Finding 22402 (2022-001)

Significant Deficiency
Requirement
P
Questioned Costs
-
Year
2022
Accepted
2023-03-06
Audit: 20284
Organization: Valleylife and Related Entities (AZ)
Auditor: Eide Bailly LLP

AI Summary

  • Core Issue: The Organization lacks documented controls for reviewing federal award reports, risking inaccurate submissions.
  • Impacted Requirements: This situation violates 2 CFR 200.303(a), which mandates effective internal controls over federal awards.
  • Recommended Follow-Up: Implement a secondary review and approval process for all required reports to ensure accuracy before submission.

Finding Text

Criteria: 2 CFR 200.303(a) establishes that the auditee must establish and maintain effective internal control over the federal award that provides assurance that the Organization is managing the federal award in compliance with federal statutes, regulations, and conditions of the federal award. Condition: The Organization did have two individuals involved in the reporting process, but did not have documented controls over the preparation and corresponding review of the required reporting during the period. Cause: The Organization has limited staffing and did not have proper controls in place relating to review of the prepared report. Effect: There is a reasonable possibility that the Organization could submit inaccurate information. Questioned Costs: None reported. Context: Sampling was not used. One key line item was tested. Repeat Finding from Prior Years: No Recommendation: We recommend the Organization implement a control process which includes a secondary review and approval of the required reports to be submitted to the federal agency. Views of Responsible Officials: Management agrees with the finding.

Corrective Action Plan

Finding 2022-001 Federal Agency Name: Department of Health and Human Services Program Name: COVID-19 Provider Relief Fund and American Rescue Plan (ARP) Rural Distribution CFDA #93.498 Finding Summary: 2 CFR 200.303(a) establishes that the auditee must establish and maintain effective internal control over the federal award that provides assurance that the Organization is managing the federal award in compliance with federal statutes, regulations, and conditions of the federal award. The Organization did have two individuals involved in the reporting process, but did not have documented controls over the preparation and corresponding review of the required reporting during the period. Responsible Individuals: Donna Cordova, CFO and Cletus Thiebeau CEO Corrective Action Plan: VALLEYLIFE will add documentation in its Accounting & Finance Policies and Procedures that Federal Grant reporting will be reviewed, prior to submission to the federal granting agency, by the Supervisor of the individual preparing the reports. Anticipated Completion Date: This process will go into effect immediately and will be presented to the Finance Committee of the Board of Directors for approval at its March 2023 meeting as the VALLEYLIFE bylaws require.

Categories

Reporting Internal Control / Segregation of Duties

Other Findings in this Audit

  • 22403 2022-002
    Material Weakness
  • 598844 2022-001
    Significant Deficiency
  • 598845 2022-002
    Material Weakness

Programs in Audit

ALN Program Name Expenditures
93.498 Provider Relief Fund $780,498
21.027 Coronavirus State and Local Fiscal Recovery Funds $200,000
14.218 Community Development Block Grants/entitlement Grants $9,581