Finding 1223786 (2024-003)

Material Weakness Repeat Finding
Requirement
I
Questioned Costs
-
Year
2024
Accepted
2026-07-15
Audit: 407251
Organization: City of Santa Maria (CA)

AI Summary

  • Core Issue: The City lacks proper internal controls for verifying vendor suspension and debarment, which is required for compliance with federal regulations.
  • Impacted Requirements: Compliance with 2 CFR Part 200 regarding procurement, suspension, and debarment verification is not being met.
  • Recommended Follow-up: The City should implement procedures to verify vendor status and keep documentation to ensure compliance in future transactions.

Finding Text

Federal Agency: U.S. Department of Treasury Federal Program Name: COVID-19 - Coronavirus State and Local Fiscal Recovery Funds Federal Award Identification Number: N/A Assistance Listing Number: 21.027 Award Period: July 1, 2023 through June 30, 2024 Type of Finding: Significant Deficiency in Internal Control over Compliance 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: During our testing, we could not verify that the City performed the suspension and debarment verification. Questioned Costs: None. Context: The City did not maintain documentation of the suspension and debarment verification for four out of the five samples tested. However, none of the sampled vendors were suspended or debarred as of the City’s verification performed during the audit. Cause: The City did not have controls in place to maintain the proper documentation. Effect: There is a potential the City could contract with a disbarred or suspended entity if the verification is not performed. Repeat Finding: This is not repeat finding. Recommendation: We recommend the City perform suspension and debarment procedures on all vendors with which it plans to enter into a covered transaction and maintain the documentation as evidence that the requirement was fulfilled. Views of Responsible Officials: The City concurs with the finding.

Corrective Action Plan

U.S. Department of Treasury Coronavirus State and Local Fiscal Recovery Funds - Assistance Listing No. 21.027 Recommendation: We recommend the City perform suspension and debarment procedures on all vendors with which it plans to enter into a covered transaction and maintain the documentation as evidence that the requirement was fulfilled. Action planned/taken in response to the finding: The Finance Department will ensure that all departments are aware of this compliance requirement and perform vendor verification before the City enters into a covered transaction. All departments will verify and have a printout of the vendor verification printed from SAM.GOV that an entity is not debarred, suspended, or otherwise excluded before the City enters into a covered transaction. Name(s) of the contact person(s) responsible for corrective action: Rebecca Campbell, Finance Director Planned completion date for corrective action plan: July 2026 If the State Controller’s Office has questions regarding this plan, please call Rebecca Campbell, Finance Director, at 805-925-0951.

Categories

Procurement, Suspension & Debarment

Other Findings in this Audit

  • 1223780 2024-002
    Material Weakness Repeat
  • 1223781 2024-002
    Material Weakness Repeat
  • 1223782 2024-002
    Material Weakness Repeat
  • 1223783 2024-002
    Material Weakness Repeat
  • 1223784 2024-002
    Material Weakness Repeat
  • 1223785 2024-003
    Material Weakness Repeat

Programs in Audit

ALN Program Name Expenditures
20.507 FEDERAL TRANSIT FORMULA GRANTS $3.24M
21.027 CORONAVIRUS STATE AND LOCAL FISCAL RECOVERY FUNDS $958,431
20.608 MINIMUM PENALTIES FOR REPEAT OFFENDERS FOR DRIVING WHILE INTOXICATED $192,257
14.239 HOME INVESTMENT PARTNERSHIPS PROGRAM $139,216
14.218 COMMUNITY DEVELOPMENT BLOCK GRANTS/ENTITLEMENT GRANTS $117,534
20.509 FORMULA GRANTS FOR RURAL AREAS AND TRIBAL TRANSIT PROGRAM $66,262
97.036 DISASTER GRANTS - PUBLIC ASSISTANCE (PRESIDENTIALLY DECLARED DISASTERS) $36,011
20.600 STATE AND COMMUNITY HIGHWAY SAFETY $441
97.044 ASSISTANCE TO FIREFIGHTERS GRANT $330
45.310 GRANTS TO STATES $287
14.251 ECONOMIC DEVELOPMENT INITIATIVE, COMMUNITY PROJECT FUNDING, AND MISCELLANEOUS GRANTS $145