Finding 1217659 (2025-002)

Material Weakness Repeat Finding
Requirement
P
Questioned Costs
-
Year
2025
Accepted
2026-06-16

AI Summary

  • Core Issue: The City’s Schedule of Expenditures of Federal Awards (SEFA) had significant errors, leading to misstatements in federal expenditures.
  • Impacted Requirements: Compliance with Title 2 U.S. Code of Federal Regulations Part 200 (Uniform Guidance) was not met due to inadequate internal controls over SEFA preparation.
  • Recommended Follow-up: Implement a formal reconciliation process between the general ledger and SEFA, and establish a documented review process to ensure accuracy before submission.

Finding Text

Federal Grantor: Multiple; Pass-through Grantor: Multiple; Federal Assistance Listing No.: All federal programs included in the SEFA. Criteria: Title 2 U.S. Code of Federal Regulations Part 200, Uniform Administrative Requirements, Cost Principles, and Audit Requirements for Federal Awards (Uniform Guidance) requires auditees to prepare an accurate and complete Schedule of Expenditures of Federal Awards (SEFA) containing awards expended, assistance listing title and number, award number, name of the Federal agency, name of pass-through entity, and awards paid to subrecipients. Condition: The SEFA prepared by the City contained material misstatements identified during the audit. Specifically, expenditures for certain programs were overstated or understated due to errors in accumulation or classification of federal activity. Audit adjustments were required to correct the SEFA to fairly state federal expenditures in accordance with Uniform Guidance. Cause: The condition resulted from deficiencies in internal controls over preparation and review of the SEFA including lack of a comprehensive reconciliation between the general ledger and SEFA amounts and insufficient review procedures to ensure completeness and accuracy of SEFA information. Effect: As a result of these deficiencies, the initial SEFA was materially misstated, which could have impacted the auditor's determination of major programs and testing scope. Questioned Costs: None reported. The finding relates to reporting and internal control deficiencies over the SEFA; no questioned costs were identified as part of this issue. Context: The errors identified affected multiple federal programs and were material in aggregate to the SEFA. Repeat Finding: No. Recommendation: We recommend that the City strengthen internal controls over SEFA preparation by implementing a formal reconciliation process between the general ledger and the SEFA and establishing a documented review process to verify completeness and accuracy prior to submission. Management's Response: Management agrees with the finding. The City will implement procedures to improve the accuracy and completeness of the SEFA, including enhanced reconciliation processes and supervisory review. A corrective action plan has been developed to address the identified deficiencies.

Corrective Action Plan

Management agrees with the finding and acknowledges that the Schedule of Expenditures of Federal Awards (SEFA) was not prepared accurately and completely in accordance with Uniform Guidance requirements. In response, the City will strengthen its procedures over SEFA preparation and review to ensure the schedule is complete, accurate, and supported by underlying accounting records. Corrective action will include the following: 1. Establish a centralized federal awards listing - Management will maintain a current listing of all federal awards received and expended during the fiscal year. This listing will include the federal agency, pass-through entity (if applicable), Assistance Listing number, contract or grant number, and whether the award was received directly or indirectly. 2. Implement a formal SEFA preparation process - At year-end, management will prepare the SEFA using expenditure information derived from the general ledger, grant reimbursement requests, grant agreements, and other supporting documentation. Federal expenditures will be accumulated by program and reconciled to the accounting records. 3. Perform a documented reconciliation - Prior to issuance of the SEFA, management will perform and retain a formal reconciliation of SEFA amounts to the general ledger and other supporting records to verify completeness and accuracy of reported expenditures. 4. Provide training to responsible personnel - Personnel involved in grant accounting and SEFA preparation will receive training on Uniform Guidance SEFA requirements, including requirements related to completeness, pass-through awards, Assistance Listing numbers, and presentation of federal expenditures.

Categories

Reporting Subrecipient Monitoring

Programs in Audit

ALN Program Name Expenditures
21.027 CORONAVIRUS STATE AND LOCAL FISCAL RECOVERY FUNDS $591,695
20.205 HIGHWAY PLANNING AND CONSTRUCTION $394,568
20.616 NATIONAL PRIORITY SAFETY PROGRAMS $9,655
16.922 EQUITABLE SHARING PROGRAM $6,552
20.607 ALCOHOL OPEN CONTAINER REQUIREMENTS $5,473
20.600 STATE AND COMMUNITY HIGHWAY SAFETY $1,200