Finding 60562 (2022-001)

Significant Deficiency Repeat Finding
Requirement
I
Questioned Costs
$1
Year
2022
Accepted
2022-12-14
Audit: 56441
Organization: Brookline Housing Authority (MA)
Auditor: Marcum LLP

AI Summary

  • Core Issue: The Authority failed to maintain required documentation for a procurement over $10,000, violating its own policy.
  • Impacted Requirements: Documentation for contracts must be kept for six years, including bids and evaluations, to ensure compliance and competitive pricing.
  • Recommended Follow-Up: Continue implementing the corrective action plan by reviewing frequent vendor transactions and ensuring proper competitive procurement practices.

Finding Text

SECTION III - FEDERAL AWARD FINDINGS AND QUESTIONED COSTS 2022-001 ? PROCUREMENT, SUSPENSION, & DEBARMENT Other Matter/Significant Deficiency U.S. Department of Housing and Urban Development CFDA #: 14.850 ? Public and Indian Housing Program CRITERIA For procurements of $10,000 or more, there shall be maintained a written record which includes the contract and any amendments to the contract. If a contract is awarded pursuant to a formal solicitation, the written record shall also include the invitation for bids or request for proposals, the public notices and advertisements, the bids or proposals submitted and written evaluation of proposals. All written documentation required by this Section shall be maintained for a period of six years from the date of final payment under the contract. (Brookline Housing Authority Procurement Policy) CONDITION We examined a sample of 7 vendors used for goods and services during fiscal year 2022, as a result of our procedures, we identified 1 instance in which the Authority did not follow its policy regarding maintaining written documentation for purchases exceeding $10,000. The 1 instance related to frequently recurring transactions that resulted in aggregate purchases exceeding the competitive thresholds. The total payments to the seven vendors aggregated $1,207,503. CAUSE The Authority was in the process of implementing its corrective action plan from the prior year and was not able to review all procurements for vendors with frequently recurring transactions prior to March 31, 2022. EFFECT As a result of not adequately documenting the procurement decision, the Authority has not complied with their procurement policy and cannot ensure that it is receiving the most competitive prices or rates for services that have been procured. QUESTIONED COSTS Estimated questioned costs were less than $25,000. CONTEXT We selected a sample of seven vendors used by the Authority during the year representing aggregate expenditures of $1,207,503. The Authority paid 75 vendors in excess of the micropurchase threshold of $10,000 for the fiscal year. Our sample was not a statistically valid sample. REPEAT FINDING This finding is repeated from finding 2021-001. RECOMMENDATION We recommend that the Authority continue with their corrective action plan from the prior year including: ? Periodically reviewing expenditures for frequently recurring transactions with vendors that could exceed the competitive procurement thresholds. ? Periodically compare the contract register against frequently used vendors. ? Solicit bids and competitively procure contracts for services and materials frequently used and maintain documentation supporting the procurement decision. AUDITEE?S RESPONSE AND PLANNED CORRECTIVE ACTION See Corrective Action Plan.

Corrective Action Plan

The Brookline Housing Authority (BHA) takes seriously all audit deficiencies. Immediate corrective action has and will be taken after Marcum LLP notified the BHA of this issue during the FY ?22 audit process. Specific details of how the BHA intends to address this finding are detailed below. 2022-001 ? Procurement, Suspension & Debarment For procurements of $10,000 or more, there shall be maintained a written record which includes the contract and any amendments to the contract. If a contract is awarded pursuant to a formal solicitation, the written record shall also include the invitation for bids or request for proposals, the public notices and advertisements, the bids or proposals submitted and written evaluation of proposals. All written documentation required by this Section shall be maintained for a period of six years from the date of final payment under the contract. (Brookline Housing Authority Procurement Policy) As a result of not adequately documenting the procurement decision, the Authority has not complied with their procurement policy and cannot ensure that it is receiving the most competitive prices or rates for services that have been procured. Auditee?s Response and Planned Corrective Action The BHA made strides during FY 2022 and strives to continue to prioritize contract and procurement practices that comply with applicable state (M.G.L 30B) and federal regulations. There was one issue, with one particular vendor that gave rise to this finding. The BHA Board of Commissioners approved an updated procurement policy as recommended by the Executive Director in the 1st quarter of FY 2022. This policy is compliant with both state and federal procurement guidelines but also contains additional controls on spending thresholds to ensure competitive contracting beyond regulatory requirements. The BHA already maintained records for six or more years from the date of final procurement for procurements $10,000 or larger. However, it did not have consistent record retention of small vendors that were used repeatedly under this $10,000 threshold and where bids could be solicited without an RFP. Going forward these records will be retained for repeatedly used vendors. The Director of Maintenance and Modernization has already been systematically re-procuring trades like electrical and painting in late FY 2022 and throughout FY 2023 where this was an issue and within a calendar year should fully re-procure all applicable services. The BHA is also planning to make the following immediate corrective actions and changes to internal controls: 1. The Director of Operations and Director of Maintenance and Modernization have both become certified Procurement Officers for the Brookline Housing Authority. 2. The Director of Operations, Director of Finance, and Executive Director will periodically review expenditures for frequently recurring transactions that could exceed competitive procurement thresholds. 3. The Director of Operations, Director of Finance, and Executive Director will periodically compare the contract register against frequently used vendors. 4. The BHA already retains a contract register and procurement details for competitive procurements over $10,000. The BHA will require all staff to retain solicitation records and materials used to make a procurement decision for smaller contracts and enter recurring contractors into the contract log. Planned Implementation Date of Corrective Action: November 28, 2022. Persons Responsible for Corrective Action: Michael Alperin, Executive Director, Lisa Brown, Director of Operations, Chris Devoll, Director of Maintenance and Modernization and John Kelley, Director of Finance. (617)-277-2022

Categories

Questioned Costs Procurement, Suspension & Debarment

Other Findings in this Audit

  • 637004 2022-001
    Significant Deficiency Repeat

Programs in Audit

ALN Program Name Expenditures
14.871 Section 8 Housing Choice Vouchers $21.25M
14.850 Public and Indian Housing $1.80M
14.872 Public Housing Capital Fund $679,997
14.879 Mainstream Vouchers $374,731
14.239 Home Investment Partnerships Program $283,751
14.218 Community Development Block Grants/entitlement Grants $120,000
97.036 Disaster Grants - Public Assistance (presidentially Declared Disasters) $119,501