Audit 311635

FY End
2021-06-30
Total Expended
$4.30M
Findings
12
Programs
16
Organization: Leech Lake Tribal College (AZ)
Year: 2021 Accepted: 2024-07-03
Auditor: Redw

Organization Exclusion Status:

Checking exclusion status...

Findings

ID Ref Severity Repeat Requirement
406469 2021-001 Material Weakness - P
406470 2021-001 Material Weakness - P
406471 2021-001 Material Weakness - P
406472 2021-001 Material Weakness - P
406473 2021-002 Significant Deficiency Yes L
406474 2021-002 Significant Deficiency Yes L
982911 2021-001 Material Weakness - P
982912 2021-001 Material Weakness - P
982913 2021-001 Material Weakness - P
982914 2021-001 Material Weakness - P
982915 2021-002 Significant Deficiency Yes L
982916 2021-002 Significant Deficiency Yes L

Programs

ALN Program Spent Major Findings
84.031 Higher Education_institutional Aid $600,257 Yes 2
84.063 Federal Pell Grant Program $439,279 - 0
47.076 Education and Human Resources $299,236 - 0
15.027 Assistance to Tribally Controlled Community Colleges and Universities $214,077 Yes 1
10.500 Cooperative Extension Service $128,272 - 0
10.221 Tribal Colleges Education Equity Grants $78,385 - 0
10.222 Tribal Colleges Endowment Program $47,434 - 0
84.425 Education Stabilization Fund $45,528 - 0
10.766 Community Facilities Loans and Grants $28,887 - 0
45.310C Cares Act Tc Libraries $25,158 - 0
84.007 Federal Supplemental Educational Opportunity Grants $13,350 - 0
10.202 Cooperative Forestry Research $10,527 - 0
43.008 Education $5,305 - 0
45.310 Grants to States $264 - 0
15.028 Tribally Controlled Community College Endowments $197 - 0
84.033 Federal Work-Study Program $-9 - 0

Contacts

Name Title Type
N4FUN5A9WCN8 Burt Howard Auditee
2183354253 Kwok Leung Cheung Auditor
No contacts on file

Notes to SEFA

Accounting Policies: Auditee recorded all federal expenditures, deferred revenues and grant receivables associated with each one of their grants for FY21. De Minimis Rate Used: N Rate Explanation: The auditee uses 28.99% Indirect Cost Rate as outlined in their IDC agreement.

Finding Details

Single Audit Report Submission - Material Weakness in Internal Control Over Compliance and Noncompliance Criteria: The Uniform Guidance 2 CFR 200.512 (a) requires the audit package and data collection form be submitted 30 days after receipt of the auditor's report or 9 months after the end of the fiscal year, whichever comes first. Condition: The College's fiscla year 2021 single audit reporting package was not submitted within nine months after the end of the audit period. Questioned Costs: N/A Cause: The College did not have appropriate internal control policies and procedures in place to ensure accounting records and financial statements were reconciled timely and the audit conducted to meet compliance requirements. Effect: The single audit reporting package was submitted after the required reporting time period. Auditor's Recommendations: To ensure compliance with the Uniform Guidance, the College should prepare accurate, complete, and timely financial statements and ensure an audit is performed to ensure the timely submission of the single audit reporting package. Management's response: Management has implemented policies and procedures to ensure the timely submission of single audit reporting package.
Single Audit Report Submission - Material Weakness in Internal Control Over Compliance and Noncompliance Criteria: The Uniform Guidance 2 CFR 200.512 (a) requires the audit package and data collection form be submitted 30 days after receipt of the auditor's report or 9 months after the end of the fiscal year, whichever comes first. Condition: The College's fiscla year 2021 single audit reporting package was not submitted within nine months after the end of the audit period. Questioned Costs: N/A Cause: The College did not have appropriate internal control policies and procedures in place to ensure accounting records and financial statements were reconciled timely and the audit conducted to meet compliance requirements. Effect: The single audit reporting package was submitted after the required reporting time period. Auditor's Recommendations: To ensure compliance with the Uniform Guidance, the College should prepare accurate, complete, and timely financial statements and ensure an audit is performed to ensure the timely submission of the single audit reporting package. Management's response: Management has implemented policies and procedures to ensure the timely submission of single audit reporting package.
Single Audit Report Submission - Material Weakness in Internal Control Over Compliance and Noncompliance Criteria: The Uniform Guidance 2 CFR 200.512 (a) requires the audit package and data collection form be submitted 30 days after receipt of the auditor's report or 9 months after the end of the fiscal year, whichever comes first. Condition: The College's fiscla year 2021 single audit reporting package was not submitted within nine months after the end of the audit period. Questioned Costs: N/A Cause: The College did not have appropriate internal control policies and procedures in place to ensure accounting records and financial statements were reconciled timely and the audit conducted to meet compliance requirements. Effect: The single audit reporting package was submitted after the required reporting time period. Auditor's Recommendations: To ensure compliance with the Uniform Guidance, the College should prepare accurate, complete, and timely financial statements and ensure an audit is performed to ensure the timely submission of the single audit reporting package. Management's response: Management has implemented policies and procedures to ensure the timely submission of single audit reporting package.
Single Audit Report Submission - Material Weakness in Internal Control Over Compliance and Noncompliance Criteria: The Uniform Guidance 2 CFR 200.512 (a) requires the audit package and data collection form be submitted 30 days after receipt of the auditor's report or 9 months after the end of the fiscal year, whichever comes first. Condition: The College's fiscla year 2021 single audit reporting package was not submitted within nine months after the end of the audit period. Questioned Costs: N/A Cause: The College did not have appropriate internal control policies and procedures in place to ensure accounting records and financial statements were reconciled timely and the audit conducted to meet compliance requirements. Effect: The single audit reporting package was submitted after the required reporting time period. Auditor's Recommendations: To ensure compliance with the Uniform Guidance, the College should prepare accurate, complete, and timely financial statements and ensure an audit is performed to ensure the timely submission of the single audit reporting package. Management's response: Management has implemented policies and procedures to ensure the timely submission of single audit reporting package.
Reporting - Significant Deficiency in Internal Control Over Compliance and Noncompliance (Repeat of Finding 2020-004) Criteria: Per CFR Section 200.328, nonfederal entities may be required to submit performance reports at least annually as required by the terms of the federal award. The Title III program requires annual performance reports which includes a section on expenditures incurred during the reporting period. Condition: The College did not submit annual performance reports on time. Cause: The College did not have sufficient procedures in place to ensure that the annual performance report is completed on time. Effect: The performance report was submitted after the required time. Questioned Costs: None Context: The annual performance report was requested for the program and the report that was provided covered October 1, 2020 to September 30, 2021, and was not submitted until January 2024. Recommendation: The College should ensure that all grant reports are prepared in a timely manner and should be submitte prior to the due date. View of Responsible Officials: The College will ensure that all grant reports are reviewed in detaiul and information reported will be traced to the source reports by the reviewer. The College also implemented policies and procedures to ensure all grant reports are submitted prior to the due date.
Reporting - Significant Deficiency in Internal Control Over Compliance and Noncompliance (Repeat of Finding 2020-004) Criteria: Per CFR Section 200.328, nonfederal entities may be required to submit performance reports at least annually as required by the terms of the federal award. The Title III program requires annual performance reports which includes a section on expenditures incurred during the reporting period. Condition: The College did not submit annual performance reports on time. Cause: The College did not have sufficient procedures in place to ensure that the annual performance report is completed on time. Effect: The performance report was submitted after the required time. Questioned Costs: None Context: The annual performance report was requested for the program and the report that was provided covered October 1, 2020 to September 30, 2021, and was not submitted until January 2024. Recommendation: The College should ensure that all grant reports are prepared in a timely manner and should be submitte prior to the due date. View of Responsible Officials: The College will ensure that all grant reports are reviewed in detaiul and information reported will be traced to the source reports by the reviewer. The College also implemented policies and procedures to ensure all grant reports are submitted prior to the due date.
Single Audit Report Submission - Material Weakness in Internal Control Over Compliance and Noncompliance Criteria: The Uniform Guidance 2 CFR 200.512 (a) requires the audit package and data collection form be submitted 30 days after receipt of the auditor's report or 9 months after the end of the fiscal year, whichever comes first. Condition: The College's fiscla year 2021 single audit reporting package was not submitted within nine months after the end of the audit period. Questioned Costs: N/A Cause: The College did not have appropriate internal control policies and procedures in place to ensure accounting records and financial statements were reconciled timely and the audit conducted to meet compliance requirements. Effect: The single audit reporting package was submitted after the required reporting time period. Auditor's Recommendations: To ensure compliance with the Uniform Guidance, the College should prepare accurate, complete, and timely financial statements and ensure an audit is performed to ensure the timely submission of the single audit reporting package. Management's response: Management has implemented policies and procedures to ensure the timely submission of single audit reporting package.
Single Audit Report Submission - Material Weakness in Internal Control Over Compliance and Noncompliance Criteria: The Uniform Guidance 2 CFR 200.512 (a) requires the audit package and data collection form be submitted 30 days after receipt of the auditor's report or 9 months after the end of the fiscal year, whichever comes first. Condition: The College's fiscla year 2021 single audit reporting package was not submitted within nine months after the end of the audit period. Questioned Costs: N/A Cause: The College did not have appropriate internal control policies and procedures in place to ensure accounting records and financial statements were reconciled timely and the audit conducted to meet compliance requirements. Effect: The single audit reporting package was submitted after the required reporting time period. Auditor's Recommendations: To ensure compliance with the Uniform Guidance, the College should prepare accurate, complete, and timely financial statements and ensure an audit is performed to ensure the timely submission of the single audit reporting package. Management's response: Management has implemented policies and procedures to ensure the timely submission of single audit reporting package.
Single Audit Report Submission - Material Weakness in Internal Control Over Compliance and Noncompliance Criteria: The Uniform Guidance 2 CFR 200.512 (a) requires the audit package and data collection form be submitted 30 days after receipt of the auditor's report or 9 months after the end of the fiscal year, whichever comes first. Condition: The College's fiscla year 2021 single audit reporting package was not submitted within nine months after the end of the audit period. Questioned Costs: N/A Cause: The College did not have appropriate internal control policies and procedures in place to ensure accounting records and financial statements were reconciled timely and the audit conducted to meet compliance requirements. Effect: The single audit reporting package was submitted after the required reporting time period. Auditor's Recommendations: To ensure compliance with the Uniform Guidance, the College should prepare accurate, complete, and timely financial statements and ensure an audit is performed to ensure the timely submission of the single audit reporting package. Management's response: Management has implemented policies and procedures to ensure the timely submission of single audit reporting package.
Single Audit Report Submission - Material Weakness in Internal Control Over Compliance and Noncompliance Criteria: The Uniform Guidance 2 CFR 200.512 (a) requires the audit package and data collection form be submitted 30 days after receipt of the auditor's report or 9 months after the end of the fiscal year, whichever comes first. Condition: The College's fiscla year 2021 single audit reporting package was not submitted within nine months after the end of the audit period. Questioned Costs: N/A Cause: The College did not have appropriate internal control policies and procedures in place to ensure accounting records and financial statements were reconciled timely and the audit conducted to meet compliance requirements. Effect: The single audit reporting package was submitted after the required reporting time period. Auditor's Recommendations: To ensure compliance with the Uniform Guidance, the College should prepare accurate, complete, and timely financial statements and ensure an audit is performed to ensure the timely submission of the single audit reporting package. Management's response: Management has implemented policies and procedures to ensure the timely submission of single audit reporting package.
Reporting - Significant Deficiency in Internal Control Over Compliance and Noncompliance (Repeat of Finding 2020-004) Criteria: Per CFR Section 200.328, nonfederal entities may be required to submit performance reports at least annually as required by the terms of the federal award. The Title III program requires annual performance reports which includes a section on expenditures incurred during the reporting period. Condition: The College did not submit annual performance reports on time. Cause: The College did not have sufficient procedures in place to ensure that the annual performance report is completed on time. Effect: The performance report was submitted after the required time. Questioned Costs: None Context: The annual performance report was requested for the program and the report that was provided covered October 1, 2020 to September 30, 2021, and was not submitted until January 2024. Recommendation: The College should ensure that all grant reports are prepared in a timely manner and should be submitte prior to the due date. View of Responsible Officials: The College will ensure that all grant reports are reviewed in detaiul and information reported will be traced to the source reports by the reviewer. The College also implemented policies and procedures to ensure all grant reports are submitted prior to the due date.
Reporting - Significant Deficiency in Internal Control Over Compliance and Noncompliance (Repeat of Finding 2020-004) Criteria: Per CFR Section 200.328, nonfederal entities may be required to submit performance reports at least annually as required by the terms of the federal award. The Title III program requires annual performance reports which includes a section on expenditures incurred during the reporting period. Condition: The College did not submit annual performance reports on time. Cause: The College did not have sufficient procedures in place to ensure that the annual performance report is completed on time. Effect: The performance report was submitted after the required time. Questioned Costs: None Context: The annual performance report was requested for the program and the report that was provided covered October 1, 2020 to September 30, 2021, and was not submitted until January 2024. Recommendation: The College should ensure that all grant reports are prepared in a timely manner and should be submitte prior to the due date. View of Responsible Officials: The College will ensure that all grant reports are reviewed in detaiul and information reported will be traced to the source reports by the reviewer. The College also implemented policies and procedures to ensure all grant reports are submitted prior to the due date.