Audit 42670

FY End
2022-06-30
Total Expended
$1.76M
Findings
28
Programs
14
Organization: Tri County Area Schools (MI)
Year: 2022 Accepted: 2023-01-04

Organization Exclusion Status:

Checking exclusion status...

Findings

ID Ref Severity Repeat Requirement
50142 2022-002 Significant Deficiency Yes P
50143 2022-003 Significant Deficiency - P
50144 2022-002 Significant Deficiency Yes P
50145 2022-003 Significant Deficiency - P
50146 2022-002 Significant Deficiency Yes P
50147 2022-003 Significant Deficiency - P
50148 2022-002 Significant Deficiency Yes P
50149 2022-003 Significant Deficiency - P
50150 2022-002 Significant Deficiency Yes P
50151 2022-003 Significant Deficiency - P
50152 2022-002 Significant Deficiency Yes P
50153 2022-003 Significant Deficiency - P
50154 2022-002 Significant Deficiency Yes P
50155 2022-003 Significant Deficiency - P
626584 2022-002 Significant Deficiency Yes P
626585 2022-003 Significant Deficiency - P
626586 2022-002 Significant Deficiency Yes P
626587 2022-003 Significant Deficiency - P
626588 2022-002 Significant Deficiency Yes P
626589 2022-003 Significant Deficiency - P
626590 2022-002 Significant Deficiency Yes P
626591 2022-003 Significant Deficiency - P
626592 2022-002 Significant Deficiency Yes P
626593 2022-003 Significant Deficiency - P
626594 2022-002 Significant Deficiency Yes P
626595 2022-003 Significant Deficiency - P
626596 2022-002 Significant Deficiency Yes P
626597 2022-003 Significant Deficiency - P

Programs

Contacts

Name Title Type
EJDNFUWSJ6K8 Amy Hopkins Auditee
7153356366 Craig Corning Auditor
No contacts on file

Notes to SEFA

Accounting Policies: The accompanying schedules of expenditures of federal and state awards include the federal and state grant activity of the Tri-County Area School District and are presented on the modified accrual basis of accounting. The information in these schedules is presented in accordance with the of The Uniform Guidance and the State Single Audit Guidelines. Therefore, some amounts presented in these schedules may differ from amounts presented in, or used in the preparation of, the basic financial statements. De Minimis Rate Used: N Rate Explanation: The auditee did not use the de minimis cost rate.

Finding Details

2022-002 Segregation of Duties Condition: The size of the office staff precludes a proper segregation of functions to assure adequate internal control. Criteria: Lack of segregation of duties. Cause: The limited number of office staff results in incompatible functions being performed by the same individuals. Effect: There may be inappropriate transactions recorded and assets may not be adequately safeguarded. Recommendations: This is not unusual for Districts your size, but the Board of Education and management should continue to be aware of this condition and to realize that the concentration of duties and responsibilities of a limited number of individuals is not desirable for an effective system of internal control. Under these conditions, the most effective controls lie in the Board of Education?s and management?s knowledge of matters relating to the District?s operations. Management Views and Corrective Action Plan: See corrective action plan 2022-002.
2022-003 Financial Reporting for Federal and State Assistance Conditions: The Uniform Guidance and the State Single Audit Guidelines requires the District to prepare appropriate financial statements, including the schedules of expenditures of federal and state awards. While the current staff of the District maintains financial records supporting amounts reported in the schedules of expenditures of federal awards, the District contracts with its auditor to compile the data from these records and prepare the single audit report for the District. Criteria: Having staff with expertise in state reporting to prepare the District?s single audit report is an internal control intended to prevent, detect and correct a potential misstatement in the schedules of expenditures of state awards, or accompanying notes to the schedule. Cause: The additional cost associated with hiring staff sufficiently experienced to prepare the District?s single audit report, including the additional training time, outweigh the derived benefits. Effect: Because management relies on its auditor to assist with the preparation of the financial statements, including single audit reports, the District?s system of internal control may not prevent, detect or correct misstatements in these financial statements. Recommendation: We recommend District personnel continue reviewing the District?s single audit report prepared by its auditor. While it may not be cost beneficial to hire additional staff to prepare these items, a thorough review of this information by appropriate staff of the District is necessary to ensure all state programs are properly reported in the District?s single audit report. Management Views and Corrective Action Plan: See corrective action plan 2022-003.
2022-002 Segregation of Duties Condition: The size of the office staff precludes a proper segregation of functions to assure adequate internal control. Criteria: Lack of segregation of duties. Cause: The limited number of office staff results in incompatible functions being performed by the same individuals. Effect: There may be inappropriate transactions recorded and assets may not be adequately safeguarded. Recommendations: This is not unusual for Districts your size, but the Board of Education and management should continue to be aware of this condition and to realize that the concentration of duties and responsibilities of a limited number of individuals is not desirable for an effective system of internal control. Under these conditions, the most effective controls lie in the Board of Education?s and management?s knowledge of matters relating to the District?s operations. Management Views and Corrective Action Plan: See corrective action plan 2022-002.
2022-003 Financial Reporting for Federal and State Assistance Conditions: The Uniform Guidance and the State Single Audit Guidelines requires the District to prepare appropriate financial statements, including the schedules of expenditures of federal and state awards. While the current staff of the District maintains financial records supporting amounts reported in the schedules of expenditures of federal awards, the District contracts with its auditor to compile the data from these records and prepare the single audit report for the District. Criteria: Having staff with expertise in state reporting to prepare the District?s single audit report is an internal control intended to prevent, detect and correct a potential misstatement in the schedules of expenditures of state awards, or accompanying notes to the schedule. Cause: The additional cost associated with hiring staff sufficiently experienced to prepare the District?s single audit report, including the additional training time, outweigh the derived benefits. Effect: Because management relies on its auditor to assist with the preparation of the financial statements, including single audit reports, the District?s system of internal control may not prevent, detect or correct misstatements in these financial statements. Recommendation: We recommend District personnel continue reviewing the District?s single audit report prepared by its auditor. While it may not be cost beneficial to hire additional staff to prepare these items, a thorough review of this information by appropriate staff of the District is necessary to ensure all state programs are properly reported in the District?s single audit report. Management Views and Corrective Action Plan: See corrective action plan 2022-003.
2022-002 Segregation of Duties Condition: The size of the office staff precludes a proper segregation of functions to assure adequate internal control. Criteria: Lack of segregation of duties. Cause: The limited number of office staff results in incompatible functions being performed by the same individuals. Effect: There may be inappropriate transactions recorded and assets may not be adequately safeguarded. Recommendations: This is not unusual for Districts your size, but the Board of Education and management should continue to be aware of this condition and to realize that the concentration of duties and responsibilities of a limited number of individuals is not desirable for an effective system of internal control. Under these conditions, the most effective controls lie in the Board of Education?s and management?s knowledge of matters relating to the District?s operations. Management Views and Corrective Action Plan: See corrective action plan 2022-002.
2022-003 Financial Reporting for Federal and State Assistance Conditions: The Uniform Guidance and the State Single Audit Guidelines requires the District to prepare appropriate financial statements, including the schedules of expenditures of federal and state awards. While the current staff of the District maintains financial records supporting amounts reported in the schedules of expenditures of federal awards, the District contracts with its auditor to compile the data from these records and prepare the single audit report for the District. Criteria: Having staff with expertise in state reporting to prepare the District?s single audit report is an internal control intended to prevent, detect and correct a potential misstatement in the schedules of expenditures of state awards, or accompanying notes to the schedule. Cause: The additional cost associated with hiring staff sufficiently experienced to prepare the District?s single audit report, including the additional training time, outweigh the derived benefits. Effect: Because management relies on its auditor to assist with the preparation of the financial statements, including single audit reports, the District?s system of internal control may not prevent, detect or correct misstatements in these financial statements. Recommendation: We recommend District personnel continue reviewing the District?s single audit report prepared by its auditor. While it may not be cost beneficial to hire additional staff to prepare these items, a thorough review of this information by appropriate staff of the District is necessary to ensure all state programs are properly reported in the District?s single audit report. Management Views and Corrective Action Plan: See corrective action plan 2022-003.
2022-002 Segregation of Duties Condition: The size of the office staff precludes a proper segregation of functions to assure adequate internal control. Criteria: Lack of segregation of duties. Cause: The limited number of office staff results in incompatible functions being performed by the same individuals. Effect: There may be inappropriate transactions recorded and assets may not be adequately safeguarded. Recommendations: This is not unusual for Districts your size, but the Board of Education and management should continue to be aware of this condition and to realize that the concentration of duties and responsibilities of a limited number of individuals is not desirable for an effective system of internal control. Under these conditions, the most effective controls lie in the Board of Education?s and management?s knowledge of matters relating to the District?s operations. Management Views and Corrective Action Plan: See corrective action plan 2022-002.
2022-003 Financial Reporting for Federal and State Assistance Conditions: The Uniform Guidance and the State Single Audit Guidelines requires the District to prepare appropriate financial statements, including the schedules of expenditures of federal and state awards. While the current staff of the District maintains financial records supporting amounts reported in the schedules of expenditures of federal awards, the District contracts with its auditor to compile the data from these records and prepare the single audit report for the District. Criteria: Having staff with expertise in state reporting to prepare the District?s single audit report is an internal control intended to prevent, detect and correct a potential misstatement in the schedules of expenditures of state awards, or accompanying notes to the schedule. Cause: The additional cost associated with hiring staff sufficiently experienced to prepare the District?s single audit report, including the additional training time, outweigh the derived benefits. Effect: Because management relies on its auditor to assist with the preparation of the financial statements, including single audit reports, the District?s system of internal control may not prevent, detect or correct misstatements in these financial statements. Recommendation: We recommend District personnel continue reviewing the District?s single audit report prepared by its auditor. While it may not be cost beneficial to hire additional staff to prepare these items, a thorough review of this information by appropriate staff of the District is necessary to ensure all state programs are properly reported in the District?s single audit report. Management Views and Corrective Action Plan: See corrective action plan 2022-003.
2022-002 Segregation of Duties Condition: The size of the office staff precludes a proper segregation of functions to assure adequate internal control. Criteria: Lack of segregation of duties. Cause: The limited number of office staff results in incompatible functions being performed by the same individuals. Effect: There may be inappropriate transactions recorded and assets may not be adequately safeguarded. Recommendations: This is not unusual for Districts your size, but the Board of Education and management should continue to be aware of this condition and to realize that the concentration of duties and responsibilities of a limited number of individuals is not desirable for an effective system of internal control. Under these conditions, the most effective controls lie in the Board of Education?s and management?s knowledge of matters relating to the District?s operations. Management Views and Corrective Action Plan: See corrective action plan 2022-002.
2022-003 Financial Reporting for Federal and State Assistance Conditions: The Uniform Guidance and the State Single Audit Guidelines requires the District to prepare appropriate financial statements, including the schedules of expenditures of federal and state awards. While the current staff of the District maintains financial records supporting amounts reported in the schedules of expenditures of federal awards, the District contracts with its auditor to compile the data from these records and prepare the single audit report for the District. Criteria: Having staff with expertise in state reporting to prepare the District?s single audit report is an internal control intended to prevent, detect and correct a potential misstatement in the schedules of expenditures of state awards, or accompanying notes to the schedule. Cause: The additional cost associated with hiring staff sufficiently experienced to prepare the District?s single audit report, including the additional training time, outweigh the derived benefits. Effect: Because management relies on its auditor to assist with the preparation of the financial statements, including single audit reports, the District?s system of internal control may not prevent, detect or correct misstatements in these financial statements. Recommendation: We recommend District personnel continue reviewing the District?s single audit report prepared by its auditor. While it may not be cost beneficial to hire additional staff to prepare these items, a thorough review of this information by appropriate staff of the District is necessary to ensure all state programs are properly reported in the District?s single audit report. Management Views and Corrective Action Plan: See corrective action plan 2022-003.
2022-002 Segregation of Duties Condition: The size of the office staff precludes a proper segregation of functions to assure adequate internal control. Criteria: Lack of segregation of duties. Cause: The limited number of office staff results in incompatible functions being performed by the same individuals. Effect: There may be inappropriate transactions recorded and assets may not be adequately safeguarded. Recommendations: This is not unusual for Districts your size, but the Board of Education and management should continue to be aware of this condition and to realize that the concentration of duties and responsibilities of a limited number of individuals is not desirable for an effective system of internal control. Under these conditions, the most effective controls lie in the Board of Education?s and management?s knowledge of matters relating to the District?s operations. Management Views and Corrective Action Plan: See corrective action plan 2022-002.
2022-003 Financial Reporting for Federal and State Assistance Conditions: The Uniform Guidance and the State Single Audit Guidelines requires the District to prepare appropriate financial statements, including the schedules of expenditures of federal and state awards. While the current staff of the District maintains financial records supporting amounts reported in the schedules of expenditures of federal awards, the District contracts with its auditor to compile the data from these records and prepare the single audit report for the District. Criteria: Having staff with expertise in state reporting to prepare the District?s single audit report is an internal control intended to prevent, detect and correct a potential misstatement in the schedules of expenditures of state awards, or accompanying notes to the schedule. Cause: The additional cost associated with hiring staff sufficiently experienced to prepare the District?s single audit report, including the additional training time, outweigh the derived benefits. Effect: Because management relies on its auditor to assist with the preparation of the financial statements, including single audit reports, the District?s system of internal control may not prevent, detect or correct misstatements in these financial statements. Recommendation: We recommend District personnel continue reviewing the District?s single audit report prepared by its auditor. While it may not be cost beneficial to hire additional staff to prepare these items, a thorough review of this information by appropriate staff of the District is necessary to ensure all state programs are properly reported in the District?s single audit report. Management Views and Corrective Action Plan: See corrective action plan 2022-003.
2022-002 Segregation of Duties Condition: The size of the office staff precludes a proper segregation of functions to assure adequate internal control. Criteria: Lack of segregation of duties. Cause: The limited number of office staff results in incompatible functions being performed by the same individuals. Effect: There may be inappropriate transactions recorded and assets may not be adequately safeguarded. Recommendations: This is not unusual for Districts your size, but the Board of Education and management should continue to be aware of this condition and to realize that the concentration of duties and responsibilities of a limited number of individuals is not desirable for an effective system of internal control. Under these conditions, the most effective controls lie in the Board of Education?s and management?s knowledge of matters relating to the District?s operations. Management Views and Corrective Action Plan: See corrective action plan 2022-002.
2022-003 Financial Reporting for Federal and State Assistance Conditions: The Uniform Guidance and the State Single Audit Guidelines requires the District to prepare appropriate financial statements, including the schedules of expenditures of federal and state awards. While the current staff of the District maintains financial records supporting amounts reported in the schedules of expenditures of federal awards, the District contracts with its auditor to compile the data from these records and prepare the single audit report for the District. Criteria: Having staff with expertise in state reporting to prepare the District?s single audit report is an internal control intended to prevent, detect and correct a potential misstatement in the schedules of expenditures of state awards, or accompanying notes to the schedule. Cause: The additional cost associated with hiring staff sufficiently experienced to prepare the District?s single audit report, including the additional training time, outweigh the derived benefits. Effect: Because management relies on its auditor to assist with the preparation of the financial statements, including single audit reports, the District?s system of internal control may not prevent, detect or correct misstatements in these financial statements. Recommendation: We recommend District personnel continue reviewing the District?s single audit report prepared by its auditor. While it may not be cost beneficial to hire additional staff to prepare these items, a thorough review of this information by appropriate staff of the District is necessary to ensure all state programs are properly reported in the District?s single audit report. Management Views and Corrective Action Plan: See corrective action plan 2022-003.
2022-002 Segregation of Duties Condition: The size of the office staff precludes a proper segregation of functions to assure adequate internal control. Criteria: Lack of segregation of duties. Cause: The limited number of office staff results in incompatible functions being performed by the same individuals. Effect: There may be inappropriate transactions recorded and assets may not be adequately safeguarded. Recommendations: This is not unusual for Districts your size, but the Board of Education and management should continue to be aware of this condition and to realize that the concentration of duties and responsibilities of a limited number of individuals is not desirable for an effective system of internal control. Under these conditions, the most effective controls lie in the Board of Education?s and management?s knowledge of matters relating to the District?s operations. Management Views and Corrective Action Plan: See corrective action plan 2022-002.
2022-003 Financial Reporting for Federal and State Assistance Conditions: The Uniform Guidance and the State Single Audit Guidelines requires the District to prepare appropriate financial statements, including the schedules of expenditures of federal and state awards. While the current staff of the District maintains financial records supporting amounts reported in the schedules of expenditures of federal awards, the District contracts with its auditor to compile the data from these records and prepare the single audit report for the District. Criteria: Having staff with expertise in state reporting to prepare the District?s single audit report is an internal control intended to prevent, detect and correct a potential misstatement in the schedules of expenditures of state awards, or accompanying notes to the schedule. Cause: The additional cost associated with hiring staff sufficiently experienced to prepare the District?s single audit report, including the additional training time, outweigh the derived benefits. Effect: Because management relies on its auditor to assist with the preparation of the financial statements, including single audit reports, the District?s system of internal control may not prevent, detect or correct misstatements in these financial statements. Recommendation: We recommend District personnel continue reviewing the District?s single audit report prepared by its auditor. While it may not be cost beneficial to hire additional staff to prepare these items, a thorough review of this information by appropriate staff of the District is necessary to ensure all state programs are properly reported in the District?s single audit report. Management Views and Corrective Action Plan: See corrective action plan 2022-003.
2022-002 Segregation of Duties Condition: The size of the office staff precludes a proper segregation of functions to assure adequate internal control. Criteria: Lack of segregation of duties. Cause: The limited number of office staff results in incompatible functions being performed by the same individuals. Effect: There may be inappropriate transactions recorded and assets may not be adequately safeguarded. Recommendations: This is not unusual for Districts your size, but the Board of Education and management should continue to be aware of this condition and to realize that the concentration of duties and responsibilities of a limited number of individuals is not desirable for an effective system of internal control. Under these conditions, the most effective controls lie in the Board of Education?s and management?s knowledge of matters relating to the District?s operations. Management Views and Corrective Action Plan: See corrective action plan 2022-002.
2022-003 Financial Reporting for Federal and State Assistance Conditions: The Uniform Guidance and the State Single Audit Guidelines requires the District to prepare appropriate financial statements, including the schedules of expenditures of federal and state awards. While the current staff of the District maintains financial records supporting amounts reported in the schedules of expenditures of federal awards, the District contracts with its auditor to compile the data from these records and prepare the single audit report for the District. Criteria: Having staff with expertise in state reporting to prepare the District?s single audit report is an internal control intended to prevent, detect and correct a potential misstatement in the schedules of expenditures of state awards, or accompanying notes to the schedule. Cause: The additional cost associated with hiring staff sufficiently experienced to prepare the District?s single audit report, including the additional training time, outweigh the derived benefits. Effect: Because management relies on its auditor to assist with the preparation of the financial statements, including single audit reports, the District?s system of internal control may not prevent, detect or correct misstatements in these financial statements. Recommendation: We recommend District personnel continue reviewing the District?s single audit report prepared by its auditor. While it may not be cost beneficial to hire additional staff to prepare these items, a thorough review of this information by appropriate staff of the District is necessary to ensure all state programs are properly reported in the District?s single audit report. Management Views and Corrective Action Plan: See corrective action plan 2022-003.
2022-002 Segregation of Duties Condition: The size of the office staff precludes a proper segregation of functions to assure adequate internal control. Criteria: Lack of segregation of duties. Cause: The limited number of office staff results in incompatible functions being performed by the same individuals. Effect: There may be inappropriate transactions recorded and assets may not be adequately safeguarded. Recommendations: This is not unusual for Districts your size, but the Board of Education and management should continue to be aware of this condition and to realize that the concentration of duties and responsibilities of a limited number of individuals is not desirable for an effective system of internal control. Under these conditions, the most effective controls lie in the Board of Education?s and management?s knowledge of matters relating to the District?s operations. Management Views and Corrective Action Plan: See corrective action plan 2022-002.
2022-003 Financial Reporting for Federal and State Assistance Conditions: The Uniform Guidance and the State Single Audit Guidelines requires the District to prepare appropriate financial statements, including the schedules of expenditures of federal and state awards. While the current staff of the District maintains financial records supporting amounts reported in the schedules of expenditures of federal awards, the District contracts with its auditor to compile the data from these records and prepare the single audit report for the District. Criteria: Having staff with expertise in state reporting to prepare the District?s single audit report is an internal control intended to prevent, detect and correct a potential misstatement in the schedules of expenditures of state awards, or accompanying notes to the schedule. Cause: The additional cost associated with hiring staff sufficiently experienced to prepare the District?s single audit report, including the additional training time, outweigh the derived benefits. Effect: Because management relies on its auditor to assist with the preparation of the financial statements, including single audit reports, the District?s system of internal control may not prevent, detect or correct misstatements in these financial statements. Recommendation: We recommend District personnel continue reviewing the District?s single audit report prepared by its auditor. While it may not be cost beneficial to hire additional staff to prepare these items, a thorough review of this information by appropriate staff of the District is necessary to ensure all state programs are properly reported in the District?s single audit report. Management Views and Corrective Action Plan: See corrective action plan 2022-003.
2022-002 Segregation of Duties Condition: The size of the office staff precludes a proper segregation of functions to assure adequate internal control. Criteria: Lack of segregation of duties. Cause: The limited number of office staff results in incompatible functions being performed by the same individuals. Effect: There may be inappropriate transactions recorded and assets may not be adequately safeguarded. Recommendations: This is not unusual for Districts your size, but the Board of Education and management should continue to be aware of this condition and to realize that the concentration of duties and responsibilities of a limited number of individuals is not desirable for an effective system of internal control. Under these conditions, the most effective controls lie in the Board of Education?s and management?s knowledge of matters relating to the District?s operations. Management Views and Corrective Action Plan: See corrective action plan 2022-002.
2022-003 Financial Reporting for Federal and State Assistance Conditions: The Uniform Guidance and the State Single Audit Guidelines requires the District to prepare appropriate financial statements, including the schedules of expenditures of federal and state awards. While the current staff of the District maintains financial records supporting amounts reported in the schedules of expenditures of federal awards, the District contracts with its auditor to compile the data from these records and prepare the single audit report for the District. Criteria: Having staff with expertise in state reporting to prepare the District?s single audit report is an internal control intended to prevent, detect and correct a potential misstatement in the schedules of expenditures of state awards, or accompanying notes to the schedule. Cause: The additional cost associated with hiring staff sufficiently experienced to prepare the District?s single audit report, including the additional training time, outweigh the derived benefits. Effect: Because management relies on its auditor to assist with the preparation of the financial statements, including single audit reports, the District?s system of internal control may not prevent, detect or correct misstatements in these financial statements. Recommendation: We recommend District personnel continue reviewing the District?s single audit report prepared by its auditor. While it may not be cost beneficial to hire additional staff to prepare these items, a thorough review of this information by appropriate staff of the District is necessary to ensure all state programs are properly reported in the District?s single audit report. Management Views and Corrective Action Plan: See corrective action plan 2022-003.
2022-002 Segregation of Duties Condition: The size of the office staff precludes a proper segregation of functions to assure adequate internal control. Criteria: Lack of segregation of duties. Cause: The limited number of office staff results in incompatible functions being performed by the same individuals. Effect: There may be inappropriate transactions recorded and assets may not be adequately safeguarded. Recommendations: This is not unusual for Districts your size, but the Board of Education and management should continue to be aware of this condition and to realize that the concentration of duties and responsibilities of a limited number of individuals is not desirable for an effective system of internal control. Under these conditions, the most effective controls lie in the Board of Education?s and management?s knowledge of matters relating to the District?s operations. Management Views and Corrective Action Plan: See corrective action plan 2022-002.
2022-003 Financial Reporting for Federal and State Assistance Conditions: The Uniform Guidance and the State Single Audit Guidelines requires the District to prepare appropriate financial statements, including the schedules of expenditures of federal and state awards. While the current staff of the District maintains financial records supporting amounts reported in the schedules of expenditures of federal awards, the District contracts with its auditor to compile the data from these records and prepare the single audit report for the District. Criteria: Having staff with expertise in state reporting to prepare the District?s single audit report is an internal control intended to prevent, detect and correct a potential misstatement in the schedules of expenditures of state awards, or accompanying notes to the schedule. Cause: The additional cost associated with hiring staff sufficiently experienced to prepare the District?s single audit report, including the additional training time, outweigh the derived benefits. Effect: Because management relies on its auditor to assist with the preparation of the financial statements, including single audit reports, the District?s system of internal control may not prevent, detect or correct misstatements in these financial statements. Recommendation: We recommend District personnel continue reviewing the District?s single audit report prepared by its auditor. While it may not be cost beneficial to hire additional staff to prepare these items, a thorough review of this information by appropriate staff of the District is necessary to ensure all state programs are properly reported in the District?s single audit report. Management Views and Corrective Action Plan: See corrective action plan 2022-003.
2022-002 Segregation of Duties Condition: The size of the office staff precludes a proper segregation of functions to assure adequate internal control. Criteria: Lack of segregation of duties. Cause: The limited number of office staff results in incompatible functions being performed by the same individuals. Effect: There may be inappropriate transactions recorded and assets may not be adequately safeguarded. Recommendations: This is not unusual for Districts your size, but the Board of Education and management should continue to be aware of this condition and to realize that the concentration of duties and responsibilities of a limited number of individuals is not desirable for an effective system of internal control. Under these conditions, the most effective controls lie in the Board of Education?s and management?s knowledge of matters relating to the District?s operations. Management Views and Corrective Action Plan: See corrective action plan 2022-002.
2022-003 Financial Reporting for Federal and State Assistance Conditions: The Uniform Guidance and the State Single Audit Guidelines requires the District to prepare appropriate financial statements, including the schedules of expenditures of federal and state awards. While the current staff of the District maintains financial records supporting amounts reported in the schedules of expenditures of federal awards, the District contracts with its auditor to compile the data from these records and prepare the single audit report for the District. Criteria: Having staff with expertise in state reporting to prepare the District?s single audit report is an internal control intended to prevent, detect and correct a potential misstatement in the schedules of expenditures of state awards, or accompanying notes to the schedule. Cause: The additional cost associated with hiring staff sufficiently experienced to prepare the District?s single audit report, including the additional training time, outweigh the derived benefits. Effect: Because management relies on its auditor to assist with the preparation of the financial statements, including single audit reports, the District?s system of internal control may not prevent, detect or correct misstatements in these financial statements. Recommendation: We recommend District personnel continue reviewing the District?s single audit report prepared by its auditor. While it may not be cost beneficial to hire additional staff to prepare these items, a thorough review of this information by appropriate staff of the District is necessary to ensure all state programs are properly reported in the District?s single audit report. Management Views and Corrective Action Plan: See corrective action plan 2022-003.
2022-002 Segregation of Duties Condition: The size of the office staff precludes a proper segregation of functions to assure adequate internal control. Criteria: Lack of segregation of duties. Cause: The limited number of office staff results in incompatible functions being performed by the same individuals. Effect: There may be inappropriate transactions recorded and assets may not be adequately safeguarded. Recommendations: This is not unusual for Districts your size, but the Board of Education and management should continue to be aware of this condition and to realize that the concentration of duties and responsibilities of a limited number of individuals is not desirable for an effective system of internal control. Under these conditions, the most effective controls lie in the Board of Education?s and management?s knowledge of matters relating to the District?s operations. Management Views and Corrective Action Plan: See corrective action plan 2022-002.
2022-003 Financial Reporting for Federal and State Assistance Conditions: The Uniform Guidance and the State Single Audit Guidelines requires the District to prepare appropriate financial statements, including the schedules of expenditures of federal and state awards. While the current staff of the District maintains financial records supporting amounts reported in the schedules of expenditures of federal awards, the District contracts with its auditor to compile the data from these records and prepare the single audit report for the District. Criteria: Having staff with expertise in state reporting to prepare the District?s single audit report is an internal control intended to prevent, detect and correct a potential misstatement in the schedules of expenditures of state awards, or accompanying notes to the schedule. Cause: The additional cost associated with hiring staff sufficiently experienced to prepare the District?s single audit report, including the additional training time, outweigh the derived benefits. Effect: Because management relies on its auditor to assist with the preparation of the financial statements, including single audit reports, the District?s system of internal control may not prevent, detect or correct misstatements in these financial statements. Recommendation: We recommend District personnel continue reviewing the District?s single audit report prepared by its auditor. While it may not be cost beneficial to hire additional staff to prepare these items, a thorough review of this information by appropriate staff of the District is necessary to ensure all state programs are properly reported in the District?s single audit report. Management Views and Corrective Action Plan: See corrective action plan 2022-003.