Finding 1165029 (2021-001)

Material Weakness Repeat Finding
Requirement
P
Questioned Costs
-
Year
2021
Accepted
2025-12-16
Audit: 375125
Organization: Pima Council on Aging (AZ)

AI Summary

  • Core Issue: Significant adjustments were needed to align financial statements with actual records, indicating a lack of proper internal controls.
  • Impacted Requirements: Financial statements did not comply with GAAP due to inadequate reconciliations and staffing issues in the finance department.
  • Recommended Follow-Up: Review and adjust financial items at year-end, ensure timely reconciliations by qualified staff, and enhance training and staffing in the finance department.

Finding Text

Finding Number 2021-001 (Material Weakness) Material Adjustments to Financial Statements Statement of Condition: Material adjustments were necessary to reconcile various accounts, including receivables, property, plant and equipment, intercompany accounts, accrued expenses, grant revenue and expenses to underlying documentation. In addition, several revenue items were not posted in the proper period. Questioned Costs: None Criteria: Management is responsible for establishing and maintaining internal controls to ensure the fair presentation of the financial statements in conformity with accounting principles generally accepted in the United States of America (GAAP). Cause: During the year under audit and in subsequent years, there was sustained turnover and shortage in all levels of the finance department, leading to conflicting priorities and procedures, a lack of reconciliations, and a growing backlog of transaction processing. Effect: Client prepared accounting records were not properly presented in accordance with GAAP. Recommendation: We recommend that all statement of financial position items be reviewed at year end and adjustments properly recorded in the financial management system prior to the audit. Timely reconciliations should be performed by qualified personnel and reviewed by management for accuracy. We also recommend efforts be made to increase staffing and provide adequate training to the finance department staff.

Corrective Action Plan

Finding Number 2021-001: Material Adjustments to Financial Statements, July 1, 2020 through June 30,2021. Statement of Condition: PCOA made adjustments to the financial statements that resulted in material changes to the reported financial position. PCOA personnel responsible for enacting corrective action plan: Jay Huffstutler, Finance Director, jhuffstutler@pcoa.org The corrective action plan: 1. PCOA acknowledges the material adjustments identified and has retained a third-party accounting firm to remediate the deficiencies. A formal month-end closing schedule has been implemented to ensure timely reconciliations and accurate financial reporting. All balance sheet accounts, including receivables, fixed assets, intercompany balances, and accruals, are now reconciled monthly. 2. PCOA has implemented new billing procedures to ensure revenue and related expenses are recorded in accordance with the matching principle and GAAP. These procedures were developed with support from the third-party accounting firm to ensure grant-related transactions are accurately recorded within the proper accounting period. 3. A new Finance Director has been hired to oversee the finance team and began their tenure on July 21,2025. Additional staff with strong technical accounting skills are being recruited, at the recommendation and direction of the third-party firm, to stabilize operations and maintain GAAP compliance. 4. A memo was drafted and sent out to PCOA staff, notifying the team of the change in procedures, in addition to an explanation of the impact of accrual accounting and GAAP compliance. Completion Date: June 30, 2025

Categories

Material Weakness Equipment & Real Property Management Internal Control / Segregation of Duties

Other Findings in this Audit

  • 1164993 2021-001
    Material Weakness Repeat
  • 1164994 2021-002
    Material Weakness Repeat
  • 1164995 2021-003
    Material Weakness Repeat
  • 1164996 2021-004
    Material Weakness Repeat
  • 1164997 2021-005
    Material Weakness Repeat
  • 1164998 2021-006
    Material Weakness Repeat
  • 1164999 2021-007
    Material Weakness Repeat
  • 1165000 2021-008
    Material Weakness Repeat
  • 1165001 2021-009
    Material Weakness Repeat
  • 1165002 2021-001
    Material Weakness Repeat
  • 1165003 2021-002
    Material Weakness Repeat
  • 1165004 2021-003
    Material Weakness Repeat
  • 1165005 2021-004
    Material Weakness Repeat
  • 1165006 2021-005
    Material Weakness Repeat
  • 1165007 2021-006
    Material Weakness Repeat
  • 1165008 2021-007
    Material Weakness Repeat
  • 1165009 2021-008
    Material Weakness Repeat
  • 1165010 2021-009
    Material Weakness Repeat
  • 1165011 2021-001
    Material Weakness Repeat
  • 1165012 2021-002
    Material Weakness Repeat
  • 1165013 2021-003
    Material Weakness Repeat
  • 1165014 2021-004
    Material Weakness Repeat
  • 1165015 2021-005
    Material Weakness Repeat
  • 1165016 2021-006
    Material Weakness Repeat
  • 1165017 2021-007
    Material Weakness Repeat
  • 1165018 2021-008
    Material Weakness Repeat
  • 1165019 2021-009
    Material Weakness Repeat
  • 1165020 2021-001
    Material Weakness Repeat
  • 1165021 2021-002
    Material Weakness Repeat
  • 1165022 2021-003
    Material Weakness Repeat
  • 1165023 2021-004
    Material Weakness Repeat
  • 1165024 2021-005
    Material Weakness Repeat
  • 1165025 2021-006
    Material Weakness Repeat
  • 1165026 2021-007
    Material Weakness Repeat
  • 1165027 2021-008
    Material Weakness Repeat
  • 1165028 2021-009
    Material Weakness Repeat
  • 1165030 2021-002
    Material Weakness Repeat
  • 1165031 2021-003
    Material Weakness Repeat
  • 1165032 2021-004
    Material Weakness Repeat
  • 1165033 2021-005
    Material Weakness Repeat
  • 1165034 2021-006
    Material Weakness Repeat
  • 1165035 2021-007
    Material Weakness Repeat
  • 1165036 2021-008
    Material Weakness Repeat
  • 1165037 2021-009
    Material Weakness Repeat

Programs in Audit

ALN Program Name Expenditures
93.667 SOCIAL SERVICES BLOCK GRANT $3.04M
93.045 SPECIAL PROGRAMS FOR THE AGING, TITLE III, PART C, NUTRITION SERVICES $1.99M
93.044 SPECIAL PROGRAMS FOR THE AGING, TITLE III, PART B, GRANTS FOR SUPPORTIVE SERVICES AND SENIOR CENTERS $658,306
93.053 NUTRITION SERVICES INCENTIVE PROGRAM $188,109
93.052 NATIONAL FAMILY CAREGIVER SUPPORT, TITLE III, PART E $183,622
93.779 CENTERS FOR MEDICARE AND MEDICAID SERVICES (CMS) RESEARCH, DEMONSTRATIONS AND EVALUATIONS $128,812
94.016 AMERICORPS SENIORS SENIOR COMPANION PROGRAM (SCP) 94.016 $128,597
93.959 BLOCK GRANTS FOR PREVENTION AND TREATMENT OF SUBSTANCE ABUSE $111,293
93.470 ALZHEIMER’S DISEASE PROGRAM INITIATIVE (ADPI) $101,897
14.218 COMMUNITY DEVELOPMENT BLOCK GRANTS/ENTITLEMENT GRANTS $100,278
93.043 SPECIAL PROGRAMS FOR THE AGING, TITLE III, PART D, DISEASE PREVENTION AND HEALTH PROMOTION SERVICES $91,488
93.518 AFFORDABLE CARE ACT - MEDICARE IMPROVEMENTS FOR PATIENTS AND PROVIDERS $80,957
93.042 SPECIAL PROGRAMS FOR THE AGING, TITLE VII, CHAPTER 2, LONG TERM CARE OMBUDSMAN SERVICES FOR OLDER INDIVIDUALS $54,161
93.048 SPECIAL PROGRAMS FOR THE AGING, TITLE IV, AND TITLE II, DISCRETIONARY PROJECTS $31,019
93.041 SPECIAL PROGRAMS FOR THE AGING, TITLE VII, CHAPTER 3, PROGRAMS FOR PREVENTION OF ELDER ABUSE, NEGLECT, AND EXPLOITATION $14,852