Finding 20469 (2022-001)

Significant Deficiency
Requirement
I
Questioned Costs
-
Year
2022
Accepted
2023-03-30
Audit: 26059
Organization: City of Santa Barbara (CA)

AI Summary

  • Core Issue: The City did not provide proof that it checked vendors for suspension or debarment before contracts.
  • Impacted Requirements: Compliance with 2 CFR Part 200, which mandates internal controls for vendor verification.
  • Recommended Follow-Up: The City should establish and maintain procedures to document vendor suspension and debarment checks for future transactions.

Finding Text

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 suspension and debarment. The City should have internal controls designed to ensure compliance with those provisions. Condition: The City was not able to provide supporting documentation that the City verified the vendor was not suspended or debarred prior to entering the transaction. Questioned costs: None. Context: There were two vendors during FY 21-22 that were a covered transaction for this program. Cause: The City did not maintain supporting documentation that the verification of suspension or debarment was performed prior to entering into a contract. Effect: The auditor noted no instances of noncompliance with the provisions of suspension, and debarment; however, we were not able to verify that the City followed their internal controls to ensure the vendor was not suspended or debarred prior to entering the transaction. Repeat Finding: This is not a repeat finding. Recommendation: We recommend the City implement procedures to ensure that verification documentation for suspension and debarment is maintained to support the City's internal control over compliance. Views of responsible officials: The City agrees with the recommendation. Despite understanding of these requirements, the City failed to document verification of suspension and debarment findings. We have taken immediate action to incorporate standards to ensure that these measures are documented and maintained appropriately moving forward.

Corrective Action Plan

2022-001 Corona Virus State and Local Recovery Funds? Assistance Listing No. 21.027 Recommendation: We recommend the City implement procedures to ensure that verification documentation for suspension and debarment is maintained to support the City's internal control over compliance. Explanation of disagreement with audit finding: There is no disagreement with the audit finding. Action taken in response to finding: Despite understanding of these requirements, the City failed to document verification of suspension and debarment findings. We have taken immediate action to incorporate standards to ensure that these measures are documented and maintained appropriately moving forward. Name(s) of the contact person(s) responsible for corrective action: Jessica Yates, Accounting Supervisor Planned completion date for corrective action plan: June 2023

Categories

Procurement, Suspension & Debarment Allowable Costs / Cost Principles

Other Findings in this Audit

  • 20470 2022-002
    Significant Deficiency Repeat
  • 596911 2022-001
    Significant Deficiency
  • 596912 2022-002
    Significant Deficiency Repeat

Programs in Audit

ALN Program Name Expenditures
20.205 Highway Planning and Construction $10.43M
20.106 Airport Improvement Program $6.30M
21.027 Coronavirus State and Local Fiscal Recovery Funds $572,764
14.231 Emergency Solutions Grant Program $542,517
97.039 Hazard Mitigation Grant $508,702
14.218 Community Development Block Grants/entitlement Grants $443,055
15.507 Watersmart (sustaining and Manage America's Resources for Tomorrow) $370,324
14.239 Home Investment Partnerships Program $246,350
15.514 Reclamation States Emergency Drought Relief $138,978
20.600 State and Community Highway Safety $78,123
45.310 Grants to States $51,930
20.608 Minimum Penalties for Repeat Offenders for Driving While Intoxicated $48,792
93.086 Healthy Marriage Promotion and Responsible Fatherhood Grants $34,984
15.904 Historic Preservation Fund Grants-in-Aid $34,948
45.024 Promotion of the Arts_grants to Organizations and Individuals $20,000
16.607 Bulletproof Vest Partnership Program $9,216
97.067 Homeland Security Grant Program $7,441
45.129 Promotion of the Humanities_federal/state Partnership $5,000
10.664 Cooperative Forestry Assistance $794