Audit 298218

FY End
2023-06-30
Total Expended
$17.05M
Findings
2
Programs
6
Organization: Puerto Rico Planning Board (PR)
Year: 2023 Accepted: 2024-03-27

Organization Exclusion Status:

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Findings

ID Ref Severity Repeat Requirement
385089 2023-001 Significant Deficiency Yes P
961531 2023-001 Significant Deficiency Yes P

Contacts

Name Title Type
LX7MWNBLFLY9 Andres Ruiz Rodriguez Auditee
7877236200 Velvette Barnes Pico Auditor
No contacts on file

Notes to SEFA

Title: NOTE A - GENERAL Accounting Policies: A summary of the significant accounting policies used in the preparation of the statement of cash receipts and disbursements follows: Basis of presentation The accompanying financial statement has been prepared pursuant to the provisions of Act No. 230 of July 23, 1974, as amended; known as the "Puerto Rico Government Accounting Act". This law establishes public policy with respect to the control of and accounting for, public funds and property. The Board's funds are, by law, under custody and control of the Secretary of the Treasury and are also accounted for in the Commonwealth's Central Government Accounting Systems (CGAS). The Board is an agency of the Commonwealth of Puerto Rico. The accompanying financial statement is intended to present the cash receipts and cash disbursements of only that portion of the funds of the Commonwealth of Puerto Rico that is attributable to the transactions of the Board. The accounts of the Board are organized on the basis of Governmental Funds. The Board maintains appropriations for several individual and local funds within each fund type. As more fully explained below, each fund is accounted for with a set of accounts, which only include cash receipts and disbursements. No balance sheet accounts are maintained or reported. The individual funds account for the governmental resources allocated to them for the purpose of carrying out specific activities in accordance with laws, regulations and other restrictions. Description of funds The various funds are summarized by type in the financial statement. The following fund types are used by the Board: Governmental Fund Types General Fund — is the general operating fund. It accounts for all financial resources except those required to be accounted for in other funds. Special Revenue Federal Funds — are used to account for the proceeds of specific revenue sources that are legally restricted to disbursements from federal financial assistance program’s specific purposes. Special Revenue State Funds — are used to account for the proceeds of specific revenue sources that are legally restricted to disbursements from state financial assistance funds specific purposes. Basis of accounting The Board accounts for all funds administered using the cash basis of accounting. Under this basis, revenues are recognized, as funds are received, and expenditures are recognized when funds are disbursed or transferred out. Therefore, the Statement of Cash Receipts and Cash Disbursements is not intended to present the Board's results of operations in accordance with accounting principles generally accepted in the United States of America. Appropriation funds are under control of the Secretary of the Puerto Rico Treasury Department (Secretary) and are recognized as cash received when funds are disbursed by the Secretary. Therefore, cash received, and cash disbursed represent the same amount for the purpose of the General Fund and for those funds or contributions where the Secretary has established the same disbursement policy. De Minimis Rate Used: Y Rate Explanation: The auditee used the deminimis cost rate The accompanying Schedule of Expenditures of Federal Awards presents the activity of all federal financial assistance programs of the Puerto Rico Planning Board. The Board reporting entity is defined in Note A to The Board's Statement of Cash Receipts and Cash Disbursements. Federal financial assistance passed through from other government agencies is included on the schedule.
Title: NOTE B - BASIS OF ACCOUNTING Accounting Policies: A summary of the significant accounting policies used in the preparation of the statement of cash receipts and disbursements follows: Basis of presentation The accompanying financial statement has been prepared pursuant to the provisions of Act No. 230 of July 23, 1974, as amended; known as the "Puerto Rico Government Accounting Act". This law establishes public policy with respect to the control of and accounting for, public funds and property. The Board's funds are, by law, under custody and control of the Secretary of the Treasury and are also accounted for in the Commonwealth's Central Government Accounting Systems (CGAS). The Board is an agency of the Commonwealth of Puerto Rico. The accompanying financial statement is intended to present the cash receipts and cash disbursements of only that portion of the funds of the Commonwealth of Puerto Rico that is attributable to the transactions of the Board. The accounts of the Board are organized on the basis of Governmental Funds. The Board maintains appropriations for several individual and local funds within each fund type. As more fully explained below, each fund is accounted for with a set of accounts, which only include cash receipts and disbursements. No balance sheet accounts are maintained or reported. The individual funds account for the governmental resources allocated to them for the purpose of carrying out specific activities in accordance with laws, regulations and other restrictions. Description of funds The various funds are summarized by type in the financial statement. The following fund types are used by the Board: Governmental Fund Types General Fund — is the general operating fund. It accounts for all financial resources except those required to be accounted for in other funds. Special Revenue Federal Funds — are used to account for the proceeds of specific revenue sources that are legally restricted to disbursements from federal financial assistance program’s specific purposes. Special Revenue State Funds — are used to account for the proceeds of specific revenue sources that are legally restricted to disbursements from state financial assistance funds specific purposes. Basis of accounting The Board accounts for all funds administered using the cash basis of accounting. Under this basis, revenues are recognized, as funds are received, and expenditures are recognized when funds are disbursed or transferred out. Therefore, the Statement of Cash Receipts and Cash Disbursements is not intended to present the Board's results of operations in accordance with accounting principles generally accepted in the United States of America. Appropriation funds are under control of the Secretary of the Puerto Rico Treasury Department (Secretary) and are recognized as cash received when funds are disbursed by the Secretary. Therefore, cash received, and cash disbursed represent the same amount for the purpose of the General Fund and for those funds or contributions where the Secretary has established the same disbursement policy. De Minimis Rate Used: Y Rate Explanation: The auditee used the deminimis cost rate The accompanying Schedule of Expenditures of Federal Awards is presented using the cash basis of accounting, which is described in Note A to The Board's Statement of Cash Receipts and Cash Disbursements. The Puerto Rico Planning Board has elected to use the 10 percent de minimis indirect cost rate allowed under the Uniform Guidance.
Title: NOTE C - RELATION TO FINANCIAL STATEMENT (STATEMENT OF CASH RECEIPTS AND CASH DISBURSEMENTS) Accounting Policies: A summary of the significant accounting policies used in the preparation of the statement of cash receipts and disbursements follows: Basis of presentation The accompanying financial statement has been prepared pursuant to the provisions of Act No. 230 of July 23, 1974, as amended; known as the "Puerto Rico Government Accounting Act". This law establishes public policy with respect to the control of and accounting for, public funds and property. The Board's funds are, by law, under custody and control of the Secretary of the Treasury and are also accounted for in the Commonwealth's Central Government Accounting Systems (CGAS). The Board is an agency of the Commonwealth of Puerto Rico. The accompanying financial statement is intended to present the cash receipts and cash disbursements of only that portion of the funds of the Commonwealth of Puerto Rico that is attributable to the transactions of the Board. The accounts of the Board are organized on the basis of Governmental Funds. The Board maintains appropriations for several individual and local funds within each fund type. As more fully explained below, each fund is accounted for with a set of accounts, which only include cash receipts and disbursements. No balance sheet accounts are maintained or reported. The individual funds account for the governmental resources allocated to them for the purpose of carrying out specific activities in accordance with laws, regulations and other restrictions. Description of funds The various funds are summarized by type in the financial statement. The following fund types are used by the Board: Governmental Fund Types General Fund — is the general operating fund. It accounts for all financial resources except those required to be accounted for in other funds. Special Revenue Federal Funds — are used to account for the proceeds of specific revenue sources that are legally restricted to disbursements from federal financial assistance program’s specific purposes. Special Revenue State Funds — are used to account for the proceeds of specific revenue sources that are legally restricted to disbursements from state financial assistance funds specific purposes. Basis of accounting The Board accounts for all funds administered using the cash basis of accounting. Under this basis, revenues are recognized, as funds are received, and expenditures are recognized when funds are disbursed or transferred out. Therefore, the Statement of Cash Receipts and Cash Disbursements is not intended to present the Board's results of operations in accordance with accounting principles generally accepted in the United States of America. Appropriation funds are under control of the Secretary of the Puerto Rico Treasury Department (Secretary) and are recognized as cash received when funds are disbursed by the Secretary. Therefore, cash received, and cash disbursed represent the same amount for the purpose of the General Fund and for those funds or contributions where the Secretary has established the same disbursement policy. De Minimis Rate Used: Y Rate Explanation: The auditee used the deminimis cost rate The federal funds expended for the year ended June 30, 2023 are as follows: See the Notes to the SEFA for table.

Finding Details

2023-001 Financial Management — Accounting System and Reporting Practices Criteria As stated in Uniform Guidance Part 200.302 — Standards for Financial management: (3) The financial management system of other grantees and sub-grantees must meet the following standards: (3) Accounting records: Grantees and sub-grantees must maintain records which adequately identify the source and application of funds provided for financially assisted activities. These records must contain information pertaining to grant or subgrant awards and authorizations, obligations, un-obligated balances, assets, liabilities outlays or expenditures and income. Condition The accounting records did not identify any record or disclose information related to the funds, assets and liabilities. Cause The Board's accounting system is in the process of completing the integration of accounting software to maintain records of funds, assets and liabilities. The Board's funds are, by law, under custody and control of the Secretary of the Treasury and are also accounted for in the Commonwealth's Central Government Accounting Systems (CGAS). Effect The Board does not have complete financial information that could affect the decision-making process. Questioned cost None Perspective information N/A Repeat finding 2022-001 Recommendation The Board needs to complete the integration process of its accounting system that will provide complete financial information. View of responsible Official Management agrees. Official Mr. Andres Ruiz, Finance Director
2023-001 Financial Management — Accounting System and Reporting Practices Criteria As stated in Uniform Guidance Part 200.302 — Standards for Financial management: (3) The financial management system of other grantees and sub-grantees must meet the following standards: (3) Accounting records: Grantees and sub-grantees must maintain records which adequately identify the source and application of funds provided for financially assisted activities. These records must contain information pertaining to grant or subgrant awards and authorizations, obligations, un-obligated balances, assets, liabilities outlays or expenditures and income. Condition The accounting records did not identify any record or disclose information related to the funds, assets and liabilities. Cause The Board's accounting system is in the process of completing the integration of accounting software to maintain records of funds, assets and liabilities. The Board's funds are, by law, under custody and control of the Secretary of the Treasury and are also accounted for in the Commonwealth's Central Government Accounting Systems (CGAS). Effect The Board does not have complete financial information that could affect the decision-making process. Questioned cost None Perspective information N/A Repeat finding 2022-001 Recommendation The Board needs to complete the integration process of its accounting system that will provide complete financial information. View of responsible Official Management agrees. Official Mr. Andres Ruiz, Finance Director