The Sustainable Workplace Alliance, Inc.

Federal Agency: U.S. Department of Transportation Program Title: Interagency Hazardous Materials Public Sector Training and Planning Grants Assistance Listing Number: 20.703 Award Period: October 1, 2022 – September 30, 2024 • Significant Deficiency in Internal Control over Compliance Criteria: When a non-Federal entity enters into a covered transaction with an entity at a lower tier, the non-Federal entity must verify that the entity, as defined in 2 CFR section 180.995 and agency adopting regulations, is not suspended or debarred or otherwise excluded from participating in the transaction Condition: CLA noted during testing of various vendors for Suspension and Debarment testing in connection with the single audit that SWA did not provide sufficient support noting that proper vendor checks were completed prior to doing business. SWA provided signed reports noting that sam.gov checks were complete, however, these forms lacked evidence as to when the checks were completed and therefore CLA was unable to verify that these checks were done at the appropriate time. CLA recommends that a date field be included on internal forms to support documentation of when checks were completed. Questioned costs: N/A Context: Sample of 5 vendors chosen with transactions throughout the granting period, inside the fiscal year. Cause: Verification date not included on internal sam.gov verification forms. Repeat finding: No Recommendation: We recommend that a date filed be included on SWA prepared sam.gov search forms to document when searches were complete. Views of responsible officials and planned corrective actions: No disagreement.

Suspension/Debarment Condition: CLA noted during testing of various vendors for Suspension and Debarment testing in connection with the single audit that SWA did not provide sufficient support noting that proper vendor checks were completed prior to doing business. SWA provided signed reports noting that sam.gov checks were complete, however, these forms lacked evidence as to when the checks were completed and therefore CLA was unable to verify that these checks were done at the appropriate time. CLA recommends that a date field be included on internal forms to support documentation of when checks were completed. Recommendation: We recommend the Organization include a date field on the Organization’s prepared Sam.gov search forms to document when searches were completed. Explanation of disagreement with audit finding: There is no disagreement with the audit finding. Action planned/taken in response to finding: A date field will be included on internal forms to support documentation of when checks were completed. Name(s) of the contact person(s) responsible for corrective action: Sarah McKee Planned completion date for corrective action plan: August 1, 2024