Audit 365413

FY End
2024-06-30
Total Expended
$40.40M
Findings
6
Programs
15
Organization: City of El Monte (CA)
Year: 2024 Accepted: 2025-09-02

Organization Exclusion Status:

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Contacts

Name Title Type
CLB3ME1BNL19 Veronica Alvarez Auditee
6265802029 Linda Narciso Auditor
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Notes to SEFA

Title: NOTE 1 BASIS OF PRESENTATION Accounting Policies: The accompanying SEFA is presented using the modified accrual basis of accounting for governmental funds, which is described in Note 1 of the City’s basic financial statements. 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. Expenditures reported include any property or equipment acquisitions incurred under the federal programs. De Minimis Rate Used: N Rate Explanation: The City has elected not to use the 10-percent de minimis indirect cost rate allowed under the Uniform Guidance. The accompanying schedule of expenditures of federal awards (SEFA) presents the activity of all federal financial assistance programs of the City of El Monte, California (the City). For purposes of this schedule, financial awards include federal awards received directly from a federal agency, as well as federal funds received indirectly by the City from a non-federal agency or other organization. Only the portions of program expenditures reimbursable with federal funds are reported in the accompanying schedule. Program expenditures in excess of the maximum reimbursement authorized, if any, or the portion of the program expenditures that were funded with other state, local or other non-federal funds are excluded from the accompanying schedule. 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 Requirements, Cost Principles, and Audit Requirements for Federal Awards (Uniform Guidance). Because the SEFA presents only a selected portion of the operations of the City, it is not intended to and does not present the financial position, changes in net assets, or cash flows of the City.
Title: NOTE 2 SUMMARY OF SIGNIFICANT ACCOUNTING POLICIES Accounting Policies: The accompanying SEFA is presented using the modified accrual basis of accounting for governmental funds, which is described in Note 1 of the City’s basic financial statements. 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. Expenditures reported include any property or equipment acquisitions incurred under the federal programs. De Minimis Rate Used: N Rate Explanation: The City has elected not to use the 10-percent de minimis indirect cost rate allowed under the Uniform Guidance. The accompanying SEFA is presented using the modified accrual basis of accounting for governmental funds, which is described in Note 1 of the City’s basic financial statements. 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. Expenditures reported include any property or equipment acquisitions incurred under the federal programs.
Title: NOTE 3 INDIRECT COST RATE Accounting Policies: The accompanying SEFA is presented using the modified accrual basis of accounting for governmental funds, which is described in Note 1 of the City’s basic financial statements. 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. Expenditures reported include any property or equipment acquisitions incurred under the federal programs. De Minimis Rate Used: N Rate Explanation: The City has elected not to use the 10-percent de minimis indirect cost rate allowed under the Uniform Guidance. The City has elected not to use the 10-percent de minimis indirect cost rate allowed under the Uniform Guidance.
Title: NOTE 4 LOANS Accounting Policies: The accompanying SEFA is presented using the modified accrual basis of accounting for governmental funds, which is described in Note 1 of the City’s basic financial statements. 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. Expenditures reported include any property or equipment acquisitions incurred under the federal programs. De Minimis Rate Used: N Rate Explanation: The City has elected not to use the 10-percent de minimis indirect cost rate allowed under the Uniform Guidance. The City participates in Community Development Block Grants/Entitlement Grants (CDBG), Home Investment Partnerships Program (HOME), and Coronavirus State and Local Fiscal Recovery Funds (SLFRF) that sponsor revolving loan programs, which are administered by the City. The funds are returned to the programs upon repayment of the principal and interest. In accordance with 2 CFR Section 200.502(b), the value of new loans made, the beginning balance of loans from previous years, and any interest subsidy, cash, or administrative cost allowance received are included in the SEFA. As of June 30, 2024, the following loans receivable were outstanding: Community Development Block Grants/Entitlement Grants - Loan Program $7,245,801 Home Investment Partnerships Program - Loans Program 14,633,416 Coronavirus State and Local Fiscal Recovery Funds - Loans Program 940,234 Total $22,819,451 During the fiscal year ended June 30, 2024, the following new loans were made: Community Development Block Grants/Entitlement Grants - Loan Program $6,608 Home Investment Partnerships Program - Loans Program 2,239,223 Coronavirus State and Local Fiscal Recovery Funds - Loans Program 206,557 Total $2,452,388 Total repayments of loans received during the year amounted to $26,922 for the CDBG program and none for the HOME and SLFRF programs.
Title: NOTE 5 RELATIONSHIP TO FEDERAL FINANCIAL REPORTS Accounting Policies: The accompanying SEFA is presented using the modified accrual basis of accounting for governmental funds, which is described in Note 1 of the City’s basic financial statements. 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. Expenditures reported include any property or equipment acquisitions incurred under the federal programs. De Minimis Rate Used: N Rate Explanation: The City has elected not to use the 10-percent de minimis indirect cost rate allowed under the Uniform Guidance. Grant expenditure reports for the year ended June 30, 2024, which have been submitted to grantor agencies, will, in some cases, differ from the amounts disclosed herein. The reports prepared for grantor agencies are typically prepared at a later date and often reflect refined estimates of the year-end accruals.
Title: NOTE 6 RELATIONSHIP TO ANNUAL COMPREHENSIVE FINANCIAL REPORT Accounting Policies: The accompanying SEFA is presented using the modified accrual basis of accounting for governmental funds, which is described in Note 1 of the City’s basic financial statements. 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. Expenditures reported include any property or equipment acquisitions incurred under the federal programs. De Minimis Rate Used: N Rate Explanation: The City has elected not to use the 10-percent de minimis indirect cost rate allowed under the Uniform Guidance. Amounts reported in the accompanying SEFA agree, in all material respects, with amounts reported within the City’s Annual Comprehensive Financial Report.

Finding Details

Finding No. SA 2024-001 – Reporting Federal Assistance Listing Number: 14.218 Federal Program Title: Community Development Block Grants/ Entitlement Grants Federal Agency: U.S. Department of Housing and Urban Development Award Period: Fiscal year 2024 Criteria: Per OMB Compliance Supplement and Compliance and the requirements of the Federal Funding Accountability and Transparency Act (FFATA), recipients (i.e., direct recipients) of grants or cooperative agreements are required to report first-tier subawards of $30,000 or more to the Federal Funding Accountability and Transparency Act Subaward Reporting System (FSRS). Condition: The City was unable to report the first-tier subawards of $30,000 or more to the FSRS. Cause: No sufficient internal controls, policies, and procedures were in place to ensure that the timely submission of FFATA reports was completed for the first-tier subawards. Effect: Delayed/late and non-submission of the report is considered non-compliance with the program requirements and may result in fines and penalties as well as suspension or termination of the federal awards. Questioned Costs: None. Repeat Finding: No. Recommendation: We recommend that the City strictly follow the deadline for reporting submission set forth by the U.S. Department of Housing and Urban Development. Views of responsible officials and planned corrective actions: The Department has been informed and will implement a procedure to ensure that the FFATA reporting is completed before the sub-award is given to the subrecipient. The department will complete the corrective action plan by June 30, 2025.
Finding No. SA 2024-002 – Suspension and Debarment Federal Assistance Listing Number: 21.027 Federal Program Title: Coronavirus State and Local Fiscal Recovery Funds Federal Agency: U.S. Department of Treasury Award Period: Fiscal year 2024 Criteria or Specific Requirement: 2 CFR Part 200 Uniform Administrative Requirements, Cost Principles, and Audit Requirements for Federal Award requires compliance with the provisions of procurement, suspension, and debarment. The City should have internal controls designed to ensure compliance with those provisions. Condition: The City was unable to provide evidence that the suspension and debarment status of vendors was checked prior to entering into purchasing contracts. Cause: Procedures were not in place to retain evidence of the debarment status check, as the transaction was exempt from the bidding process as per the City’s Purchasing Policy and Procedures. Effect: The City is unable to prove that debarment checks took place prior to entering into purchasing Contracts, which may lead to non-compliance with the program requirements. Questioned Costs: None. Repeat finding: Yes, see Summary Schedule of Prior Year Audit Findings 2023-003 Recommendation: We recommend that management review its procedures for retaining evidence of debarment status checked prior to entering into purchase agreements. Views of responsible officials and planned corrective actions: Per the City’s Purchasing Policy & Procedures page 29, “Subscriptions” are listed as a type of purchase that is purchase order exempt. The City’s AP invoice requirements do not reference or specify the requirement of attaching a Suspension and Debarment report to invoice backup. However, moving forward, the new procurement policy for the City has addressed this by including an excerpt specifically for this issue. The Finance Department continuously encourages the departments and staff to attach a copy of the SAM.GOV report for federally funded invoices, even if no PO is needed.
Finding No. SA 2024-003 – Reporting Federal Assistance Listing Number: 21.027 Federal Program Title: Coronavirus State and Local Fiscal Recovery Funds Federal Agency: U.S. Department of Treasury Award Period: Fiscal year 2024 Criteria: Per OMB Compliance Supplement and Compliance and Reporting Guidelines issued by the U.S. Department of Treasury for Coronavirus State and Local Fiscal Recovery Funds, the Project and Expenditure Reports should be submitted on the last day of the month after the end of each quarter. Condition: The City was unable to meet the Project and Expenditure Report Timeline of the following report: Quarter Months Deadline Date Submitted Lag in Days 2024-2 April 1-June 30, 2024 7/31/2024 8/2/2024 2 Cause: With the transition of the Finance Director of the City, the Accounting Manager did not have reporting access and was working with Coronavirus State and Local Fiscal Recovery Funds (SFLFR) to grant access. Effect: Delayed/late and non-submission of the report is considered non-compliance with the program requirements and may result in fines and penalties as well as suspension or termination of the federal awards. Questioned Costs: None. Repeat finding: No. Recommendation: We recommend that the City strictly follow the deadline for reporting submission set forth by the U.S. Department of Treasury. Views of responsible officials and planned corrective actions: The Accounting Manager took over quarterly reporting responsibilities after the former Finance Director unexpectedly left the City. However, due to the abruptness, it took some time for the Accounting Manager to gain access to the agency portal, resulting in the Q2 2024 report being submitted past the deadline. Since gaining access to the reporting portal, all reports have been submitted in a timely manner.
Finding No. SA 2024-001 – Reporting Federal Assistance Listing Number: 14.218 Federal Program Title: Community Development Block Grants/ Entitlement Grants Federal Agency: U.S. Department of Housing and Urban Development Award Period: Fiscal year 2024 Criteria: Per OMB Compliance Supplement and Compliance and the requirements of the Federal Funding Accountability and Transparency Act (FFATA), recipients (i.e., direct recipients) of grants or cooperative agreements are required to report first-tier subawards of $30,000 or more to the Federal Funding Accountability and Transparency Act Subaward Reporting System (FSRS). Condition: The City was unable to report the first-tier subawards of $30,000 or more to the FSRS. Cause: No sufficient internal controls, policies, and procedures were in place to ensure that the timely submission of FFATA reports was completed for the first-tier subawards. Effect: Delayed/late and non-submission of the report is considered non-compliance with the program requirements and may result in fines and penalties as well as suspension or termination of the federal awards. Questioned Costs: None. Repeat Finding: No. Recommendation: We recommend that the City strictly follow the deadline for reporting submission set forth by the U.S. Department of Housing and Urban Development. Views of responsible officials and planned corrective actions: The Department has been informed and will implement a procedure to ensure that the FFATA reporting is completed before the sub-award is given to the subrecipient. The department will complete the corrective action plan by June 30, 2025.
Finding No. SA 2024-002 – Suspension and Debarment Federal Assistance Listing Number: 21.027 Federal Program Title: Coronavirus State and Local Fiscal Recovery Funds Federal Agency: U.S. Department of Treasury Award Period: Fiscal year 2024 Criteria or Specific Requirement: 2 CFR Part 200 Uniform Administrative Requirements, Cost Principles, and Audit Requirements for Federal Award requires compliance with the provisions of procurement, suspension, and debarment. The City should have internal controls designed to ensure compliance with those provisions. Condition: The City was unable to provide evidence that the suspension and debarment status of vendors was checked prior to entering into purchasing contracts. Cause: Procedures were not in place to retain evidence of the debarment status check, as the transaction was exempt from the bidding process as per the City’s Purchasing Policy and Procedures. Effect: The City is unable to prove that debarment checks took place prior to entering into purchasing Contracts, which may lead to non-compliance with the program requirements. Questioned Costs: None. Repeat finding: Yes, see Summary Schedule of Prior Year Audit Findings 2023-003 Recommendation: We recommend that management review its procedures for retaining evidence of debarment status checked prior to entering into purchase agreements. Views of responsible officials and planned corrective actions: Per the City’s Purchasing Policy & Procedures page 29, “Subscriptions” are listed as a type of purchase that is purchase order exempt. The City’s AP invoice requirements do not reference or specify the requirement of attaching a Suspension and Debarment report to invoice backup. However, moving forward, the new procurement policy for the City has addressed this by including an excerpt specifically for this issue. The Finance Department continuously encourages the departments and staff to attach a copy of the SAM.GOV report for federally funded invoices, even if no PO is needed.
Finding No. SA 2024-003 – Reporting Federal Assistance Listing Number: 21.027 Federal Program Title: Coronavirus State and Local Fiscal Recovery Funds Federal Agency: U.S. Department of Treasury Award Period: Fiscal year 2024 Criteria: Per OMB Compliance Supplement and Compliance and Reporting Guidelines issued by the U.S. Department of Treasury for Coronavirus State and Local Fiscal Recovery Funds, the Project and Expenditure Reports should be submitted on the last day of the month after the end of each quarter. Condition: The City was unable to meet the Project and Expenditure Report Timeline of the following report: Quarter Months Deadline Date Submitted Lag in Days 2024-2 April 1-June 30, 2024 7/31/2024 8/2/2024 2 Cause: With the transition of the Finance Director of the City, the Accounting Manager did not have reporting access and was working with Coronavirus State and Local Fiscal Recovery Funds (SFLFR) to grant access. Effect: Delayed/late and non-submission of the report is considered non-compliance with the program requirements and may result in fines and penalties as well as suspension or termination of the federal awards. Questioned Costs: None. Repeat finding: No. Recommendation: We recommend that the City strictly follow the deadline for reporting submission set forth by the U.S. Department of Treasury. Views of responsible officials and planned corrective actions: The Accounting Manager took over quarterly reporting responsibilities after the former Finance Director unexpectedly left the City. However, due to the abruptness, it took some time for the Accounting Manager to gain access to the agency portal, resulting in the Q2 2024 report being submitted past the deadline. Since gaining access to the reporting portal, all reports have been submitted in a timely manner.