Finding 1159860 (2024-006)

Material Weakness Repeat Finding
Requirement
I
Questioned Costs
-
Year
2024
Accepted
2025-10-03
Audit: 370401
Organization: Opportunities Credit Union (VT)
Auditor: Rsm US LLP

AI Summary

  • Core Issue: The Credit Union failed to keep proper records to show compliance with suspension and debarment standards for vendors.
  • Impacted Requirements: This affects adherence to the General Procurement Standards under the Uniform Guidance, specifically 2 C.F.R. §§ 200.318 – 200.327.
  • Recommended Follow-Up: Management should implement controls to ensure documentation of vendor due diligence is maintained to prevent issues with federal grant fund usage.

Finding Text

Identifying Number: 2024-006 Information on the Federal Program: ALN#21.033, U.S. Department of Treasury: COVID-19 Community Development Financial Institutions Fund Equitable Recovery Program (CDFI ERP) Criteria or Specific Requirement: The grant agreement specifies in Article VII, Miscellaneous, 7.20 “If the Recipient uses the CDFI ERP Award to procure property or services, the Recipient shall comply with the General Procurement Standards as described in the Uniform Requirements at 2 C.F.R. §§ 200.318 – 200.327.” Condition: The Credit Union did not maintain adequate records to support its adherence to suspension and debarment standards outlined under the procurement standards. The Credit Union could not support that procedures had been performed to document vendors used were not suspended or debarred. Cause: Management did not have effective controls to maintain documentation related to suspension and debarment. Effect: Failure to maintain support of procedures required by Uniform Guidance could result in deficiencies relating to accountability, transparency or improper use of federal grant funds. Questioned Costs: Not applicable. Context: This is applicable to all vendors the Credit Union paid with federal funds subject to suspension and debarment testing. Repeat finding: Not applicable. Recommendation: Management should maintain documentation of vendor due diligence related to suspension or debarment. Views of responsible individuals: Management agrees with the Finding and recommendation. See corrective action plan for further information.

Corrective Action Plan

Management acknowledges the oversight and agrees with the recommendation to strengthen procurement documentation controls. At the time, FAFCU utilized a third-party vendor management service, CUVM, to perform vendor verification and ensure that all vendors were adequately reviewed. However, following the merger and given that more than 15 months have passed since, the current Credit Union no longer maintains documentation from CUVM, as CUVM is not a vendor of the merged institution. While no improper expenditures were identified, CU1 recognizes the importance of maintaining evidence of suspension and debarment checks when federal funds are used. This finding relates to expenditures incurred prior to the merger, and following the merger, the current Credit Union is no longer a member of the CDFI Fund. Accordingly, the procurement requirements under CDFI ERP and Uniform Guidance no longer apply. To address the finding, CU1 has: • Documented the procurement oversight issue as part of merger due diligence. • Confirmed that no questioned costs were identified and no further vendor payments will be made under the CDFI ERP program. As CDFI Fund membership and federal procurement requirements no longer apply post-merger, no additional corrective actions are necessary. Expected Completion Date – Completed Responsible Parties – Wendy Gorevan, CFO (FAFCU pre-merger) and Scott McDonald, CFO (post-merger)

Categories

Procurement, Suspension & Debarment

Other Findings in this Audit

  • 1159858 2024-004
    Material Weakness Repeat
  • 1159859 2024-005
    Material Weakness Repeat
  • 1159861 2024-007
    Material Weakness Repeat

Programs in Audit

ALN Program Name Expenditures
21.033 Community Development Financial Institutions Fund Equitable Recovery Program (cdfi Erp) $883,705
21.025 Small Dollar Loan Program $23,724
21.020 Community Development Financial Institutions Program $13,172