Audit 35930

FY End
2022-09-30
Total Expended
$199.34M
Findings
8
Programs
70
Organization: City of Austin (TX)
Year: 2022 Accepted: 2023-05-16

Organization Exclusion Status:

Checking exclusion status...

Findings

ID Ref Severity Repeat Requirement
31527 2022-002 Significant Deficiency - L
31528 2022-002 Significant Deficiency - L
31529 2022-002 Significant Deficiency - L
31530 2022-002 Significant Deficiency - L
607969 2022-002 Significant Deficiency - L
607970 2022-002 Significant Deficiency - L
607971 2022-002 Significant Deficiency - L
607972 2022-002 Significant Deficiency - L

Programs

ALN Program Spent Major Findings
21.027 Coronavirus State and Local Fiscal Recovery Funds $19.83M Yes 0
66.458 Capitalization Grants for Clean Water State Revolving Funds $19.22M - 0
66.468 Capitalization Grants for Drinking Water State Revolving Funds $18.99M - 0
97.036 Disaster Grants - Public Assistance (presidentially Declared Disasters) $12.11M - 0
14.231 Emergency Solutions Grant Program $9.10M - 0
21.023 Emergency Rental Assistance Program $8.41M Yes 0
20.106 Airport Improvement Program $7.32M Yes 0
10.557 Special Supplemental Nutrition Program for Women, Infants, and Children $6.66M Yes 0
14.218 Community Development Block Grants/entitlement Grants $3.96M - 0
93.268 Immunization Cooperative Agreements $1.59M Yes 1
93.391 Activities to Support State, Tribal, Local and Territorial (stlt) Health Department Response to Public Health Or Healthcare Crises $1.55M - 0
93.566 Refugee and Entrant Assistance_state Administered Programs $1.18M - 0
93.918 Grants to Provide Outpatient Early Intervention Services with Respect to Hiv Disease $658,172 - 0
97.045 Cooperating Technical Partners $641,458 - 0
15.916 Outdoor Recreation_acquisition, Development and Planning $623,698 - 0
93.686 Ending the Hiv Epidemic: A Plan for America Ryan White Hiv/aids Program Parts A and B (b) $428,172 - 0
16.817 Byrne Criminal Justice Innovation Program $398,039 - 0
93.498 Provider Relief Fund $330,132 - 0
93.323 Epidemiology and Laboratory Capacity for Infectious Diseases (elc) $328,637 - 0
16.590 Grants to Encourage Arrest Policies and Enforcement of Protection Orders Program $307,178 - 0
93.074 Hospital Preparedness Program (hpp) and Public Health Emergency Preparedness (phep) Aligned Cooperative Agreements $299,162 - 0
16.833 National Sexual Assault Kit Initiative $291,366 - 0
20.205 Highway Planning and Construction $278,495 - 0
93.870 Maternal, Infant and Early Childhood Home Visiting Grant $233,348 - 0
14.248 Community Development Block Grants_section 108 Loan Guarantees $232,000 - 0
14.228 Community Development Block Grants/state's Program and Non-Entitlement Grants in Hawaii $227,233 - 0
93.116 Project Grants and Cooperative Agreements for Tuberculosis Control Programs $219,291 - 0
16.752 Economic High-Tech and Cyber Crime Prevention $216,420 - 0
93.354 Public Health Emergency Response: Cooperative Agreement for Emergency Response: Public Health Crisis Response $206,435 - 0
97.067 Homeland Security Grant Program $196,079 - 0
14.401 Fair Housing Assistance Program_state and Local $176,400 - 0
16.742 Paul Coverdell Forensic Sciences Improvement Grant Program $171,029 - 0
19.040 Public Diplomacy Programs for Afghanistan and Pakistan $157,831 - 0
20.219 Recreational Trails Program $149,511 - 0
20.237 Commercial Vehicle Information Systems and Networks $143,615 - 0
16.575 Crime Victim Assistance $143,598 - 0
93.069 Public Health Emergency Preparedness $129,348 - 0
16.738 Edward Byrne Memorial Justice Assistance Grant Program $108,886 - 0
16.034 Coronavirus Emergency Supplemental Funding Program $107,158 - 0
93.387 National and State Tobacco Control Program (b) $94,733 - 0
81.086 Conservation Research and Development $81,090 - 0
32.009 Emergency Connectivity Fund Program $80,000 - 0
66.818 Brownfields Assessment and Cleanup Cooperative Agreements $75,215 - 0
93.569 Community Services Block Grant $64,722 - 0
16.922 Equitable Sharing Program $64,276 - 0
93.495 Community Health Workers for Public Health Response and Resilient $53,097 - 0
20.513 Enhanced Mobility of Seniors and Individuals with Disabilities $45,809 - 0
93.044 Special Programs for the Aging_title Iii, Part B_grants for Supportive Services and Senior Centers $39,963 - 0
20.600 State and Community Highway Safety $37,741 - 0
16.588 Violence Against Women Formula Grants $37,704 - 0
97.091 Homeland Security Biowatch Program $33,399 - 0
45.169 Promotion of the Humanities_office of Digital Humanities $32,554 - 0
93.977 Preventive Health Services_sexually Transmitted Diseases Control Grants $27,963 - 0
15.904 Historic Preservation Fund Grants-in-Aid $27,600 - 0
30.001 Employment Discrimination_title Vii of the Civil Rights Act of 1964 $24,900 - 0
19.021 Investing in People in the Middle East and North Africa $24,357 - 0
45.310 Grants to States $22,757 - 0
93.914 Hiv Emergency Relief Project Grants $22,474 - 0
19.501 Public Diplomacy Programs for Afghanistan and Pakistan $20,877 - 0
15.631 Partners for Fish and Wildlife $13,050 - 0
93.991 Preventive Health and Health Services Block Grant $9,379 - 0
93.556 Promoting Safe and Stable Families $7,066 - 0
93.758 Preventive Health and Health Services Block Grant Funded Solely with Prevention and Public Health Funds (pphf) $4,532 - 0
20.616 National Priority Safety Programs $2,735 - 0
97.044 Assistance to Firefighters Grant $2,430 - 0
94.013 Volunteers in Service to America $2,399 - 0
14.241 Housing Opportunities for Persons with Aids $47 - 0
93.297 Teenage Pregnancy Prevention Program $0 - 0
93.940 Hiv Prevention Activities_health Department Based $0 - 0
14.239 Home Investment Partnerships Program $-158,600 Yes 0

Contacts

Name Title Type
J3H8J7BZLAK6 Marija Jukic Auditee
5129742951 Tracey Guidry Cooley Auditor
No contacts on file

Notes to SEFA

Title: DISASTER GRANTS-PUBLIC ASSISTANCE (PRESIDENTIALLY DECLARED DISASTERS PROGRA Accounting Policies: The accompanying Schedule of Expenditures of Federal Awards (SEFA) was presented on the accrual basis of accounting, and presents the activity of all federal awards to the City of Austin, Texas (the City). The information in the SEFA is presented in accordance with the requirements of Title 2 U.S. Code of Federal Regulations Part 200, Uniform Administrative, Cost Principles, and Audit Requirements for Federal Awards (Uniform Guidance). Some amounts presented in the SEFA may differ from amounts presented in, or used in the preparation of, the basic financial statements. The amounts reported as expenditures in the SEFA may not agree with the amounts reported in the financial reports filed with grantor agencies due to accruals, which would be included in the next report filed with the agency. Negative amounts shown in the SEFA represent corrections, adjustments or credits made to amounts reported as expenditures in prior years. The SEFA included certain program expenditures that relate to prior years. See Note 1 to the SEFA for the programs affected detail. De Minimis Rate Used: N Rate Explanation: The City elected not to use the 10-percent de minimis indirect cost rate allowed under the Uniform Guidance. Reconciliation of Federal Expenditures related to Disaster Grants-Public Assistance Listing Number (ALN) 97.036; reported in the Schedule of Expenditures of Federal Awards to the City's Consolidated Financial Statements - There are six declared disasters in Austin, Texas that are still active: Halloween 2013, Memorial Day 2015, Halloween 2015, Hurricane Harvey, Texas Severe Storms, and Texas Covid-19 Pandemic. The City expects to recoup some of the cost associated with the repair and rebuilding of damaged assets over the next several years from insurance, federal government assistance and operating funds. The declared disaster of Hurricane Harvey did not receive any reimbursements during fiscal year 2022. See Note 3 to the SEFA for the reconciliation table.
Title: LOANS Accounting Policies: The accompanying Schedule of Expenditures of Federal Awards (SEFA) was presented on the accrual basis of accounting, and presents the activity of all federal awards to the City of Austin, Texas (the City). The information in the SEFA is presented in accordance with the requirements of Title 2 U.S. Code of Federal Regulations Part 200, Uniform Administrative, Cost Principles, and Audit Requirements for Federal Awards (Uniform Guidance). Some amounts presented in the SEFA may differ from amounts presented in, or used in the preparation of, the basic financial statements. The amounts reported as expenditures in the SEFA may not agree with the amounts reported in the financial reports filed with grantor agencies due to accruals, which would be included in the next report filed with the agency. Negative amounts shown in the SEFA represent corrections, adjustments or credits made to amounts reported as expenditures in prior years. The SEFA included certain program expenditures that relate to prior years. See Note 1 to the SEFA for the programs affected detail. De Minimis Rate Used: N Rate Explanation: The City elected not to use the 10-percent de minimis indirect cost rate allowed under the Uniform Guidance. In addition to federal awards involving expenditures in 2022, the City has federally guaranteed loans outstanding as of September 30, 2022 with the Department of Housing and Urban Development. These loans are related to the Section 108 Loan Program (ALN 14.248). Four of the Section 108 loans have remaining balances to be disbursed (i.e., awarded) by the City at September 30, 2022. The remaining loan balances at September 30, 2022, are as follows: NCMP Section 108 $647,635, Section 108 Family Business Loan $5,051,681. Total remaining loan balances $5,699,316
Title: LOANS TO THIRD PARTIES Accounting Policies: The accompanying Schedule of Expenditures of Federal Awards (SEFA) was presented on the accrual basis of accounting, and presents the activity of all federal awards to the City of Austin, Texas (the City). The information in the SEFA is presented in accordance with the requirements of Title 2 U.S. Code of Federal Regulations Part 200, Uniform Administrative, Cost Principles, and Audit Requirements for Federal Awards (Uniform Guidance). Some amounts presented in the SEFA may differ from amounts presented in, or used in the preparation of, the basic financial statements. The amounts reported as expenditures in the SEFA may not agree with the amounts reported in the financial reports filed with grantor agencies due to accruals, which would be included in the next report filed with the agency. Negative amounts shown in the SEFA represent corrections, adjustments or credits made to amounts reported as expenditures in prior years. The SEFA included certain program expenditures that relate to prior years. See Note 1 to the SEFA for the programs affected detail. De Minimis Rate Used: N Rate Explanation: The City elected not to use the 10-percent de minimis indirect cost rate allowed under the Uniform Guidance. The City uses CDBG and HOME funds to grant loans to low and moderate-income individuals. As of September 30, 2022, the balance of the loans receivable was approximately $29,207,388.

Finding Details

Finding 2022-002 ? Control Finding ? Significant Deficiency ? Immunization Outreach ? Reporting ALN #93.268 and Contracts #HHS000108500001/ HHS001019500002 - Immunization Outreach ?Passed through the Texas Department of State Health Services (DSHS) Criteria - Quarterly Financial Status Reports (FSR) are required by the federal OMB compliance supplement and the state grant agreements to be submitted by the last business day of the month following the end of each quarter for review and financial assessment. Condition/Context - There are two grant awards associated with the Immunization Outreach program for FY22: HHS000108500001 ? IMM/Locals and HHS001019500002 ? COVID-19. During the testing of the reporting compliance requirement for award HHS000108500001, we selected all four FSRs and noted that one was submitted after the due date, and one was not submitted to the grantor. Furthermore, for award HHS001019500002, we also selected all four FSRs and noted that two FSRs were not submitted to the grantor. Cause - Grant administrators did not sufficiently track the due dates to ensure timely submission of FSRs. Effect - Failure to meet report submission deadlines and the non- submission of reports could potentially constitute an event of noncompliance with the award contract, which may result in the early termination of the grant award, nonreimbursement of grant funding, or cessation of future funding. Recommendations - Management should ensure that they have a mechanism for tracking the reporting requirements and due date so that the FSRs are submitted timely to the grantor. Views of Responsible Officials ? See Corrective Action Plan
Finding 2022-002 ? Control Finding ? Significant Deficiency ? Immunization Outreach ? Reporting ALN #93.268 and Contracts #HHS000108500001/ HHS001019500002 - Immunization Outreach ?Passed through the Texas Department of State Health Services (DSHS) Criteria - Quarterly Financial Status Reports (FSR) are required by the federal OMB compliance supplement and the state grant agreements to be submitted by the last business day of the month following the end of each quarter for review and financial assessment. Condition/Context - There are two grant awards associated with the Immunization Outreach program for FY22: HHS000108500001 ? IMM/Locals and HHS001019500002 ? COVID-19. During the testing of the reporting compliance requirement for award HHS000108500001, we selected all four FSRs and noted that one was submitted after the due date, and one was not submitted to the grantor. Furthermore, for award HHS001019500002, we also selected all four FSRs and noted that two FSRs were not submitted to the grantor. Cause - Grant administrators did not sufficiently track the due dates to ensure timely submission of FSRs. Effect - Failure to meet report submission deadlines and the non- submission of reports could potentially constitute an event of noncompliance with the award contract, which may result in the early termination of the grant award, nonreimbursement of grant funding, or cessation of future funding. Recommendations - Management should ensure that they have a mechanism for tracking the reporting requirements and due date so that the FSRs are submitted timely to the grantor. Views of Responsible Officials ? See Corrective Action Plan
Finding 2022-002 ? Control Finding ? Significant Deficiency ? Immunization Outreach ? Reporting ALN #93.268 and Contracts #HHS000108500001/ HHS001019500002 - Immunization Outreach ?Passed through the Texas Department of State Health Services (DSHS) Criteria - Quarterly Financial Status Reports (FSR) are required by the federal OMB compliance supplement and the state grant agreements to be submitted by the last business day of the month following the end of each quarter for review and financial assessment. Condition/Context - There are two grant awards associated with the Immunization Outreach program for FY22: HHS000108500001 ? IMM/Locals and HHS001019500002 ? COVID-19. During the testing of the reporting compliance requirement for award HHS000108500001, we selected all four FSRs and noted that one was submitted after the due date, and one was not submitted to the grantor. Furthermore, for award HHS001019500002, we also selected all four FSRs and noted that two FSRs were not submitted to the grantor. Cause - Grant administrators did not sufficiently track the due dates to ensure timely submission of FSRs. Effect - Failure to meet report submission deadlines and the non- submission of reports could potentially constitute an event of noncompliance with the award contract, which may result in the early termination of the grant award, nonreimbursement of grant funding, or cessation of future funding. Recommendations - Management should ensure that they have a mechanism for tracking the reporting requirements and due date so that the FSRs are submitted timely to the grantor. Views of Responsible Officials ? See Corrective Action Plan
Finding 2022-002 ? Control Finding ? Significant Deficiency ? Immunization Outreach ? Reporting ALN #93.268 and Contracts #HHS000108500001/ HHS001019500002 - Immunization Outreach ?Passed through the Texas Department of State Health Services (DSHS) Criteria - Quarterly Financial Status Reports (FSR) are required by the federal OMB compliance supplement and the state grant agreements to be submitted by the last business day of the month following the end of each quarter for review and financial assessment. Condition/Context - There are two grant awards associated with the Immunization Outreach program for FY22: HHS000108500001 ? IMM/Locals and HHS001019500002 ? COVID-19. During the testing of the reporting compliance requirement for award HHS000108500001, we selected all four FSRs and noted that one was submitted after the due date, and one was not submitted to the grantor. Furthermore, for award HHS001019500002, we also selected all four FSRs and noted that two FSRs were not submitted to the grantor. Cause - Grant administrators did not sufficiently track the due dates to ensure timely submission of FSRs. Effect - Failure to meet report submission deadlines and the non- submission of reports could potentially constitute an event of noncompliance with the award contract, which may result in the early termination of the grant award, nonreimbursement of grant funding, or cessation of future funding. Recommendations - Management should ensure that they have a mechanism for tracking the reporting requirements and due date so that the FSRs are submitted timely to the grantor. Views of Responsible Officials ? See Corrective Action Plan
Finding 2022-002 ? Control Finding ? Significant Deficiency ? Immunization Outreach ? Reporting ALN #93.268 and Contracts #HHS000108500001/ HHS001019500002 - Immunization Outreach ?Passed through the Texas Department of State Health Services (DSHS) Criteria - Quarterly Financial Status Reports (FSR) are required by the federal OMB compliance supplement and the state grant agreements to be submitted by the last business day of the month following the end of each quarter for review and financial assessment. Condition/Context - There are two grant awards associated with the Immunization Outreach program for FY22: HHS000108500001 ? IMM/Locals and HHS001019500002 ? COVID-19. During the testing of the reporting compliance requirement for award HHS000108500001, we selected all four FSRs and noted that one was submitted after the due date, and one was not submitted to the grantor. Furthermore, for award HHS001019500002, we also selected all four FSRs and noted that two FSRs were not submitted to the grantor. Cause - Grant administrators did not sufficiently track the due dates to ensure timely submission of FSRs. Effect - Failure to meet report submission deadlines and the non- submission of reports could potentially constitute an event of noncompliance with the award contract, which may result in the early termination of the grant award, nonreimbursement of grant funding, or cessation of future funding. Recommendations - Management should ensure that they have a mechanism for tracking the reporting requirements and due date so that the FSRs are submitted timely to the grantor. Views of Responsible Officials ? See Corrective Action Plan
Finding 2022-002 ? Control Finding ? Significant Deficiency ? Immunization Outreach ? Reporting ALN #93.268 and Contracts #HHS000108500001/ HHS001019500002 - Immunization Outreach ?Passed through the Texas Department of State Health Services (DSHS) Criteria - Quarterly Financial Status Reports (FSR) are required by the federal OMB compliance supplement and the state grant agreements to be submitted by the last business day of the month following the end of each quarter for review and financial assessment. Condition/Context - There are two grant awards associated with the Immunization Outreach program for FY22: HHS000108500001 ? IMM/Locals and HHS001019500002 ? COVID-19. During the testing of the reporting compliance requirement for award HHS000108500001, we selected all four FSRs and noted that one was submitted after the due date, and one was not submitted to the grantor. Furthermore, for award HHS001019500002, we also selected all four FSRs and noted that two FSRs were not submitted to the grantor. Cause - Grant administrators did not sufficiently track the due dates to ensure timely submission of FSRs. Effect - Failure to meet report submission deadlines and the non- submission of reports could potentially constitute an event of noncompliance with the award contract, which may result in the early termination of the grant award, nonreimbursement of grant funding, or cessation of future funding. Recommendations - Management should ensure that they have a mechanism for tracking the reporting requirements and due date so that the FSRs are submitted timely to the grantor. Views of Responsible Officials ? See Corrective Action Plan
Finding 2022-002 ? Control Finding ? Significant Deficiency ? Immunization Outreach ? Reporting ALN #93.268 and Contracts #HHS000108500001/ HHS001019500002 - Immunization Outreach ?Passed through the Texas Department of State Health Services (DSHS) Criteria - Quarterly Financial Status Reports (FSR) are required by the federal OMB compliance supplement and the state grant agreements to be submitted by the last business day of the month following the end of each quarter for review and financial assessment. Condition/Context - There are two grant awards associated with the Immunization Outreach program for FY22: HHS000108500001 ? IMM/Locals and HHS001019500002 ? COVID-19. During the testing of the reporting compliance requirement for award HHS000108500001, we selected all four FSRs and noted that one was submitted after the due date, and one was not submitted to the grantor. Furthermore, for award HHS001019500002, we also selected all four FSRs and noted that two FSRs were not submitted to the grantor. Cause - Grant administrators did not sufficiently track the due dates to ensure timely submission of FSRs. Effect - Failure to meet report submission deadlines and the non- submission of reports could potentially constitute an event of noncompliance with the award contract, which may result in the early termination of the grant award, nonreimbursement of grant funding, or cessation of future funding. Recommendations - Management should ensure that they have a mechanism for tracking the reporting requirements and due date so that the FSRs are submitted timely to the grantor. Views of Responsible Officials ? See Corrective Action Plan
Finding 2022-002 ? Control Finding ? Significant Deficiency ? Immunization Outreach ? Reporting ALN #93.268 and Contracts #HHS000108500001/ HHS001019500002 - Immunization Outreach ?Passed through the Texas Department of State Health Services (DSHS) Criteria - Quarterly Financial Status Reports (FSR) are required by the federal OMB compliance supplement and the state grant agreements to be submitted by the last business day of the month following the end of each quarter for review and financial assessment. Condition/Context - There are two grant awards associated with the Immunization Outreach program for FY22: HHS000108500001 ? IMM/Locals and HHS001019500002 ? COVID-19. During the testing of the reporting compliance requirement for award HHS000108500001, we selected all four FSRs and noted that one was submitted after the due date, and one was not submitted to the grantor. Furthermore, for award HHS001019500002, we also selected all four FSRs and noted that two FSRs were not submitted to the grantor. Cause - Grant administrators did not sufficiently track the due dates to ensure timely submission of FSRs. Effect - Failure to meet report submission deadlines and the non- submission of reports could potentially constitute an event of noncompliance with the award contract, which may result in the early termination of the grant award, nonreimbursement of grant funding, or cessation of future funding. Recommendations - Management should ensure that they have a mechanism for tracking the reporting requirements and due date so that the FSRs are submitted timely to the grantor. Views of Responsible Officials ? See Corrective Action Plan