Finding 10516 (2022-004)

Material Weakness
Requirement
L
Questioned Costs
-
Year
2022
Accepted
2024-01-29

AI Summary

  • Core Issue: The SF-429 Form was approved by the person who prepared it, violating review protocols.
  • Impacted Requirements: Reports must be reviewed and approved by someone other than the preparer to ensure accuracy.
  • Recommended Follow-Up: Implement controls to ensure proper review and approval processes are followed for all reports.

Finding Text

Criteria: The SF-429 Form should be reviewed and approved by someone other than the preparer. Condition: The SF-429 Form was reviewed and approved by the individual who prepared the report. Cause: The former Chief Executive Officer/President left the Agency prior to the completion and submission of the form and there was subsequently turnover in the accounting department. Effect: There is potential that the report submitted was incorrect. Questioned Cost Amount: None noted. Perspective Information: This report, which is required to be filed for the grant, was tested and not reviewed by someone other than the preparer. Repeat Finding: This is not a repeat finding. Recommendation: We recommend that the Agency implements controls to ensure that reports are reviewed and approved by someone other than the preparer. Views of Responsible Officials and Planned Corrective Action: The Agency agrees with this finding. See auditee’s corrective action plan.

Corrective Action Plan

Criteria: The SF-429 Form should be reviewed and approved by someone other than the preparer. Condition: The SF-429 Form was reviewed and approved by the individual who prepared the report. Cause: The former Chief Executive Officer/President left the Agency prior to the completion and submission of the form and there was subsequently turnover in the accounting department. Effect: There is potential that the report submitted was incorrect. Questioned Cost Amount: None noted. Perspective Information: This report which is required to be filed for the grant was tested and not reviewed by someone other than the preparer. Repeat Finding: This is not a repeat finding. Recommendation: We recommend that the Agency implement controls to ensure that the reports are reviewed and approved by someone other than the preparer. Views of Responsible Officials and Planned Corrective Action: The Agency agrees with this finding. See client's corrective action plan. The outsourced accountant will prepare the SF-429 report, and the CFO or Executive Director will approve the reports. In the event of an absence, the CFO will prepare, and the CEO will cerfity, or vice versa. Corrective action plan contact person: Chief Financial Officer, Kristy Gamble, (630) 280-2580 Kristy-gamble@wipfli.com Estimated completion date: August 31, 2024 (next 429 report to come due)

Categories

No categories assigned yet.

Other Findings in this Audit

  • 10513 2022-001
    Material Weakness
  • 10514 2022-002
    - Repeat
  • 10515 2022-003
    Material Weakness
  • 10517 2022-001
    Material Weakness
  • 10518 2022-002
    - Repeat
  • 10519 2022-003
    Material Weakness
  • 10520 2022-004
    Material Weakness
  • 10521 2022-001
    Material Weakness
  • 10522 2022-002
    - Repeat
  • 10523 2022-003
    Material Weakness
  • 10524 2022-004
    Material Weakness
  • 10525 2022-001
    Material Weakness
  • 10526 2022-002
    - Repeat
  • 10527 2022-003
    Material Weakness
  • 10528 2022-004
    Material Weakness
  • 586955 2022-001
    Material Weakness
  • 586956 2022-002
    - Repeat
  • 586957 2022-003
    Material Weakness
  • 586958 2022-004
    Material Weakness
  • 586959 2022-001
    Material Weakness
  • 586960 2022-002
    - Repeat
  • 586961 2022-003
    Material Weakness
  • 586962 2022-004
    Material Weakness
  • 586963 2022-001
    Material Weakness
  • 586964 2022-002
    - Repeat
  • 586965 2022-003
    Material Weakness
  • 586966 2022-004
    Material Weakness
  • 586967 2022-001
    Material Weakness
  • 586968 2022-002
    - Repeat
  • 586969 2022-003
    Material Weakness
  • 586970 2022-004
    Material Weakness

Programs in Audit

ALN Program Name Expenditures
93.569 Community Services Block Grant $122,957
93.558 Temporary Assistance for Needy Families $114,713
93.600 Head Start $79,160
10.558 Child and Adult Care Food Program $1,288