Finding 1216062 (2025-002)

Material Weakness Repeat Finding
Requirement
ABCEFGHIJLMNP
Questioned Costs
-
Year
2025
Accepted
2026-05-29
Audit: 402590
Organization: Town of Westerly, Rhode Island (RI)
Auditor: CBIZ CPAS PC

AI Summary

  • Core Issue: The Town lacks formal written policies and procedures for all requirements under Uniform Guidance (2 CFR Part 200).
  • Impacted Requirements: Key areas like cash management, property management, and internal controls are not documented, increasing the risk of noncompliance.
  • Recommended Follow-Up: Management should create comprehensive policies and procedures and conduct regular reviews to ensure compliance with federal requirements.

Finding Text

2025-002 Document Policies and Procedures Over Federal Awards Federal Programs Information All federal programs Type of Finding Compliance – Other Matter Internal Control over Compliance – Significant Deficiency Criteria or Specific Requirement Uniform Guidance (2 CFR Part 200) requires non-federal entities administering federal awards to establish and maintain written policies and procedures to address all requirements specified in the regulations, including but not limited to internal controls, determination of allowable costs, procurement, subrecipient monitoring, financial management, and reporting. Condition and Context During our audit, we noted that the Town did not have formal policies and procedures in place covering all requirements of Uniform Guidance as specified in 2 CFR Part 200. Certain elements, such as cash management, property and equipment management, internal control, and other compliance areas, were not addressed in written policies or documented procedures. Cause The Organization has not developed comprehensive written policies and procedures to address all compliance requirements under Uniform Guidance. Effect or Potential Effect The absence of complete written policies and procedures for all elements under Uniform Guidance increases the risk of noncompliance with federal requirements, reduces consistency in federal program administration, and limits transparency and accountability. Questioned Costs No questioned costs are reported. Identification as a Repeat Finding This was not a finding in the prior year. Recommendation Management of the Town should develop and implement comprehensive written policies and procedures that address all major compliance requirements under Uniform Guidance (2 CFR Part 200). Periodic review and updates should be performed to ensure ongoing compliance. Views of Responsible Official Management’s corrective action plan is included at the end of this report after the Summary Schedule of Prior Year Findings.

Corrective Action Plan

Audit Finding Reference: 2025-002 Document Policies and Procedures Over Federal Awards Planned Corrective Action: - Perform a comprehensive review of existing federal award policies and procedures - Develop and formally document policies covering federal award administration, allowable costs, procurement, cash management, subrecipient monitoring, reporting, and record retention Planned Implementation Date of Corrective Action: 1/1/2026 Person Resposible for Corrective Action: Finance Director/Senior Accountant Grant Administrator

Categories

Subrecipient Monitoring Procurement, Suspension & Debarment Allowable Costs / Cost Principles Cash Management Reporting Significant Deficiency

Other Findings in this Audit

  • 1216057 2025-003
    Material Weakness Repeat
  • 1216058 2025-002
    Material Weakness Repeat
  • 1216059 2025-002
    Material Weakness Repeat
  • 1216060 2025-002
    Material Weakness Repeat
  • 1216061 2025-002
    Material Weakness Repeat

Programs in Audit

ALN Program Name Expenditures
84.425 EDUCATION STABILIZATION FUND $2.15M
84.010 TITLE I GRANTS TO LOCAL EDUCATIONAL AGENCIES $743,335
11.463 HABITAT CONSERVATION $497,385
93.243 SUBSTANCE ABUSE AND MENTAL HEALTH SERVICES PROJECTS OF REGIONAL AND NATIONAL SIGNIFICANCE $493,281
84.367 SUPPORTING EFFECTIVE INSTRUCTION STATE GRANTS (FORMERLY IMPROVING TEACHER QUALITY STATE GRANTS) $279,990
21.029 CORONAVIRUS CAPITAL PROJECTS FUND $268,724
93.870 MATERNAL, INFANT AND EARLY CHILDHOOD HOME VISITING GRANT $197,938
66.040 DIESEL EMISSIONS REDUCTION ACT (DERA) STATE GRANTS $195,195
84.371 COMPREHENSIVE LITERACY DEVELOPMENT $138,611
21.027 CORONAVIRUS STATE AND LOCAL FISCAL RECOVERY FUNDS $106,185
97.036 DISASTER GRANTS - PUBLIC ASSISTANCE (PRESIDENTIALLY DECLARED DISASTERS) $92,783
16.835 BODY WORN CAMERA POLICY AND IMPLEMENTATION $71,750
10.555 NATIONAL SCHOOL LUNCH PROGRAM $64,985
14.228 COMMUNITY DEVELOPMENT BLOCK GRANTS/STATE'S PROGRAM AND NON-ENTITLEMENT GRANTS IN HAWAII $52,159
15.616 CLEAN VESSEL ACT $50,337
20.614 NATIONAL HIGHWAY TRAFFIC SAFETY ADMINISTRATION (NHTSA) DISCRETIONARY SAFETY GRANTS AND COOPERATIVE AGREEMENTS $45,540
97.067 HOMELAND SECURITY GRANT PROGRAM $39,597
15.630 COASTAL $37,779
16.710 PUBLIC SAFETY PARTNERSHIP AND COMMUNITY POLICING GRANTS $26,717
10.582 FRESH FRUIT AND VEGETABLE PROGRAM $22,261
84.173 SPECIAL EDUCATION PRESCHOOL GRANTS $20,928
84.411 EDUCATION INNOVATION AND RESEARCH (FORMERLY INVESTING IN INNOVATION (I3) FUND) $18,404
84.048 CAREER AND TECHNICAL EDUCATION -- BASIC GRANTS TO STATES $15,215
16.738 EDWARD BYRNE MEMORIAL JUSTICE ASSISTANCE GRANT PROGRAM $13,846
66.605 PERFORMANCE PARTNERSHIP GRANTS $8,471
84.365 ENGLISH LANGUAGE ACQUISITION STATE GRANTS $7,482
84.027 SPECIAL EDUCATION GRANTS TO STATES $5,000
97.042 EMERGENCY MANAGEMENT PERFORMANCE GRANTS $5,000
84.424 STUDENT SUPPORT AND ACADEMIC ENRICHMENT PROGRAM $3,420
10.559 SUMMER FOOD SERVICE PROGRAM FOR CHILDREN $51