Audit 297376

FY End
2023-06-30
Total Expended
$3.55M
Findings
8
Programs
4
Year: 2023 Accepted: 2024-03-25

Organization Exclusion Status:

Checking exclusion status...

Findings

ID Ref Severity Repeat Requirement
384232 2023-005 Significant Deficiency - L
384233 2023-005 Significant Deficiency - L
384234 2023-005 Significant Deficiency - L
384235 2023-005 Significant Deficiency - L
960674 2023-005 Significant Deficiency - L
960675 2023-005 Significant Deficiency - L
960676 2023-005 Significant Deficiency - L
960677 2023-005 Significant Deficiency - L

Contacts

Name Title Type
RPLJX83Q6DU1 Scott Cook Auditee
8284657644 Paula Hodges Auditor
No contacts on file

Notes to SEFA

Title: Basis of Presentation Accounting Policies: Expenditures reported in the SEFSA are reported on the accrual basis of accounting. Such expenditures are recognized following the cost principles contained Uniform Guidance, wherein certain types of expenditures are not allowable or are limited as to reimbursement. De Minimis Rate Used: N Rate Explanation: The auditee did not use de minimis cost rate The accompanying schedule of expenditures of Federal and State awards (SEFSA) includes the Federal and State grant activity of Western Piedmont Regional Transit Authority and is presented on the accrual basis of accounting. The information in this schedule is presented in accordance with the requirements of Title 2 US Code of Federal Regulations Part 200, Uniform Administrative Requirements, Cost Principles, and Audit Requirements for Federal Awards, and Audit Requirements for Federal Awards and the State Single Audit Implementation Act. Because the SEFSA presents only a selected portion of Western Piedmont Regional Transit Authority, it is not intended to and does not present the financial position, changes in net position or cash flows of Western Piedmont Regional Transit Authority.
Title: Summary of Significant Accounting Policies Accounting Policies: Expenditures reported in the SEFSA are reported on the accrual basis of accounting. Such expenditures are recognized following the cost principles contained Uniform Guidance, wherein certain types of expenditures are not allowable or are limited as to reimbursement. De Minimis Rate Used: N Rate Explanation: The auditee did not use de minimis cost rate Expenditures reported in the SEFSA are reported on the accrual basis of accounting. Such expenditures are recognized following the cost principles contained Uniform Guidance, wherein certain types of expenditures are not allowable or are limited as to reimbursement.
Title: Indirect Cost Rate Accounting Policies: Expenditures reported in the SEFSA are reported on the accrual basis of accounting. Such expenditures are recognized following the cost principles contained Uniform Guidance, wherein certain types of expenditures are not allowable or are limited as to reimbursement. De Minimis Rate Used: N Rate Explanation: The auditee did not use de minimis cost rate Western Piedmont Regional Transit Authority as an approved indirect cost rate of 37.99% from our cognizant agency, The Federal Transit Administration (FTA), as allowed under the Uniform Guidance.

Finding Details

US Department of Transportation Passed through the NC Department of Transportation Program Name: Formula Grants for Rural Areas and Tribal Transit Program AL# 20.509 Grant Number: 36233.129.15.1, 36233.129.15.2, 36233.129.14.3 and 36233.129.14.4 Significant Deficiency Nonmaterial Non-Compliance Finding: 2023-005 Criteria: In accordance with Urbanized Area Formula Program: 49 OSC 5311, the state agency administering the 5311 program is responsible for submitting the rural report on behalf of the state and it’s subrecipients. The state requires grantees to submit an annual updated Transportation Asset Management (TAM) inventory. Condition: The Formula Grant for Rural Areas and Tribal Transit Program is a federal program administered by the finance department of the Western Piedmont Regional Transit Authority. The Authority failed to submit an annual report by the required due date. Context: The updated Transportation Asset Management (TAM) inventory report that is required to be reported annually was filed past the required submission date. Effect: Data was submitted to the grantor in an untimely manner. Cause: Procedures were not in place to implement timely submission. Questioned Costs: None. The report filed was accurate but not timely. Recommendation: Management should adopt policies and procedures requiring supervision to review reports and submission requirements and ensure timely submission. Name of Contact Person: Scott Cook, Interim Finance Officer Views of Responsible Officials and Planned Corrective Action: Management concurs with this finding. Please refer to the Corrective Action Plan.
US Department of Transportation Passed through the NC Department of Transportation Program Name: Formula Grants for Rural Areas and Tribal Transit Program AL# 20.509 Grant Number: 36233.129.15.1, 36233.129.15.2, 36233.129.14.3 and 36233.129.14.4 Significant Deficiency Nonmaterial Non-Compliance Finding: 2023-005 Criteria: In accordance with Urbanized Area Formula Program: 49 OSC 5311, the state agency administering the 5311 program is responsible for submitting the rural report on behalf of the state and it’s subrecipients. The state requires grantees to submit an annual updated Transportation Asset Management (TAM) inventory. Condition: The Formula Grant for Rural Areas and Tribal Transit Program is a federal program administered by the finance department of the Western Piedmont Regional Transit Authority. The Authority failed to submit an annual report by the required due date. Context: The updated Transportation Asset Management (TAM) inventory report that is required to be reported annually was filed past the required submission date. Effect: Data was submitted to the grantor in an untimely manner. Cause: Procedures were not in place to implement timely submission. Questioned Costs: None. The report filed was accurate but not timely. Recommendation: Management should adopt policies and procedures requiring supervision to review reports and submission requirements and ensure timely submission. Name of Contact Person: Scott Cook, Interim Finance Officer Views of Responsible Officials and Planned Corrective Action: Management concurs with this finding. Please refer to the Corrective Action Plan.
US Department of Transportation Passed through the NC Department of Transportation Program Name: Formula Grants for Rural Areas and Tribal Transit Program AL# 20.509 Grant Number: 36233.129.15.1, 36233.129.15.2, 36233.129.14.3 and 36233.129.14.4 Significant Deficiency Nonmaterial Non-Compliance Finding: 2023-005 Criteria: In accordance with Urbanized Area Formula Program: 49 OSC 5311, the state agency administering the 5311 program is responsible for submitting the rural report on behalf of the state and it’s subrecipients. The state requires grantees to submit an annual updated Transportation Asset Management (TAM) inventory. Condition: The Formula Grant for Rural Areas and Tribal Transit Program is a federal program administered by the finance department of the Western Piedmont Regional Transit Authority. The Authority failed to submit an annual report by the required due date. Context: The updated Transportation Asset Management (TAM) inventory report that is required to be reported annually was filed past the required submission date. Effect: Data was submitted to the grantor in an untimely manner. Cause: Procedures were not in place to implement timely submission. Questioned Costs: None. The report filed was accurate but not timely. Recommendation: Management should adopt policies and procedures requiring supervision to review reports and submission requirements and ensure timely submission. Name of Contact Person: Scott Cook, Interim Finance Officer Views of Responsible Officials and Planned Corrective Action: Management concurs with this finding. Please refer to the Corrective Action Plan.
US Department of Transportation Passed through the NC Department of Transportation Program Name: Formula Grants for Rural Areas and Tribal Transit Program AL# 20.509 Grant Number: 36233.129.15.1, 36233.129.15.2, 36233.129.14.3 and 36233.129.14.4 Significant Deficiency Nonmaterial Non-Compliance Finding: 2023-005 Criteria: In accordance with Urbanized Area Formula Program: 49 OSC 5311, the state agency administering the 5311 program is responsible for submitting the rural report on behalf of the state and it’s subrecipients. The state requires grantees to submit an annual updated Transportation Asset Management (TAM) inventory. Condition: The Formula Grant for Rural Areas and Tribal Transit Program is a federal program administered by the finance department of the Western Piedmont Regional Transit Authority. The Authority failed to submit an annual report by the required due date. Context: The updated Transportation Asset Management (TAM) inventory report that is required to be reported annually was filed past the required submission date. Effect: Data was submitted to the grantor in an untimely manner. Cause: Procedures were not in place to implement timely submission. Questioned Costs: None. The report filed was accurate but not timely. Recommendation: Management should adopt policies and procedures requiring supervision to review reports and submission requirements and ensure timely submission. Name of Contact Person: Scott Cook, Interim Finance Officer Views of Responsible Officials and Planned Corrective Action: Management concurs with this finding. Please refer to the Corrective Action Plan.
US Department of Transportation Passed through the NC Department of Transportation Program Name: Formula Grants for Rural Areas and Tribal Transit Program AL# 20.509 Grant Number: 36233.129.15.1, 36233.129.15.2, 36233.129.14.3 and 36233.129.14.4 Significant Deficiency Nonmaterial Non-Compliance Finding: 2023-005 Criteria: In accordance with Urbanized Area Formula Program: 49 OSC 5311, the state agency administering the 5311 program is responsible for submitting the rural report on behalf of the state and it’s subrecipients. The state requires grantees to submit an annual updated Transportation Asset Management (TAM) inventory. Condition: The Formula Grant for Rural Areas and Tribal Transit Program is a federal program administered by the finance department of the Western Piedmont Regional Transit Authority. The Authority failed to submit an annual report by the required due date. Context: The updated Transportation Asset Management (TAM) inventory report that is required to be reported annually was filed past the required submission date. Effect: Data was submitted to the grantor in an untimely manner. Cause: Procedures were not in place to implement timely submission. Questioned Costs: None. The report filed was accurate but not timely. Recommendation: Management should adopt policies and procedures requiring supervision to review reports and submission requirements and ensure timely submission. Name of Contact Person: Scott Cook, Interim Finance Officer Views of Responsible Officials and Planned Corrective Action: Management concurs with this finding. Please refer to the Corrective Action Plan.
US Department of Transportation Passed through the NC Department of Transportation Program Name: Formula Grants for Rural Areas and Tribal Transit Program AL# 20.509 Grant Number: 36233.129.15.1, 36233.129.15.2, 36233.129.14.3 and 36233.129.14.4 Significant Deficiency Nonmaterial Non-Compliance Finding: 2023-005 Criteria: In accordance with Urbanized Area Formula Program: 49 OSC 5311, the state agency administering the 5311 program is responsible for submitting the rural report on behalf of the state and it’s subrecipients. The state requires grantees to submit an annual updated Transportation Asset Management (TAM) inventory. Condition: The Formula Grant for Rural Areas and Tribal Transit Program is a federal program administered by the finance department of the Western Piedmont Regional Transit Authority. The Authority failed to submit an annual report by the required due date. Context: The updated Transportation Asset Management (TAM) inventory report that is required to be reported annually was filed past the required submission date. Effect: Data was submitted to the grantor in an untimely manner. Cause: Procedures were not in place to implement timely submission. Questioned Costs: None. The report filed was accurate but not timely. Recommendation: Management should adopt policies and procedures requiring supervision to review reports and submission requirements and ensure timely submission. Name of Contact Person: Scott Cook, Interim Finance Officer Views of Responsible Officials and Planned Corrective Action: Management concurs with this finding. Please refer to the Corrective Action Plan.
US Department of Transportation Passed through the NC Department of Transportation Program Name: Formula Grants for Rural Areas and Tribal Transit Program AL# 20.509 Grant Number: 36233.129.15.1, 36233.129.15.2, 36233.129.14.3 and 36233.129.14.4 Significant Deficiency Nonmaterial Non-Compliance Finding: 2023-005 Criteria: In accordance with Urbanized Area Formula Program: 49 OSC 5311, the state agency administering the 5311 program is responsible for submitting the rural report on behalf of the state and it’s subrecipients. The state requires grantees to submit an annual updated Transportation Asset Management (TAM) inventory. Condition: The Formula Grant for Rural Areas and Tribal Transit Program is a federal program administered by the finance department of the Western Piedmont Regional Transit Authority. The Authority failed to submit an annual report by the required due date. Context: The updated Transportation Asset Management (TAM) inventory report that is required to be reported annually was filed past the required submission date. Effect: Data was submitted to the grantor in an untimely manner. Cause: Procedures were not in place to implement timely submission. Questioned Costs: None. The report filed was accurate but not timely. Recommendation: Management should adopt policies and procedures requiring supervision to review reports and submission requirements and ensure timely submission. Name of Contact Person: Scott Cook, Interim Finance Officer Views of Responsible Officials and Planned Corrective Action: Management concurs with this finding. Please refer to the Corrective Action Plan.
US Department of Transportation Passed through the NC Department of Transportation Program Name: Formula Grants for Rural Areas and Tribal Transit Program AL# 20.509 Grant Number: 36233.129.15.1, 36233.129.15.2, 36233.129.14.3 and 36233.129.14.4 Significant Deficiency Nonmaterial Non-Compliance Finding: 2023-005 Criteria: In accordance with Urbanized Area Formula Program: 49 OSC 5311, the state agency administering the 5311 program is responsible for submitting the rural report on behalf of the state and it’s subrecipients. The state requires grantees to submit an annual updated Transportation Asset Management (TAM) inventory. Condition: The Formula Grant for Rural Areas and Tribal Transit Program is a federal program administered by the finance department of the Western Piedmont Regional Transit Authority. The Authority failed to submit an annual report by the required due date. Context: The updated Transportation Asset Management (TAM) inventory report that is required to be reported annually was filed past the required submission date. Effect: Data was submitted to the grantor in an untimely manner. Cause: Procedures were not in place to implement timely submission. Questioned Costs: None. The report filed was accurate but not timely. Recommendation: Management should adopt policies and procedures requiring supervision to review reports and submission requirements and ensure timely submission. Name of Contact Person: Scott Cook, Interim Finance Officer Views of Responsible Officials and Planned Corrective Action: Management concurs with this finding. Please refer to the Corrective Action Plan.