Audit 350172

FY End
2024-06-30
Total Expended
$284.16M
Findings
4
Programs
77
Organization: County of San Joaquin (CA)
Year: 2024 Accepted: 2025-03-28

Organization Exclusion Status:

Checking exclusion status...

Findings

ID Ref Severity Repeat Requirement
539629 2024-002 Significant Deficiency - I
539630 2024-003 Material Weakness - M
1116071 2024-002 Significant Deficiency - I
1116072 2024-003 Material Weakness - M

Programs

ALN Program Spent Major Findings
21.027 Coronavirus State and Local Fiscal Recovery Funds $18.55M Yes 2
10.561 State Administrative Matching Grants for the Supplemental Nutrition Assistance Program $15.24M - 0
93.563 Low-Income Home Energy Assistance $14.30M - 0
93.778 Medical Assistance Program $4.45M - 0
11.307 Economic Adjustment Assistance $4.33M Yes 0
17.259 Wioa Youth Activities $2.18M - 0
93.268 Immunization Cooperative Agreements $2.10M - 0
93.958 Block Grants for Community Mental Health Services $2.09M - 0
10.557 Wic Special Supplemental Nutrition Program for Women, Infants, and Children $2.07M - 0
93.659 Adoption Assistance $2.03M - 0
10.569 Emergency Food Assistance Program (food Commodities) $1.84M - 0
17.258 Wioa Adult Program $1.33M - 0
93.495 Provider Relief Fund and American Rescue Plan (arp) Rural Distribution $1.23M - 0
93.667 Social Services Block Grant $1.13M - 0
14.218 Community Development Block Grants/entitlement Grants $800,419 - 0
93.354 Public Health Emergency Response: Cooperative Agreement for Emergency Response: Public Health Crisis Response $794,296 - 0
14.231 Emergency Solutions Grant Program $785,399 - 0
93.069 Public Health Emergency Preparedness $768,480 - 0
93.556 Marylee Allen Promoting Safe and Stable Families Program $704,371 - 0
84.126 Rehabilitation Services Vocational Rehabilitation Grants to States $640,775 - 0
93.674 John H. Chafee Foster Care Program for Successful Transition to Adulthood $585,476 - 0
16.922 Equitable Sharing Program $566,230 - 0
93.645 Stephanie Tubbs Jones Child Welfare Services Program $516,899 - 0
93.323 Epidemiology and Laboratory Capacity for Infectious Diseases (elc) $394,970 - 0
10.568 Emergency Food Assistance Program (administrative Costs) $385,577 - 0
97.067 Homeland Security Grant Program $368,156 - 0
93.658 Foster Care Title IV-E $359,462 - 0
93.391 Activities to Support State, Tribal, Local and Territorial (stlt) Health Department Response to Public Health Or Healthcare Crises $332,431 - 0
93.889 National Bioterrorism Hospital Preparedness Program $289,928 - 0
97.042 Emergency Management Performance Grants $280,224 - 0
93.977 Sexually Transmitted Diseases (std) Prevention and Control Grants $257,816 - 0
14.241 Housing Opportunities for Persons with Aids $256,084 - 0
93.150 Projects for Assistance in Transition From Homelessness (path) $249,275 - 0
93.994 Maternal and Child Health Services Block Grant to the States $202,508 - 0
93.558 Temporary Assistance for Needy Families $168,121 Yes 0
16.738 Edward Byrne Memorial Justice Assistance Grant Program $167,104 - 0
10.553 School Breakfast Program $157,237 - 0
97.011 Boating Safety $150,000 - 0
93.053 Nutrition Services Incentive Program $146,657 Yes 0
16.575 Crime Victim Assistance $132,421 - 0
97.056 Port Security Grant Program $108,126 - 0
90.404 Hava Election Security Grants $102,032 - 0
17.278 Wioa Dislocated Worker Formula Grants $99,009 - 0
14.267 Continuum of Care Program $95,798 Yes 0
10.170 Specialty Crop Block Grant Program - Farm Bill $93,033 - 0
93.044 Special Programs for the Aging, Title Iii, Part B, Grants for Supportive Services and Senior Centers $75,295 Yes 0
17.225 Unemployment Insurance $74,443 - 0
93.967 Centers for Disease Control and Prevention Collaboration with Academia to Strengthen Public Health $72,003 - 0
14.239 Community Development Block Grants/entitlement Grants $70,090 - 0
20.616 National Priority Safety Programs $59,826 - 0
93.045 Special Programs for the Aging, Title Iii, Part C, Nutrition Services $59,510 Yes 0
93.043 Special Programs for the Aging, Title Iii, Part D, Disease Prevention and Health Promotion Services $59,198 Yes 0
10.025 Plant and Animal Disease, Pest Control, and Animal Care $56,800 - 0
93.042 Special Programs for the Aging, Title Vii, Chapter 2, Long Term Care Ombudsman Services for Older Individuals $47,922 Yes 0
10.187 The Emergency Food Assistance Program (tefap) Commodity Credit Corporation Eligible Recipient Funds $46,654 - 0
93.090 Guardianship Assistance $43,190 - 0
93.116 Project Grants and Cooperative Agreements for Tuberculosis Control Programs $34,957 - 0
16.U01 Drug Enforcement Admin Domestic Cannabis Eradication $31,655 - 0
93.052 National Family Caregiver Support, Title Iii, Part E $29,160 Yes 0
10.576 Senior Farmers Market Nutrition Program $27,500 - 0
93.569 Community Services Block Grant $26,000 - 0
81.042 Weatherization Assistance for Low-Income Persons $23,868 - 0
97.036 Disaster Grants - Public Assistance (presidentially Declared Disasters) $23,019 - 0
95.001 High Intensity Drug Trafficking Areas Program $18,000 - 0
93.566 Refugee and Entrant Assistance State/replacement Designee Administered Programs $17,826 - 0
97.024 Emergency Food and Shelter National Board Program $17,548 - 0
93.917 Hiv Care Formula Grants $12,741 - 0
93.783 Medicare Transitional Drug Assistance Program for States $12,150 - 0
14.239 Home Investment Partnerships Program $10,733 - 0
93.041 Special Programs for the Aging, Title Vii, Chapter 3, Programs for Prevention of Elder Abuse, Neglect, and Exploitation $10,084 Yes 0
93.941 Hiv Demonstration, Research, Public and Professional Education Projects $8,668 - 0
93.568 Low-Income Home Energy Assistance $8,628 Yes 0
10.182 Pandemic Relief Activities: Local Food Purchase Agreements with States, Tribes, and Local Governments $8,250 - 0
16.607 Bulletproof Vest Partnership Program $7,207 - 0
93.959 Block Grants for Prevention and Treatment of Substance Abuse $5,537 Yes 0
20.205 Highway Planning and Construction $4,581 - 0
20.106 Airport Improvement Program, Infrastructure Investment and Jobs Act Programs, and Covid-19 Airports Programs $0 - 0

Contacts

Name Title Type
MKMGP2C1C2V7 Jian Ou-Yang Auditee
2099531190 Rich Gonzalez Auditor
No contacts on file

Notes to SEFA

Title: NOTE 1 BASIS OF PRESENTATION Accounting Policies: Expenditures reported in the Schedule are reported on the modified accrual basis of accounting, except for subrecipient expenditures, which are recorded on the cash basis and certain U.S. Department of Health and Human Resources programs that are reported on a cash basis in accordance with guidance provided by the California Health and Human Services Agency. When applicable, such expenditures are recognized following the cost principles contained in the Uniform Guidance, wherein certain types of expenditures are not allowable or are limited as to reimbursement. De Minimis Rate Used: N Rate Explanation: The County has not elected to use the 10% de minimis indirect cost rate allowed under the Uniform Guidance The accompanying schedule of expenditures of federal awards (the Schedule) includes the federal award activity of the County of San Joaquin, California (the County) under programs of the federal government for the year ended June 30, 2024. The information in this Schedule is presented in accordance with the requirements of Title 2 U.S. Code of Federal Regulations Part 200, Uniform Administrative Requirements, Cost Principles, and Audit Requirements for Federal Awards (Uniform Guidance). Because the Schedule presents only a selected portion of the operations of the County, it is not intended to and does not present the financial position, changes in net position, or cash flows of the County. Negative amounts, if any, shown on the Schedule represent adjustments or credits made in the normal course of business to amounts reported as expenditures in the prior years.
Title: NOTE 2 SUMMARY OF SIGNIFICANT ACCOUNTING POLICIES Accounting Policies: Expenditures reported in the Schedule are reported on the modified accrual basis of accounting, except for subrecipient expenditures, which are recorded on the cash basis and certain U.S. Department of Health and Human Resources programs that are reported on a cash basis in accordance with guidance provided by the California Health and Human Services Agency. When applicable, such expenditures are recognized following the cost principles contained in the Uniform Guidance, wherein certain types of expenditures are not allowable or are limited as to reimbursement. De Minimis Rate Used: N Rate Explanation: The County has not elected to use the 10% de minimis indirect cost rate allowed under the Uniform Guidance Expenditures reported in the Schedule are reported on the modified accrual basis of accounting, except for subrecipient expenditures, which are recorded on the cash basis and certain U.S. Department of Health and Human Resources programs that are reported on a cash basis in accordance with guidance provided by the California Health and Human Services Agency. When applicable, such expenditures are recognized following the cost principles contained in the Uniform Guidance, wherein certain types of expenditures are not allowable or are limited as to reimbursement.
Title: NOTE 3 INDIRECT COST RATE Accounting Policies: Expenditures reported in the Schedule are reported on the modified accrual basis of accounting, except for subrecipient expenditures, which are recorded on the cash basis and certain U.S. Department of Health and Human Resources programs that are reported on a cash basis in accordance with guidance provided by the California Health and Human Services Agency. When applicable, such expenditures are recognized following the cost principles contained in the Uniform Guidance, wherein certain types of expenditures are not allowable or are limited as to reimbursement. De Minimis Rate Used: N Rate Explanation: The County has not elected to use the 10% de minimis indirect cost rate allowed under the Uniform Guidance The County has not elected to use the 10% de minimis indirect cost rate allowed under the Uniform Guidance.
Title: NOTE 4 PASS-THROUGH ENTITIES’ IDENTIFYING NUMBER Accounting Policies: Expenditures reported in the Schedule are reported on the modified accrual basis of accounting, except for subrecipient expenditures, which are recorded on the cash basis and certain U.S. Department of Health and Human Resources programs that are reported on a cash basis in accordance with guidance provided by the California Health and Human Services Agency. When applicable, such expenditures are recognized following the cost principles contained in the Uniform Guidance, wherein certain types of expenditures are not allowable or are limited as to reimbursement. De Minimis Rate Used: N Rate Explanation: The County has not elected to use the 10% de minimis indirect cost rate allowed under the Uniform Guidance When federal awards were received from a pass-through entity, the Schedule shows, if available, the identifying number assigned by the pass-through entity. When no identifying number is shown, the County has determined that no identifying number is assigned for the program, or the County was unable to obtain an identifying number from the pass-through entity.
Title: NOTE 5 AGING CLUSTER Accounting Policies: Expenditures reported in the Schedule are reported on the modified accrual basis of accounting, except for subrecipient expenditures, which are recorded on the cash basis and certain U.S. Department of Health and Human Resources programs that are reported on a cash basis in accordance with guidance provided by the California Health and Human Services Agency. When applicable, such expenditures are recognized following the cost principles contained in the Uniform Guidance, wherein certain types of expenditures are not allowable or are limited as to reimbursement. De Minimis Rate Used: N Rate Explanation: The County has not elected to use the 10% de minimis indirect cost rate allowed under the Uniform Guidance The California Department of Aging considers other closely related pass-through programs by the state to be included with the Aging Cluster, in accordance with 2 CFR 200.12.
Title: NOTE 6 MEDICAID CLUSTER Accounting Policies: Expenditures reported in the Schedule are reported on the modified accrual basis of accounting, except for subrecipient expenditures, which are recorded on the cash basis and certain U.S. Department of Health and Human Resources programs that are reported on a cash basis in accordance with guidance provided by the California Health and Human Services Agency. When applicable, such expenditures are recognized following the cost principles contained in the Uniform Guidance, wherein certain types of expenditures are not allowable or are limited as to reimbursement. De Minimis Rate Used: N Rate Explanation: The County has not elected to use the 10% de minimis indirect cost rate allowed under the Uniform Guidance Except for Medi-Cal administrative expenditures, Medicaid (Medi-Cal) and Medicare program expenditures are excluded from the schedule of expenditures of federal awards. These expenditures represent fees for services; therefore, neither is considered a federal award program of the County for purposes of the schedule of expenditures of federal awards or in determining major programs. The County assists the state of California (the State) in determining eligibility and provides Medi-Cal and Medicare services through County-owned health facilities, Medi-Cal administrative expenditures are included in the schedule of expenditures of federal awards as they do not represent fees for services.
Title: NOTE 7 OUTSTANDING LOANS WITH FEDERAL FUNDS Accounting Policies: Expenditures reported in the Schedule are reported on the modified accrual basis of accounting, except for subrecipient expenditures, which are recorded on the cash basis and certain U.S. Department of Health and Human Resources programs that are reported on a cash basis in accordance with guidance provided by the California Health and Human Services Agency. When applicable, such expenditures are recognized following the cost principles contained in the Uniform Guidance, wherein certain types of expenditures are not allowable or are limited as to reimbursement. De Minimis Rate Used: N Rate Explanation: The County has not elected to use the 10% de minimis indirect cost rate allowed under the Uniform Guidance Outstanding federally-funded program loans, without continuing compliance requirements, carried balances as of June 30, 2024 as follows:

Finding Details

Federal Agency: U.S. Department of Treasury Federal Program Name: Coronavirus State and Local Fiscal Recovery Funds (CSLFRF) Assistance Listing Number: 21.027 Type of Finding: Significant Deficiency in Internal Control Over Compliance Criteria: According to § 180.300 of Subpart C - Responsibilities of Participants Regarding Transactions Doing Business with Other Persons of 2 CFR Part 180, when you enter into a covered transaction with another person at the next lower tier, you must verify that the person with whom you intend to do business is not excluded or disqualified. You do this by: (a) Checking SAM Exclusions; or (b) Collecting a certification from that person; or (c) Adding a clause or condition to the covered transaction with that person. Condition: The County did not follow suspension and debarment regulation and suspension and debarment verification procedures. Questioned Costs: None Context: We selected 8 samples as part of our testing over Suspension and Disbarment. Of the 8 samples selected, the County was unable to provide proof of suspension and disbarment checks. Cause: The County has policies that require that the departments verify vendors through Sam.gov prior to entering transactions. However, the policy does not include documentation of these checks. Effect: Without checking debarment before engaging in services, the County could have entered into an agreement with a vendor that was disbarred from receiving federal funding. Repeat Finding: No Recommendation: We recommend that the County should implement procedures to ensure that federal guidance is followed relating to suspension and disbarment and to provide training on these procedures, which should include maintaining documentation of the review performed by the County. View of Responsible Officials: There is no disagreement with the audit finding.
Federal Agency: U.S. Department of Treasury Federal Program Name: Coronavirus State and Local Fiscal Recovery Funds (CSLFRF) Assistance Listing Number: 21.027 Type of Finding: Material Weakness in Internal Control Over Compliance, Material Noncompliance (Modified Opinion) Criteria: Per 2 CFR sections 200.332(d) through (f), a pass-through entity must monitor the activities of the subrecipient as necessary to ensure that the subaward is used for authorized purposes, complies with the terms and conditions of the subaward, and achieves the performance goals. Per 2 CFR section 200.502(a), the determination of when a Federal award is expended must be based on when the activity related to the Federal award occurs which is generally expenditure/expense transactions associated with awards. Condition: During our testing over subrecipient monitoring, the County was unable to provide subrecipient monitoring support. Questioned Costs: None Context: We selected 8 samples as part of our testing over Subrecipient Monitoring. Of the 8 samples selected, the County was unable to provide adequate support for the subrecipients selected. Cause: The County has policies that require departments to conduct subrecipient monitoring to ensure compliance with grant requirements. However, the policy does not include documentation of these monitoring activities, such as site visits, financial reviews, or performance evaluations. This lack of documentation results in an inability to verify that subrecipient monitoring is being performed effectively and consistently. Effect: Without proper oversight, subrecipients may fail to achieve program goals and objectives, leading to poor performance and outcomes for the funded programs. Repeat Finding: No Recommendation: We recommend that the County implement procedures to ensure that federal guidance is followed related to subrecipient monitoring and provide trainings on these procedures, including maintaining documentation of the review performed by the County. View of Responsible Officials: There is no disagreement with the audit finding.
Federal Agency: U.S. Department of Treasury Federal Program Name: Coronavirus State and Local Fiscal Recovery Funds (CSLFRF) Assistance Listing Number: 21.027 Type of Finding: Significant Deficiency in Internal Control Over Compliance Criteria: According to § 180.300 of Subpart C - Responsibilities of Participants Regarding Transactions Doing Business with Other Persons of 2 CFR Part 180, when you enter into a covered transaction with another person at the next lower tier, you must verify that the person with whom you intend to do business is not excluded or disqualified. You do this by: (a) Checking SAM Exclusions; or (b) Collecting a certification from that person; or (c) Adding a clause or condition to the covered transaction with that person. Condition: The County did not follow suspension and debarment regulation and suspension and debarment verification procedures. Questioned Costs: None Context: We selected 8 samples as part of our testing over Suspension and Disbarment. Of the 8 samples selected, the County was unable to provide proof of suspension and disbarment checks. Cause: The County has policies that require that the departments verify vendors through Sam.gov prior to entering transactions. However, the policy does not include documentation of these checks. Effect: Without checking debarment before engaging in services, the County could have entered into an agreement with a vendor that was disbarred from receiving federal funding. Repeat Finding: No Recommendation: We recommend that the County should implement procedures to ensure that federal guidance is followed relating to suspension and disbarment and to provide training on these procedures, which should include maintaining documentation of the review performed by the County. View of Responsible Officials: There is no disagreement with the audit finding.
Federal Agency: U.S. Department of Treasury Federal Program Name: Coronavirus State and Local Fiscal Recovery Funds (CSLFRF) Assistance Listing Number: 21.027 Type of Finding: Material Weakness in Internal Control Over Compliance, Material Noncompliance (Modified Opinion) Criteria: Per 2 CFR sections 200.332(d) through (f), a pass-through entity must monitor the activities of the subrecipient as necessary to ensure that the subaward is used for authorized purposes, complies with the terms and conditions of the subaward, and achieves the performance goals. Per 2 CFR section 200.502(a), the determination of when a Federal award is expended must be based on when the activity related to the Federal award occurs which is generally expenditure/expense transactions associated with awards. Condition: During our testing over subrecipient monitoring, the County was unable to provide subrecipient monitoring support. Questioned Costs: None Context: We selected 8 samples as part of our testing over Subrecipient Monitoring. Of the 8 samples selected, the County was unable to provide adequate support for the subrecipients selected. Cause: The County has policies that require departments to conduct subrecipient monitoring to ensure compliance with grant requirements. However, the policy does not include documentation of these monitoring activities, such as site visits, financial reviews, or performance evaluations. This lack of documentation results in an inability to verify that subrecipient monitoring is being performed effectively and consistently. Effect: Without proper oversight, subrecipients may fail to achieve program goals and objectives, leading to poor performance and outcomes for the funded programs. Repeat Finding: No Recommendation: We recommend that the County implement procedures to ensure that federal guidance is followed related to subrecipient monitoring and provide trainings on these procedures, including maintaining documentation of the review performed by the County. View of Responsible Officials: There is no disagreement with the audit finding.