Finding 33550 (2022-004)

Significant Deficiency
Requirement
L
Questioned Costs
-
Year
2022
Accepted
2023-06-27

AI Summary

  • Core Issue: Lack of formal documentation for review processes prior to report submission, leading to potential errors going undetected.
  • Impacted Requirements: Compliance with CFR 200.303(a) regarding effective internal controls over federal awards.
  • Recommended Follow-Up: Review reporting procedures with staff to ensure proper control processes are followed and documentation is maintained.

Finding Text

2022-004 Department of Treasury Federal Financial Assistance Listing 21.024, Award 21RRP056335 COVID-19 Community Development Financial Institutions Rapid Response Program (CDFI RRP) Reporting Significant Deficiency in Internal Control over Compliance Criteria : CFR 200.303(a) establishes that the auditee must establish and maintain effective internal control over the federal award that provides assurance that the entity is managing the federal award in compliance with federal statutes, regulations, and the terms and conditions of the federal award. Condition: There was no formal documentation of review prior to submission for two reports selected for testing. Cause: Meda has designed internal controls over these areas; however, the controls were not formally documented. Effect: Failure to perform an independent review of reporting could result in a reasonable possibility that Meda would not detect errors in the normal course of performing duties and correct them in a timely manner. Questioned Costs: None reported Context: Three reporting submissions out of six total reports were selected for testing for the program. Repeat Finding From Prior Years: No Recommendation: We recommend the procedures related to reporting be reviewed with applicable program employees to ensure the control process is properly followed and documentation is retained to support compliance with program requirements. Views of Responsible Officials: Management agrees with the finding.

Corrective Action Plan

Single Audit Finding 2022-004 Federal Agency Name: Department of Treasury Program Name: Community Development Financial Institutions (CDFI) Fund Program CFDA #21.024, Award 21RRP056335 Finding Summary: The internal control structure is not designed in a manner to implement of a formally documented review process. Responsible Individuals: Nelly Chick-Controller, Kevin Grafstrom-Accountant. Corrective Action Plan: The Organization is currently assessing its finance / accounting administration personnel positions and departmental structure for current and future operations and control function needs ? including the enhancement of segregation of duties. It is anticipated that the assessment and resulting implementation will be completed by December 31, 2023. Anticipated Completion Date: December 31, 2023

Categories

Reporting Significant Deficiency Internal Control / Segregation of Duties

Other Findings in this Audit

  • 609992 2022-004
    Significant Deficiency

Programs in Audit

ALN Program Name Expenditures
21.024 Community Development Financial Institutions Rapid Response Program (cdfi Rrp) $1.08M
59.062 Intermediary Loan Program $636,032
11.805 Mbda Business Center $217,808
59.005 Small Business Development Center Program $60,000