Finding 1229587 (2022-006)

Material Weakness Repeat Finding
Requirement
L
Questioned Costs
-
Year
2022
Accepted
2026-09-11

AI Summary

  • Core Issue: All six SF-425 reports for the EMPG program showed significant deficiencies, indicating ineffective federal financial reporting.
  • Impacted Requirements: Key areas affected include timeliness of submission, discrepancies in federal funds authorized, and lack of recipient share expenditures.
  • Recommended Follow-Up: Implement a system for maintaining submission evidence, reconcile reported expenditures with accounting records, and ensure compliance with non-Federal cost share requirements.

Finding Text

Condition: During our review of the Federal Financial Reports (SF-425) prepared for the Emergency Management Performance Grant (EMPG) program years 2020 and 2021, we identified significant deficiencies affecting all six (6) reports examined. Specifically, we noted the following: Timeliness - The timeliness of submission could not be verified because no evidence of submission (such as ND Grants confirmations, FEMA acknowledgments, or submission dates) was maintained. Federal Funds Authorized - The Federal funds authorized reported on each SF-425 differed from the amount authorized in the corresponding FEMA Award Letter. Accounting Records - The cumulative Federal share of expenditures reported on the SF-425 reports did not agree with the Bureau's accounting records maintained in PRIFAS. No reconciliation schedules or supporting documentation were available to explain the differences. Additionally, the reported Federal share of unliquidated obligations could not be traced to the accounting records. Recipient Share (Matching) - Although each report disclosed the required recipient share (matching) section and reflected the total required non-Federal cost share, none of the reports reported recipient share expenditures, despite the FEMA awards requiring a 50 percent non-Federal cost share. These deficiencies were identified in every SF-425 report tested and demonstrate that the Bureau's federal financial reporting process is not operating effectively.

Corrective Action Plan

DPS has developed a draft Standard Operating Procedures Manual for the newly created fiscal section. This SOP includes: Establishing and documenting formal procedures for the preparation, review, and timely submission of SF-425 reports; implementing a report reconciliation checklist requiring agreement of reported data to PRIFAS andSEFA records, ensure that each report includes federal and recipient share, drawdown activity, and unliquidated obligations as of the reporting date, designate an official responsible for review and approval prior to filing and retain evidence of submission, and DSP will also provide staff training on federal reporting requirements under 2 CFR 200.327-329. This new section will specifically address federal programs for the bureaus and DPS itself.

Categories

Reporting Matching / Level of Effort / Earmarking

Other Findings in this Audit

  • 1229584 2022-004
    Material Weakness Repeat
  • 1229585 2022-004
    Material Weakness Repeat
  • 1229586 2022-005
    Material Weakness Repeat

Programs in Audit

ALN Program Name Expenditures
97.036 DISASTER GRANTS - PUBLIC ASSISTANCE (PRESIDENTIALLY DECLARED DISASTERS) $5.67M
97.042 EMERGENCY MANAGEMENT PERFORMANCE GRANTS $5.58M
20.528 RAIL FIXED GUIDEWAY PUBLIC TRANSPORTATION SYSTEM STATE SAFETY OVERSIGHT FORMULA GRANT PROGRAM $160,237