Finding 1158222 (2024-004)

Material Weakness Repeat Finding
Requirement
L
Questioned Costs
-
Year
2024
Accepted
2025-09-30
Audit: 370113
Organization: The Family Place (TX)

AI Summary

  • Core Issue: The Family Place failed to provide original financial records, leading to discrepancies between the general ledger and submitted financial reports.
  • Impacted Requirements: Compliance with the Uniform Guidance, specifically the need for effective internal controls to ensure accurate reporting (2CFR 200.320).
  • Recommended Follow-Up: Management should establish stronger internal controls to ensure accurate financial reporting and proper retention of supporting documentation.

Finding Text

Information on the federal program – 16.575 – Crime Victim Assistance; U.S. Department of Justice; Texas Office of the Governor – Criminal Justice Division; Program years 2023-2024, 2024-2025 Type of Finding – Other instance of noncompliance Criteria or specific requirement - The Uniform Guidance requires auditees to maintain internal controls to prevent or identify and correct noncompliance with direct and material compliance requirements in a timely fashion, specifically in regard to Reporting (2CFR 200.320). Condition – The Family Place was unable to provide original financial records used to prepare the financial reports submitted. The general ledger for the program did not agree to the financial reports submitted for the corresponding period. Cause – The auditee's controls did not properly retain documentation evidencing accurate financial report submissions. Refer to finding 2024-002. Effect or potential effect – The financial reports submitted for all four quarters of the 2023-2024 program year were unable to be traced back to the general ledger and there was no support maintained for what was originally submitted. Questioned costs – None noted. Context – Of a population of four financial reports submitted during the year, four were selected for testing. Total expenditures recorded in the general ledger for each period did not agree to the financial report. Identification as a repeat finding, if applicable – Not applicable Recommendation – We recommend management implement internal controls to ensure financial reports are submitted accurately, with supporting documentation retained. Views of responsible officials and planned corrective actions – See accompanying corrective action plan.

Corrective Action Plan

Auditor’s Recommendation: “We recommend management implement internal controls to ensure financial reports are submitted accurately, with supporting documentation retained.” Management response: The Family Place has reviewed its financial reporting procedures and concurs with the finding. During the audit period, staffing deficiencies in grants management and compliance oversight contributed to supporting documentation of financial reports submitted not having been retained. In 2025, The Family Place created a new internal compliance department and hired a Grants Manager to provide dedicated oversight of grant drawdowns and reporting. These changes, together with updated procedures and training, are designed to ensure all future financial reports comply with Uniform Guidance requirements and supporting documentation is retained. Corrective actions: The Executive Leadership Team has prioritized strengthening reporting controls and has already implemented several measures: The newly hired Grants Manager and internal compliance department are responsible for reviewing and approving all financial reports to confirm that expenditures have been incurred and liquidated prior to request. Finance sta􀀁 and program managers are being trained on reporting requirements under 2 CFR 200.320. All financial reports will be reconciled to the general ledger with supporting documentation and will be reviewed by the Grants Manager and The Chief Financial Officer or Chief Executive Officer before submission. These processes will receive additional oversight by the Chief Financial Officer, the Chief Executive Officer, and the Board of Trustees. Responsible parties for corrective actions: The Grants Manager, working within the internal compliance department, will have direct responsibility for ensuring financial reports are accurate and supporting documentation is retained. The Chief Financial Officer will review and approve reconciliations prior to drawdown. The Chief Executive Officer, Tiffany A. Tate, with assistance from the newly established Compliance Department, will confirm timely compliance and will receive regular status updates. Separately, the Chief Financial Officer will report progress to the Audit & Finance Committee of the Board of Trustees. Anticipated completion date: The new internal compliance department and Grants Manager began operating together in September 2025. Full compliance monitoring is currently in place.

Categories

Reporting Internal Control / Segregation of Duties

Other Findings in this Audit

  • 1158214 2024-002
    Material Weakness Repeat
  • 1158215 2024-002
    Material Weakness Repeat
  • 1158216 2024-002
    Material Weakness Repeat
  • 1158217 2024-002
    Material Weakness Repeat
  • 1158218 2024-003
    Material Weakness Repeat
  • 1158219 2024-003
    Material Weakness Repeat
  • 1158220 2024-003
    Material Weakness Repeat
  • 1158221 2024-004
    Material Weakness Repeat

Programs in Audit

ALN Program Name Expenditures
93.558 Temporary Assistance for Needy Families $869,687
16.575 Crime Victim Assistance $692,084
21.027 Coronavirus State and Local Fiscal Recovery Funds $377,467
16.021 Justice Systems Response to Families $294,129
93.671 Family Violence Prevention and Services/domestic Violence Shelter and Supportive Services $229,719
21.023 Emergency Rental Assistance Program $136,660
93.667 Social Services Block Grant $105,617
97.024 Emergency Food and Shelter National Board Program $20,000
14.231 Emergency Solutions Grant Program $1,914