Finding 1174916 (2025-101)

Material Weakness Repeat Finding
Requirement
I
Questioned Costs
-
Year
2025
Accepted
2026-02-23
Audit: 388497
Organization: Mainegeneral Medical Center (ME)

AI Summary

  • Core Issue: The Company failed to follow formal procurement methods for equipment purchases exceeding the Simplified Acquisition Threshold.
  • Impacted Requirements: Lack of documented procurement procedures led to non-compliance with federal standards, specifically for a $271,597 purchase.
  • Recommended Follow-Up: Ensure all purchases are supported by proper documentation, including quotes and price comparisons, in line with procurement policies.

Finding Text

Procurement Documentation - Federal Agency: Department of Health and Human Services - Health Resources and Services Administration. Award Name: Community Project - HACCC Renovations. Program Year: 2025. Assistance Listing Number: 93.493. Criteria: Purchases above the Simplified Acquisition Threshold must follow formal procurement methods. For any of these methods, the recipient or subrecipient must maintain and use documented procurement procedures, consistent with the standards. Condition: For certain equipment purchases, the Company did not follow formal procurement methods. For any of these methods, the recipient or subrecipient must maintain and use documented procurement procedures, consistent with the standards. While various estimates were obtained for the budget process required for the grant, there were no formal quotes or bids obtained. Context: For one purchase in the amount of $271,597, there was no documentation to support price comparisons and estimates used in the budget process. Cause: Management transition and uncertainty regarding the application of the standard for this particular grant. Effect: Documentation was not maintained to support compliance with the standards. Questioned Costs: $271,597. Recommendation: Documentation should be maintained to support all purchases in accordance with procurement policies. Views of Responsible Parties: We concur with the finding. The absence of required procurement documentation resulted primarily from turnover within key leadership positions during the period of the purchase. The leaders responsible for procurement review, approval, and record retention transitioned out of their roles, which led to gaps in procedural continuity and oversight. As a result, standard documentation that would typically accompany procurement—such as quotes, and price comparisons—was not properly retained.

Corrective Action Plan

Procurement Documentation - Criteria: Purchases above the Simplified Acquisition Threshold must follow formal procurement methods. For any of these methods, the recipient or subrecipient must maintain and use documented procurement procedures, consistent with the standards. Condition: For certain equipment purchases, the Company did not follow formal procurement methods. While various estimates were obtained for the budget process required by the grant, there were no formal quotes or bids obtained and no documentation to support the estimates were retained. Context: For one purchase in the amount of $271,597, there was no documentation to support price comparisons and estimates used in the budget process. Cause: Management transition and uncertainty regarding the application of the procurement standard for this particular grant. Effect: Documentation was not maintained to support compliance with the standards. Questioned Costs: $271,597. Recommendation: Documentation should be maintained to support all purchases in accordance with procurement policies. Views of Responsible Parties: We concur with the finding. The absence of required procurement documentation resulted primarily from turnover within key leadership positions during the period of the purchase. The leaders responsible for procurement review, approval, and record retention transitioned out of their roles, which led to gaps in procedural continuity and oversight. As a result, standard documentation that would typically accompany procurement—such as quotes, and price comparisons—was not properly retained. Corrective Actions Taken or Planned: The Supply Chain team will receive targeted training on procurement standards, including requirements for price or rate quotations for purchases over the simplified acquisition threshold and internal expectations for retention of quotes, price comparisons, and justification memos. Training will be completed by March 31, 2026, with attendance documented. Responsible Parties: Jeremy Storer, Controller. Anticipated Completion Date: March 31, 2026.

Categories

Procurement, Suspension & Debarment

Programs in Audit

ALN Program Name Expenditures
14.128 MORTGAGE INSURANCE HOSPITALS $257.89M
93.493 CONGRESSIONAL DIRECTIVES $2.00M
10.557 WIC SPECIAL SUPPLEMENTAL NUTRITION PROGRAM FOR WOMEN, INFANTS, AND CHILDREN $789,309
97.036 DISASTER GRANTS - PUBLIC ASSISTANCE (PRESIDENTIALLY DECLARED DISASTERS) $392,539
93.399 CANCER CONTROL $122,158
93.959 BLOCK GRANTS FOR PREVENTION AND TREATMENT OF SUBSTANCE ABUSE $87,750
93.918 GRANTS TO PROVIDE OUTPATIENT EARLY INTERVENTION SERVICES WITH RESPECT TO HIV DISEASE $68,874
93.243 SUBSTANCE ABUSE AND MENTAL HEALTH SERVICES PROJECTS OF REGIONAL AND NATIONAL SIGNIFICANCE $53,795
93.276 DRUG-FREE COMMUNITIES SUPPORT PROGRAM GRANTS $53,080
10.561 STATE ADMINISTRATIVE MATCHING GRANTS FOR THE SUPPLEMENTAL NUTRITION ASSISTANCE PROGRAM $41,349
93.270 VIRAL HEPATITIS PREVENTION AND CONTROL $34,591
93.687 MATERNAL OPIOID MISUSE MODEL $31,263
93.940 HIV PREVENTION ACTIVITIES HEALTH DEPARTMENT BASED $22,237
21.027 CORONAVIRUS STATE AND LOCAL FISCAL RECOVERY FUNDS $11,829
93.788 OPIOID STR $9,883
93.977 SEXUALLY TRANSMITTED DISEASES (STD) PREVENTION AND CONTROL GRANTS $8,236
93.136 INJURY PREVENTION AND CONTROL RESEARCH AND STATE AND COMMUNITY BASED PROGRAMS $7,412
10.572 WIC FARMERS' MARKET NUTRITION PROGRAM (FMNP) $1,259