Finding 1158220 (2024-003)

Material Weakness Repeat Finding
Requirement
I
Questioned Costs
-
Year
2024
Accepted
2025-09-30
Audit: 370113
Organization: The Family Place (TX)

AI Summary

  • Core Issue: Significant deficiencies in internal controls over compliance were found, particularly in procurement and vendor verification.
  • Impacted Requirements: The Uniform Guidance mandates proper internal controls to prevent noncompliance, specifically regarding procurement (2 CFR 200.320) and suspension/debarment (2 CFR 200.214).
  • Recommended Follow-Up: Management should review all vendor contracts and the procurement policy to ensure adherence to compliance standards and rectify identified issues.

Finding Text

Information on the federal program – 21.027 – Coronavirus State and Local Fiscal Recovery Funds; U.S. Department of Treasury; Dallas County; Program years 2023-2024, 2024-2025 16.575 – Crime Victim Assistance; U.S. Department of Justice; Texas Office of the Governor – Criminal Justice Division; Program years 2023-2024, 2024-2025 Type of Finding – Significant deficiency in internal control over compliance and other instance of noncompliance Criteria or specific requirement – The Uniform Guidance requires auditees to maintain internal controls to prevent or identify and correct noncompliance with direct and material compliance requirements in a timely fashion, specifically in regard to Procurement (2 CFR 200.320) and Suspension and Debarment (2 CFR 200.214). Condition – The Family Place was unable to provide evidence supporting procurement for a particular vendor, as well as evidence supporting verification of a lessor not having been suspended or debarred occurred during the year. Cause – The auditee's controls did not properly identify necessary procurement and suspension and debarment processes to undertake as required by policy and Uniform Guidance. Effect or potential effect – Procurement did not occur for one vendor relationship selected. Evidence of verification of vendor status of one lessor selected was not available. Questioned costs – $10,837 (ALN 21.027) Context – Procurement: Of three covered procurement transactions identified for ALN 21.027, 100% were selected for testing, the total of which was $58,517. One transaction did not have documented procurement procedures having taken place. The total of the transaction resulting in questioned costs was $10,837. Suspension and Debarment: Of two lessors with expenditures greater than $25,000 for ALN 16.575, one was selected for testing of suspension and debarment. While the lessor was not listed as having been suspended or debarred on SAM.gov, evidence of review occurring was not available. Identification as a repeat finding, if applicable – Not applicable Recommendation – We recommend management review all contracts with vendors and review the procurement policy to ensure compliance with the procurement and suspension and debarment standards within their policy and the Uniform Guidance. Views of responsible officials and planned corrective actions – See accompanying corrective action plan.

Corrective Action Plan

Auditor’s Recommendation: “We recommend management review all contracts with vendors and review the procurement policy to ensure compliance with the procurement and suspension and debarment standards within their policy and the Uniform Guidance.” Management response: The Family Place has reviewed its procurement and suspension/debarment procedures and concurs with the finding. During the period covered by the audit, staffing turnover and performance issues within departments responsible for procurement and grant compliance contributed to inconsistent application of policies and incomplete documentation. Since that time, The Family Place has replaced staff where needed due to performance problems and initiated training to ensure compliance and consistency with existing procurement policy for all organizational expenses of $10,000 or more. Corrective actions: The Executive Leadership Team has reviewed procurement responsibilities and clarified the roles of staff who approve or execute purchases and contracts. Hiring, training, and coaching were prioritized in early 2025 to address the identified deficiencies, and staff replacements have already been completed where necessary. Going forward: All staff responsible for procurement or contract approval will complete training on the Uniform Guidance procurement and suspension/debarment standards, including requirements for organizational purchases of $10,000 or more. Finance staff will review procurement documentation, vendor suspension/debarment verification, and contract approvals prior to payment to ensure full compliance with policy and federal regulations. These processes will receive additional oversight by the Chief Executive Officer, with assistance from the newly established Compliance Department, and the Board of Trustees. Responsible parties for corrective actions: The Chief Financial Officer will have direct responsibility for finance review of procurement documentation and vendor status verification prior to payment. The Chief Operations Officer will ensure that all required procurement and suspension/debarment checks are performed and documented. The Chief Executive Officer, Tiffany A. Tate, with assistance from the newly established Compliance Department, will confirm that compliance occurs on a timely basis. Separately, the Chief Financial Officer will report on progress to the Audit & Finance Committee of the Board of Trustees. Anticipated completion date: Refresher training of relevant staff and implementation of the strengthened procurement and suspension/debarment procedures has already been completed. Going forward, quarterly training will take place for team members directly involved in the procurement process.

Categories

Procurement, Suspension & Debarment

Other Findings in this Audit

  • 1158214 2024-002
    Material Weakness Repeat
  • 1158215 2024-002
    Material Weakness Repeat
  • 1158216 2024-002
    Material Weakness Repeat
  • 1158217 2024-002
    Material Weakness Repeat
  • 1158218 2024-003
    Material Weakness Repeat
  • 1158219 2024-003
    Material Weakness Repeat
  • 1158221 2024-004
    Material Weakness Repeat
  • 1158222 2024-004
    Material Weakness Repeat

Programs in Audit

ALN Program Name Expenditures
93.558 Temporary Assistance for Needy Families $869,687
16.575 Crime Victim Assistance $692,084
21.027 Coronavirus State and Local Fiscal Recovery Funds $377,467
16.021 Justice Systems Response to Families $294,129
93.671 Family Violence Prevention and Services/domestic Violence Shelter and Supportive Services $229,719
21.023 Emergency Rental Assistance Program $136,660
93.667 Social Services Block Grant $105,617
97.024 Emergency Food and Shelter National Board Program $20,000
14.231 Emergency Solutions Grant Program $1,914