Finding 1223237 (2023-002)

Material Weakness Repeat Finding
Requirement
P
Questioned Costs
-
Year
2023
Accepted
2026-07-08

AI Summary

  • Core Issue: The Fund is not consistently performing account reconciliations for balance sheet accounts, risking inaccuracies in financial reporting.
  • Impacted Requirements: Lack of formal policies and assigned responsibilities for reconciliations increases the chance of undetected errors and misstatements.
  • Recommended Follow-Up: Establish formal policies for regular reconciliations, assign clear responsibilities, and ensure timely resolution of discrepancies with proper documentation.

Finding Text

Financial Statement Finding - LACK OF ACCOUNT RECONCILIATIONS Criteria: Proper internal control over financial reporting requires that balance sheet accounts be reconciled on a periodic basis, reviewed by an individual independent of preparation, and that reconciling items be resolved in a timely manner. This process ensures the accuracy, completeness, and validity of financial statement balances. Condition: The Fund does not consistently perform reconciliations for its balance sheet accounts. Specifically, management does not prepare or review reconciliations that compare supporting documentation to the general ledger for certain key accounts. Cause: Management has not established formal policies or procedures requiring regular account reconciliations, nor assigned clear responsibility for the preparation and review of reconciliations. Effect: As a result, errors, omissions, or unauthorized transactions may not be detected on a timely basis. This increases the risk that material misstatements in the financial statements could occur and remain uncorrected, potentially impacting the reliability of financial reporting and management’s ability to make informed decisions. Recommendation: We recommend that management establish and implement formal policies and procedures requiring periodic (e.g., monthly or quarterly) reconciliations of all significant balance sheet accounts. These reconciliations should be prepared by knowledgeable personnel and independently reviewed, with reconciling items investigated and resolved in a timely manner. Documentation evidencing preparation and review should be retained to support the control’s execution. Views of Responsible Officials and Planned Corrective Actions Management acknowledges the importance of timely and accurate account reconciliations and plans to strengthen internal controls in this area by taking the following actions: (1) Develop and implement formal policies and procedures requiring periodic reconciliation of all significant balance sheet accounts. (2) Assign clear responsibility for the preparation and independent review of reconciliations. (3) Ensure reconciliations are completed in a timely manner and reconciling items are appropriately investigated and resolved. (4) Maintain documentation to evidence the preparation and review of reconciliations. (5) Monitor compliance with established procedures and make adjustments as necessary to improve effectiveness.

Corrective Action Plan

Management agrees with this finding. Management acknowledges that balance sheet reconciliations were not performed or reviewed with sufficient consistency and documentation, which increases the risk that errors, omissions, or unauthorized activity may not be identified on a timely basis. Management will implement a formal reconciliation process for significant balance sheet accounts, including cash, receivables, payables, debt, accrued liabilities, intercompany or related-party balances if applicable, and other key accounts. Reconciliations will be prepared on a documented monthly or quarterly basis depending on account risk and volume, independently reviewed, and retained in a centralized file. Reconciling items will be investigated and resolved within an established deadline, except where a longer period is justified and documented. Corrective action plan: • Adopt a reconciliation policy identifying each significant balance sheet account, frequency of reconciliation, preparer, reviewer, and required supporting documentation. • Prepare monthly reconciliations for cash, major receivables, major payables, payroll liabilities, and debt accounts; prepare quarterly reconciliations for lower-risk or less active balance sheet accounts. • Require independent review and sign-off by the Finance Manager/Controller or General Manager, as appropriate. • Retain all reconciliation workpapers and supporting schedules in an organized electronic and/or paper file. • Establish a requirement that routine reconciling items be cleared within 30 days after identification, and no later than the subsequent monthly close absent documented management approval. Responsible party/role: Staff Accountant or Bookkeeper as preparer; Business Office Manager as primary reviewer; General Manager for oversight. Implementation timeline: Reconciliation templates and the formal policy will be implemented within 60 days of issuance of the audit report. Full documented monthly and quarterly reconciliations will begin with the next monthly close thereafter, and all significant balance sheet accounts are expected to be covered by September 30, 2026.

Categories

Reporting Internal Control / Segregation of Duties

Other Findings in this Audit

  • 1223236 2023-001
    Material Weakness Repeat
  • 1223238 2023-003
    Material Weakness Repeat
  • 1223239 2023-004
    Material Weakness Repeat
  • 1223240 2023-005
    Material Weakness Repeat

Programs in Audit

ALN Program Name Expenditures
11.029 TRIBAL BROADBAND CONNECTIVITY PROGRAM $3.43M
21.029 CORONAVIRUS CAPITAL PROJECTS FUND $205,201
21.027 CORONAVIRUS STATE AND LOCAL FISCAL RECOVERY FUNDS $167,504