Finding 41920 (2022-001)

Material Weakness Repeat Finding
Requirement
L
Questioned Costs
-
Year
2022
Accepted
2023-09-28
Audit: 44502
Organization: 1890 Universities Foundation (DC)
Auditor: Sb & Company

AI Summary

  • Core Issue: The 2022 opening net assets did not match the 2021 audited amounts due to unauthorized changes made after the audit.
  • Impacted Requirements: The Foundation failed to maintain an adequate internal control system as required by Uniform Guidance, risking inaccurate financial reporting.
  • Recommended Follow-Up: Establish formal procedures for monthly and year-end financial reporting, ensuring all reconciliations and analyses are reviewed by supervisory staff.

Finding Text

Finding 2022-001 Programs: All Material Weakness and Noncompliance over Financial Reporting Repeat Finding: Yes Condition: During our audit, it came to our attention that the 2022 opening net assets did not reconcile to the 2021 independent audited amounts. There were several changes to the prior year balances after the end of the audit. Additionally, there is no supervisory review of journal entries and general ledger activity on a monthly basis. Criteria: In accordance with Uniform Guidance, the Foundation must maintain an adequate system of internal control over financial reporting to initiate, authorize, record, process and report financial data reliably in accordance with generally accepted accounting principles. Additionally, ? 200.510 requires the auditee to prepare financial statements that reflect its financial position, results of operations or changes in net assets, and, where appropriate, cash flows for the fiscal year audited. Cause: Accounting personnel made changes to the general ledger accounts after the independent audit was finalized, which changed the reporting of certain prior year balances and account activity. Effect: A detailed review of journal entries and other financial analysis for the financial statement accounts could allow for misstatements, errors, and irregularities to go undetected. Also, accurate financial information may not have been available to make management decisions. Questioned Costs: Unknown. Recommendation: We recommend the Foundation develop formal written procedures for the monthly and year-end financial reporting procedures and checklists to assist in the close and preparation of financial its statements. These policies should ensure reconciliations and other account analyses are completed and reviewed by appropriate supervisory personnel. Auditee Response and Corrective Action Plan: Refer to management?s corrective action plans. Auditor?s Conclusion: Finding remains as stated.

Corrective Action Plan

Finding 2022-001 SB Finding: During our audit, it came to our attention that the 2022 opening net assets did not reconcile to the 2021 independent audited amounts. There were several changes to prior year balances after the end of the audit. Additionally, there is no supervisory review of journal entries and general ledger activity on a monthly basis. Foundation?s Response: The Foundation does not concur. The auditor advised the Foundation that the material weakness finding was due to the ?additional time and effort needed to reconcile opening balances.? During the 2021 audit, the Foundation advised the auditor that general ledger account names would change in 2022, as part of the corrective action plan to clear the 2021 finding. The auditor acknowledged observing differences during the 2022 entrance conference, however there was no coordination to map account name changes prior to uploading the Foundation?s financial statements into the auditor?s system. As a result, multiple accounts did not map correctly to the 2021 account names and dozens of variances were created. Account name changes fell into two categories. First, we added clarifying language to distinguish expenditure accounts as G&A or Program. For example, the account name Travel: Reimbursements was changed to Company Travel: Reimbursements to clearly identify the account as a G&A expenditure. The purpose of which was to improve the effectiveness of account reconciliations, and reduce our risk of erroneous financial statement presentation, and our risk of erroneously charging an unallowable cost to federal funds. The Foundation updated 12 general ledger account names, and when posted into the auditor?s system, they were added as new accounts. This initially resulted in 24 account balance variances, however once the accounts were mapped, the variances were resolved. A second category of account changes involved the Foundation?s revenue accounts. The Foundation provided the auditor with a detailed accounting treatment plan during the 2021 audit as advance notice for 2022. We added primary accounts to clearly distinguish a funding source as Federal, Federal pass-through, non-Federal, Corporate and Private Donor, for the purpose of standardizing year-end accrual procedures and to ensure greater accuracy in the carry forward of net assets. Thirteen revenue accounts were moved under the new primary accounts, and this resulted in 18 variances in the SB system. Again, once the accounts were mapped, the variances were resolved. The Foundation does not expect mis-matched accounts to occur in the future. During our variance reconciliation, the Foundation added SB?s numerical codes to our account names to allow SB?s system to match records numerically, rather than by name. The Foundation did adjust two year-end accrual balances to correct items missed in 2021. During the 2022 audit the Foundation requested guidance on restating the 2021 statements for the adjustments, however, because the amount was immaterial, the auditor recommended the adjustment be made in 2022. Foundation removed the 2021 post-audit adjustments and posted them to 2022. The total amount of the adjustments was $126,031. The auditor?s corrective action was completed after the 2021 audit. Reconciliations are completed monthly, quarterly, and/or annually. Additionally, we engaged a bookkeeper that is credentialed as a certified professional advisor for our accounting software. The bookkeeper?s beginning task was to perform a ?health check? of the accrual accounts set up during the 2021 audit, and we were assured of the effectiveness of our accounts. On a monthly basis, the bookkeeper performs monthly account reconciliations, financial statement preparation, and variance identification, when applicable. The reconciliations are overseen by Foundation?s Director of Finance, a certified public accountant.

Categories

Subrecipient Monitoring Material Weakness Reporting Internal Control / Segregation of Duties

Other Findings in this Audit

  • 41921 2022-002
    Significant Deficiency Repeat
  • 41922 2022-001
    Material Weakness Repeat
  • 41923 2022-002
    Significant Deficiency Repeat
  • 41924 2022-001
    Material Weakness Repeat
  • 41925 2022-002
    Significant Deficiency Repeat
  • 41926 2022-001
    Material Weakness Repeat
  • 41927 2022-002
    Significant Deficiency Repeat
  • 41928 2022-001
    Material Weakness Repeat
  • 41929 2022-002
    Significant Deficiency Repeat
  • 41930 2022-001
    Material Weakness Repeat
  • 41931 2022-002
    Significant Deficiency Repeat
  • 41932 2022-001
    Material Weakness Repeat
  • 41933 2022-002
    Significant Deficiency Repeat
  • 41934 2022-001
    Material Weakness Repeat
  • 41935 2022-002
    Significant Deficiency Repeat
  • 41936 2022-001
    Material Weakness Repeat
  • 41937 2022-002
    Significant Deficiency Repeat
  • 618362 2022-001
    Material Weakness Repeat
  • 618363 2022-002
    Significant Deficiency Repeat
  • 618364 2022-001
    Material Weakness Repeat
  • 618365 2022-002
    Significant Deficiency Repeat
  • 618366 2022-001
    Material Weakness Repeat
  • 618367 2022-002
    Significant Deficiency Repeat
  • 618368 2022-001
    Material Weakness Repeat
  • 618369 2022-002
    Significant Deficiency Repeat
  • 618370 2022-001
    Material Weakness Repeat
  • 618371 2022-002
    Significant Deficiency Repeat
  • 618372 2022-001
    Material Weakness Repeat
  • 618373 2022-002
    Significant Deficiency Repeat
  • 618374 2022-001
    Material Weakness Repeat
  • 618375 2022-002
    Significant Deficiency Repeat
  • 618376 2022-001
    Material Weakness Repeat
  • 618377 2022-002
    Significant Deficiency Repeat
  • 618378 2022-001
    Material Weakness Repeat
  • 618379 2022-002
    Significant Deficiency Repeat

Programs in Audit

ALN Program Name Expenditures
10.902 Soil and Water Conservation $139,735
10.229 Extension Collaborative on Immunization Teaching & Engagement $29,634
98.012 Usaid Development Partnerships for University Cooperation and Development $25,237
10.523 Centers of Excellence at 1890 Institutions (b) $255