Audit 336628

FY End
2022-09-30
Total Expended
$824,458
Findings
6
Programs
5
Year: 2022 Accepted: 2025-01-08

Organization Exclusion Status:

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Findings

ID Ref Severity Repeat Requirement
518290 2022-001 Significant Deficiency - P
518291 2022-001 Significant Deficiency - P
518292 2022-001 Significant Deficiency - P
1094732 2022-001 Significant Deficiency - P
1094733 2022-001 Significant Deficiency - P
1094734 2022-001 Significant Deficiency - P

Programs

Contacts

Name Title Type
TNC1GLG9Z6U6 Greg Clark Auditee
3342624300 Jeri S Groce Auditor
No contacts on file

Notes to SEFA

Title: 2. REPORTING ENTITY Accounting Policies: The accompanying schedule of expenditures of federal awards (the Schedule) includes the federal grant, contracts and similar agreements entered into directly between Central Alabama Regional Planning and Development Commission (the Commission) and agencies and departments of the federal government and all sub-awards to the Commission by nonfederal organizations pursuant to federal grants, contracts and similar agreements. The information in this schedule 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 (the Uniform Guidance). Therefore, some amounts presented in the Schedule may differ from amounts presented in, or used in the preparation of, the basic financial statements. Expenditures in the Schedule are reported on the accrual basis of accounting. 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. If the Commission is required to match certain federal assistance, as defined by the grant agreements, no such matching has been included as expenditures in the Schedule. Because the Schedule presents only a selected portion of the operations of the Commission, it is not intended to and does not present the financial position, changes in fund balance, or cash flows of the Commission. De Minimis Rate Used: N Rate Explanation: The Commission did not elect to charge a de minimis rate of 10% for all federal awards. The Commission’s reporting entity is fully described in Note 1 to the financial statements.
Title: 3. SUBRECIPIENTS Accounting Policies: The accompanying schedule of expenditures of federal awards (the Schedule) includes the federal grant, contracts and similar agreements entered into directly between Central Alabama Regional Planning and Development Commission (the Commission) and agencies and departments of the federal government and all sub-awards to the Commission by nonfederal organizations pursuant to federal grants, contracts and similar agreements. The information in this schedule 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 (the Uniform Guidance). Therefore, some amounts presented in the Schedule may differ from amounts presented in, or used in the preparation of, the basic financial statements. Expenditures in the Schedule are reported on the accrual basis of accounting. 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. If the Commission is required to match certain federal assistance, as defined by the grant agreements, no such matching has been included as expenditures in the Schedule. Because the Schedule presents only a selected portion of the operations of the Commission, it is not intended to and does not present the financial position, changes in fund balance, or cash flows of the Commission. De Minimis Rate Used: N Rate Explanation: The Commission did not elect to charge a de minimis rate of 10% for all federal awards. The Commission did not provide federal awards to any subrecipients during the year ended September 30, 2022.
Title: 4. PROGRAM INCOME Accounting Policies: The accompanying schedule of expenditures of federal awards (the Schedule) includes the federal grant, contracts and similar agreements entered into directly between Central Alabama Regional Planning and Development Commission (the Commission) and agencies and departments of the federal government and all sub-awards to the Commission by nonfederal organizations pursuant to federal grants, contracts and similar agreements. The information in this schedule 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 (the Uniform Guidance). Therefore, some amounts presented in the Schedule may differ from amounts presented in, or used in the preparation of, the basic financial statements. Expenditures in the Schedule are reported on the accrual basis of accounting. 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. If the Commission is required to match certain federal assistance, as defined by the grant agreements, no such matching has been included as expenditures in the Schedule. Because the Schedule presents only a selected portion of the operations of the Commission, it is not intended to and does not present the financial position, changes in fund balance, or cash flows of the Commission. De Minimis Rate Used: N Rate Explanation: The Commission did not elect to charge a de minimis rate of 10% for all federal awards. The Commission did not have program income during the year ended September 30, 2022.

Finding Details

Finding 2022-001 – Internal Controls over Grant Management (Significant Deficiency and Noncompliance) Information on the federal program: U.S. Economic Development Administration Economic Development Cluster and U.S. Department of Health and Human Services FAL No 93.568 Low- Income Home Energy Assistance. Criteria: 2 CFR 200.302 establishes the requirements of a financial management system adequate to ensure compliance with federal regulations. This system must include written procedures to implement requirements for payment methods and determine the allowability of costs in accordance with subpart E. Condition: Central Alabama Regional Planning and Development Commission does not have a written grant manual or other written accounting procedures that meet the financial management system requirements established in the regulations. Cause: Central Alabama Regional Planning and Development Commission has processes and procedures in place to administer grant funds but no written policies. Effect: Central Alabama Regional Planning and Development Commission is not in compliance with financial management system requirements. Recommendation: Central Alabama Regional Planning and Development Commission should develop a grants manual or additional written policies to incorporate all the requirements of 2 CFR 200 and ensure compliance. Views of Responsible Officials: See Corrective Action Plan included at the end of the report.
Finding 2022-001 – Internal Controls over Grant Management (Significant Deficiency and Noncompliance) Information on the federal program: U.S. Economic Development Administration Economic Development Cluster and U.S. Department of Health and Human Services FAL No 93.568 Low- Income Home Energy Assistance. Criteria: 2 CFR 200.302 establishes the requirements of a financial management system adequate to ensure compliance with federal regulations. This system must include written procedures to implement requirements for payment methods and determine the allowability of costs in accordance with subpart E. Condition: Central Alabama Regional Planning and Development Commission does not have a written grant manual or other written accounting procedures that meet the financial management system requirements established in the regulations. Cause: Central Alabama Regional Planning and Development Commission has processes and procedures in place to administer grant funds but no written policies. Effect: Central Alabama Regional Planning and Development Commission is not in compliance with financial management system requirements. Recommendation: Central Alabama Regional Planning and Development Commission should develop a grants manual or additional written policies to incorporate all the requirements of 2 CFR 200 and ensure compliance. Views of Responsible Officials: See Corrective Action Plan included at the end of the report.
Finding 2022-001 – Internal Controls over Grant Management (Significant Deficiency and Noncompliance) Information on the federal program: U.S. Economic Development Administration Economic Development Cluster and U.S. Department of Health and Human Services FAL No 93.568 Low- Income Home Energy Assistance. Criteria: 2 CFR 200.302 establishes the requirements of a financial management system adequate to ensure compliance with federal regulations. This system must include written procedures to implement requirements for payment methods and determine the allowability of costs in accordance with subpart E. Condition: Central Alabama Regional Planning and Development Commission does not have a written grant manual or other written accounting procedures that meet the financial management system requirements established in the regulations. Cause: Central Alabama Regional Planning and Development Commission has processes and procedures in place to administer grant funds but no written policies. Effect: Central Alabama Regional Planning and Development Commission is not in compliance with financial management system requirements. Recommendation: Central Alabama Regional Planning and Development Commission should develop a grants manual or additional written policies to incorporate all the requirements of 2 CFR 200 and ensure compliance. Views of Responsible Officials: See Corrective Action Plan included at the end of the report.
Finding 2022-001 – Internal Controls over Grant Management (Significant Deficiency and Noncompliance) Information on the federal program: U.S. Economic Development Administration Economic Development Cluster and U.S. Department of Health and Human Services FAL No 93.568 Low- Income Home Energy Assistance. Criteria: 2 CFR 200.302 establishes the requirements of a financial management system adequate to ensure compliance with federal regulations. This system must include written procedures to implement requirements for payment methods and determine the allowability of costs in accordance with subpart E. Condition: Central Alabama Regional Planning and Development Commission does not have a written grant manual or other written accounting procedures that meet the financial management system requirements established in the regulations. Cause: Central Alabama Regional Planning and Development Commission has processes and procedures in place to administer grant funds but no written policies. Effect: Central Alabama Regional Planning and Development Commission is not in compliance with financial management system requirements. Recommendation: Central Alabama Regional Planning and Development Commission should develop a grants manual or additional written policies to incorporate all the requirements of 2 CFR 200 and ensure compliance. Views of Responsible Officials: See Corrective Action Plan included at the end of the report.
Finding 2022-001 – Internal Controls over Grant Management (Significant Deficiency and Noncompliance) Information on the federal program: U.S. Economic Development Administration Economic Development Cluster and U.S. Department of Health and Human Services FAL No 93.568 Low- Income Home Energy Assistance. Criteria: 2 CFR 200.302 establishes the requirements of a financial management system adequate to ensure compliance with federal regulations. This system must include written procedures to implement requirements for payment methods and determine the allowability of costs in accordance with subpart E. Condition: Central Alabama Regional Planning and Development Commission does not have a written grant manual or other written accounting procedures that meet the financial management system requirements established in the regulations. Cause: Central Alabama Regional Planning and Development Commission has processes and procedures in place to administer grant funds but no written policies. Effect: Central Alabama Regional Planning and Development Commission is not in compliance with financial management system requirements. Recommendation: Central Alabama Regional Planning and Development Commission should develop a grants manual or additional written policies to incorporate all the requirements of 2 CFR 200 and ensure compliance. Views of Responsible Officials: See Corrective Action Plan included at the end of the report.
Finding 2022-001 – Internal Controls over Grant Management (Significant Deficiency and Noncompliance) Information on the federal program: U.S. Economic Development Administration Economic Development Cluster and U.S. Department of Health and Human Services FAL No 93.568 Low- Income Home Energy Assistance. Criteria: 2 CFR 200.302 establishes the requirements of a financial management system adequate to ensure compliance with federal regulations. This system must include written procedures to implement requirements for payment methods and determine the allowability of costs in accordance with subpart E. Condition: Central Alabama Regional Planning and Development Commission does not have a written grant manual or other written accounting procedures that meet the financial management system requirements established in the regulations. Cause: Central Alabama Regional Planning and Development Commission has processes and procedures in place to administer grant funds but no written policies. Effect: Central Alabama Regional Planning and Development Commission is not in compliance with financial management system requirements. Recommendation: Central Alabama Regional Planning and Development Commission should develop a grants manual or additional written policies to incorporate all the requirements of 2 CFR 200 and ensure compliance. Views of Responsible Officials: See Corrective Action Plan included at the end of the report.