Finding 1211091 (2025-003)

Material Weakness Repeat Finding
Requirement
L
Questioned Costs
-
Year
2025
Accepted
2026-04-30

AI Summary

  • Core Issue: There is a material weakness in internal controls over the preparation of the SEFA, leading to inaccuracies in grant reporting.
  • Impacted Requirements: SEFA must accurately reflect Assistance Listing Numbers and reconcile grant funds with financial statements.
  • Recommended Follow-Up: Implement regular reconciliations of grant expenditures to financial statements to improve accuracy and timeliness.

Finding Text

Finding 2025-003: Preparation of the schedule of federal expenditures (SEFA) – material weakness in internal controls over reporting. Criteria: A SEFA should be prepared with support for Assistance Listing Numbers, pass through organizations and grant funds reconciled to the financial statements. Condition: During testing of the SEFA, the Organization had posted grant revenues and expenditures to incorrect funds, matching funds were erroneously included, and entries relating to grant cut off were required in order to reconcile the SEFA to the financial statements. Cause: Federal revenue and expense accounts were not reviewed monthly, many reconciliations and adjustments were not done as part of year end close resulting in material audit entries and material changes to the SEFA. Effect: The Organization’s audit experienced significant delays for completion. Questioned Costs: None Recommendation: The Organization should implement controls to ensure grant expenditures are regularly reconciled to the financial statements. Management’s Response: See corrective action plan.

Corrective Action Plan

Finding 2025-003: Preparation of the schedule of federal expenditures (SEFA) – material weakness in internal controls over reporting. Management Response: Management acknowledges the finding and agrees that improvements are needed in the preparation and review of the Schedule of Expenditures of Federal Awards (SEFA). The audit identified that controls over the accuracy, completeness, and reconciliation of the SEFA to the general ledger and financial statements were not consistently performed or documented. This condition developed during a period of organizational transition, including changes in financial leadership, as well as increased complexity in federal funding and reporting requirements. These factors contributed to gaps in oversight and consistency in the SEFA preparation process. To address this finding, management is implementing the following corrective actions: • Establishing a formal, documented SEFA preparation process, including standardized templates and procedures • Implementing quarterly and year-end reconciliation processes to ensure grant activity is accurately recorded and aligned with the general ledger • Strengthening review controls, including secondary review by the Controller and CFO prior to finalization Enhancing grant tracking mechanisms to ensure expenditures, revenues, and matching requirements are properly classified • Providing targeted training to staff responsible for grant accounting and SEFA preparation Responsible party: Brenda Colon, CFO Expected Completion Date: October 2026

Categories

Reporting Matching / Level of Effort / Earmarking Material Weakness

Other Findings in this Audit

  • 1211083 2025-001
    Material Weakness Repeat
  • 1211084 2025-002
    Material Weakness Repeat
  • 1211085 2025-003
    Material Weakness Repeat
  • 1211086 2025-001
    Material Weakness Repeat
  • 1211087 2025-002
    Material Weakness Repeat
  • 1211088 2025-003
    Material Weakness Repeat
  • 1211089 2025-001
    Material Weakness Repeat
  • 1211090 2025-002
    Material Weakness Repeat

Programs in Audit

ALN Program Name Expenditures
21.027 CORONAVIRUS STATE AND LOCAL FISCAL RECOVERY FUNDS $584,570
16.575 CRIME VICTIM ASSISTANCE $334,644
93.137 COMMUNITY PROGRAMS TO IMPROVE MINORITY HEALTH $261,464
93.958 BLOCK GRANTS FOR COMMUNITY MENTAL HEALTH SERVICES $200,274