Audit 311130

FY End
2023-09-30
Total Expended
$1.56M
Findings
6
Programs
13
Organization: Disability Rights Vermont, INC (VT)
Year: 2023 Accepted: 2024-06-29

Organization Exclusion Status:

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Contacts

Name Title Type
WUFJM41SJ4T7 Lindsey Owen Auditee
8022291355 Debra Burke Auditor
No contacts on file

Notes to SEFA

Title: Organization Accounting Policies: The accompanying schedule was prepared on the basis of accounting used on reports submitted to grantor agencies. It includes accrued expenditures. De Minimis Rate Used: N Rate Explanation: AUDITEE ALLOCATED GENERAL & ADMINISTRATIVE EXPENSES DIRECTLY TO EACH GRANT/PROGRAM BY MULTIPLYING AN INDIRECT RATIO (TOTAL GENERAL & ADMIN/TOTAL DIRECT EXPENSE) BY DIRECT EXPENSE PER GRANT OR FUNDING SOURCE. Disability Rights Vermont, Inc. (DRVT) (formerly Vermont Protection & Advocacy, Inc.) is a private, non-profit corporation established in Vermont in 1976. DRVT provides protection and advocacy services for persons with developmental and other disabilities and individuals diagnosed as having mental illness by promoting the equality, dignity, and self-determination of people with disabilities. DRVT promotes, expands, and protects human and legal rights, insuring people’s inclusion in all aspects of community life. These services are provided through grants made to local organizations and through direct programs administered by DRVT.
Title: Basis of Presentation Accounting Policies: The accompanying schedule was prepared on the basis of accounting used on reports submitted to grantor agencies. It includes accrued expenditures. De Minimis Rate Used: N Rate Explanation: AUDITEE ALLOCATED GENERAL & ADMINISTRATIVE EXPENSES DIRECTLY TO EACH GRANT/PROGRAM BY MULTIPLYING AN INDIRECT RATIO (TOTAL GENERAL & ADMIN/TOTAL DIRECT EXPENSE) BY DIRECT EXPENSE PER GRANT OR FUNDING SOURCE. The information in the accompanying schedule is presented in accordance with Title 2 U.S. Code of Federal Regulations (CFR) Part 200, Uniform Administrative Requirements, Cost Principles, and Audit Requirements for Federal Awards (Uniform Guidance).
Title: Federal Award Accounting Policies: The accompanying schedule was prepared on the basis of accounting used on reports submitted to grantor agencies. It includes accrued expenditures. De Minimis Rate Used: N Rate Explanation: AUDITEE ALLOCATED GENERAL & ADMINISTRATIVE EXPENSES DIRECTLY TO EACH GRANT/PROGRAM BY MULTIPLYING AN INDIRECT RATIO (TOTAL GENERAL & ADMIN/TOTAL DIRECT EXPENSE) BY DIRECT EXPENSE PER GRANT OR FUNDING SOURCE. 1.     Pursuant to the Uniform Guidance, federal award means federal financial assistance or cost reimbursement contracts that a non-federal entity receives directly from federal awarding agencies or indirectly from pass-through entities. DRVT primarily receives federal awards directly from the U.S. Department of Health and Human Services, the U.S. Department of Education, U.S. Department of Justice, and the U.S. Social Security Administration.
Title: Federal financial assistance Accounting Policies: The accompanying schedule was prepared on the basis of accounting used on reports submitted to grantor agencies. It includes accrued expenditures. De Minimis Rate Used: N Rate Explanation: AUDITEE ALLOCATED GENERAL & ADMINISTRATIVE EXPENSES DIRECTLY TO EACH GRANT/PROGRAM BY MULTIPLYING AN INDIRECT RATIO (TOTAL GENERAL & ADMIN/TOTAL DIRECT EXPENSE) BY DIRECT EXPENSE PER GRANT OR FUNDING SOURCE. 2.     In the Uniform Guidance, Federal financial assistance is defined as assistance provided by a federal agency that non-Federal entities receive or administer, either directly or indirectly, in the form of grants, cooperative agreements, non-cash contributions or donations of property (including donated surplus property), direct appropriations, food commodities and other financial assistance. For the requirement to provide public notice of Federal financial assistance programs, Federal financial assistance also includes assistance that non-Federal entities receive or administer in the form of loans, loan guarantees, interest subsidies, and insurance. Federal financial assistance does not include amounts received as reimbursements for services rendered to individuals.
Title: Major and nonmajor programs Accounting Policies: The accompanying schedule was prepared on the basis of accounting used on reports submitted to grantor agencies. It includes accrued expenditures. De Minimis Rate Used: N Rate Explanation: AUDITEE ALLOCATED GENERAL & ADMINISTRATIVE EXPENSES DIRECTLY TO EACH GRANT/PROGRAM BY MULTIPLYING AN INDIRECT RATIO (TOTAL GENERAL & ADMIN/TOTAL DIRECT EXPENSE) BY DIRECT EXPENSE PER GRANT OR FUNDING SOURCE. The Uniform Guidance establishes risk-based criteria for determining major programs and selecting those federal programs to be tested for compliance with program requirements. A program may also be identified as a major program by a Federal awarding agency or pass-through entity
Title: Basis of Accounting Accounting Policies: The accompanying schedule was prepared on the basis of accounting used on reports submitted to grantor agencies. It includes accrued expenditures. De Minimis Rate Used: N Rate Explanation: AUDITEE ALLOCATED GENERAL & ADMINISTRATIVE EXPENSES DIRECTLY TO EACH GRANT/PROGRAM BY MULTIPLYING AN INDIRECT RATIO (TOTAL GENERAL & ADMIN/TOTAL DIRECT EXPENSE) BY DIRECT EXPENSE PER GRANT OR FUNDING SOURCE. The accompanying schedule was prepared on the basis of accounting used on reports submitted to grantor agencies. It includes accrued expenditures.
Title: Indirect Cost Ratio Accounting Policies: The accompanying schedule was prepared on the basis of accounting used on reports submitted to grantor agencies. It includes accrued expenditures. De Minimis Rate Used: N Rate Explanation: AUDITEE ALLOCATED GENERAL & ADMINISTRATIVE EXPENSES DIRECTLY TO EACH GRANT/PROGRAM BY MULTIPLYING AN INDIRECT RATIO (TOTAL GENERAL & ADMIN/TOTAL DIRECT EXPENSE) BY DIRECT EXPENSE PER GRANT OR FUNDING SOURCE. DRVT has elected not to use the 10-percent de minimis indirect cost rate allowed under the Uniform Guidance.

Finding Details

CFDA# 93.630 Developmental Disabilities Basic Support and Advocacy Grants Criteria: All Protection and Advocacy grants are subject to the Federal Funding Accountability and Transparency Act (FFATA) and are required to file a FFATA sub-award report at fsrs.gov by the end of the month following the month in which DRVT awards any subaward equal to or greater than $30,000 (unless DRVT’s total income was less than $300,000 in the prior year). Condition: DRVT had begun filing FFATA sub-award reports as required in FY22, but failed to do so in FY23. Cause: DRVT’s Chief Financial Officer resigned at the end of FY23, and the new Financial Director did not receive adequate training due to scheduling conflicts between the previous CFO and the new Finance Director. The new Finance Director was not aware of FFATA reporting requirements. FFATA reporting requirements are referred to in the notice of awards. Effect: Compliance with this reporting requirement has been overlooked. Recommendation: DRVT should comply with FFATA reporting requirements. Information contacts are provided in the notice of award, and DRVT can reach out to the appropriate contact for questions regarding compliance with grant awards. They are surprisingly prompt with their e-mail responses. Managment's Response: Management agrees with the finding and will take steps to review and comply with all grant reporting requirements. See Corrective Action Plan for further details.
CFDA# 93.630 Developmental Disabilities Basic Support and Advocacy Grants Criteria: All Protection and Advocacy grants are subject to the Federal Funding Accountability and Transparency Act (FFATA) and are required to file a FFATA sub-award report at fsrs.gov by the end of the month following the month in which DRVT awards any subaward equal to or greater than $30,000 (unless DRVT’s total income was less than $300,000 in the prior year). Condition: DRVT had begun filing FFATA sub-award reports as required in FY22, but failed to do so in FY23. Cause: DRVT’s Chief Financial Officer resigned at the end of FY23, and the new Financial Director did not receive adequate training due to scheduling conflicts between the previous CFO and the new Finance Director. The new Finance Director was not aware of FFATA reporting requirements. FFATA reporting requirements are referred to in the notice of awards. Effect: Compliance with this reporting requirement has been overlooked. Recommendation: DRVT should comply with FFATA reporting requirements. Information contacts are provided in the notice of award, and DRVT can reach out to the appropriate contact for questions regarding compliance with grant awards. They are surprisingly prompt with their e-mail responses. Managment's Response: Management agrees with the finding and will take steps to review and comply with all grant reporting requirements. See Corrective Action Plan for further details.
CFDA# 93.138 Protection and Advocacy for Individuals with Mental Illness Criteria: DRVT is required to report its annual PAIMI grant expenditures on the FFR made available on the Payment Management System (PMS) website. DRVT is also required to file a final FFR when any given award is fully expended. Condition: For some reason the FY23 FFR report was not available on the PMS website. It was also not possible to file the final report for the full expenditure of the FY22 grant. Cause: There is a reporting problem or glitch on the PMS website so that required reports are not available for completion. Effect: Compliance with this reporting requirement has been overlooked. Recommendation: DRVT needs to contact the grant manager and work out this problem so that they can file the required FFRs for FY23. Management's Response: Management agrees with the finding and will take steps to review and comply with all grant reporting requirements. The finance director has contacted PMS, and they have escalated this case to “Tier 2” and said that someone will respond within 1-2 business days.
CFDA# 93.630 Developmental Disabilities Basic Support and Advocacy Grants Criteria: All Protection and Advocacy grants are subject to the Federal Funding Accountability and Transparency Act (FFATA) and are required to file a FFATA sub-award report at fsrs.gov by the end of the month following the month in which DRVT awards any subaward equal to or greater than $30,000 (unless DRVT’s total income was less than $300,000 in the prior year). Condition: DRVT had begun filing FFATA sub-award reports as required in FY22, but failed to do so in FY23. Cause: DRVT’s Chief Financial Officer resigned at the end of FY23, and the new Financial Director did not receive adequate training due to scheduling conflicts between the previous CFO and the new Finance Director. The new Finance Director was not aware of FFATA reporting requirements. FFATA reporting requirements are referred to in the notice of awards. Effect: Compliance with this reporting requirement has been overlooked. Recommendation: DRVT should comply with FFATA reporting requirements. Information contacts are provided in the notice of award, and DRVT can reach out to the appropriate contact for questions regarding compliance with grant awards. They are surprisingly prompt with their e-mail responses. Managment's Response: Management agrees with the finding and will take steps to review and comply with all grant reporting requirements. See Corrective Action Plan for further details.
CFDA# 93.630 Developmental Disabilities Basic Support and Advocacy Grants Criteria: All Protection and Advocacy grants are subject to the Federal Funding Accountability and Transparency Act (FFATA) and are required to file a FFATA sub-award report at fsrs.gov by the end of the month following the month in which DRVT awards any subaward equal to or greater than $30,000 (unless DRVT’s total income was less than $300,000 in the prior year). Condition: DRVT had begun filing FFATA sub-award reports as required in FY22, but failed to do so in FY23. Cause: DRVT’s Chief Financial Officer resigned at the end of FY23, and the new Financial Director did not receive adequate training due to scheduling conflicts between the previous CFO and the new Finance Director. The new Finance Director was not aware of FFATA reporting requirements. FFATA reporting requirements are referred to in the notice of awards. Effect: Compliance with this reporting requirement has been overlooked. Recommendation: DRVT should comply with FFATA reporting requirements. Information contacts are provided in the notice of award, and DRVT can reach out to the appropriate contact for questions regarding compliance with grant awards. They are surprisingly prompt with their e-mail responses. Managment's Response: Management agrees with the finding and will take steps to review and comply with all grant reporting requirements. See Corrective Action Plan for further details.
CFDA# 93.138 Protection and Advocacy for Individuals with Mental Illness Criteria: DRVT is required to report its annual PAIMI grant expenditures on the FFR made available on the Payment Management System (PMS) website. DRVT is also required to file a final FFR when any given award is fully expended. Condition: For some reason the FY23 FFR report was not available on the PMS website. It was also not possible to file the final report for the full expenditure of the FY22 grant. Cause: There is a reporting problem or glitch on the PMS website so that required reports are not available for completion. Effect: Compliance with this reporting requirement has been overlooked. Recommendation: DRVT needs to contact the grant manager and work out this problem so that they can file the required FFRs for FY23. Management's Response: Management agrees with the finding and will take steps to review and comply with all grant reporting requirements. The finance director has contacted PMS, and they have escalated this case to “Tier 2” and said that someone will respond within 1-2 business days.