Finding 1228510 (2023-003)

Material Weakness Repeat Finding
Requirement
L
Questioned Costs
-
Year
2023
Accepted
2026-08-31

AI Summary

  • Core Issue: There is a material weakness in internal controls affecting compliance with reporting requirements for the Head Start Cluster program.
  • Impacted Requirements: Management failed to maintain effective controls to prevent or detect misstatements in financial statements, leading to unaddressed material adjustments.
  • Recommended Follow-Up: Strengthen month-end and year-end processes by implementing timely reconciliations and review procedures to ensure accurate financial reporting before audits.

Finding Text

2023-003 Material Audit Adjustments Finding Number 2023-003 represent a material weakness in internal controls over compliance with Starpoint's major program's reporting compliance requirement. Federal Program Information: Funding agency: Department of Health and Human Services Title: Head Start Cluster AL number: 93.600 Questioned Costs: None Criteria – Management is responsible for designing and maintaining internal controls that provide reasonable assurance that material misstatements in the financial statements are prevented or detected and corrected in a timely manner. Such controls include timely account reconciliations, review procedures, and identification and recording of necessary journal entries. Condition – During the audit, we identified and proposed material adjustments to the financial statements that were not identified through Starpoint's internal financial reporting processes which impacted the Organization's ability to accurately prepare their financial statements and schedule of expenditures of federal awards. Cause – The deficiency resulted from limited financial reporting resources, personnel turnover during the yearend close process, and the absence of consistently performed reconciliation and review procedures to identify and correct errors timely. Effect – As a result, material misstatements in the financial statements were not prevented, or detected and corrected, by management on a timely basis. Personnel turnover subsequent to year-end further limited management's ability to complete reconciliations and record necessary adjustments before the audit began. Recommendation – We recommend that management strengthen its month-end and year-end closing processes by implementing and documenting timely account reconciliations, review procedures, and financial statement preparation controls to ensure material adjustments are identified and recorded prior to the audit. Views of Responsible Officials – Management agrees with the finding and has developed a corrective action plan.

Corrective Action Plan

Finding 2023-003 Material Audit Adjustments Contact person responsible for corrective action: Bryana Marsicano, Chief Executive Officer Anticipated completion date: June 30, 2027 Corrective Action: Management agrees with the finding and will strengthen its month-end and year-end closing processes as follows: • Adopt a written month-end and year-end close calendar identifying each required procedure, the assigned preparer, the reviewer, and the due date. • Reconcile all significant balance sheet accounts on a monthly or quarterly basis, including cash, fees and grants receivable, property and equipment, accrued payroll and related liabilities, and refundable advances. • Reconcile the fixed asset subledger to the general ledger at least annually, including the fixed asset clearing account, and document the reconciliation. Prepare a schedule of refundable advances by funding source at each reporting date, reconciled to the executed award, cumulative expenditures, and cumulative amounts drawn. • Review all clearing and suspense accounts monthly, clear them to zero, and document any balance that remains. • Require documented supervisory review of journal entries above an established dollar threshold before posting. • Complete and review a year-end close checklist before the trial balance is released to the auditors. Corrective action already taken: The fixed asset subledger has been rebuilt and reconciled to the general ledger, and the land account has been reconciled in full from inception. Reconciliations of deferred and refundable grant balances by funding source have been prepared and provided to the auditors.

Categories

Reporting Material Weakness

Other Findings in this Audit

  • 1228507 2023-003
    Material Weakness Repeat
  • 1228508 2023-004
    Material Weakness Repeat
  • 1228509 2023-005
    Material Weakness Repeat
  • 1228511 2023-004
    Material Weakness Repeat
  • 1228512 2023-005
    Material Weakness Repeat

Programs in Audit

ALN Program Name Expenditures
93.778 MEDICAL ASSISTANCE PROGRAM $642,122
93.600 HEAD START $112,311
10.558 CHILD AND ADULT CARE FOOD PROGRAM $56,062
93.590 COMMUNITY-BASED CHILD ABUSE PREVENTION GRANTS $37,329
93.556 MARYLEE ALLEN PROMOTING SAFE AND STABLE FAMILIES PROGRAM $33,514
84.181 SPECIAL EDUCATION-GRANTS FOR INFANTS AND FAMILIES $17,349