Finding 516658 (2023-001)

Significant Deficiency Repeat Finding
Requirement
L
Questioned Costs
-
Year
2023
Accepted
2024-12-23

AI Summary

  • Core Issue: Financial statements for FY 2023 were delayed over six months, impacting timely audits.
  • Impacted Requirements: Internal controls over financial reporting were weakened, raising the risk of material misstatements.
  • Recommended Follow-Up: Establish a transition plan for accounting firms to ensure timely closure and reconciliation of financial statements.

Finding Text

The financial statements and certain key underlying schedules for fiscal year 2023 were not fully reconciled and available for audit purposes until more than six (6) months after the fiscal year end. In order to maintain effective internal controls over financial reporting it is essential that financial statements be closed in a timely manner once the fiscal year ends. This condition was due to several factors including the termination of the prior accounting firm providing accounting and financial reporting services without a transition plan in place for the current accountant. As such, it appears that a lot of time was needed to learn the key accounting processes, accounting software and specific accounting and financial reporting issues which delayed the process of reconciling and closing the accounting records for fiscal year 2022. The effect is that controls over the financial reporting process were weakened thereby increasing the risk that material misstatements could be included in the financial statements without management being aware.

Corrective Action Plan

We will have our current accountant set a schedule for performing monthly closes of the financial statements so they can be presented in summary format to management and the board of directors. We will require that the President/CEO and other key members of the management team and the board of directors review the monthly financial reports provided by the accountant so that all board members understand the financial position and results of activities of ECS on a regular and consistent basis. Finally, we will develop a transition plan with procedures requiring that whomever is responsible for the accounting and financial reporting function for ECS reconcile all financial accounts and close the financial records for the month prior to departure to ensure a smooth transition ECS’s accounting and financial reporting function to the next person responsible for its maintenance

Categories

Reporting Internal Control / Segregation of Duties

Other Findings in this Audit

  • 1093100 2023-001
    Significant Deficiency Repeat

Programs in Audit

ALN Program Name Expenditures
96.036 US Hud $489,694
21.027 US Dept of Treasurey $395,804
93.558 Il Dept of Health $186,958
93.516 Health Resources $56,465