Audit 46086

FY End
2022-09-30
Total Expended
$54.09M
Findings
2
Programs
2
Organization: Dch Healthcare Authority (AL)
Year: 2022 Accepted: 2023-09-19
Auditor: Forvis LLP

Organization Exclusion Status:

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Findings

ID Ref Severity Repeat Requirement
44163 2022-001 Material Weakness - ABL
620605 2022-001 Material Weakness - ABL

Programs

ALN Program Spent Major Findings
93.498 Provider Relief Fund $51.75M Yes 1
21.019 Coronavirus Relief Fund $2.34M - 0

Contacts

Name Title Type
JUZBTEWW8EZ5 Keri Hindman Auditee
2057505114 Greg Taylor Auditor
No contacts on file

Notes to SEFA

Title: Categorization of Expenditures Accounting Policies: Expenditures reported on the SEFA are reported on the accrual basis of accounting. Such expenditures are recognized following the cost principles contained in Uniform Guidance, wherein certain types of expenditures are not allowable or are limited as to reimbursement. De Minimis Rate Used: N Rate Explanation: The auditee did not use the de minimis cost rate. The categorization of expenditures by program included in the SEFA is based upon the grant documents. Changes in the categorization of expenditures occur based upon revisions to the Assistance Listing, which is issued in June and December of each year. The SEFA for the year ended September 30, 2022 reflects Assistance Listing changes issued through April 2022.
Title: Grant Contingencies Accounting Policies: Expenditures reported on the SEFA are reported on the accrual basis of accounting. Such expenditures are recognized following the cost principles contained in Uniform Guidance, wherein certain types of expenditures are not allowable or are limited as to reimbursement. De Minimis Rate Used: N Rate Explanation: The auditee did not use the de minimis cost rate. The federal grant programs are subject to financial and compliance audits by the grantors or their representatives. Such audits could lead to requests for reimbursement to the grantor agencies for expenditures disallowed under terms of the grants. Management believes disallowances, if any, will not be material.
Title: Basis of Presentation Accounting Policies: Expenditures reported on the SEFA are reported on the accrual basis of accounting. Such expenditures are recognized following the cost principles contained in Uniform Guidance, wherein certain types of expenditures are not allowable or are limited as to reimbursement. De Minimis Rate Used: N Rate Explanation: The auditee did not use the de minimis cost rate. The accompanying schedule of expenditures of federal awards (SEFA) includes the federal award activity of DCH Health Care Authority (the Authority) under the programs of the federal government for the year ended September 30, 2022. The information in this SEFA is presented in accordance with the requirements of Title 2 US Code of Federal Regulations Part 200, Uniform Administration Requirements, Cost Principles, and Audit Requirements for Federal Awards (Uniform Guidance). All federal awards received directly and indirectly from federal agencies are included in the SEFA. Because the SEFA presents only a selected portion of the operations of the Authority, it is not intended to and does not present the financial position, changes in net position or cash flows of the Authority.
Title: Basis of Accounting Accounting Policies: Expenditures reported on the SEFA are reported on the accrual basis of accounting. Such expenditures are recognized following the cost principles contained in Uniform Guidance, wherein certain types of expenditures are not allowable or are limited as to reimbursement. De Minimis Rate Used: N Rate Explanation: The auditee did not use the de minimis cost rate. As outlined in the April 2022 OMB Compliance Supplement, the amounts reported in the accompanying SEFA related to the COVID-19 Provider Relief Fund (PRF), Assistance Listing No. 93.498, are reported based upon the PRF reporting portal submission guidelines established by HRSA. Nine separate reporting periods were established by HRSA based on the dates of receipt of PRF payments. Each reporting period has a specific period of availability which begins on January 1, 2020 and extends through specified deadlines, as indicated below: The accompanying SEFA includes those qualifying expenditures that were reported in the HRSA PRF portal for Period 2 and Period 3. The total amount of approximately $89,973,000 in PRF payments was recognized by the Authority as nonoperating revenue totaling approximately $22,197,000, $52,540,000, and $15,236,000 during the fiscal years ended September 30, 2022, 2021, and 2020, respectively.

Finding Details

Finding 2022-001 Material Weakness and Material Noncompliance Assistance Listing Number: 93.498 Provider Relief Fund (PRF) and American Rescue Plan (ARP) Rural Distributions Criteria: Activities Allowed or Unallowed, Allowable Costs/Cost Principles, Reporting Questioned Costs ? $24,871,110. This represents the difference between the $51,502,963 of expenditures reported by the System through the Department of Health and Human Services PRF portal and the $26,631,853 determined to be eligible expenditures. The System used an incremental cost approach for expenses totaling the questioned costs. It could not be determined whether this is an acceptable approach under HRSA guidelines or whether these expenses were reimbursed by other sources. Condition: The Department of Health and Human Services provided terms and conditions associated with the Provider Relief Fund (PRF) and American Rescue Plan (ARP) Rural Distributions. Those terms and conditions outlined the usages of the PRF distributions received, specifically related to expenses. PRF distributions should only be used to prevent, prepare for, and respond to the coronavirus that have not been reimbursed from other sources or that other sources are not obligated to reimburse. Management should have effectively designed controls in place to prevent, or detect and correct, noncompliance and related financial reporting misstatements. Context: The System?s internal control over Provider Relief Fund (PRF) and American Rescue Plan (ARP) Rural Distributions resulted in ineligible costs and inaccurate lost revenues reported on the Department of Health and Human Services PRF portal submission. Effect: The System overstated expenses and understated lost revenues submitted through the Department of Health and Human Services PRF portal for the second period of availability. Cause: Lack of effectively designed and implemented controls over expenditures and lost revenues submitted through the Department of Health and Human Services PRF portal for the second period of availability. Identification of prior year finding: N/A Recommendation: Effective controls over compliance should be implemented to ensure expenditures and lost revenues submitted through the Department of Health and Human Services PRF portal meet the criteria established in the terms and conditions. Management Response: See management?s corrective action plan included at the end of the report.
Finding 2022-001 Material Weakness and Material Noncompliance Assistance Listing Number: 93.498 Provider Relief Fund (PRF) and American Rescue Plan (ARP) Rural Distributions Criteria: Activities Allowed or Unallowed, Allowable Costs/Cost Principles, Reporting Questioned Costs ? $24,871,110. This represents the difference between the $51,502,963 of expenditures reported by the System through the Department of Health and Human Services PRF portal and the $26,631,853 determined to be eligible expenditures. The System used an incremental cost approach for expenses totaling the questioned costs. It could not be determined whether this is an acceptable approach under HRSA guidelines or whether these expenses were reimbursed by other sources. Condition: The Department of Health and Human Services provided terms and conditions associated with the Provider Relief Fund (PRF) and American Rescue Plan (ARP) Rural Distributions. Those terms and conditions outlined the usages of the PRF distributions received, specifically related to expenses. PRF distributions should only be used to prevent, prepare for, and respond to the coronavirus that have not been reimbursed from other sources or that other sources are not obligated to reimburse. Management should have effectively designed controls in place to prevent, or detect and correct, noncompliance and related financial reporting misstatements. Context: The System?s internal control over Provider Relief Fund (PRF) and American Rescue Plan (ARP) Rural Distributions resulted in ineligible costs and inaccurate lost revenues reported on the Department of Health and Human Services PRF portal submission. Effect: The System overstated expenses and understated lost revenues submitted through the Department of Health and Human Services PRF portal for the second period of availability. Cause: Lack of effectively designed and implemented controls over expenditures and lost revenues submitted through the Department of Health and Human Services PRF portal for the second period of availability. Identification of prior year finding: N/A Recommendation: Effective controls over compliance should be implemented to ensure expenditures and lost revenues submitted through the Department of Health and Human Services PRF portal meet the criteria established in the terms and conditions. Management Response: See management?s corrective action plan included at the end of the report.