Audit 318392

FY End
2023-12-31
Total Expended
$1.12M
Findings
2
Programs
6
Organization: Upwardly Global (NY)
Year: 2023 Accepted: 2024-09-03

Organization Exclusion Status:

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Findings

ID Ref Severity Repeat Requirement
485616 2023-001 Significant Deficiency - E
1062058 2023-001 Significant Deficiency - E

Programs

ALN Program Spent Major Findings
93.566 Refugee and Entrant Assistance_state Administered Programs $282,814 Yes 1
93.576 Refugee and Entrant Assistance_discretionary Grants $159,530 Yes 0
93.667 Social Services Block Grant $69,045 - 0
11.307 Economic Adjustment Assistance $21,587 - 0
93.569 Community Services Block Grant $5,313 - 0
17.278 Wia Dislocated Worker Formula Grants $4,050 - 0

Contacts

Name Title Type
T3AKBWA7X4H6 Christine Ginsburg Auditee
2122191648 Lindsay Dean 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. De Minimis Rate Used: Y Rate Explanation: Such expenditures are recognized following the cost principles contained in Title 2 U.S. Code of Federal Regulations Part 200, Uniform Administrative Requirements, Cost Principles, and Audit Requirements for Federal Awards (Uniform Guidance), wherein certain types of expenditures are not allowable or are limited as to reimbursement. Negative amounts shown on the Schedule represent adjustments or credits made in the normal course of business to amounts reported as expenditures in prior years. Upwardly Global has elected to use the de minimis indirect cost rate as allowed under the Uniform Guidance. The accompanying Schedule of Expenditures of Federal Awards (the Schedule) includes the Federal award activity of Upwardly Global under programs of the Federal Government for the year ended December 31, 2023. Information in the Schedule is presented in accordance with the requirements of Title 2 U.S. Code of Federal Regulations (CFR) Part 200, Uniform Administrative Requirements, Cost Principles, and Audit Requirements for Federal Awards (Uniform Guidance). The Schedule presents only a selected portion of the operations of Upwardly Global; accordingly, it is not intended to and does not present the financial position, changes in net assets or cash flows of Upwardly Global.
Title: Note 2. Summary of Significant Accounting Policies Accounting Policies: Expenditures reported on the Schedule are reported on the accrual basis of accounting. De Minimis Rate Used: Y Rate Explanation: Such expenditures are recognized following the cost principles contained in Title 2 U.S. Code of Federal Regulations Part 200, Uniform Administrative Requirements, Cost Principles, and Audit Requirements for Federal Awards (Uniform Guidance), wherein certain types of expenditures are not allowable or are limited as to reimbursement. Negative amounts shown on the Schedule represent adjustments or credits made in the normal course of business to amounts reported as expenditures in prior years. Upwardly Global has elected to use the de minimis indirect cost rate as allowed under the Uniform Guidance. Expenditures reported on the Schedule are reported on the accrual basis of accounting. Such expenditures are recognized following the cost principles contained in Title 2 U.S. Code of Federal Regulations Part 200, Uniform Administrative Requirements, Cost Principles, and Audit Requirements for Federal Awards (Uniform Guidance), wherein certain types of expenditures are not allowable or are limited as to reimbursement. Negative amounts shown on the Schedule represent adjustments or credits made in the normal course of business to amounts reported as expenditures in prior years. Upwardly Global has elected to use the de minimis indirect cost rate as allowed under the Uniform Guidance.
Title: Note 3. Reconciliation of Government Grants Revenue Accounting Policies: Expenditures reported on the Schedule are reported on the accrual basis of accounting. De Minimis Rate Used: Y Rate Explanation: Such expenditures are recognized following the cost principles contained in Title 2 U.S. Code of Federal Regulations Part 200, Uniform Administrative Requirements, Cost Principles, and Audit Requirements for Federal Awards (Uniform Guidance), wherein certain types of expenditures are not allowable or are limited as to reimbursement. Negative amounts shown on the Schedule represent adjustments or credits made in the normal course of business to amounts reported as expenditures in prior years. Upwardly Global has elected to use the de minimis indirect cost rate as allowed under the Uniform Guidance. A reconciliation of government grants revenue for the year ended December 31, 2023 is below: Federal grant revenue $ 1,124,183 Non-Federal grant revenue 1,085,454 TOTAL GOVERNMENT GRANT REVENUE PER STATEMENT OF ACTIVITIES AND CHANGE IN NET ASSETS $ 2,209,637

Finding Details

Finding 2023-001: Eligibility Documentation Information on the Federal Program: 93.566 Afghan Arrival Job Readiness Criteria or Specific Requirement: 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. Condition: Upwardly Global's internal compliance controls require that each potential participant is screened to ensure that they are eligible to participate in the program prior to admission into the program. During our review of the selected participants, we noted that the documentation to support eligibility for each participant was not retained or available for review. Cause: Upwardly Global's internal compliance controls do not require that eligibility documentation for each participant be retained and available for review. Effect or Potential Effect: It is possible that Upwardly Global provided services to ineligible individuals through the program, as appropriate eligibility documentation cannot verified. Questioned Costs: None. Context: A sample of twenty participants were selected for testing. We consider our sample selection to be representative of the population. Identification as a Repeat Finding: Not a repeat finding. Recommendation: We recommend that Upwardly Global amend their internal compliance controls to require that all supporting eligibility documentation be retained in each participant's file.
Finding 2023-001: Eligibility Documentation Information on the Federal Program: 93.566 Afghan Arrival Job Readiness Criteria or Specific Requirement: 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. Condition: Upwardly Global's internal compliance controls require that each potential participant is screened to ensure that they are eligible to participate in the program prior to admission into the program. During our review of the selected participants, we noted that the documentation to support eligibility for each participant was not retained or available for review. Cause: Upwardly Global's internal compliance controls do not require that eligibility documentation for each participant be retained and available for review. Effect or Potential Effect: It is possible that Upwardly Global provided services to ineligible individuals through the program, as appropriate eligibility documentation cannot verified. Questioned Costs: None. Context: A sample of twenty participants were selected for testing. We consider our sample selection to be representative of the population. Identification as a Repeat Finding: Not a repeat finding. Recommendation: We recommend that Upwardly Global amend their internal compliance controls to require that all supporting eligibility documentation be retained in each participant's file.