Finding 1155276 (2024-001)

Material Weakness Repeat Finding
Requirement
B
Questioned Costs
-
Year
2024
Accepted
2025-09-25

AI Summary

  • Core Issue: There is a significant deficiency in internal controls over compliance related to allowable costs for federal grants.
  • Impacted Requirements: Uniform Guidance mandates that all costs must be adequately documented and supported; a payroll billing error was identified.
  • Recommended Follow-Up: Management should implement stronger controls to ensure grant charges align with the payroll register.

Finding Text

Finding 2024-001: Allowable costs – Significant deficiency in internal controls over compliance. HIV Prevention Activities Health Department Based ALN 93.940Criteria: Uniform Guidance requires all cost be adequately documented and supported. Condition: During allowable cost testing for federal grants, 1 out of 25 payroll transactions tested had a billing error. Cause: Turnover in the Organization led to an incorrect payroll report being used to populate the grant billing. Effect: The Organization’s reporting of time and effort was not fully documented, in accordance with internal control over compliance procedures and internal controls failed to identify the error in a timely manner. Questioned costs: None. The grant billing error fell under the grant’s 10% budget change threshold and the Organization recalculated excess supply costs not previously billed to the grant. Recommendation: Management should design and implement controls to ensure the amount charged to the grant agrees to the payroll register. Management’s response: See corrective action plan.

Corrective Action Plan

This serves as a response to your audit memo regarding Finding 2024-001 Allowable Costs - Significant deficiency in internal controls over compliance in Section II - Federal Award Findings and Questioned Costs. The organization concurs with the finding and has made corrective actions effective immediately to ensure the deficiency no longer occurs. Specifically, an active confirmation of billing amounts matching the general ledger from the CPA to the CEO has been added to our internal controls. Previously, the CPA only contacted the CEO if there was a need for correction. As stated in the audit report, this error occurred during the transition time between our contracted CPA and the new CFO beginning. Neither the CPA nor the CFO informed the CEO of the discrepancy between the billing and general ledger amounts, and therefore no correction was made or even looked for. This finding identified a flaw in our existing internal controls if the CPA does not complete the final validation process. Below are the internal control procedures for grant billing that were in place at the time of the error with the new addition in red: • All time sheets are forwarded to the CPA. • The CPA, or their designee, develops a payroll report utilizing the timesheets to allocate payroll by work function. • The payroll report is forwarded to the CEO for approval and billing purposes. • The detailed monthly billing is sent to the CPA for verification that the billing matches the general ledger. • The CPA will send an email to the CEO either confirming the amounts billed match the general ledger or identifying the need for a billing/general ledger correction. • Any discrepancies between billing and the general ledger are corrected via a corrected billing being submitted or a general ledger journal entry being made to reallocate costs. The organization is confident the above augmented internal control procedures will provide the necessary oversight and quality control measures needed to ensure the identified deficiency from recurring. The CEO is responsible for monitoring and ensuring compliance with the revised internal control measures.

Categories

Allowable Costs / Cost Principles Reporting Significant Deficiency Internal Control / Segregation of Duties

Programs in Audit

ALN Program Name Expenditures
93.940 Hiv Prevention Activities Health Department Based $675,860
21.027 Coronavirus State and Local Fiscal Recovery Funds $405,065