Audit of SCAT Transportation Disadvantaged Grant Program - October 2019

6 | A u d i t o f S C A T T r a n s p o r t a t i o n D i s a d v a n t a g e d G r a n t P r o g r a m O c t o b e r 2 0 1 9 1. Ride Services Provided to Noncertified Clients. Observation Chapter five of the Transportation Disadvantaged Services Plan states "Applications must be renewed every three years from the date of the original approval or last renewal date". Additionally, SOP #708: ADA/TD Recertification states "At least once every three years, clients are required to submit a new application to recertify their eligibility". During the review of the 809 rides in the sample, the auditor identified 20 individual clients, a total of 168 rides or 21%, which were provided while the client was not certified. This equates to a total cost of $5,255.35. A provision of the grant agreement is that SCAT provides a local match of 10% of project costs. As a result, SCAT was improperly reimbursed a total of $4,729.82. Recommendation Develop and implement quality assurance processes to ensure client eligibility dates stored in the Trapeze application are correct and to ensure client eligibility is reviewed prior to scheduling a ride. Management Response A new SOP #758, has been developed, replacing SOP #708. The new SOP specifies: 1) A process for identifying those who need recertification. 2) Random file scans to identify any additional clients without an expiration date. 3) Proper document retention. A new SOP #756 specifically addresses Quality Assurance and implements the following checks and balances: 1) An electronic file listing all client names and application dates. This has been created by doing a 100% inventory of existing files along with assuring proper filing locations. 2) Assignment of accountability to the Mobility Coordinator for ensuring accurate expiration dates are marked in the Trapeze Database. 3) Committing the Paratransit Manager to auditing at least 10% of new files to ensure all administrative requirements are met.