Finding 554152 (2024-004)

Material Weakness
Requirement
I
Questioned Costs
-
Year
2024
Accepted
2025-04-04

AI Summary

  • Core Issue: The North Lake Tahoe Fire Protection District's procurement policies do not fully comply with federal laws, risking inappropriate contracting.
  • Impacted Requirements: Federal regulations require verification of suspension or debarment status before entering contracts, which was not performed.
  • Recommended Follow-Up: Update procurement policies to align with federal laws and establish controls to ensure compliance with verification procedures.

Finding Text

2024-004: U.S. Department of Homeland Security Assistance to Firefighters Grant, 97.044 Procurement, Suspension, and Debarment Material Weakness in Internal Control over Compliance Grant Award Number: Affects all grant awards included under assistance listing 97.044 on the Schedule of Expenditures of Federal Awards. Criteria: Title 2 U.S. Code of Federal Regulations Part 200, Uniform Administrative Requirements, Cost Principles, and Audit Requirements for Federal Awards (Uniform Guidance) requires that a non-Federal entity must use its own documented procurement procedures which reflect applicable state and local laws and regulations, provided that the policies conform to applicable federal law. In addition, non-federal entities are prohibited from contracting with or making subawards under covered transactions to parties that are suspended or debarred. Condition: Procurement policies were consistent with state laws under Nevada Revised Statutes but did not consider or conform to all applicable federal procurement laws. In addition, procedures were not followed to verify if an entity was suspended or debarred before entering into a covered transaction. Cause: North Lake Tahoe Fire Protection District (the District) did not have adequate internal controls to ensure procurement policies complied with applicable federal laws or to ensure procedures were followed to verify an entity was not suspended or debarred prior to entering into a covered transaction. Effect: An inappropriate procurement method may be used. A covered transaction may be entered into with an entity that is suspended or debarred. Questioned Costs: None Context/Sampling: All procurements were tested as a population of only two were noted. Suspension and debarment verification procedures were not performed for either covered transaction. Lastly, as noted the procurement policies were reviewed and were absent consideration of federal criteria regarding: • Avoidance of acquisition of duplicative items • Awarding to responsible parties and contract oversight • Federal solicitation provisions • Disadvantaged Business Enterprise programs • Contract price and types • Bonding requirements • Contract provisions and recovered materials Repeat Finding from Prior Year: No Recommendation: We recommend the District update its written procurement policy to include federal laws and implement internal controls to ensure procedures are followed to verify an entity is not suspended or debarred prior to entering into a covered transaction. Views of Responsible Officials: North Lake Tahoe Fire Protection District agrees with this finding.

Corrective Action Plan

March 26, 2025 Eide Bailly, LLP Supervisor, Local Government & Finance Reno, NV 89706 Dear Mr. Kurt Schlicker, We have received and reviewed the audit report issued by your firm regarding our financial statements for the fiscal year ended June 30, 2024. We appreciate the thoroughness and professionalism demonstrated by your audit team throughout the process. We acknowledge the critical importance of establishing and maintaining an effective system of internal control over compliance, including procurement, suspension, and debarment per Title 2 Code of Federal Regulations Part 200, Uniform Administrative Requirements, Cost Principles, and Audit Requirements for Federal Awards (Uniform Guidance) related to the Assistance to Firefighters Grant, 97.044. As such, we are committed to taking immediate corrective actions to address documented procurement procedures to reflect applicable state and local laws and regulations and to ensure that our District (as a non-federal entity) is prohibited from contracting with or making subawards under covered transactions to parties that are suspended or debarred. We have outlined below the specific steps we have already undertaken and will undertake: 1. Revise & Update Procurement Procedures: a. Conduct a comprehensive review of current procurement procedures to identify gaps. b. Update procurement policies to reflect the specific requirements under 2 CFR Part 200, including provisions related to debarment and suspension. c. Ensure procurement procedures address compliance with state and local laws and regulations. d. Implement an approval process to review and validate any new procedures before they are finalized. 2. Staff Training & Capacity Building: a. We hired additional staff in January 2025 experienced in federal awards and compliance to oversee our grant administration. We have assigned dedicated staff with clear roles and responsibilities to manage and comply with grant requirements, including application, compliance, and reporting, ensuring that all parties understand their obligations and deadlines. b. We will provide training for relevant staff involved on updated procedures, including specific training on 2 CFR Part 200 for procurement standards, and suspension/debarment requirements. c. Provide regular refresher training to ensure ongoing compliance and awareness of updates to federal, state, and local laws. 3. Strengthen Internal Monitoring and Oversight Mechanisms: a. Implement periodic audits of procurement and subaward transactions to ensure compliance with updated policies and procedures. b. Assign a compliance officer to monitor the effectiveness of the suspension and debarment verification process. c. Develop a reporting system for non-compliance or procurement violations, and establish a corrective action protocol to address any identified issues d. Regularly review compliance metrics and audit reports with senior management. 4. Responsible Parties and Accountability to be designated: a. Chief Procurement Officer (CPO): Responsible for overseeing the update of procurement procedures and ensuring compliance with state, local, and federal regulations. b. Compliance Officer: Responsible for monitoring suspension and debarment verification, conducting audits, and overseeing staff training. c. Procurement Staff: Responsible for implementing updated procedures and ensuring all contractors and subawardees are verified for suspension or debarment status. d. Grant Administrator: Responsible for ensuring that federal grant expenditures comply with applicable procurement regulations and internal controls. By implementing these corrective actions, we are committed to addressing the material weakness in compliance, including procurement, suspension, and debarment. These steps will enhance the accuracy, reliability, and transparency of our financial reporting and improve our internal controls over our financial reporting. The District is committed to ensuring compliance with all applicable federal, state, and local regulations governing procurement, suspension, and debarment under all federal awards, to include the Assistance to Firefighters Grant Program. Through the implementation of these corrective actions, we will strengthen our internal controls, ensure accountability, and uphold the integrity of federal funds. These steps will be monitored continuously to ensure that the corrective actions are successfully implemented and sustained. We appreciate your insights and recommendations provided during the audit process and welcome any additional guidance or support your firm can offer as we work to address the identified weaknesses. Should you have any questions or require further information, please do not hesitate to contact me. Thank you for your continued partnership and support. Sincerely, Jackie Signorelli CFO

Categories

Procurement, Suspension & Debarment Internal Control / Segregation of Duties

Other Findings in this Audit

  • 554153 2024-005
    Material Weakness
  • 1130594 2024-004
    Material Weakness
  • 1130595 2024-005
    Material Weakness

Programs in Audit

ALN Program Name Expenditures
97.044 Assistance to Firefighters Grant $1.85M
15.235 Southern Nevada Public Land Management $651,637
10.664 Cooperative Forestry Assistance $92,470
10.697 State & Private Forestry Hazardous Fuel Reduction Program $54,672