Audit of SCAT Transportation Disadvantaged Grant Program - October 2019

7 | 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 2. Application Retention . Observation Before a client is eligible to receive a ride provided by the transportation disadvantaged grant funding the client must complete an eligibility application. Client applications must be recertified every three years in order for the client to continue utilizing ride services. A requirement of the grant agreement is that SCAT must retain client applications during the period of the agreement and for five years after final payment is made. Additionally, SOP #710 states medical records should be retained for six years. Of the 184 paper applications requested 164 paper applications were located and reviewed. Therefore, SCAT was unable to locate 20 paper applications. Recommendation To ensure compliance with the grant agreement, SCAT should monitor future retention of applications and ensure applications are retained for the required time per the current grant agreement. Management Response 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.