Finding Text
Finding Number: 2021-010
Prior Year Finding Number: N/A
Compliance Requirement: Procurement and Suspension and Debarment
Program:
U.S. Department of Transportation
National Infrastructure Investments
ALN: 20.933
Award #: DTMA91G1600010
Award Year: 02/01/2017 - 03/31/2022
Criteria – Certain prescribed requirements dictate that recipients of Federal awards have adequate procedures and controls in place to ensure that practices are properly documented in the entity’s files, provide a vendor debarment or suspension certification, provide for retention of files, and that supporting documentation corroborate compliance with these requirements.
Condition – In our review of the one (1) procurement transaction taking place during the year, we noted that the transaction did not contain evidence that the contractor was not suspended or debarred.
Cause – The Authority did not strictly adhere to its policies and procedures.
Effect or Potential Effect – The Authority could inadvertently contract with parties that are suspended or debarred from doing business with the Federal government.
Questioned Costs – None.
Context – This is a condition identified per review of the Authority’s compliance with the specified requirements. No sampling was performed.
Recommendation – We recommend that the Authority follow its internal controls to ensure adherence to Federal regulations relating to vendor suspension and debarment. There should be timely coordination and communication amongst all departments that are responsible for handling and managing vendors.
Views of Responsible Officials - The Authority concurs with the auditor’s findings and recommendations. The Authority will implement measures to ensure compliance with procurement policies and procedures. The planned corrective actions are presented in the Authority’s Corrective Action Plan, which is attached as Appendix B.