Finding 1227715 (2023-001)

Material Weakness Repeat Finding
Requirement
P
Questioned Costs
-
Year
2023
Accepted
2026-08-24
Audit: 409697
Auditor: BLUEARROW CPA

AI Summary

  • Core Issue: SWIWC missed the deadline for submitting the single audit reporting package, violating federal requirements.
  • Impacted Requirements: Failure to comply with Section 200.512(a)(1) of the Uniform Guidance may lead to funding delays or reductions.
  • Recommended Follow-up: Management needs to create and enforce policies for better retention of audit records and documentation.

Finding Text

2023-001 Late Single Audit Submission (Significant Deficiency) Criteria or Specific Requirements: Section 200.512(a)(1) Report Submission of the Office of Management and Budget’s Uniform Guidance outlines the following requirement: “The audit must be completed, and the data collection form must be submitted within the earlier of 30 calendar days after receipt of the auditor’s report(s), or nine months after the end of the audit period, whichever is earlier.” Condition: SWIWC did not submit the single audit reporting package to the Federal Audit Clearinghouse within nine months following their fiscal year-end as required (deadline of September 30, 2024). Cause: SWIWC did not maintain audit documentation in a manner that allowed timely completion of the audit. Effect: Noncompliance with the Office of Management and Budget’s Uniform Guidance. Potential reduction or delay in federal and state funding as well as the effects of being placed on high-risk status by a federal and/or state agency. Auditor's Recommendation: Management should develop and implement policies regarding the retention of records and audit documentation.

Corrective Action Plan

Management Response: Management concurs with the finding. During the FY2023 audit period, the Organization experienced significant administrative and staffing challenges that affected the timely organization and retention of audit documentation necessary to complete the Single Audit within the required timeframe. While management recognizes the importance of timely audit completion, there was no intent to delay compliance with federal reporting requirements. Since FY2023, SWIWC has substantially strengthened its financial management and audit readiness processes. The Organization has substantially revised its financial policies and procedures, centralized audit documentation, established standardized record retention practices, enhanced grant-specific compliance files, and implemented audit preparation checklists and tracking systems designed to support timely completion of future audits. Management believes these improvements significantly reduce the likelihood of similar delays occurring in future audit periods. Anticipated Completion Date: Planned Implementation completion by 9/30/2026; ongoing monitoring. Responsible Party: Executive Director and Chief Financial Officer.

Categories

Reporting Significant Deficiency

Other Findings in this Audit

  • 1227716 2023-002
    Material Weakness Repeat
  • 1227717 2023-003
    Material Weakness Repeat

Programs in Audit

ALN Program Name Expenditures
21.027 CORONAVIRUS STATE AND LOCAL FISCAL RECOVERY FUNDS $793,652
16.557 TRIBAL DOMESTIC VIOLENCE AND SEXUAL ASSAULT COALITIONS GRANT PROGRAM $110,659
93.671 FAMILY VIOLENCE PREVENTION AND SERVICES/DOMESTIC VIOLENCE SHELTER AND SUPPORTIVE SERVICES $2,557