Audit 347168

FY End
2023-06-30
Total Expended
$6.50M
Findings
2
Programs
4
Organization: City of Cupertino (CA)
Year: 2023 Accepted: 2025-03-20

Organization Exclusion Status:

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Findings

ID Ref Severity Repeat Requirement
529192 2023-002 Material Weakness Yes L
1105634 2023-002 Material Weakness Yes L

Programs

Contacts

Name Title Type
DQ4CLU1A74G9 Kristina Alfaro Auditee
4087773220 Sophia Kuo Auditor
No contacts on file

Notes to SEFA

Title: Note 1 – Reporting Entity Accounting Policies: Expenditures reported on 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. 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 De Minimis Rate Used: N Rate Explanation: The Auditee did not use de minimis cost rate The financial reporting entity, as defined by the Governmental Accounting Standard Board (“GASB”), consists of the primary government, which is the City of Cupertino, California (the “City”), organizations for which the primary government is financially accountable, and other organizations for which the nature and significance of their relationship with the primary government are such that exclusion would cause the reporting entity’s financial statements to be misleading or incomplete.
Title: Note 2 – Basis of Presentation Accounting Policies: Expenditures reported on 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. 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 De Minimis Rate Used: N Rate Explanation: The Auditee did not use de minimis cost rate The accompanying Schedule of Expenditures of Federal Awards (the "Schedule") includes the federal award activity of the City under programs of the federal government for the year ended June 30, 2023. 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”). Because the Schedule presents only a selected portion of the operations of City, it is not intended to and does not present the financial position of the City.
Title: Note 3 – Summary of Significant Accounting Policies Accounting Policies: Expenditures reported on 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. 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 De Minimis Rate Used: N Rate Explanation: The Auditee did not use de minimis cost rate Expenditures reported on 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. 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.
Title: Note 4 – Indirect Cost Rate Accounting Policies: Expenditures reported on 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. 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 De Minimis Rate Used: N Rate Explanation: The Auditee did not use de minimis cost rate The City has not elected to use the 10-percent de minimis indirect rate as allowed under the Uniform Guidance.

Finding Details

2023-002 - Reporting – Internal Control and Compliance over Reporting (Material Weakness) Identification of the Federal Programs: Assistance Listing Number: 21.027 Assistance Listing Title: Coronavirus State and Local Fiscal Recovery Funds Federal Agency: Department of Treasury Pass-Through Entity: N/A Federal Award Number and Award Year: 1505-0271 Criteria or Specific Requirement (Including Statutory, Regulatory, or Other Citation): Pursuant to 2 CFR 200.303(a), 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. These internal controls should be in compliance with guidance in “Standards for Internal Control in the Federal Government” issued by the Comptroller General of the United States or the “Internal Control Integrated Framework”, issued by the Committee of Sponsoring Organizations of the Treadway Commission (COSO). These would include segregation of duties over report preparation and submission to ensure compliance with deadline requirements. Further, per State and Local Fiscal Recovery Funds (“SLRF”) requirements, the recipients are also required to obligate funds incurred related to revenue replacement under “provision of government services” sub-expenditure category. Condition: The City did not have proper segregation of duties in place for the preparation, approval and submission of the American Rescue Plan Act (“ARPA”) -related reportorial requirements to the U.S. Department of Treasury. Further, the audit team noted that the City did not properly obligate the funds related to revenue replacement category on its annual project and expenditures report resulting to incorrect reporting. Subsequently, the City corrected the obligation of funds during the March 2024 annual reporting. Cause: There was no policy and procedure in place to enhance the internal control over the report submission. In addition, the City was not familiar with the obligation requirement. Effect or Potential Effect: Failure to implement proper segregation of duties, and failure to report correct expended amounts under provision of government services in the annual report resulted in non liance requirements. Not obligating the fund timely could potentially lose the funding. Questioned Costs: None. Context: See condition above for the context of the finding. Identification as a Repeat Finding, If Applicable: Yes. See prior year finding 2022-001. Recommendation: We recommend that the City strengthen their report submission process and procedures to ensure all required reports are properly reviewed and approved and submitted. Further, we recommend the City to have in depth staff training with regard to the grant compliance requirements in order to avoid misinterpretation of the necessary requirements. Views of Responsible Officials: Management concurs the finding.
2023-002 - Reporting – Internal Control and Compliance over Reporting (Material Weakness) Identification of the Federal Programs: Assistance Listing Number: 21.027 Assistance Listing Title: Coronavirus State and Local Fiscal Recovery Funds Federal Agency: Department of Treasury Pass-Through Entity: N/A Federal Award Number and Award Year: 1505-0271 Criteria or Specific Requirement (Including Statutory, Regulatory, or Other Citation): Pursuant to 2 CFR 200.303(a), 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. These internal controls should be in compliance with guidance in “Standards for Internal Control in the Federal Government” issued by the Comptroller General of the United States or the “Internal Control Integrated Framework”, issued by the Committee of Sponsoring Organizations of the Treadway Commission (COSO). These would include segregation of duties over report preparation and submission to ensure compliance with deadline requirements. Further, per State and Local Fiscal Recovery Funds (“SLRF”) requirements, the recipients are also required to obligate funds incurred related to revenue replacement under “provision of government services” sub-expenditure category. Condition: The City did not have proper segregation of duties in place for the preparation, approval and submission of the American Rescue Plan Act (“ARPA”) -related reportorial requirements to the U.S. Department of Treasury. Further, the audit team noted that the City did not properly obligate the funds related to revenue replacement category on its annual project and expenditures report resulting to incorrect reporting. Subsequently, the City corrected the obligation of funds during the March 2024 annual reporting. Cause: There was no policy and procedure in place to enhance the internal control over the report submission. In addition, the City was not familiar with the obligation requirement. Effect or Potential Effect: Failure to implement proper segregation of duties, and failure to report correct expended amounts under provision of government services in the annual report resulted in non liance requirements. Not obligating the fund timely could potentially lose the funding. Questioned Costs: None. Context: See condition above for the context of the finding. Identification as a Repeat Finding, If Applicable: Yes. See prior year finding 2022-001. Recommendation: We recommend that the City strengthen their report submission process and procedures to ensure all required reports are properly reviewed and approved and submitted. Further, we recommend the City to have in depth staff training with regard to the grant compliance requirements in order to avoid misinterpretation of the necessary requirements. Views of Responsible Officials: Management concurs the finding.