Audit 311207

FY End
2021-12-31
Total Expended
$3.28M
Findings
4
Programs
1
Year: 2021 Accepted: 2024-07-01
Auditor: Eide Bailly LLP

Organization Exclusion Status:

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Findings

ID Ref Severity Repeat Requirement
404820 2021-006 Material Weakness - P
404821 2021-007 Material Weakness - ABL
981262 2021-006 Material Weakness - P
981263 2021-007 Material Weakness - ABL

Programs

ALN Program Spent Major Findings
93.498 Provider Relief Fund $3.28M Yes 2

Contacts

Name Title Type
KNA9A49DCD31 Doran Hammett Auditee
5809382551 Tyler Bernier Auditor
No contacts on file

Notes to SEFA

Title: Note 1 - Basis of Presentation Accounting Policies: Expenditures reported on the schedule are reported on the accrual basis of accounting. When applicable, 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. No federal financial assistance has been provided to a subrecipient. De Minimis Rate Used: N Rate Explanation: The Authority does not draw for indirect administrative expenses and has not elected to use the 10% de minimis cost rate. The accompanying schedule of expenditures of federal awards (the schedule) includes the federal award activity of Shattuck Hospital Authority d/b/a Newman Memorial Hospital, Inc. (Authority) under programs of the federal government for the year ended December 31, 2021. The information is presented in accordance with the requirements of Title 2 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 Authority, it is not intended to and does not present the financial position, changes in net position, or cash flows of the Authority.
Title: Note 4 - Provider Relief Fund and American Rescue Plan (ARP) Rural Distribution Accounting Policies: Expenditures reported on the schedule are reported on the accrual basis of accounting. When applicable, 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. No federal financial assistance has been provided to a subrecipient. De Minimis Rate Used: N Rate Explanation: The Authority does not draw for indirect administrative expenses and has not elected to use the 10% de minimis cost rate. The Authority received amounts from the U.S. Department of Health and Human Services (HHS) through the Assistance Listing/CFDA #93.498) during the years ended December 31, 2021 and 2020, totaling $220,679 and $3,277,920, respectively. The Authority incurred eligible expenditures, including lost revenue, and therefore, recognized revenues totaling $1,847,932 and $556,729 for the years ended December 31, 2021 and 2020, respectively. The Authority recorded a refunding advance totaling $1,093,938 and $2,721,191 as of December 31, 2021 and 2020, respectively. In accordance with the 2021 compliance supplement, the PRF expenditures recognized on the schedule are based on the reporting to HHS for Period 1 and 2, defined as payments received during April 10, 2020 to December 31, 2020 of $3,277,920, plus interest earned of $1,025, as required under the PRF program. The amount of PRF program expenditures included on the schedule requires management to make estimates and assumptions that affect the reported amounts. Accordingly, such expenditures are considered a significant estimate. Estimates and assumptions may include reducing actual expenses by amounts than have been reimbursed or are obligated to be reimbursed by other sources, estimating marginal increases in expenses related to coronavirus and the calculation of lost revenue. Actual results could differ from those estimates.

Finding Details

2021‐006 Department of Health and Human Services Federal Assistance Listing/CFDA #93.498 COVID‐19 Provider Relief Fund and American Rescue Plan (ARP) Rural Distribution Applicable Federal Award Number and Year – Period 1 TIN # 730570773 Other ‐ Preparation of Schedule of Expenditures of Federal Awards Material Weakness in Internal Control Over Compliance Criteria: Proper controls over financial reporting include the ability to prepare the schedule of expenditures of federal awards (schedule) and accompanying notes to the schedule. Condition: The Authority does not have an internal control system designed to provide for a complete and accurate schedule of expenditures of federal awards being audited. We were requested to draft the schedule. Cause: Auditor assistance with preparation of the schedule is not unusual as the schedule has unique and specialized requirements and preparation is only required when the Authority meets a specified threshold of federal expenditures. Effect: There is a reasonable possibility that the Authority would not be able to draft the schedule that is correct without the assistance of the auditors. Questioned Costs: None reported. Context: Sampling was not used. Repeat Finding from Prior Years: No Recommendation: While we recognize that this condition is not unusual for an organization with limited staffing, we recommend management be aware of the financial reporting requirements relating to the Authority’s schedule and the internal controls that impact financial reporting. Views of Responsible Officials: Management agrees with the finding.
Federal Assistance Listing/CFDA #93.498 COVID‐19 Provider Relief Fund and American Rescue Plan (ARP) Rural Distribution Applicable Federal Award Number and Year – Period 1 TIN # 730570773 Activities Allowed or Unallowed, Allowable Costs/Cost Principles, and Reporting Material Weakness in Internal Control Over Compliance Criteria: 2 CFR 200.303(a) establishes that the auditee must establish and maintain effective internal control over the federal award that provides assurance that the entity is managing the federal award in compliance with federal statutes, regulations, and conditions of the federal award. Condition: The Authority did not have internal controls established over the federal award to ensure the federal award has been managed in compliance with federal states, regulations and conditions of the federal award. Cause: The Authority's federal award tracking over eligible expenditures, including lost revenues, and reporting to the Department of Health and Human Services (HHS) was performed by a management team that is no longer employed at the Authority. Adequate records were not maintained by that team to support the amounts reported, or internal controls over the program. This includes the identification of eligible expenditures, consideration of amounts reimbursed from another source, calculation of lost revenues, and tracking of information reported to HHS. The information needed to be regenerated, reviewed, and approved by current management in order to provide supporting information associated with this program. Effect: There is a potential risk that amounts claimed for the federal award are not allowable, not supported, or were reimbursed by another source. There is also a risk of error associated with calculations of eligible expenditures, including lost revenues, and reporting to HHS. These errors could result in noncompliance with the federal program and potentially questioned costs. Ultimately, management's report of eligible expenditures, after consideration of reimbursement from another source, exceeded the amounts reported to HHS. Questioned Costs: None Context: While sampling was used to test compliance with the major federal program, there was no evidence of internal controls with this program and this was determined prior to any detail testing. Repeat Finding from Prior Years: No Recommendation: We recommend management develop and implement internal controls over federal award programs. The internal controls should provide assurance that the Authority is managing the federal award in conjunction with federal statutes, regulations, and conditions of the federal award. Additionally, the internal controls should include documentation and data retention provisions so that adequate information is available to support compliance with the federal award as well as internal controls being effective and operational. Views of Responsible Officials: Management agrees with the finding.
2021‐006 Department of Health and Human Services Federal Assistance Listing/CFDA #93.498 COVID‐19 Provider Relief Fund and American Rescue Plan (ARP) Rural Distribution Applicable Federal Award Number and Year – Period 1 TIN # 730570773 Other ‐ Preparation of Schedule of Expenditures of Federal Awards Material Weakness in Internal Control Over Compliance Criteria: Proper controls over financial reporting include the ability to prepare the schedule of expenditures of federal awards (schedule) and accompanying notes to the schedule. Condition: The Authority does not have an internal control system designed to provide for a complete and accurate schedule of expenditures of federal awards being audited. We were requested to draft the schedule. Cause: Auditor assistance with preparation of the schedule is not unusual as the schedule has unique and specialized requirements and preparation is only required when the Authority meets a specified threshold of federal expenditures. Effect: There is a reasonable possibility that the Authority would not be able to draft the schedule that is correct without the assistance of the auditors. Questioned Costs: None reported. Context: Sampling was not used. Repeat Finding from Prior Years: No Recommendation: While we recognize that this condition is not unusual for an organization with limited staffing, we recommend management be aware of the financial reporting requirements relating to the Authority’s schedule and the internal controls that impact financial reporting. Views of Responsible Officials: Management agrees with the finding.
Federal Assistance Listing/CFDA #93.498 COVID‐19 Provider Relief Fund and American Rescue Plan (ARP) Rural Distribution Applicable Federal Award Number and Year – Period 1 TIN # 730570773 Activities Allowed or Unallowed, Allowable Costs/Cost Principles, and Reporting Material Weakness in Internal Control Over Compliance Criteria: 2 CFR 200.303(a) establishes that the auditee must establish and maintain effective internal control over the federal award that provides assurance that the entity is managing the federal award in compliance with federal statutes, regulations, and conditions of the federal award. Condition: The Authority did not have internal controls established over the federal award to ensure the federal award has been managed in compliance with federal states, regulations and conditions of the federal award. Cause: The Authority's federal award tracking over eligible expenditures, including lost revenues, and reporting to the Department of Health and Human Services (HHS) was performed by a management team that is no longer employed at the Authority. Adequate records were not maintained by that team to support the amounts reported, or internal controls over the program. This includes the identification of eligible expenditures, consideration of amounts reimbursed from another source, calculation of lost revenues, and tracking of information reported to HHS. The information needed to be regenerated, reviewed, and approved by current management in order to provide supporting information associated with this program. Effect: There is a potential risk that amounts claimed for the federal award are not allowable, not supported, or were reimbursed by another source. There is also a risk of error associated with calculations of eligible expenditures, including lost revenues, and reporting to HHS. These errors could result in noncompliance with the federal program and potentially questioned costs. Ultimately, management's report of eligible expenditures, after consideration of reimbursement from another source, exceeded the amounts reported to HHS. Questioned Costs: None Context: While sampling was used to test compliance with the major federal program, there was no evidence of internal controls with this program and this was determined prior to any detail testing. Repeat Finding from Prior Years: No Recommendation: We recommend management develop and implement internal controls over federal award programs. The internal controls should provide assurance that the Authority is managing the federal award in conjunction with federal statutes, regulations, and conditions of the federal award. Additionally, the internal controls should include documentation and data retention provisions so that adequate information is available to support compliance with the federal award as well as internal controls being effective and operational. Views of Responsible Officials: Management agrees with the finding.