City of Lewiston, Maine

EIN: 016000030

UEI: MNMZJGN6H214

Data as of August 22, 2026

City of Lewiston, Maine11 audit years2 findings
11
Audit Years
2
Total Findings
0
Repeat Findings

FY 2022-06-30

Management decision deadline — for entities that funded this organization

The FAC accepted this audit on March 30, 2023. Under 2 CFR 200.521(d), a pass-through entity that provided federal funds to this organization for this audit period must issue a management decision on these findings by September 30, 2023 (1057 days ago).

What is a management decision? →
2022-001
Procurement & Suspension/Debarment

During audit procedures, it was identified that the City of Lewiston did not include the required contract provisions as specified in the criteria above and included in the City?s procurement policy. Cause: The City does not have the necessary internal controls to ensure compliance with the City?s procurement policy. Effect: Procurement contracts were not executed in compliance with both the criteria above and the City?s procurement policy. Identification of Questioned Costs: None identified. Context: Three procurement contracts were reviewed out of a population of 11. It was determined that the three procurement contracts reviewed did not include the required contract provisions. This was a statisically valid sample. Repeat Finding: This is not a repeat finding. Recommendation: It is recommended that the City of Lewiston implement internal control processes and procedures to ensure that they are following both the criteria above and the City?s procurement policy. Views of Responsible Officials and Corrective Action Plan: Please see the Corrective Action Plan issued by the City of Lewiston.

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Full finding narrative

2022-001 - Procurement Contracts Federal Program Information: Department of Housing and Urban Development: ALN - 14.900 - Lead Hazard Reduction Grant Program Criteria: The following CFR(s) apply to this finding: 2 CFR 200.327. Condition: During audit procedures, it was identified that the City of Lewiston did not include the required contract provisions as specified in the criteria above and included in the City?s procurement policy. Cause: The City does not have the necessary internal controls to ensure compliance with the City?s procurement policy. Effect: Procurement contracts were not executed in compliance with both the criteria above and the City?s procurement policy. Identification of Questioned Costs: None identified. Context: Three procurement contracts were reviewed out of a population of 11. It was determined that the three procurement contracts reviewed did not include the required contract provisions. This was a statisically valid sample. Repeat Finding: This is not a repeat finding. Recommendation: It is recommended that the City of Lewiston implement internal control processes and procedures to ensure that they are following both the criteria above and the City?s procurement policy. Views of Responsible Officials and Corrective Action Plan: Please see the Corrective Action Plan issued by the City of Lewiston.

Corrective Action Plan

CORRECTIVE ACTION PLAN (Concerning Finding 2022-001 & 2022-002) Contact Person Responsible for Corrective Action: Tracy Roy, Finance Director Corrective Action: The City of Lewiston will take the following actions to address finding 2022-001: The City of Lewiston has reviewed the contract and is adding the necessary sections to all contracts. Anticipated Completion Date: January 30, 2023 Corrective Action: The City of Lewiston will take the following actions to address finding 2022-002: The City of Lewiston started to require the SAM approval print out before contracts are signed with vendors beginning January 1, 2022. The Purchasing Agent or the designee will not complete the process until the SAM certification is received. The SAM document will be filed with the contract. This has been done but the employee in Economic Development gave the wrong SAM approval. Anticipated Completion Date: January 1, 2022

About Procurement and Suspension and Debarment →
2022-002
Procurement & Suspension/Debarment

During audit procedures, it was identified that the City of Lewiston did not take the required step(s) to enter into a covered transaction. Cause: The City does not have the necessary internal controls to ensure compliance with 2 CFR 180.300. Effect: Procurement contracts were not executed in compliance with the criteria above. Identification of Questioned Costs: None identified. Context: Three procurement contracts were reviewed out of a population of 11. It was determined that the three procurement contracts reviewed did not include one of the following requirements: SAM exclusion check, certification from vendor, or clause or condition within the covered transaction. This was a statisically valid sample. Repeat Finding: This is not a repeat finding. Recommendation: It is recommended that the City of Lewiston implement internal control processes and procedures to ensure that they are following the criteria above. Views of Responsible Officials and Corrective Action Plan: Please see the Corrective Action Plan issued by the City of Lewiston.

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Full finding narrative

2022-002 - Suspension and Disbarment Federal Program Information: Department of Housing and Urban Development: ALN - 14.900 - Lead Hazard Reduction Grant Program Criteria: The following CFR(s) apply to this finding: 2 CFR 180.300. Condition: During audit procedures, it was identified that the City of Lewiston did not take the required step(s) to enter into a covered transaction. Cause: The City does not have the necessary internal controls to ensure compliance with 2 CFR 180.300. Effect: Procurement contracts were not executed in compliance with the criteria above. Identification of Questioned Costs: None identified. Context: Three procurement contracts were reviewed out of a population of 11. It was determined that the three procurement contracts reviewed did not include one of the following requirements: SAM exclusion check, certification from vendor, or clause or condition within the covered transaction. This was a statisically valid sample. Repeat Finding: This is not a repeat finding. Recommendation: It is recommended that the City of Lewiston implement internal control processes and procedures to ensure that they are following the criteria above. Views of Responsible Officials and Corrective Action Plan: Please see the Corrective Action Plan issued by the City of Lewiston.

Corrective Action Plan

CORRECTIVE ACTION PLAN (Concerning Finding 2022-001 & 2022-002) Contact Person Responsible for Corrective Action: Tracy Roy, Finance Director Corrective Action: The City of Lewiston will take the following actions to address finding 2022-001: The City of Lewiston has reviewed the contract and is adding the necessary sections to all contracts. Anticipated Completion Date: January 30, 2023 Corrective Action: The City of Lewiston will take the following actions to address finding 2022-002: The City of Lewiston started to require the SAM approval print out before contracts are signed with vendors beginning January 1, 2022. The Purchasing Agent or the designee will not complete the process until the SAM certification is received. The SAM document will be filed with the contract. This has been done but the employee in Economic Development gave the wrong SAM approval. Anticipated Completion Date: January 1, 2022

About Procurement and Suspension and Debarment →

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