Finding 1171027 (2023-005)

Material Weakness Repeat Finding
Requirement
B
Questioned Costs
-
Year
2023
Accepted
2026-01-29
Audit: 384402

AI Summary

  • Core Issue: Inadequate documentation for time and effort reporting on federal programs, leading to unsupported expenses.
  • Impacted Requirements: Compliance with 2 CFR sections 200.430 and 200.405 regarding time reporting and allocable costs.
  • Recommended Follow-up: Establish written policies for time and effort reporting and ensure all allocations are backed by proper documentation.

Finding Text

FINDING 2023-005 – Allowable Costs: Significant Deficiency over Internal Controls over Compliance Assistance Listing Number Federal Agency/Pass-through Entity – Program Name Award Year Questioned Costs 64.033 VA Supportive Services for Veteran Families Program 2023 $0 Criteria: The time and effort reporting or compensation of personal services 2 CFR section 200.430 notes a non-federal entity must have written policies surrounding time and effort reporting that are consistently applied to both federal and non-federal activities. The actual percentage of employees’ time must be recorded and documented per funding source and not by budgets. Documentation must be maintained to support allocations for non-payroll and payroll disbursements charged to the grant. 2 CFR section 200.405 relates to allocable costs. A cost is allocable to a federal award if the goods and services involved are chargeable to that award in accordance with relative benefits received. Costs are allocable if they: • Are incurred specifically for the federal award • Benefit both the federal award and other work of the non-federal entity and can be distributed in reasonable proportion to the benefits received; or • Are necessary to the overall operation of the non-federal entity and are assignable in part to the federal award. Condition/Context: In a sample of 25 payroll disbursements, 11 salaried employees lacked adequate documentation to support the allocation of time and effort to federal programs. Additionally, 4 out of 25 non-payroll disbursements lacked a documented methodology or supporting evidence to justify the allocation of costs between programs. Effect: Expenses charged to the grant are not supported by records. Cause: There was turnover in the Organization which caused the inability to produce or find supporting documentation on how allocations are created inside the system. Repeat finding: This is not a repeat finding. Recommendation: The Organization should have written policies surrounding time and effort reporting and ensure the methodology is supported by source documents for all transactions. Views of responsible officials and planned corrective actions: Management agrees with the recommendation and has developed a corrective action plan to address the finding.

Corrective Action Plan

FINDING 2023-005 – Allowable Costs: Significant Deficiency over Internal Controls over Compliance Condition/context – In a sample of 25 payroll disbursements and 25 non-payroll disbursements, it was found that time and effort for 11 salaried employees were not supported by documentation for the allocation. The sample of non-payroll disbursements had 4 transactions without the documented methodology or support for the allocation between programs. Corrective Action Plan: • Implemented a formal time and effort reporting process (Allocation Method) for all employees whose salaries are charged to more than one funding source, in compliance with federal requirements. • Developing and enforcing a standardized cost allocation methodology for shared non-payroll expenses, ensuring documentation is retained for all allocation decisions. • Training program and finance staff on allowability and allocation requirements under 2 CFR Part 200. • Periodically reviewing cost allocations to ensure continued reasonableness and compliance with applicable grant terms. • Policy and Procedures updated/Staff Training on new Timesheet processes Name of Contact Person: Chris Flaherty, Chief Executive Officer 707.890.6491 Laura Williams, Chief Financial Officer 707.335.0010 Projected Completion Date: Corrected: September 2025

Categories

Allowable Costs / Cost Principles

Other Findings in this Audit

  • 1170995 2023-003
    Material Weakness Repeat
  • 1170996 2023-003
    Material Weakness Repeat
  • 1170997 2023-003
    Material Weakness Repeat
  • 1170998 2023-003
    Material Weakness Repeat
  • 1170999 2023-003
    Material Weakness Repeat
  • 1171000 2023-003
    Material Weakness Repeat
  • 1171001 2023-003
    Material Weakness Repeat
  • 1171002 2023-003
    Material Weakness Repeat
  • 1171003 2023-003
    Material Weakness Repeat
  • 1171004 2023-003
    Material Weakness Repeat
  • 1171005 2023-003
    Material Weakness Repeat
  • 1171006 2023-004
    Material Weakness Repeat
  • 1171007 2023-004
    Material Weakness Repeat
  • 1171008 2023-004
    Material Weakness Repeat
  • 1171009 2023-004
    Material Weakness Repeat
  • 1171010 2023-004
    Material Weakness Repeat
  • 1171011 2023-004
    Material Weakness Repeat
  • 1171012 2023-004
    Material Weakness Repeat
  • 1171013 2023-004
    Material Weakness Repeat
  • 1171014 2023-004
    Material Weakness Repeat
  • 1171015 2023-004
    Material Weakness Repeat
  • 1171016 2023-004
    Material Weakness Repeat
  • 1171017 2023-005
    Material Weakness Repeat
  • 1171018 2023-005
    Material Weakness Repeat
  • 1171019 2023-005
    Material Weakness Repeat
  • 1171020 2023-005
    Material Weakness Repeat
  • 1171021 2023-005
    Material Weakness Repeat
  • 1171022 2023-005
    Material Weakness Repeat
  • 1171023 2023-005
    Material Weakness Repeat
  • 1171024 2023-005
    Material Weakness Repeat
  • 1171025 2023-005
    Material Weakness Repeat
  • 1171026 2023-005
    Material Weakness Repeat

Programs in Audit

ALN Program Name Expenditures
64.055 STAFF SERGEANT PARKER GORDON FOX SUICIDE PREVENTION GRANT PROGRAM $592,275
64.U01 VETERANS REHABILITATION - ALCOHOL AND DRUG DEPENDENCE $588,108
64.024 VA HOMELESS PROVIDERS GRANT AND PER DIEM PROGRAM $273,945
64.033 VA SUPPORTIVE SERVICES FOR VETERAN FAMILIES PROGRAM $123,394
17.805 HOMELESS VETERANS’ REINTEGRATION PROGRAM $40,183