Finding 45641 (2022-001)

Significant Deficiency Repeat Finding
Requirement
L
Questioned Costs
-
Year
2022
Accepted
2023-05-11

AI Summary

  • Core Issue: The District failed to submit the SF-425, Federal Financial Report for 2022 on time due to staff turnover.
  • Impacted Requirements: Timely submission of the SF-425 is mandatory under federal compliance guidelines.
  • Recommended Follow-Up: Ensure future SF-425 reports are filed on time and consider ongoing support from consultants to maintain compliance.

Finding Text

2022-001 ? Federal Compliance ? SF-425, Federal Financial Report Criteria: Under the Compliance Supplement, SF-425, Federal Financial Report should be submitted timely. Condition Found: The District did not submit its SF-425, Federal Financial Report for 2022 expenses at the end of its fiscal year. Cause: The grant writer left the District?s employment which caused delays in the recording of the District?s reporting activities for the grant and the completion of the SF-425, Federal Financial Report for 2022. Effect: The District is not in compliance with this compliance requirement. Repeat Finding: No. Recommendation: We recommend that the District ensure that future SF-425 reports are filed within the period required by applicable statutes. Current Status: The District is working with a consultant to complete the SF-425 reports. The District is fully capable of fulfilling the compliance supplement requirements in future years. View of Responsible Official: See Auditee corrective action plan.

Corrective Action Plan

The District does not disagree with the auditor's findings, but wishes to make several clarifications. 2022-001- State Compliance - Required Financial Audit 1) As stated in the 2022 Audit the primary reason the audit was not submitted to TCEQ on time was because of delays caused by COVID-19. This included that the auditor did not complete the report in time to meet TCEQ deadlines due to a conflict in the auditor' s schedule. 2) The District CFO contacted TCEQ Water District division and advised TCEQ staff that submittal of the audit report would be delayed and TCEQ did not object to the delay. 2022-002- Federal Compliance - SF-425, Federal Financial Report 1) The federal fonn SF-425 purpose is to document financial transactions specific to an awarded federal grant and project grant period. The SF-425 allows for submittal periods to be made quarterly, semi-annual, annual, or final (end of grant). The grant period terminated on December 31, 2022 (3 months after the end of the District's fiscal period). At the district option, it selected to submit the SF-425 for the final period. The District requested an extension of the submittal time and the grant administrator did not object to the SF-425 being submitted late. The following implementation will ensure future audit reports are filed in a timely matter: 2022-001- State Compliance - Required Financial Audit ? Set up a calendar of events scheduling activities and tasks for monthly closing entries ? Create timely reports after closing of each month ? Reconcile transactions throughout the month ? Complete adjusting entries monthly ? Validate year end entries 2022-002- Federal Compliance - SF-425, Federal Financial Report ? Set up a calendar of events scheduling activities and tasks for monthly closing entries. ? Create timely reports after closing of each month ? Reconcile transactions throughout the month ? Complete adjusting entries monthly ? Validate year end entries I, Mary Cortez, as Chief Financial Officer, will implement the corrective action plan hereupon effective FY2023. Chief Financial Officer

Categories

Reporting

Other Findings in this Audit

  • 45642 2022-001
    Significant Deficiency Repeat
  • 45643 2022-001
    Significant Deficiency Repeat
  • 622083 2022-001
    Significant Deficiency Repeat
  • 622084 2022-001
    Significant Deficiency Repeat
  • 622085 2022-001
    Significant Deficiency Repeat

Programs in Audit

ALN Program Name Expenditures
15.507 Watersmart (sustaining and Manage America's Resources for Tomorrow) $880,000