Title: SUBRECIPIENT MONITORING Accounting Policies: The accompanying schedule of federal expenditures includes the activity of all federally assisted programs of the City of Winchester, Virginia and is presented on the modified accrual basis of accounting, as described in Note 1 to the City's basic financial statements. All federal awards received directly from federal agencies, as well as federal awards passed through other government agencies, are included on this schedule. De Minimis Rate Used: N Rate Explanation: The City did not elect to use the 10% de minimus indirect cost rate. Of the federal expenditures presented in the schedule, the City provided federal awards to subrecipients as follows: Program Title AL Sub-recipient Amount COVID-19 - Coronavirus State and Local Fiscal Recovery Funds 21.027 Blue Ridge Habitat for Humanity $ 11,319 COVID-19 - Coronavirus State and Local Fiscal Recovery Funds 21.027 Congregational Community Action Plan 5,175 COVID-19 - Coronavirus State and Local Fiscal Recovery Funds 21.027 Sinclair Health Clinic 31,740 $ 48,234
Title: RESTATEMENT Accounting Policies: The accompanying schedule of federal expenditures includes the activity of all federally assisted programs of the City of Winchester, Virginia and is presented on the modified accrual basis of accounting, as described in Note 1 to the City's basic financial statements. All federal awards received directly from federal agencies, as well as federal awards passed through other government agencies, are included on this schedule. De Minimis Rate Used: N Rate Explanation: The City did not elect to use the 10% de minimus indirect cost rate. The accompanying Schedule of Expenditures of Federal Awards has been restated as of February 5, 2024 to include additional federal funding, as follows, that was not included in the original 2022 Annual Comprehensive Financial Report. Program Title AL Amount Title I - Grants to Local Educational Agencies 84.010 $ 458,642 English Language Acquisition Grants 84.365 29,264 Special Education Cluster - Grants to States 84.027 165,419 Supporting Effective Instruction State Grants 84.367 92,270 Safe and Drug-Fee Schools and Communities 84.184 44,630 Vocational Education - Basic Grants to States 84.048 96,345 McKinney-Vento Education for Homeless Children & Youth 84.387 25,477 Public Safety Partnership and Community Policing Grants - COPS in Schools 16.710 98,016 $ 1,010,063

Finding Details

2022-001: Controls Over Cutoff – Elementary and Secondary School Emergency Relief (ESSER) – AL# 84.425D, 84.425U (Significant Deficiency in Controls Over Compliance) Condition: During our review of ESSER expenditures, we noted approximately $14,000 of allowable costs that were recorded in the wrong period. Criteria: The expenditures must be reported in the proper period for accurate reporting on the Schedule of Expenditures of Federal Awards. Cause: Procedures in place to ensure all expenditures are recorded in the proper period were not followed. Effect: Approximately $14,000 of allowable costs were recorded in fiscal year 2022 instead of fiscal year 2021. Questioned Cost Amount: N/A – the expenditures in question are allowable costs that were reported in the wrong fiscal year. Perspective Information: Two items out of 25 tested. Context: The individual overseeing the project did not provide invoices to Finance in a timely manner. Recommendation: We recommend continued communications with all departments to ensure all invoices are being submitted to Finance in a timely manner in order to record expenditures in the proper reporting period. Views of Responsible Officials and Planned Corrective Action: The Director of Finance of Winchester Public Schools will communicate the importance of getting invoices to the School’s finance department in a timely manner.
2022-001: Controls Over Cutoff – Elementary and Secondary School Emergency Relief (ESSER) – AL# 84.425D, 84.425U (Significant Deficiency in Controls Over Compliance) Condition: During our review of ESSER expenditures, we noted approximately $14,000 of allowable costs that were recorded in the wrong period. Criteria: The expenditures must be reported in the proper period for accurate reporting on the Schedule of Expenditures of Federal Awards. Cause: Procedures in place to ensure all expenditures are recorded in the proper period were not followed. Effect: Approximately $14,000 of allowable costs were recorded in fiscal year 2022 instead of fiscal year 2021. Questioned Cost Amount: N/A – the expenditures in question are allowable costs that were reported in the wrong fiscal year. Perspective Information: Two items out of 25 tested. Context: The individual overseeing the project did not provide invoices to Finance in a timely manner. Recommendation: We recommend continued communications with all departments to ensure all invoices are being submitted to Finance in a timely manner in order to record expenditures in the proper reporting period. Views of Responsible Officials and Planned Corrective Action: The Director of Finance of Winchester Public Schools will communicate the importance of getting invoices to the School’s finance department in a timely manner.
2022-001: Controls Over Cutoff – Elementary and Secondary School Emergency Relief (ESSER) – AL# 84.425D, 84.425U (Significant Deficiency in Controls Over Compliance) Condition: During our review of ESSER expenditures, we noted approximately $14,000 of allowable costs that were recorded in the wrong period. Criteria: The expenditures must be reported in the proper period for accurate reporting on the Schedule of Expenditures of Federal Awards. Cause: Procedures in place to ensure all expenditures are recorded in the proper period were not followed. Effect: Approximately $14,000 of allowable costs were recorded in fiscal year 2022 instead of fiscal year 2021. Questioned Cost Amount: N/A – the expenditures in question are allowable costs that were reported in the wrong fiscal year. Perspective Information: Two items out of 25 tested. Context: The individual overseeing the project did not provide invoices to Finance in a timely manner. Recommendation: We recommend continued communications with all departments to ensure all invoices are being submitted to Finance in a timely manner in order to record expenditures in the proper reporting period. Views of Responsible Officials and Planned Corrective Action: The Director of Finance of Winchester Public Schools will communicate the importance of getting invoices to the School’s finance department in a timely manner.
2022-002: Unallowable Costs – Elementary and Secondary School Emergency Relief (ESSER) – AL# 84.425D, 84.425U Condition: As part of our audit, we noted one instance where payroll for an elementary school teacher was incorrectly charged to this program. Criteria: All expenditures being coded to Federal programs must be reviewed to ensure they are an allowable cost. Cause: Procedures in place to ensure all expenditures are allowable were not followed. Effect: Payroll for one elementary school teacher was incorrectly recorded as an ESSER expenditure. Questioned Cost Amount: The total of the error noted in testing was approximately $450. The projected error is estimated to be approximately $7,900. Perspective Information: One item out of 25 tested. Context: Budget reports submitted to and approved by the Virginia Department of Education (VDOE) include details explaining how Winchester Public Schools will spend ESSER funds. The elementary school position was not included in this report and, thus, not approved by the VDOE. Recommendation: We recommend continued review of payroll costs and positions before using ESSER funds. Views of Responsible Officials and Planned Corrective Action: The Director of Finance of Winchester Public Schools concurred with the finding and made the appropriate entries to remove these payroll costs out of the grant. The School’s finance department will continue to have heightened scrutiny when using Federal funds.
2022-002: Unallowable Costs – Elementary and Secondary School Emergency Relief (ESSER) – AL# 84.425D, 84.425U Condition: As part of our audit, we noted one instance where payroll for an elementary school teacher was incorrectly charged to this program. Criteria: All expenditures being coded to Federal programs must be reviewed to ensure they are an allowable cost. Cause: Procedures in place to ensure all expenditures are allowable were not followed. Effect: Payroll for one elementary school teacher was incorrectly recorded as an ESSER expenditure. Questioned Cost Amount: The total of the error noted in testing was approximately $450. The projected error is estimated to be approximately $7,900. Perspective Information: One item out of 25 tested. Context: Budget reports submitted to and approved by the Virginia Department of Education (VDOE) include details explaining how Winchester Public Schools will spend ESSER funds. The elementary school position was not included in this report and, thus, not approved by the VDOE. Recommendation: We recommend continued review of payroll costs and positions before using ESSER funds. Views of Responsible Officials and Planned Corrective Action: The Director of Finance of Winchester Public Schools concurred with the finding and made the appropriate entries to remove these payroll costs out of the grant. The School’s finance department will continue to have heightened scrutiny when using Federal funds.
2022-002: Unallowable Costs – Elementary and Secondary School Emergency Relief (ESSER) – AL# 84.425D, 84.425U Condition: As part of our audit, we noted one instance where payroll for an elementary school teacher was incorrectly charged to this program. Criteria: All expenditures being coded to Federal programs must be reviewed to ensure they are an allowable cost. Cause: Procedures in place to ensure all expenditures are allowable were not followed. Effect: Payroll for one elementary school teacher was incorrectly recorded as an ESSER expenditure. Questioned Cost Amount: The total of the error noted in testing was approximately $450. The projected error is estimated to be approximately $7,900. Perspective Information: One item out of 25 tested. Context: Budget reports submitted to and approved by the Virginia Department of Education (VDOE) include details explaining how Winchester Public Schools will spend ESSER funds. The elementary school position was not included in this report and, thus, not approved by the VDOE. Recommendation: We recommend continued review of payroll costs and positions before using ESSER funds. Views of Responsible Officials and Planned Corrective Action: The Director of Finance of Winchester Public Schools concurred with the finding and made the appropriate entries to remove these payroll costs out of the grant. The School’s finance department will continue to have heightened scrutiny when using Federal funds.
2022-001: Controls Over Cutoff – Elementary and Secondary School Emergency Relief (ESSER) – AL# 84.425D, 84.425U (Significant Deficiency in Controls Over Compliance) Condition: During our review of ESSER expenditures, we noted approximately $14,000 of allowable costs that were recorded in the wrong period. Criteria: The expenditures must be reported in the proper period for accurate reporting on the Schedule of Expenditures of Federal Awards. Cause: Procedures in place to ensure all expenditures are recorded in the proper period were not followed. Effect: Approximately $14,000 of allowable costs were recorded in fiscal year 2022 instead of fiscal year 2021. Questioned Cost Amount: N/A – the expenditures in question are allowable costs that were reported in the wrong fiscal year. Perspective Information: Two items out of 25 tested. Context: The individual overseeing the project did not provide invoices to Finance in a timely manner. Recommendation: We recommend continued communications with all departments to ensure all invoices are being submitted to Finance in a timely manner in order to record expenditures in the proper reporting period. Views of Responsible Officials and Planned Corrective Action: The Director of Finance of Winchester Public Schools will communicate the importance of getting invoices to the School’s finance department in a timely manner.
2022-001: Controls Over Cutoff – Elementary and Secondary School Emergency Relief (ESSER) – AL# 84.425D, 84.425U (Significant Deficiency in Controls Over Compliance) Condition: During our review of ESSER expenditures, we noted approximately $14,000 of allowable costs that were recorded in the wrong period. Criteria: The expenditures must be reported in the proper period for accurate reporting on the Schedule of Expenditures of Federal Awards. Cause: Procedures in place to ensure all expenditures are recorded in the proper period were not followed. Effect: Approximately $14,000 of allowable costs were recorded in fiscal year 2022 instead of fiscal year 2021. Questioned Cost Amount: N/A – the expenditures in question are allowable costs that were reported in the wrong fiscal year. Perspective Information: Two items out of 25 tested. Context: The individual overseeing the project did not provide invoices to Finance in a timely manner. Recommendation: We recommend continued communications with all departments to ensure all invoices are being submitted to Finance in a timely manner in order to record expenditures in the proper reporting period. Views of Responsible Officials and Planned Corrective Action: The Director of Finance of Winchester Public Schools will communicate the importance of getting invoices to the School’s finance department in a timely manner.
2022-001: Controls Over Cutoff – Elementary and Secondary School Emergency Relief (ESSER) – AL# 84.425D, 84.425U (Significant Deficiency in Controls Over Compliance) Condition: During our review of ESSER expenditures, we noted approximately $14,000 of allowable costs that were recorded in the wrong period. Criteria: The expenditures must be reported in the proper period for accurate reporting on the Schedule of Expenditures of Federal Awards. Cause: Procedures in place to ensure all expenditures are recorded in the proper period were not followed. Effect: Approximately $14,000 of allowable costs were recorded in fiscal year 2022 instead of fiscal year 2021. Questioned Cost Amount: N/A – the expenditures in question are allowable costs that were reported in the wrong fiscal year. Perspective Information: Two items out of 25 tested. Context: The individual overseeing the project did not provide invoices to Finance in a timely manner. Recommendation: We recommend continued communications with all departments to ensure all invoices are being submitted to Finance in a timely manner in order to record expenditures in the proper reporting period. Views of Responsible Officials and Planned Corrective Action: The Director of Finance of Winchester Public Schools will communicate the importance of getting invoices to the School’s finance department in a timely manner.
2022-002: Unallowable Costs – Elementary and Secondary School Emergency Relief (ESSER) – AL# 84.425D, 84.425U Condition: As part of our audit, we noted one instance where payroll for an elementary school teacher was incorrectly charged to this program. Criteria: All expenditures being coded to Federal programs must be reviewed to ensure they are an allowable cost. Cause: Procedures in place to ensure all expenditures are allowable were not followed. Effect: Payroll for one elementary school teacher was incorrectly recorded as an ESSER expenditure. Questioned Cost Amount: The total of the error noted in testing was approximately $450. The projected error is estimated to be approximately $7,900. Perspective Information: One item out of 25 tested. Context: Budget reports submitted to and approved by the Virginia Department of Education (VDOE) include details explaining how Winchester Public Schools will spend ESSER funds. The elementary school position was not included in this report and, thus, not approved by the VDOE. Recommendation: We recommend continued review of payroll costs and positions before using ESSER funds. Views of Responsible Officials and Planned Corrective Action: The Director of Finance of Winchester Public Schools concurred with the finding and made the appropriate entries to remove these payroll costs out of the grant. The School’s finance department will continue to have heightened scrutiny when using Federal funds.
2022-002: Unallowable Costs – Elementary and Secondary School Emergency Relief (ESSER) – AL# 84.425D, 84.425U Condition: As part of our audit, we noted one instance where payroll for an elementary school teacher was incorrectly charged to this program. Criteria: All expenditures being coded to Federal programs must be reviewed to ensure they are an allowable cost. Cause: Procedures in place to ensure all expenditures are allowable were not followed. Effect: Payroll for one elementary school teacher was incorrectly recorded as an ESSER expenditure. Questioned Cost Amount: The total of the error noted in testing was approximately $450. The projected error is estimated to be approximately $7,900. Perspective Information: One item out of 25 tested. Context: Budget reports submitted to and approved by the Virginia Department of Education (VDOE) include details explaining how Winchester Public Schools will spend ESSER funds. The elementary school position was not included in this report and, thus, not approved by the VDOE. Recommendation: We recommend continued review of payroll costs and positions before using ESSER funds. Views of Responsible Officials and Planned Corrective Action: The Director of Finance of Winchester Public Schools concurred with the finding and made the appropriate entries to remove these payroll costs out of the grant. The School’s finance department will continue to have heightened scrutiny when using Federal funds.
2022-002: Unallowable Costs – Elementary and Secondary School Emergency Relief (ESSER) – AL# 84.425D, 84.425U Condition: As part of our audit, we noted one instance where payroll for an elementary school teacher was incorrectly charged to this program. Criteria: All expenditures being coded to Federal programs must be reviewed to ensure they are an allowable cost. Cause: Procedures in place to ensure all expenditures are allowable were not followed. Effect: Payroll for one elementary school teacher was incorrectly recorded as an ESSER expenditure. Questioned Cost Amount: The total of the error noted in testing was approximately $450. The projected error is estimated to be approximately $7,900. Perspective Information: One item out of 25 tested. Context: Budget reports submitted to and approved by the Virginia Department of Education (VDOE) include details explaining how Winchester Public Schools will spend ESSER funds. The elementary school position was not included in this report and, thus, not approved by the VDOE. Recommendation: We recommend continued review of payroll costs and positions before using ESSER funds. Views of Responsible Officials and Planned Corrective Action: The Director of Finance of Winchester Public Schools concurred with the finding and made the appropriate entries to remove these payroll costs out of the grant. The School’s finance department will continue to have heightened scrutiny when using Federal funds.