Finding 395789 (2021-005)

Material Weakness Repeat Finding
Requirement
I
Questioned Costs
-
Year
2021
Accepted
2024-05-03

AI Summary

  • Core Issue: The Department's procurement policy is outdated and does not align with current federal guidelines.
  • Impacted Requirements: Compliance with 2 CFR sections 200.318 through 200.326 is at risk due to insufficient internal controls.
  • Recommended Follow-Up: Management should enhance internal controls and update procurement policies to meet federal standards.

Finding Text

2021-005 Criteria: Non-Federal entities other than States, including those operating Federal programs as subrecipients of States, must follow the procurement standards set out at 2 CFR sections 200.318 through 200.326. They must use their own documented procurement procedures, which reflect applicable state and local laws and regulations, provided that the procurements conform to applicable Federal statutes and the procurement requirements identified in 2 CFR part 200. Condition: The Department was able to provide a procurement policy, but it was dated in 2003 and not updated for the latest federal guidelines noted in the criteria paragraph. Cause: The Department does not have internal controls in place surrounding procurement policies and procedures. Effect: The lack of internal controls surrounding the procurement policies and procedures could lead to potential funding issues in the future. Questioned Costs: None. Recommendation: We recommend that management continue to implement additional control processes in order to ensure proper controls are in place and followed. Tribal Response: Management agrees with this finding.

Corrective Action Plan

2021-005 Procurement Standards set out at 2 CFR sections 200.318 through 200.326 Management Response: The Tribe will update fiscal, payroll, HR, and procurement policies by the end of the year. Anticipated Completion Date: 12/31/2024 Responsible Party: Treasurer, Comptroller, Accounting Manager and Federal Programs Accounting Manager

Categories

Procurement, Suspension & Debarment Subrecipient Monitoring Matching / Level of Effort / Earmarking Internal Control / Segregation of Duties

Other Findings in this Audit

  • 395770 2021-003
    Material Weakness Repeat
  • 395771 2021-003
    Material Weakness Repeat
  • 395772 2021-003
    Material Weakness Repeat
  • 395773 2021-003
    Material Weakness Repeat
  • 395774 2021-003
    Material Weakness Repeat
  • 395775 2021-003
    Material Weakness Repeat
  • 395776 2021-003
    Material Weakness Repeat
  • 395777 2021-003
    Material Weakness Repeat
  • 395778 2021-003
    Material Weakness Repeat
  • 395779 2021-003
    Material Weakness Repeat
  • 395780 2021-004
    Material Weakness Repeat
  • 395781 2021-004
    Material Weakness Repeat
  • 395782 2021-004
    Material Weakness Repeat
  • 395783 2021-004
    Material Weakness Repeat
  • 395784 2021-004
    Material Weakness Repeat
  • 395785 2021-004
    Material Weakness Repeat
  • 395786 2021-004
    Material Weakness Repeat
  • 395787 2021-004
    Material Weakness Repeat
  • 395788 2021-004
    Material Weakness Repeat
  • 395790 2021-005
    Material Weakness Repeat
  • 395791 2021-006
    Material Weakness
  • 395792 2021-006
    Material Weakness
  • 395793 2021-006
    Material Weakness
  • 395794 2021-006
    Material Weakness
  • 395795 2021-006
    Material Weakness
  • 395796 2021-006
    Material Weakness
  • 395797 2021-006
    Material Weakness
  • 395798 2021-007
    Material Weakness
  • 972212 2021-003
    Material Weakness Repeat
  • 972213 2021-003
    Material Weakness Repeat
  • 972214 2021-003
    Material Weakness Repeat
  • 972215 2021-003
    Material Weakness Repeat
  • 972216 2021-003
    Material Weakness Repeat
  • 972217 2021-003
    Material Weakness Repeat
  • 972218 2021-003
    Material Weakness Repeat
  • 972219 2021-003
    Material Weakness Repeat
  • 972220 2021-003
    Material Weakness Repeat
  • 972221 2021-003
    Material Weakness Repeat
  • 972222 2021-004
    Material Weakness Repeat
  • 972223 2021-004
    Material Weakness Repeat
  • 972224 2021-004
    Material Weakness Repeat
  • 972225 2021-004
    Material Weakness Repeat
  • 972226 2021-004
    Material Weakness Repeat
  • 972227 2021-004
    Material Weakness Repeat
  • 972228 2021-004
    Material Weakness Repeat
  • 972229 2021-004
    Material Weakness Repeat
  • 972230 2021-004
    Material Weakness Repeat
  • 972231 2021-005
    Material Weakness Repeat
  • 972232 2021-005
    Material Weakness Repeat
  • 972233 2021-006
    Material Weakness
  • 972234 2021-006
    Material Weakness
  • 972235 2021-006
    Material Weakness
  • 972236 2021-006
    Material Weakness
  • 972237 2021-006
    Material Weakness
  • 972238 2021-006
    Material Weakness
  • 972239 2021-006
    Material Weakness
  • 972240 2021-007
    Material Weakness

Programs in Audit

ALN Program Name Expenditures
21.019 Coronavirus Relief Fund $18.69M
66.038 Training, Investigations, and Special Purpose Activities of Federally-Recognized Indian Tribes Consistent with the Clean Air Act (caa), Tribal Sovereignty and the Protection and Management of Air Quality $590,039
21.027 Coronavirus State and Local Fiscal Recovery Funds $424,474
21.023 Emergency Rental Assistance Program $140,105
93.047 Special Programs for the Aging_title Vi, Part A, Grants to Indian Tribes_part B, Grants to Native Hawaiians $122,261
93.568 Low-Income Home Energy Assistance $96,198
15.022 Tribal Self-Governance $66,040
93.596 Child Care Mandatory and Matching Funds of the Child Care and Development Fund $60,887
93.556 Promoting Safe and Stable Families $56,768
66.926 Indian Environmental General Assistance Program (gap) $45,617
10.558 Child and Adult Care Food Program $39,832
93.671 Family Violence Prevention and Services/domestic Violence Shelter and Supportive Services $23,004
93.788 Opioid Str $22,345
93.054 National Family Caregiver Support, Title Vi, Part C, Grants to Indian Tribes and Native Hawaiians $21,814
20.509 Formula Grants for Rural Areas and Tribal Transit Program $17,066
93.569 Community Services Block Grant $9,232
93.600 Head Start $4,754
45.311 Native American and Native Hawaiian Library Services $2,759
93.645 Stephanie Tubbs Jones Child Welfare Services Program $2,494
21.026 Homeowner Assistance Fund $2,450
16.841 Voca Tribal Victim Services Set-Aside Program $1,049
93.499 Low Income Household Water Assistance Program $920
14.867 Indian Housing Block Grants $238
93.575 Child Care and Development Block Grant $163
15.904 Historic Preservation Fund Grants-in-Aid $0