Finding 1177828 (2025-002)

Material Weakness Repeat Finding
Requirement
L
Questioned Costs
-
Year
2025
Accepted
2026-03-10

AI Summary

  • Core Issue: The entity failed to prepare an accurate and complete Schedule of Expenditures of Federal Awards (SEFA), leading to multiple revisions during the audit.
  • Impacted Requirements: This failure violates Uniform Guidance §200.510(b)(1) and §200.303, which mandate proper financial reporting and effective internal controls over federal awards.
  • Recommended Follow-Up: Management should enhance internal controls, provide staff training on SEFA requirements, and ensure an independent review of the SEFA before auditor submission.

Finding Text

Criteria: Uniform Guidance §200.510(b)(1) requires auditees to prepare appropriate financial statements, including the Schedule of Expenditures of Federal Awards (SEFA), in accordance with federal requirements. Additionally, §200.303 requires non-federal entities to establish and maintain effective internal control over federal awards to provide reasonable assurance that federal awards are managed in compliance with applicable laws and regulations. Condition: The entity did not prepare an accurate and complete SEFA during the audit process. The SEFA was revised multiple times due to errors and omissions, and significant analysis and recalculation were ultimately performed by the auditors in order to determine the final amounts reported for federal expenditures. Cause: The entity lacks adequate internal controls over the preparation, review, and reconciliation of the SEFA. Specifically, there is insufficient knowledge of SEFA reporting requirements and inadequate review procedures to ensure federal expenditures are properly identified, calculated, and reported prior to submission to the auditors. Effect: As a result, the SEFA initially provided by the entity was materially inaccurate and required multiple revisions. This increased the risk that federal expenditures could be misstated, potentially leading to noncompliance with Uniform Guidance reporting requirements. Additionally, the lack of adequate internal controls resulted in increased audit effort and inefficiencies during the audit process. Recommendation: We recommend that management strengthen internal controls over the preparation of the SEFA by implementing formal procedures to identify, track, and reconcile federal expenditures throughout the year. Management should ensure that staff responsible for SEFA preparation receive appropriate training on Uniform Guidance requirements and that the SEFA is independently reviewed for accuracy and completeness prior to submission to the auditors. Managements Response: Management agrees with this finding.

Corrective Action Plan

Finding Reference Number: 2025-001 and 2025-002: SEFA Preparation Description of Finding: The entity did not prepare an accurate and complete SEFA during the audit process. The SEFA was revised multiple times due to errors and omissions, and significant analysis and recalculation were ultimately performed by the auditors in order to determine the final amounts reported for federal expenditures. Statement of Concurrence or Nonconcurrence: Cause: The entity lacks adequate internal controls over the preparation, review, and reconciliation of the SEFA. Specifically, there is insufficient knowledge of SEFA reporting requirements and inadequate review procedures to ensure federal expenditures are properly identified, calculated, and reported prior to submission to the auditors. Effect: As a result, the SEFA initially provided by the entity was materially inaccurate and required multiple revisions. This increased the risk that federal expenditures could be misstated, potentially leading to noncompliance with Uniform Guidance reporting requirements. Additionally, the lack of adequate internal controls resulted in increased audit effort and inefficiencies during the audit process. Corrective Action: Management has established a formal internal control process over the identification, tracking, and reporting of federal awards. Throughout the year, all new grant and funding agreements will be reviewed to determine federal involvement, and key award information including federal agency, Assistance Listing number, pass-through entity (if applicable), award period, and total award amount. These will be recorded in a master federal grant listing. Federal expenditures will be tracked by grant within the general ledger and reconciled periodically to internal grant reports to ensure completeness and accuracy. At year-end, the Schedule of Expenditures of Federal Awards will be prepared using the maintained grant listing and reconciled to the trial balance and financial statements. This control process is designed to operate continuously and is effective for the current and future reporting periods. Name of Contact Person: Blake Johnson Projected Completion Date: This will be implemented immediately

Categories

Reporting

Programs in Audit

ALN Program Name Expenditures
21.027 CORONAVIRUS STATE AND LOCAL FISCAL RECOVERY FUNDS $424,208