Audit 362806

Criteria: Per Uniform Guidance (2 CFR Part 200), entities administering federal programs must maintain appropriate documentation to support participant eligibility and ensure compliance with federal program requirements. Additionally, per the program’s grant agreement and eligibility requirements, the Organization must obtain and retain documentation verifying that enrollees meet the required eligibility criteria before providing program benefits. Condition: During our testing of participant eligibility, we reviewed 60 participant files and found that 1 file lacked sufficient documentation to verify eligibility. Specifically, the missing documentation included, the participant was enrolled over the phone and the formal application and supporting documentation supporting eligibility was not maintained by the program. Without this documentation, the Organization cannot demonstrate that this participant met the eligibility requirements for program benefits. Cause: The Organization does not have a robust process to ensure that all required eligibility documentation is consistently obtained, reviewed, and retained. Effect: Failure to maintain complete eligibility documentation increases the risk of ineligible individuals receiving program benefits, which could result in noncompliance with grant requirements and potential disallowed costs. Questioned Costs: None. Recommendation: We recommend that the entity implement and enforce a standardized eligibility verification process, including:  Developing a checklist to ensure all required eligibility documents are obtained before approving enrollment.  Providing training to staff on eligibility documentation requirements.  Conducting periodic internal reviews of participant files to ensure compliance with program guidelines. The Organization’s Response: Management acknowledges the findings from the audit.

Criteria: Per Uniform Guidance (2 CFR Part 200), entities administering federal programs must maintain appropriate documentation to support participant eligibility and ensure compliance with federal program requirements. Additionally, per the program’s grant agreement and eligibility requirements, the Organization must obtain and retain documentation verifying that enrollees meet the required eligibility criteria before providing program benefits. Condition: During our testing of participant eligibility, we reviewed 60 participant files and found that 1 file lacked sufficient documentation to verify eligibility. Specifically, the missing documentation included, the participant was enrolled over the phone and the formal application and supporting documentation supporting eligibility was not maintained by the program. Without this documentation, the Organization cannot demonstrate that this participant met the eligibility requirements for program benefits. Cause: The Organization does not have a robust process to ensure that all required eligibility documentation is consistently obtained, reviewed, and retained. Effect: Failure to maintain complete eligibility documentation increases the risk of ineligible individuals receiving program benefits, which could result in noncompliance with grant requirements and potential disallowed costs. Questioned Costs: None. Recommendation: We recommend that the entity implement and enforce a standardized eligibility verification process, including:  Developing a checklist to ensure all required eligibility documents are obtained before approving enrollment.  Providing training to staff on eligibility documentation requirements.  Conducting periodic internal reviews of participant files to ensure compliance with program guidelines. The Organization’s Response: Management acknowledges the findings from the audit.