Finding 1162983 (2023-002)

Material Weakness Repeat Finding
Requirement
L
Questioned Costs
-
Year
2023
Accepted
2025-11-25

AI Summary

  • Core Issue: The Schedule of Expenditures of Federal Awards (SEFA) had inaccuracies that were corrected during the audit.
  • Impacted Requirements: Compliance with 2 CFR § 200.510(b) for accurate reporting of federal awards is at risk.
  • Recommended Follow-Up: Implement a formal review process for SEFA preparation to ensure accurate reporting before the 2025 deadline.

Finding Text

Finding 2023-002: Material Weakness – Revised Schedule of Expenditures of Federal Awards Federal Grantor: U.S. Department of Treasury Passed-through: City and County of Sacramento Compliance Requirement: Reporting Condition: Expenditures reported on the SEFA were revised during the single audit. Criteria: Per 2 CFR § 200.510(b), the SEFA must include a complete and accurate accounting of all federal awards expended during the fiscal year, including correct CDFI numbers, program names, and total expenditures. Cause: The issues appear to result from a lack of comprehensive review and reconciliation procedures during SEFA preparation. Effect: Incomplete and inaccurate SEFA reporting leads to noncompliance with Uniform Guidance and increases the risk of omitted federal programs, incorrect major program determination, and errors in reporting to federal oversight agencies. Recommendation: The Chamber needs to strengthen internal control over SEFA preparation by implementing a formal review process, verifying expenditures are properly reported. Views of Responsible Officials and Planned Corrective Actions: The Chamber agrees with the finding and is in the process of implementing a better review process that will be effective in 2025.

Corrective Action Plan

Finding: 2023-002: Revised Schedule of Expenditures of Federal Awards (SEFA) Description of Finding: Expenditures reported on the SEFA required revision during the Single Audit due to some inaccuracies, including one omitted program, which occurred because review and reconciliation procedures were not fully sufficient. Cause: The underlying cause was insufficient internal controls over grant documentation review and the accounting of federal award activity. Statement of Concurrence or Nonconcurrence: SacAsian agrees with the finding. Corrective Action: SacAsian acknowledges the significance of this finding and the potential for noncompliance with Uniform Guidance with the grantors and Federal entities, as well as potential increased risk of omitted federal programs and incorrect major program determination. To remediate these issues, SacAsian will strengthen its internal controls over SEFA preparation by implementing a multi-layer review and reconciliation process. SEFA schedules will be prepared by the Director of Finance and reviewed by the newly engaged external CFO firm. Final review will be performed by the President & CEO. SacAsian will implement a more rigorous review of all grant agreements, including pass-through awards, to verify federal components and Assistance Listing Number (ALN) details to ensure all federally funded activity is fully identified and properly reported on the SEFA. The SEFA will be reconciled to the general ledger, federal award agreements, billings submitted, and other supporting documentation. In addition, directors overseeing federal programs will be required to confirm that all federal awards under their purview are completely and accurately reflected. These enhanced controls will be implemented for the 2024 audit and maintained for subsequent audit periods. Responsible Party: Ryan Fong, Director of Finance, 916-446-7883, rfong@sacasiancc.org Pat Fong Kushida, President & CEO, 916-446-7883, patfk@sacasiancc.org Projected Completion Date: December 2025

Categories

Reporting Internal Control / Segregation of Duties

Other Findings in this Audit

  • 1162978 2023-001
    Material Weakness Repeat
  • 1162979 2023-002
    Material Weakness Repeat
  • 1162980 2023-003
    Material Weakness Repeat
  • 1162981 2023-004
    Material Weakness Repeat
  • 1162982 2023-001
    Material Weakness Repeat
  • 1162984 2023-003
    Material Weakness Repeat
  • 1162985 2023-004
    Material Weakness Repeat

Programs in Audit

ALN Program Name Expenditures
21.027 CORONAVIRUS STATE AND LOCAL FISCAL RECOVERY FUNDS $1.54M