Finding 575808 (2023-005)

Significant Deficiency
Requirement
C
Questioned Costs
$1
Year
2023
Accepted
2025-09-08
Audit: 365796
Organization: Fasd United Inc. (DC)
Auditor: Bert Smith & CO

AI Summary

  • Core Issue: Reimbursement requests included estimated supply costs instead of actual expenses, violating grant criteria.
  • Impacted Requirements: Lack of proper segregation of duties in the reimbursement process, with one employee handling both preparation and review.
  • Recommended Follow-Up: Develop detailed reimbursement policies and ensure actual expenses are included; implement proper segregation of duties in the process.

Finding Text

Condition: In the monthly reimbursement requests, the supplies line item reflected budgeted amounts. In addition, the Organization’s reimbursement request process was not properly segregated. The same person performed the preparation and review functions. Criteria: For grants and cooperative agreements to non-Federal entities that are paid on a reimbursement basis, supporting documentation shows that the costs for which reimbursement was requested were paid prior to the date of the reimbursement request. Accounting functions should be properly segregated so that one employee is not performing every critical process. Cause: The Organization has not fully developed its reimbursement requests policies and procedures. Supplies were estimated in the requests because the actual receipts had not been received and recorded in its accounting system. Context: The Organization submitted 12 reimbursement requests to its pass-through entity. Questioned Cost: $1,950. Recommendation: We recommend the Organization include actual incurred expenses in its reimbursement requests. In addition, we recommend the Organization incorporate in its policies and procedures the proper segregation of duties so that the reimbursement request process is not limited to one employee. Views of Responsible Official and Planned Corrective Action: The Organization accepts and understands that detailed reimbursement policies and procedures should be fully developed and implemented, and actual expenditures should be billed. The Organization believes that the actual cost of supplies allocated to the project exceeded the questioned cost.

Corrective Action Plan

The Organization is now billing actual costs for supplies as it has done for all other expenditures. Reimbursement request procedures and all accounting functions and segregation practices will be formulated in a written document that will be in place within 120 days of completion of the audit. The Organization accepts and understands that detailed reimbursement policies and procedures should be fully developed and implemented, and actual expenditures should be billed. The Organization believes that the actual cost of supplies allocated to the project exceeded the questioned cost. The Organization will adhere to reimbursement request policies and procedures that will be documented in a written accounting manual. The Organization agrees that the reimbursement request procedures should be performed by employees with properly segregated roles and responsibilities. While the Organization did not have enough staff to segregate all accounting responsibilities, it is continually working to define and monitor segregation policies and procedures and train employees on their duties and responsibilities to ensure that reimbursement requests and all accounting functions are properly separated

Categories

Questioned Costs Subrecipient Monitoring Cash Management Matching / Level of Effort / Earmarking Internal Control / Segregation of Duties

Other Findings in this Audit

  • 575804 2023-002
    Significant Deficiency
  • 575805 2023-001
    Significant Deficiency
  • 575806 2023-003
    Significant Deficiency
  • 575807 2023-004
    Significant Deficiency
  • 1152246 2023-002
    Significant Deficiency
  • 1152247 2023-001
    Significant Deficiency
  • 1152248 2023-003
    Significant Deficiency
  • 1152249 2023-004
    Significant Deficiency
  • 1152250 2023-005
    Significant Deficiency

Programs in Audit

ALN Program Name Expenditures
12.750 Uniformed Services University Medical Research Projects $383,122
93.073 Birth Defects and Developmental Disabilities - Prevention and Surveillance $354,805
93.273 Alcohol Research Programs $27,153