Finding 43645 (2022-003)

Material Weakness Repeat Finding
Requirement
L
Questioned Costs
-
Year
2022
Accepted
2023-03-28

AI Summary

  • Core Issue: Internal controls over cash draws are weak, leading to errors in fund management for the COVID-19 Employment Recovery Grant.
  • Impacted Requirements: Compliance with federal grant administration rules is not being met, risking unallowable expense reimbursements.
  • Recommended Follow-Up: Implement a tracking system to identify and manage excess funds that need to be returned to the granting agency.

Finding Text

2022-003 ? Internal Controls over Cash Draws (Previously reported as 2021-003) Material Weakness Federal Program COVID-19 Employment Recovery National Dislocated Worker Grant ? Assistance Listing Number 17.277 Criteria An effective system of internal controls over compliance is required to ensure that grants are being administered properly. This includes a system to ensure that invoices for each program are being reimbursed by the correct granting agency and for the correct grant. Condition During the fiscal year 2021 audit, we noted instances where invoices that were reimbursed by a program were subsequently moved to another fund due to a correction of an error. When this occurs, the expense is moved to the other fund, and cash is reimbursed to the initial fund, however, the funds that were drawn down in error are not being remitted back to the granting agency. Rather, the excess funds are held and applied to subsequent invoices that are to be reimbursed by that program, reducing the reimbursements by the amounts of excess cash held. Given that the fiscal year 2021 audit was not issued until late-September 2022, corrective actions were not implemented until after fiscal year end. Cause These instances were likely due to the nature of the very short turnaround time between paying the invoices and requesting cash reimbursements, as well as experiencing turnover in key personnel during the year. Effect SDWP could request reimbursements for potentially unallowable expenses for the program leading to potentially having to repay the granting agency for funds requested in error. Questioned Costs Cannot be determined. Recommendation We recommend SDWP implement a system to identify when these instances have occurred and track funds that are required to be remitted back to the granting agency. Management?s Response See Corrective Action Plan.

Corrective Action Plan

2022 003 - Internal Controls over Cash Draws Material Weakness Federal Program WIOA Covid 19 Employment Recovery - Assistance Listing Number 17.277 Auditor's Notes An effective system of internal controls over compliance is required to ensure that grants are being administered properly. This includes a system to ensure that invoices for each program are being reimbursed by the correct granting agency and for the correct grant. During the FY 2021 audit, we noted instances where invoices that were reimbursed by a program were subsequently moved to another fund due to a correction of an error. When this occurs, the expense is moved to the other fund, and cash is reimbursed to the initial fund, however, the funds that were drawn down in error are not being remitted back to the granting agency. Rather, the excess funds are held and applied to subsequent invoices that are to be reimbursed by that program, reducing the reimbursements by the amounts of excess cash held. Given that the FY 2021 audit was not issued until late September 202 , this was a known issue during FY 2022 and will remain a finding in the current year. Management's Response San Diego Workforce Partnership conducts a thorough review of invoices and will monitor reclasses to ensure they are being placed in the appropriate funds and not resulting in any excess funding. Once identified, we will assess the balance, report to the proper authorities and remit as required. This is in effect as of Sept 30, 2022. The Controller and VP of Finance will be responsible in ensuring this system is followed.

Categories

Cash Management Allowable Costs / Cost Principles Material Weakness

Other Findings in this Audit

  • 43637 2022-001
    Significant Deficiency Repeat
  • 43638 2022-001
    Significant Deficiency Repeat
  • 43639 2022-001
    Significant Deficiency Repeat
  • 43640 2022-001
    Significant Deficiency Repeat
  • 43641 2022-002
    - Repeat
  • 43642 2022-002
    - Repeat
  • 43643 2022-002
    - Repeat
  • 43644 2022-002
    - Repeat
  • 620079 2022-001
    Significant Deficiency Repeat
  • 620080 2022-001
    Significant Deficiency Repeat
  • 620081 2022-001
    Significant Deficiency Repeat
  • 620082 2022-001
    Significant Deficiency Repeat
  • 620083 2022-002
    - Repeat
  • 620084 2022-002
    - Repeat
  • 620085 2022-002
    - Repeat
  • 620086 2022-002
    - Repeat
  • 620087 2022-003
    Material Weakness Repeat

Programs in Audit

ALN Program Name Expenditures
17.258 Wia Adult Program $6.07M
17.259 Wia Youth Activities $5.35M
17.278 Wia Dislocated Worker Formula Grants $4.80M
10.561 State Administrative Matching Grants for the Supplemental Nutrition Assistance Program $1.93M
14.218 Community Development Block Grants/entitlement Grants $1.37M
93.558 Temporary Assistance for Needy Families $1.34M
17.277 Workforce Investment Act (wia) National Emergency Grants $639,118
21.027 Coronavirus State and Local Fiscal Recovery Funds $496,077
96.008 Social Security - Work Incentives Planning and Assistance Program $60,818