Audit 311421

FY End
2023-09-30
Total Expended
$12.40M
Findings
4
Programs
13
Year: 2023 Accepted: 2024-07-01

Organization Exclusion Status:

Checking exclusion status...

Findings

ID Ref Severity Repeat Requirement
405784 2023-001 Material Weakness Yes E
405785 2023-001 Material Weakness Yes E
982226 2023-001 Material Weakness Yes E
982227 2023-001 Material Weakness Yes E

Contacts

Name Title Type
XM94E912XBN6 Jeanne Garrett Auditee
3345661712 Brian Free Auditor
No contacts on file

Notes to SEFA

Title: BASIS OF PRESENTATION Accounting Policies: This Schedule of Expenditures of Federal Awards (the “Schedule”) was prepared on the modified accrual basis of accounting. The modified accrual basis differs from the full accrual basis of accounting in that expenditures for property, and equipment are expensed when incurred, rather than being capitalized and depreciated over their useful lives, and expenditures for the principal portion of debt service are expensed when incurred rather than being applied to reduce the outstanding principal portion of debt which conforms to the basis of reporting to grantors for reimbursement under the terms of the Agency’s federal grants. De Minimis Rate Used: N Rate Explanation: The Agency has not elected to use the 10% de minimis indirect cost rate for the fiscal year ended The amounts reported in the Schedule were obtained from the Agency’s general ledger. Because the Schedule presents only a selected portion of the operations, it is not intended to and does not present the financial positions, changes in net assets and cash flows of the Agency. For purposes of the Schedule, federal awards include all grants, contracts, and similar agreements entered into directly with the federal government and other pass-through entities. Payments received for goods or services provided as a vendor do not constitute federal awards for purposes of the Schedule. The Agency has obtained Assistance Listing Numbers (ALN) to ensure that all programs have been identified in the Schedule. ALN have been appropriately listed by applicable programs. Federal programs with different ALN that are closely related because they share common compliance requirements are defined as a cluster by the Uniform Guidance. Two clusters were identified in the schedule as follows: Head Start Cluster This cluster provides awards to promote school readiness of low-income children (including American Indians, Alaska Natives, and migrant and season farm workers) by enhancing children’s cognitive, social and emotional development. Social Security/SSI Cluster This cluster includes awards that provide benefits to disabled wage earners and their families in the event the family wage earner becomes disabled. The Social Security Administration is responsible for administering the Disability Insurance and Supplemental Security Income programs.
Title: RELATIONSHIP OF THE SCHEDULE TO PROGRAM FINANCIAL REPORTS Accounting Policies: This Schedule of Expenditures of Federal Awards (the “Schedule”) was prepared on the modified accrual basis of accounting. The modified accrual basis differs from the full accrual basis of accounting in that expenditures for property, and equipment are expensed when incurred, rather than being capitalized and depreciated over their useful lives, and expenditures for the principal portion of debt service are expensed when incurred rather than being applied to reduce the outstanding principal portion of debt which conforms to the basis of reporting to grantors for reimbursement under the terms of the Agency’s federal grants. De Minimis Rate Used: N Rate Explanation: The Agency has not elected to use the 10% de minimis indirect cost rate for the fiscal year ended The amounts reflected in the financial reports submitted to the awarding federal and/or pass-through agencies and the Schedule may differ. Some of the factors that may account for any difference include the following: • The Agency’s fiscal year end may differ from the program’s year-end. • Accruals recognized in the Schedule, because of year-end procedures, may not be reported in the program financial reports until the next program reporting period. • Fixed asset purchases and the resultant depreciation charges may be recognized as fixed assets in the Agency’s financial statements and as expenditures in the program financial reports and the Schedule.
Title: FEDERAL PASS-THROUGH FUNDS Accounting Policies: This Schedule of Expenditures of Federal Awards (the “Schedule”) was prepared on the modified accrual basis of accounting. The modified accrual basis differs from the full accrual basis of accounting in that expenditures for property, and equipment are expensed when incurred, rather than being capitalized and depreciated over their useful lives, and expenditures for the principal portion of debt service are expensed when incurred rather than being applied to reduce the outstanding principal portion of debt which conforms to the basis of reporting to grantors for reimbursement under the terms of the Agency’s federal grants. De Minimis Rate Used: N Rate Explanation: The Agency has not elected to use the 10% de minimis indirect cost rate for the fiscal year ended The Agency is also the sub-recipient of federal funds that have been subjected to testing and are reported as expenditures and listed as federal pass-through funds. Federal awards other than those indicated as “pass-through” are considered direct.
Title: FACILITIES AND ADMINISTRATIVE COSTS (F&A COSTS) Accounting Policies: This Schedule of Expenditures of Federal Awards (the “Schedule”) was prepared on the modified accrual basis of accounting. The modified accrual basis differs from the full accrual basis of accounting in that expenditures for property, and equipment are expensed when incurred, rather than being capitalized and depreciated over their useful lives, and expenditures for the principal portion of debt service are expensed when incurred rather than being applied to reduce the outstanding principal portion of debt which conforms to the basis of reporting to grantors for reimbursement under the terms of the Agency’s federal grants. De Minimis Rate Used: N Rate Explanation: The Agency has not elected to use the 10% de minimis indirect cost rate for the fiscal year ended The Agency operates under predetermined fixed indirect cost rates that are effective through September 30, 2023. The base rate for indirect cost recoveries is 14.3% for the year ended September 30, 2023.
Title: CONTINGENCIES Accounting Policies: This Schedule of Expenditures of Federal Awards (the “Schedule”) was prepared on the modified accrual basis of accounting. The modified accrual basis differs from the full accrual basis of accounting in that expenditures for property, and equipment are expensed when incurred, rather than being capitalized and depreciated over their useful lives, and expenditures for the principal portion of debt service are expensed when incurred rather than being applied to reduce the outstanding principal portion of debt which conforms to the basis of reporting to grantors for reimbursement under the terms of the Agency’s federal grants. De Minimis Rate Used: N Rate Explanation: The Agency has not elected to use the 10% de minimis indirect cost rate for the fiscal year ended Grant monies received and disbursed by the Agency are for specific purposes and are subject to review by the grantor agencies. Such audits may result in requests for reimbursement due to disallowed expenditures. The Agency does not believe that such disallowance, if any, would have a material effect on its financial position. As of September 30, 2023, there were no material questioned or disallowed costs as a result of grant audits in process or completed.
Title: NONCASH ASSISTANCE Accounting Policies: This Schedule of Expenditures of Federal Awards (the “Schedule”) was prepared on the modified accrual basis of accounting. The modified accrual basis differs from the full accrual basis of accounting in that expenditures for property, and equipment are expensed when incurred, rather than being capitalized and depreciated over their useful lives, and expenditures for the principal portion of debt service are expensed when incurred rather than being applied to reduce the outstanding principal portion of debt which conforms to the basis of reporting to grantors for reimbursement under the terms of the Agency’s federal grants. De Minimis Rate Used: N Rate Explanation: The Agency has not elected to use the 10% de minimis indirect cost rate for the fiscal year ended The Agency did not receive any federal noncash assistance for the fiscal year ended September 30, 2023.
Title: SUBRECIPIENTS Accounting Policies: This Schedule of Expenditures of Federal Awards (the “Schedule”) was prepared on the modified accrual basis of accounting. The modified accrual basis differs from the full accrual basis of accounting in that expenditures for property, and equipment are expensed when incurred, rather than being capitalized and depreciated over their useful lives, and expenditures for the principal portion of debt service are expensed when incurred rather than being applied to reduce the outstanding principal portion of debt which conforms to the basis of reporting to grantors for reimbursement under the terms of the Agency’s federal grants. De Minimis Rate Used: N Rate Explanation: The Agency has not elected to use the 10% de minimis indirect cost rate for the fiscal year ended The Agency did not provide federal funds to subrecipients for the year ended September 30, 2023.
Title: LOANS AND LOAN GUARANTEES Accounting Policies: This Schedule of Expenditures of Federal Awards (the “Schedule”) was prepared on the modified accrual basis of accounting. The modified accrual basis differs from the full accrual basis of accounting in that expenditures for property, and equipment are expensed when incurred, rather than being capitalized and depreciated over their useful lives, and expenditures for the principal portion of debt service are expensed when incurred rather than being applied to reduce the outstanding principal portion of debt which conforms to the basis of reporting to grantors for reimbursement under the terms of the Agency’s federal grants. De Minimis Rate Used: N Rate Explanation: The Agency has not elected to use the 10% de minimis indirect cost rate for the fiscal year ended The Agency did not have any loans or loan guarantee programs required to be reported on the Schedule for the fiscal year ending September 30, 2023.
Title: FEDERALLY FUNDED INSURANCE Accounting Policies: This Schedule of Expenditures of Federal Awards (the “Schedule”) was prepared on the modified accrual basis of accounting. The modified accrual basis differs from the full accrual basis of accounting in that expenditures for property, and equipment are expensed when incurred, rather than being capitalized and depreciated over their useful lives, and expenditures for the principal portion of debt service are expensed when incurred rather than being applied to reduce the outstanding principal portion of debt which conforms to the basis of reporting to grantors for reimbursement under the terms of the Agency’s federal grants. De Minimis Rate Used: N Rate Explanation: The Agency has not elected to use the 10% de minimis indirect cost rate for the fiscal year ended The Agency did not have any federally funded insurance required to be reported on the Schedule for the fiscal year ending September 30, 2023.
Title: FEDERAL EXPENSES INCURRED FROM A PRIOR YEAR Accounting Policies: This Schedule of Expenditures of Federal Awards (the “Schedule”) was prepared on the modified accrual basis of accounting. The modified accrual basis differs from the full accrual basis of accounting in that expenditures for property, and equipment are expensed when incurred, rather than being capitalized and depreciated over their useful lives, and expenditures for the principal portion of debt service are expensed when incurred rather than being applied to reduce the outstanding principal portion of debt which conforms to the basis of reporting to grantors for reimbursement under the terms of the Agency’s federal grants. De Minimis Rate Used: N Rate Explanation: The Agency has not elected to use the 10% de minimis indirect cost rate for the fiscal year ended In the prior year, the Agency incurred $128,240 in expenses which were included in federal expenses for the Child Care Development Block Grant, ALN 93.575, TASCC-4 as reported in the Schedule for the year ended September 20, 2022.  In fiscal year 2023, management determined that these expenses qualified as allowable expenses for the Head Start grant 04CH011514-04-01 for the grant year that ended May 31, 2023. This resulted in a reduction in expenses for the Child Care Development Block Grant, ALN 93.575, TASCC-4 for 2023.

Finding Details

Item 2023‐001 Eligibility (Repeat) Assistance Listing Number 93.499 Low Income Home Water Assistance Program U.S. Department of Health and Human Services Passed through the Alabama Department of Economic and Community Affairs Pass‐through Grant No. LW-010-CONS and LW-010-ARP Condition – The Agency lacked adequate controls to ensure compliance with the award calculation of eligible applicants receiving grant assistance as outlined by the Low-Income Household Water Assistance Program (LIHWAP) policies and procedures manual published by the pass through grantor, Alabama Department of Economic and Community Affairs (ADECA). During a dual-purpose test of controls and compliance seven applicants out of a sample of sixty received water awards that were erroneously calculated. Approved applications for the seven applicants supported that the applicant met eligibility requirements to receive a program award; however, the award amounts for the seven applicants were not computed correctly in accordance with the grant award guidelines. Criteria – As specified in 2 CFR section 200.303 the non‐Federal entity must establish and maintain effective internal control over the Federal award that provides reasonable assurance that the non‐ Federal entity is managing the Federal award in compliance with Federal statutes, regulations, and the terms and conditions of the Federal award. Cause – Lack of sufficient controls to ensure supporting documentation for eligibility and award calculation is being input into the award system accurately and that the program award for each applicant is being calculated correctly. Questioned Costs – Net $31.59 known, $1,367 likely Effect – Lack of proper approval and recalculation of awards to participants could result in disallowed costs. Recommendation – We recommend the implementation of additional controls to ensure proper review and approval of award totals for eligible individuals seeking to receive benefits from the program. Management’s Response – See “Corrective Action Plan”
Item 2023‐001 Eligibility (Repeat) Assistance Listing Number 93.499 Low Income Home Water Assistance Program U.S. Department of Health and Human Services Passed through the Alabama Department of Economic and Community Affairs Pass‐through Grant No. LW-010-CONS and LW-010-ARP Condition – The Agency lacked adequate controls to ensure compliance with the award calculation of eligible applicants receiving grant assistance as outlined by the Low-Income Household Water Assistance Program (LIHWAP) policies and procedures manual published by the pass through grantor, Alabama Department of Economic and Community Affairs (ADECA). During a dual-purpose test of controls and compliance seven applicants out of a sample of sixty received water awards that were erroneously calculated. Approved applications for the seven applicants supported that the applicant met eligibility requirements to receive a program award; however, the award amounts for the seven applicants were not computed correctly in accordance with the grant award guidelines. Criteria – As specified in 2 CFR section 200.303 the non‐Federal entity must establish and maintain effective internal control over the Federal award that provides reasonable assurance that the non‐ Federal entity is managing the Federal award in compliance with Federal statutes, regulations, and the terms and conditions of the Federal award. Cause – Lack of sufficient controls to ensure supporting documentation for eligibility and award calculation is being input into the award system accurately and that the program award for each applicant is being calculated correctly. Questioned Costs – Net $31.59 known, $1,367 likely Effect – Lack of proper approval and recalculation of awards to participants could result in disallowed costs. Recommendation – We recommend the implementation of additional controls to ensure proper review and approval of award totals for eligible individuals seeking to receive benefits from the program. Management’s Response – See “Corrective Action Plan”
Item 2023‐001 Eligibility (Repeat) Assistance Listing Number 93.499 Low Income Home Water Assistance Program U.S. Department of Health and Human Services Passed through the Alabama Department of Economic and Community Affairs Pass‐through Grant No. LW-010-CONS and LW-010-ARP Condition – The Agency lacked adequate controls to ensure compliance with the award calculation of eligible applicants receiving grant assistance as outlined by the Low-Income Household Water Assistance Program (LIHWAP) policies and procedures manual published by the pass through grantor, Alabama Department of Economic and Community Affairs (ADECA). During a dual-purpose test of controls and compliance seven applicants out of a sample of sixty received water awards that were erroneously calculated. Approved applications for the seven applicants supported that the applicant met eligibility requirements to receive a program award; however, the award amounts for the seven applicants were not computed correctly in accordance with the grant award guidelines. Criteria – As specified in 2 CFR section 200.303 the non‐Federal entity must establish and maintain effective internal control over the Federal award that provides reasonable assurance that the non‐ Federal entity is managing the Federal award in compliance with Federal statutes, regulations, and the terms and conditions of the Federal award. Cause – Lack of sufficient controls to ensure supporting documentation for eligibility and award calculation is being input into the award system accurately and that the program award for each applicant is being calculated correctly. Questioned Costs – Net $31.59 known, $1,367 likely Effect – Lack of proper approval and recalculation of awards to participants could result in disallowed costs. Recommendation – We recommend the implementation of additional controls to ensure proper review and approval of award totals for eligible individuals seeking to receive benefits from the program. Management’s Response – See “Corrective Action Plan”
Item 2023‐001 Eligibility (Repeat) Assistance Listing Number 93.499 Low Income Home Water Assistance Program U.S. Department of Health and Human Services Passed through the Alabama Department of Economic and Community Affairs Pass‐through Grant No. LW-010-CONS and LW-010-ARP Condition – The Agency lacked adequate controls to ensure compliance with the award calculation of eligible applicants receiving grant assistance as outlined by the Low-Income Household Water Assistance Program (LIHWAP) policies and procedures manual published by the pass through grantor, Alabama Department of Economic and Community Affairs (ADECA). During a dual-purpose test of controls and compliance seven applicants out of a sample of sixty received water awards that were erroneously calculated. Approved applications for the seven applicants supported that the applicant met eligibility requirements to receive a program award; however, the award amounts for the seven applicants were not computed correctly in accordance with the grant award guidelines. Criteria – As specified in 2 CFR section 200.303 the non‐Federal entity must establish and maintain effective internal control over the Federal award that provides reasonable assurance that the non‐ Federal entity is managing the Federal award in compliance with Federal statutes, regulations, and the terms and conditions of the Federal award. Cause – Lack of sufficient controls to ensure supporting documentation for eligibility and award calculation is being input into the award system accurately and that the program award for each applicant is being calculated correctly. Questioned Costs – Net $31.59 known, $1,367 likely Effect – Lack of proper approval and recalculation of awards to participants could result in disallowed costs. Recommendation – We recommend the implementation of additional controls to ensure proper review and approval of award totals for eligible individuals seeking to receive benefits from the program. Management’s Response – See “Corrective Action Plan”