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Spring Title I Statewide Conference May 15, 2014 David LeBlanc, CGFM, CFS

Preparing for and Communicating with Auditors Techniques for reducing and eliminating adverse findings. Spring Title I Statewide Conference May 15, 2014 David LeBlanc, CGFM, CFS Director of Audit and Compliance. Elementary & Secondary Education. Audit and Compliance Unit. How we do our work.

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Spring Title I Statewide Conference May 15, 2014 David LeBlanc, CGFM, CFS

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  1. Preparing for and Communicating with AuditorsTechniques for reducing and eliminatingadverse findings Spring Title I Statewide Conference May 15, 2014 David LeBlanc, CGFM, CFS Director of Audit and Compliance

  2. Elementary & Secondary Education • Audit and Compliance Unit Massachusetts Department of Elementary and Secondary Education

  3. How we do our work Massachusetts Department of Elementary and Secondary Education

  4. CAROI“Comprehensive Audit Resolution Oversight Initiative” Our mission regarding issues we find is to observe and then to help fix them We do not play We do not argue who is right or wrong Massachusetts Department of Elementary and Secondary Education

  5. ESE – Audit and Compliance Unit • Current staff – eight individuals • Varied audit background and certifications • Use CAROI principles in every engagement Massachusetts Department of Elementary and Secondary Education

  6. Anyone can go out, read a questionnaire and write down answers Auditors do not ask a question to get an answer • They ask a question to elicit a response • Then they follow up Massachusetts Department of Elementary and Secondary Education

  7. ESE and audits • One of top three statewide recipients of federal funds • Receive over 95 different federal grants • Audit presence on site eight to nine months of the year • Federal / State / Other Massachusetts Department of Elementary and Secondary Education

  8. ESE and audits • ESE holds the record for most single audit findings in a year with eighteen (18) • ESE holds the record for least single audit findings in a year with zero (0) • In the past five years we have had a total of four (4) findings Massachusetts Department of Elementary and Secondary Education

  9. Types of audits you might deal with • Single audit • Financial audit • Programmatic audit • ESE fiscal review Massachusetts Department of Elementary and Secondary Education

  10. Common Title I issues found in audit reports • Time and attendance reporting • Late final reports • Documentation and approvals • Questionable costs Massachusetts Department of Elementary and Secondary Education

  11. Dealing with / working with auditors Massachusetts Department of Elementary and Secondary Education

  12. The three greatest lies… • “The check is in the mail” • “I’m the auditor and I’m here to help you” • “We’re so glad you’re here” Massachusetts Department of Elementary and Secondary Education

  13. How to deal with the auditors prior to arrival • Don’t Panic !!! • Review your policies and procedures • Establish a liaison • Have information available • Review files for completeness and accuracy • Where possible give copies not originals Massachusetts Department of Elementary and Secondary Education

  14. How to deal with the auditors on site • Answer any and all questions • Get questions in writing where possible • Make sure that they are talking with the correct people • Have “check in” points • Get written drafts of any potential issues • Review these drafts for potentials • Don’t take issues personally Massachusetts Department of Elementary and Secondary Education

  15. How to deal with an audit • The key is to be proactive as much as possible • When you’re constantly being reactive it’s very hard to stay afloat Massachusetts Department of Elementary and Secondary Education

  16. Some of these steps may seem foreign Massachusetts Department of Elementary and Secondary Education

  17. Maybe we used to do things a certain way Massachusetts Department of Elementary and Secondary Education

  18. This may be one way to get there Massachusetts Department of Elementary and Secondary Education

  19. But sometimes there are multiple ways all of them can be correct Massachusetts Department of Elementary and Secondary Education

  20. Resources • ESE Title I staff • ESE Audit and Compliance Unit • Title I staff in other districts • The auditors themselves Massachusetts Department of Elementary and Secondary Education

  21. Questions ? & Answers ! Massachusetts Department of Elementary and Secondary Education

  22. Ladies and gentlemen thank you for your time today Massachusetts Department of Elementary and Secondary Education

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