Audit 311958

FY End
2022-06-30
Total Expended
$6.71M
Findings
4
Programs
2
Organization: Recovery Innovations, Inc. (AZ)
Year: 2022 Accepted: 2023-03-30
Auditor: Eide Bailly LLP

Organization Exclusion Status:

Checking exclusion status...

Findings

ID Ref Severity Repeat Requirement
410362 2022-002 Material Weakness - AB
410363 2022-002 Material Weakness - L
986804 2022-002 Material Weakness - AB
986805 2022-002 Material Weakness - L

Programs

ALN Program Spent Major Findings
93.498 Provider Relief Fund $6.49M Yes 2
93.958 Block Grants for Community Mental Health Services $222,272 - 0

Contacts

Name Title Type
RRK3GHK5DBX6 Stephen Ward Auditee
6026364407 Pamela Eggert Auditor
No contacts on file

Notes to SEFA

Title: Basis of Presentation Accounting Policies: Expenditures reported on the schedule are reported on the accrual basis of accounting. When applicable,expenditures are recognized following the cost principles contained in the Uniform Guidance, wherein certaintypes of expenditures are not allowable or are limited as to reimbursement. No federal financial assistance hasbeen provided to a subrecipient. De Minimis Rate Used: N Rate Explanation: The auditee did not use the de minimis cost rate. The accompanying consolidated schedule of expenditures of federal awards (schedule) includes the federalaward activity of Recovery Innovations, Inc. and Subsidiaries (the Organization) under programs of the federalgovernment for the year ended June 30, 2022. The information is presented in accordance with therequirements of Title 2 U.S. Code of Federal Regulations Part 200, Uniform Administrative Requirements, CostPrinciples, and Audit Requirements for Federal Awards (Uniform Guidance). Because the schedule presents onlya selected portion of the operations of the Organization, it is not intended to and does not present the financialposition, changes in net assets, or cash flows of the Organization.
Title: Provider Relief Funds Accounting Policies: Expenditures reported on the schedule are reported on the accrual basis of accounting. When applicable,expenditures are recognized following the cost principles contained in the Uniform Guidance, wherein certaintypes of expenditures are not allowable or are limited as to reimbursement. No federal financial assistance hasbeen provided to a subrecipient. De Minimis Rate Used: N Rate Explanation: The auditee did not use the de minimis cost rate. The Organization received $6,928,613 from the U.S. Department of Health and Human Services (HHS) throughthe Provider Relief Fund and American Rescue Plan (ARP) Rural Distribution program (Federal FinancialAssistance Listing #93.498) (PRF program) during the years ended June 30, 2022 and 2021. The Organizationincurred eligible expenditures, including lost revenue, and therefore, recognized revenues on the consolidatedfinancial statements during the each of the years ended June 30, 2022 and 2021, as noted below. However, thePRF program expenditures were not recognized on the schedule until the expenditures were included in thereporting to HHS, as required under the PRF program. The following summarizes the timing of when the PRF program amounts were recognized in the consolidatedfinancial statements. (see table in report)The amount of PRF expenditures included on the schedule requires management to make estimates andassumptions that affect the reported amounts. Accordingly, such expenditures are considered a significantestimate. Estimates and assumptions may include reducing actual expenses by amounts that have beenreimbursed or are obligated to be reimbursed by other sources, estimating marginal increases in expensesrelated to coronavirus, and calculating lost revenues. Actual amounts could differ from those estimates.

Finding Details

2022-002 Department of Health and Human ServicesFederal Financial Assistance Listing #93.498COVID-19 Provider Relief Fund and American Rescue Plan (ARP) Rural DistributionApplicable Federal Award Number and Year ? Period 2 and Period 3 TIN #711018775Activities Allowed or Unallowed and Allowable Costs/Cost PrinciplesMaterial Weakness in Internal Control Over ComplianceReportingMaterial Weakness in Internal Control Over Compliance and Material NoncomplianceCriteria: 2 CFR 200.303(a) establishes that the auditee must establish and maintain effective internal controlover the federal award that provides assurance that the Organization is managing the federal award incompliance with federal statutes, regulations, and conditions of the federal award. The Organization selectedoption iii to calculate lost revenue, the alternative method, which consists of a comparison of actual results withvarious modifications during the period of availability to actual results in 2019, the year prior to the Pandemic.Condition: There was a lack of review and approval over Period 2 Provider Relief Funds lost revenue calculationand reporting. For Period 2 and Period 3, the Organization?s lost revenue calculation did not take intoconsideration applicable audit adjustments for fiscal years 2021 and 2022. In addition, the Period 2 lost revenueon the Special Report to HHS did not agree to the supporting documentation.Cause: The Organization did not have an internal control process in place to ensure review and approval of thelost revenue calculation claimed under the federal program and the report submitted to the Department ofHealth and Human Services (HHS) for Period 2. In addition, without the inclusion of the audit adjustments, therevenue included in the Period 2 and Period 3 was not materially correct.Effect: The lost revenue reported within the special report submitted to the Department of Health and HumanServices for Period 2 and Period 3 was overstated by $1,040,821 and $1,442,473, respectively when consideringthe audit adjustments by quarter.Questioned Costs: None reported. Lost revenues supported was in excess of the amounts received.Context/Sampling: Key line items were tested on the Period 2 and 3 HHS report. Four out of eight key lines hadvariances for Period 2 and six out of ten key lines had variances for Period 3.Repeat Finding from Prior Years: No Recommendation: We recommend that the Organization implement procedures to ensure the lost revenuecalculation claimed agrees to the supporting documentation, includes consideration of audit adjustments byquarter, and includes a secondary review and approval of the calculation.Views of Responsible Officials: Management agrees with the finding.
2022-002 Department of Health and Human ServicesFederal Financial Assistance Listing #93.498COVID-19 Provider Relief Fund and American Rescue Plan (ARP) Rural DistributionApplicable Federal Award Number and Year ? Period 2 and Period 3 TIN #711018775Activities Allowed or Unallowed and Allowable Costs/Cost PrinciplesMaterial Weakness in Internal Control Over ComplianceReportingMaterial Weakness in Internal Control Over Compliance and Material NoncomplianceCriteria: 2 CFR 200.303(a) establishes that the auditee must establish and maintain effective internal controlover the federal award that provides assurance that the Organization is managing the federal award incompliance with federal statutes, regulations, and conditions of the federal award. The Organization selectedoption iii to calculate lost revenue, the alternative method, which consists of a comparison of actual results withvarious modifications during the period of availability to actual results in 2019, the year prior to the Pandemic.Condition: There was a lack of review and approval over Period 2 Provider Relief Funds lost revenue calculationand reporting. For Period 2 and Period 3, the Organization?s lost revenue calculation did not take intoconsideration applicable audit adjustments for fiscal years 2021 and 2022. In addition, the Period 2 lost revenueon the Special Report to HHS did not agree to the supporting documentation.Cause: The Organization did not have an internal control process in place to ensure review and approval of thelost revenue calculation claimed under the federal program and the report submitted to the Department ofHealth and Human Services (HHS) for Period 2. In addition, without the inclusion of the audit adjustments, therevenue included in the Period 2 and Period 3 was not materially correct.Effect: The lost revenue reported within the special report submitted to the Department of Health and HumanServices for Period 2 and Period 3 was overstated by $1,040,821 and $1,442,473, respectively when consideringthe audit adjustments by quarter.Questioned Costs: None reported. Lost revenues supported was in excess of the amounts received.Context/Sampling: Key line items were tested on the Period 2 and 3 HHS report. Four out of eight key lines hadvariances for Period 2 and six out of ten key lines had variances for Period 3.Repeat Finding from Prior Years: No Recommendation: We recommend that the Organization implement procedures to ensure the lost revenuecalculation claimed agrees to the supporting documentation, includes consideration of audit adjustments byquarter, and includes a secondary review and approval of the calculation.Views of Responsible Officials: Management agrees with the finding.
2022-002 Department of Health and Human ServicesFederal Financial Assistance Listing #93.498COVID-19 Provider Relief Fund and American Rescue Plan (ARP) Rural DistributionApplicable Federal Award Number and Year ? Period 2 and Period 3 TIN #711018775Activities Allowed or Unallowed and Allowable Costs/Cost PrinciplesMaterial Weakness in Internal Control Over ComplianceReportingMaterial Weakness in Internal Control Over Compliance and Material NoncomplianceCriteria: 2 CFR 200.303(a) establishes that the auditee must establish and maintain effective internal controlover the federal award that provides assurance that the Organization is managing the federal award incompliance with federal statutes, regulations, and conditions of the federal award. The Organization selectedoption iii to calculate lost revenue, the alternative method, which consists of a comparison of actual results withvarious modifications during the period of availability to actual results in 2019, the year prior to the Pandemic.Condition: There was a lack of review and approval over Period 2 Provider Relief Funds lost revenue calculationand reporting. For Period 2 and Period 3, the Organization?s lost revenue calculation did not take intoconsideration applicable audit adjustments for fiscal years 2021 and 2022. In addition, the Period 2 lost revenueon the Special Report to HHS did not agree to the supporting documentation.Cause: The Organization did not have an internal control process in place to ensure review and approval of thelost revenue calculation claimed under the federal program and the report submitted to the Department ofHealth and Human Services (HHS) for Period 2. In addition, without the inclusion of the audit adjustments, therevenue included in the Period 2 and Period 3 was not materially correct.Effect: The lost revenue reported within the special report submitted to the Department of Health and HumanServices for Period 2 and Period 3 was overstated by $1,040,821 and $1,442,473, respectively when consideringthe audit adjustments by quarter.Questioned Costs: None reported. Lost revenues supported was in excess of the amounts received.Context/Sampling: Key line items were tested on the Period 2 and 3 HHS report. Four out of eight key lines hadvariances for Period 2 and six out of ten key lines had variances for Period 3.Repeat Finding from Prior Years: No Recommendation: We recommend that the Organization implement procedures to ensure the lost revenuecalculation claimed agrees to the supporting documentation, includes consideration of audit adjustments byquarter, and includes a secondary review and approval of the calculation.Views of Responsible Officials: Management agrees with the finding.
2022-002 Department of Health and Human ServicesFederal Financial Assistance Listing #93.498COVID-19 Provider Relief Fund and American Rescue Plan (ARP) Rural DistributionApplicable Federal Award Number and Year ? Period 2 and Period 3 TIN #711018775Activities Allowed or Unallowed and Allowable Costs/Cost PrinciplesMaterial Weakness in Internal Control Over ComplianceReportingMaterial Weakness in Internal Control Over Compliance and Material NoncomplianceCriteria: 2 CFR 200.303(a) establishes that the auditee must establish and maintain effective internal controlover the federal award that provides assurance that the Organization is managing the federal award incompliance with federal statutes, regulations, and conditions of the federal award. The Organization selectedoption iii to calculate lost revenue, the alternative method, which consists of a comparison of actual results withvarious modifications during the period of availability to actual results in 2019, the year prior to the Pandemic.Condition: There was a lack of review and approval over Period 2 Provider Relief Funds lost revenue calculationand reporting. For Period 2 and Period 3, the Organization?s lost revenue calculation did not take intoconsideration applicable audit adjustments for fiscal years 2021 and 2022. In addition, the Period 2 lost revenueon the Special Report to HHS did not agree to the supporting documentation.Cause: The Organization did not have an internal control process in place to ensure review and approval of thelost revenue calculation claimed under the federal program and the report submitted to the Department ofHealth and Human Services (HHS) for Period 2. In addition, without the inclusion of the audit adjustments, therevenue included in the Period 2 and Period 3 was not materially correct.Effect: The lost revenue reported within the special report submitted to the Department of Health and HumanServices for Period 2 and Period 3 was overstated by $1,040,821 and $1,442,473, respectively when consideringthe audit adjustments by quarter.Questioned Costs: None reported. Lost revenues supported was in excess of the amounts received.Context/Sampling: Key line items were tested on the Period 2 and 3 HHS report. Four out of eight key lines hadvariances for Period 2 and six out of ten key lines had variances for Period 3.Repeat Finding from Prior Years: No Recommendation: We recommend that the Organization implement procedures to ensure the lost revenuecalculation claimed agrees to the supporting documentation, includes consideration of audit adjustments byquarter, and includes a secondary review and approval of the calculation.Views of Responsible Officials: Management agrees with the finding.