Federal Program Name: Research and Development Cluster: Uniformed Services
University Medical Research Projects
Federal Agency: U.S. Department of Defense
Federal Assistance Listing Number: 12.750
Criteria or Specific Requirement: Procurement, Suspension and Debarment
Condition: The Organization’s policies do not contain adequate documentation to
demonstrate compliance with federal procurement, and suspension and debarment
regulations.
Effect: Without adequate procurement policies and documentation of suspension and
debarment checks, the auditee may inadvertently award contracts to ineligible vendors.
Questioned Costs: None
Context: The Organization’s documented procurement policies do not contain all of the
specific requirements of 2 CFR sections 200.318 through 200.326. Additionally, the
Organization’s policies do not contain all the specific requirements of 2 CFR sections 180
and 200.14 regarding suspension and debarment.
Cause: The writing of the policy did not take into account the federal procurement,
suspension and debarment regulations which are required to be incorporated for items
procured with federal funds.
Repeat Finding: No
Recommendation: We recommend that the Organization revise its policies to
incorporate all required elements of the federal procurement, suspension and debarment
regulations.
Views of Responsible Officials and Planned Corrective Action: The Organization
agrees with the comment and will revise its policies to incorporate all required elements
of the federal procurement, suspension and debarment regulations.
Federal Program Name: Research and Development Cluster: Uniformed Services
University Medical Research Projects
Federal Agency: U.S. Department of Defense
Federal Assistance Listing Number: 12.750
Criteria or Specific Requirement: Subrecipient Monitoring
Condition: During testing of subrecipient monitoring, it was noted that the Organization
awarded three awards to subrecipients during the year and did not inform these
subrecipients of the federal nature of the award at the time of the subaward. Specifically,
the required federal award information was not included in the subaward documentation.
Effect: Failure to communicate the federal nature of the award may result in
subrecipients not being aware of their responsibilities under federal regulations, which
could lead to noncompliance with federal requirements.
Questioned Costs: None
Context: In accordance with 2 CFR section 200.332(a), pass-through entities are
required to clearly identify to the subrecipient the federal award information at the time of
the subaward. This includes the federal award identification number, the federal awarding
agency, the assistance listing number (ALN), and the amount of federal funds obligated.
This information was not communicated to the subrecipients
Cause: The Organization did not have adequate procedures in place to ensure that all
required federal award information was communicated to subrecipients.
Repeat Finding: No
Recommendation: We recommend that the Organization implement procedures to
ensure that all required federal award information is included in subaward agreements
and communicated to subrecipients at the time of the award.
Views of Responsible Officials and Planned Corrective Action: The Organization
agrees with the comment and will revise policies to communicate all required federal
award information to subrecipients.
Federal Program Name: Research and Development Cluster: Uniformed Services
University Medical Research Projects
Federal Agency: U.S. Department of Defense
Federal Assistance Listing Number: 12.750
Criteria or Specific Requirement: Procurement, Suspension and Debarment
Condition: The Organization’s policies do not contain adequate documentation to
demonstrate compliance with federal procurement, and suspension and debarment
regulations.
Effect: Without adequate procurement policies and documentation of suspension and
debarment checks, the auditee may inadvertently award contracts to ineligible vendors.
Questioned Costs: None
Context: The Organization’s documented procurement policies do not contain all of the
specific requirements of 2 CFR sections 200.318 through 200.326. Additionally, the
Organization’s policies do not contain all the specific requirements of 2 CFR sections 180
and 200.14 regarding suspension and debarment.
Cause: The writing of the policy did not take into account the federal procurement,
suspension and debarment regulations which are required to be incorporated for items
procured with federal funds.
Repeat Finding: No
Recommendation: We recommend that the Organization revise its policies to
incorporate all required elements of the federal procurement, suspension and debarment
regulations.
Views of Responsible Officials and Planned Corrective Action: The Organization
agrees with the comment and will revise its policies to incorporate all required elements
of the federal procurement, suspension and debarment regulations.
Federal Program Name: Research and Development Cluster: Uniformed Services
University Medical Research Projects
Federal Agency: U.S. Department of Defense
Federal Assistance Listing Number: 12.750
Criteria or Specific Requirement: Subrecipient Monitoring
Condition: During testing of subrecipient monitoring, it was noted that the Organization
awarded three awards to subrecipients during the year and did not inform these
subrecipients of the federal nature of the award at the time of the subaward. Specifically,
the required federal award information was not included in the subaward documentation.
Effect: Failure to communicate the federal nature of the award may result in
subrecipients not being aware of their responsibilities under federal regulations, which
could lead to noncompliance with federal requirements.
Questioned Costs: None
Context: In accordance with 2 CFR section 200.332(a), pass-through entities are
required to clearly identify to the subrecipient the federal award information at the time of
the subaward. This includes the federal award identification number, the federal awarding
agency, the assistance listing number (ALN), and the amount of federal funds obligated.
This information was not communicated to the subrecipients
Cause: The Organization did not have adequate procedures in place to ensure that all
required federal award information was communicated to subrecipients.
Repeat Finding: No
Recommendation: We recommend that the Organization implement procedures to
ensure that all required federal award information is included in subaward agreements
and communicated to subrecipients at the time of the award.
Views of Responsible Officials and Planned Corrective Action: The Organization
agrees with the comment and will revise policies to communicate all required federal
award information to subrecipients.
Federal Program Name: Research and Development Cluster: Uniformed Services
University Medical Research Projects
Federal Agency: U.S. Department of Defense
Federal Assistance Listing Number: 12.750
Criteria or Specific Requirement: Procurement, Suspension and Debarment
Condition: The Organization’s policies do not contain adequate documentation to
demonstrate compliance with federal procurement, and suspension and debarment
regulations.
Effect: Without adequate procurement policies and documentation of suspension and
debarment checks, the auditee may inadvertently award contracts to ineligible vendors.
Questioned Costs: None
Context: The Organization’s documented procurement policies do not contain all of the
specific requirements of 2 CFR sections 200.318 through 200.326. Additionally, the
Organization’s policies do not contain all the specific requirements of 2 CFR sections 180
and 200.14 regarding suspension and debarment.
Cause: The writing of the policy did not take into account the federal procurement,
suspension and debarment regulations which are required to be incorporated for items
procured with federal funds.
Repeat Finding: No
Recommendation: We recommend that the Organization revise its policies to
incorporate all required elements of the federal procurement, suspension and debarment
regulations.
Views of Responsible Officials and Planned Corrective Action: The Organization
agrees with the comment and will revise its policies to incorporate all required elements
of the federal procurement, suspension and debarment regulations.
Federal Program Name: Research and Development Cluster: Uniformed Services
University Medical Research Projects
Federal Agency: U.S. Department of Defense
Federal Assistance Listing Number: 12.750
Criteria or Specific Requirement: Subrecipient Monitoring
Condition: During testing of subrecipient monitoring, it was noted that the Organization
awarded three awards to subrecipients during the year and did not inform these
subrecipients of the federal nature of the award at the time of the subaward. Specifically,
the required federal award information was not included in the subaward documentation.
Effect: Failure to communicate the federal nature of the award may result in
subrecipients not being aware of their responsibilities under federal regulations, which
could lead to noncompliance with federal requirements.
Questioned Costs: None
Context: In accordance with 2 CFR section 200.332(a), pass-through entities are
required to clearly identify to the subrecipient the federal award information at the time of
the subaward. This includes the federal award identification number, the federal awarding
agency, the assistance listing number (ALN), and the amount of federal funds obligated.
This information was not communicated to the subrecipients
Cause: The Organization did not have adequate procedures in place to ensure that all
required federal award information was communicated to subrecipients.
Repeat Finding: No
Recommendation: We recommend that the Organization implement procedures to
ensure that all required federal award information is included in subaward agreements
and communicated to subrecipients at the time of the award.
Views of Responsible Officials and Planned Corrective Action: The Organization
agrees with the comment and will revise policies to communicate all required federal
award information to subrecipients.
Federal Program Name: Research and Development Cluster: Uniformed Services
University Medical Research Projects
Federal Agency: U.S. Department of Defense
Federal Assistance Listing Number: 12.750
Criteria or Specific Requirement: Procurement, Suspension and Debarment
Condition: The Organization’s policies do not contain adequate documentation to
demonstrate compliance with federal procurement, and suspension and debarment
regulations.
Effect: Without adequate procurement policies and documentation of suspension and
debarment checks, the auditee may inadvertently award contracts to ineligible vendors.
Questioned Costs: None
Context: The Organization’s documented procurement policies do not contain all of the
specific requirements of 2 CFR sections 200.318 through 200.326. Additionally, the
Organization’s policies do not contain all the specific requirements of 2 CFR sections 180
and 200.14 regarding suspension and debarment.
Cause: The writing of the policy did not take into account the federal procurement,
suspension and debarment regulations which are required to be incorporated for items
procured with federal funds.
Repeat Finding: No
Recommendation: We recommend that the Organization revise its policies to
incorporate all required elements of the federal procurement, suspension and debarment
regulations.
Views of Responsible Officials and Planned Corrective Action: The Organization
agrees with the comment and will revise its policies to incorporate all required elements
of the federal procurement, suspension and debarment regulations.
Federal Program Name: Research and Development Cluster: Uniformed Services
University Medical Research Projects
Federal Agency: U.S. Department of Defense
Federal Assistance Listing Number: 12.750
Criteria or Specific Requirement: Subrecipient Monitoring
Condition: During testing of subrecipient monitoring, it was noted that the Organization
awarded three awards to subrecipients during the year and did not inform these
subrecipients of the federal nature of the award at the time of the subaward. Specifically,
the required federal award information was not included in the subaward documentation.
Effect: Failure to communicate the federal nature of the award may result in
subrecipients not being aware of their responsibilities under federal regulations, which
could lead to noncompliance with federal requirements.
Questioned Costs: None
Context: In accordance with 2 CFR section 200.332(a), pass-through entities are
required to clearly identify to the subrecipient the federal award information at the time of
the subaward. This includes the federal award identification number, the federal awarding
agency, the assistance listing number (ALN), and the amount of federal funds obligated.
This information was not communicated to the subrecipients
Cause: The Organization did not have adequate procedures in place to ensure that all
required federal award information was communicated to subrecipients.
Repeat Finding: No
Recommendation: We recommend that the Organization implement procedures to
ensure that all required federal award information is included in subaward agreements
and communicated to subrecipients at the time of the award.
Views of Responsible Officials and Planned Corrective Action: The Organization
agrees with the comment and will revise policies to communicate all required federal
award information to subrecipients.
Federal Program Name: Research and Development Cluster: Uniformed Services
University Medical Research Projects
Federal Agency: U.S. Department of Defense
Federal Assistance Listing Number: 12.750
Criteria or Specific Requirement: Procurement, Suspension and Debarment
Condition: The Organization’s policies do not contain adequate documentation to
demonstrate compliance with federal procurement, and suspension and debarment
regulations.
Effect: Without adequate procurement policies and documentation of suspension and
debarment checks, the auditee may inadvertently award contracts to ineligible vendors.
Questioned Costs: None
Context: The Organization’s documented procurement policies do not contain all of the
specific requirements of 2 CFR sections 200.318 through 200.326. Additionally, the
Organization’s policies do not contain all the specific requirements of 2 CFR sections 180
and 200.14 regarding suspension and debarment.
Cause: The writing of the policy did not take into account the federal procurement,
suspension and debarment regulations which are required to be incorporated for items
procured with federal funds.
Repeat Finding: No
Recommendation: We recommend that the Organization revise its policies to
incorporate all required elements of the federal procurement, suspension and debarment
regulations.
Views of Responsible Officials and Planned Corrective Action: The Organization
agrees with the comment and will revise its policies to incorporate all required elements
of the federal procurement, suspension and debarment regulations.
Federal Program Name: Research and Development Cluster: Uniformed Services
University Medical Research Projects
Federal Agency: U.S. Department of Defense
Federal Assistance Listing Number: 12.750
Criteria or Specific Requirement: Subrecipient Monitoring
Condition: During testing of subrecipient monitoring, it was noted that the Organization
awarded three awards to subrecipients during the year and did not inform these
subrecipients of the federal nature of the award at the time of the subaward. Specifically,
the required federal award information was not included in the subaward documentation.
Effect: Failure to communicate the federal nature of the award may result in
subrecipients not being aware of their responsibilities under federal regulations, which
could lead to noncompliance with federal requirements.
Questioned Costs: None
Context: In accordance with 2 CFR section 200.332(a), pass-through entities are
required to clearly identify to the subrecipient the federal award information at the time of
the subaward. This includes the federal award identification number, the federal awarding
agency, the assistance listing number (ALN), and the amount of federal funds obligated.
This information was not communicated to the subrecipients
Cause: The Organization did not have adequate procedures in place to ensure that all
required federal award information was communicated to subrecipients.
Repeat Finding: No
Recommendation: We recommend that the Organization implement procedures to
ensure that all required federal award information is included in subaward agreements
and communicated to subrecipients at the time of the award.
Views of Responsible Officials and Planned Corrective Action: The Organization
agrees with the comment and will revise policies to communicate all required federal
award information to subrecipients.
Federal Program Name: Research and Development Cluster: Uniformed Services
University Medical Research Projects
Federal Agency: U.S. Department of Defense
Federal Assistance Listing Number: 12.750
Criteria or Specific Requirement: Procurement, Suspension and Debarment
Condition: The Organization’s policies do not contain adequate documentation to
demonstrate compliance with federal procurement, and suspension and debarment
regulations.
Effect: Without adequate procurement policies and documentation of suspension and
debarment checks, the auditee may inadvertently award contracts to ineligible vendors.
Questioned Costs: None
Context: The Organization’s documented procurement policies do not contain all of the
specific requirements of 2 CFR sections 200.318 through 200.326. Additionally, the
Organization’s policies do not contain all the specific requirements of 2 CFR sections 180
and 200.14 regarding suspension and debarment.
Cause: The writing of the policy did not take into account the federal procurement,
suspension and debarment regulations which are required to be incorporated for items
procured with federal funds.
Repeat Finding: No
Recommendation: We recommend that the Organization revise its policies to
incorporate all required elements of the federal procurement, suspension and debarment
regulations.
Views of Responsible Officials and Planned Corrective Action: The Organization
agrees with the comment and will revise its policies to incorporate all required elements
of the federal procurement, suspension and debarment regulations.
Federal Program Name: Research and Development Cluster: Uniformed Services
University Medical Research Projects
Federal Agency: U.S. Department of Defense
Federal Assistance Listing Number: 12.750
Criteria or Specific Requirement: Subrecipient Monitoring
Condition: During testing of subrecipient monitoring, it was noted that the Organization
awarded three awards to subrecipients during the year and did not inform these
subrecipients of the federal nature of the award at the time of the subaward. Specifically,
the required federal award information was not included in the subaward documentation.
Effect: Failure to communicate the federal nature of the award may result in
subrecipients not being aware of their responsibilities under federal regulations, which
could lead to noncompliance with federal requirements.
Questioned Costs: None
Context: In accordance with 2 CFR section 200.332(a), pass-through entities are
required to clearly identify to the subrecipient the federal award information at the time of
the subaward. This includes the federal award identification number, the federal awarding
agency, the assistance listing number (ALN), and the amount of federal funds obligated.
This information was not communicated to the subrecipients
Cause: The Organization did not have adequate procedures in place to ensure that all
required federal award information was communicated to subrecipients.
Repeat Finding: No
Recommendation: We recommend that the Organization implement procedures to
ensure that all required federal award information is included in subaward agreements
and communicated to subrecipients at the time of the award.
Views of Responsible Officials and Planned Corrective Action: The Organization
agrees with the comment and will revise policies to communicate all required federal
award information to subrecipients.
Federal Program Name: Research and Development Cluster: Uniformed Services
University Medical Research Projects
Federal Agency: U.S. Department of Defense
Federal Assistance Listing Number: 12.750
Criteria or Specific Requirement: Procurement, Suspension and Debarment
Condition: The Organization’s policies do not contain adequate documentation to
demonstrate compliance with federal procurement, and suspension and debarment
regulations.
Effect: Without adequate procurement policies and documentation of suspension and
debarment checks, the auditee may inadvertently award contracts to ineligible vendors.
Questioned Costs: None
Context: The Organization’s documented procurement policies do not contain all of the
specific requirements of 2 CFR sections 200.318 through 200.326. Additionally, the
Organization’s policies do not contain all the specific requirements of 2 CFR sections 180
and 200.14 regarding suspension and debarment.
Cause: The writing of the policy did not take into account the federal procurement,
suspension and debarment regulations which are required to be incorporated for items
procured with federal funds.
Repeat Finding: No
Recommendation: We recommend that the Organization revise its policies to
incorporate all required elements of the federal procurement, suspension and debarment
regulations.
Views of Responsible Officials and Planned Corrective Action: The Organization
agrees with the comment and will revise its policies to incorporate all required elements
of the federal procurement, suspension and debarment regulations.
Federal Program Name: Research and Development Cluster: Uniformed Services
University Medical Research Projects
Federal Agency: U.S. Department of Defense
Federal Assistance Listing Number: 12.750
Criteria or Specific Requirement: Subrecipient Monitoring
Condition: During testing of subrecipient monitoring, it was noted that the Organization
awarded three awards to subrecipients during the year and did not inform these
subrecipients of the federal nature of the award at the time of the subaward. Specifically,
the required federal award information was not included in the subaward documentation.
Effect: Failure to communicate the federal nature of the award may result in
subrecipients not being aware of their responsibilities under federal regulations, which
could lead to noncompliance with federal requirements.
Questioned Costs: None
Context: In accordance with 2 CFR section 200.332(a), pass-through entities are
required to clearly identify to the subrecipient the federal award information at the time of
the subaward. This includes the federal award identification number, the federal awarding
agency, the assistance listing number (ALN), and the amount of federal funds obligated.
This information was not communicated to the subrecipients
Cause: The Organization did not have adequate procedures in place to ensure that all
required federal award information was communicated to subrecipients.
Repeat Finding: No
Recommendation: We recommend that the Organization implement procedures to
ensure that all required federal award information is included in subaward agreements
and communicated to subrecipients at the time of the award.
Views of Responsible Officials and Planned Corrective Action: The Organization
agrees with the comment and will revise policies to communicate all required federal
award information to subrecipients.
Federal Program Name: Research and Development Cluster: Uniformed Services
University Medical Research Projects
Federal Agency: U.S. Department of Defense
Federal Assistance Listing Number: 12.750
Criteria or Specific Requirement: Procurement, Suspension and Debarment
Condition: The Organization’s policies do not contain adequate documentation to
demonstrate compliance with federal procurement, and suspension and debarment
regulations.
Effect: Without adequate procurement policies and documentation of suspension and
debarment checks, the auditee may inadvertently award contracts to ineligible vendors.
Questioned Costs: None
Context: The Organization’s documented procurement policies do not contain all of the
specific requirements of 2 CFR sections 200.318 through 200.326. Additionally, the
Organization’s policies do not contain all the specific requirements of 2 CFR sections 180
and 200.14 regarding suspension and debarment.
Cause: The writing of the policy did not take into account the federal procurement,
suspension and debarment regulations which are required to be incorporated for items
procured with federal funds.
Repeat Finding: No
Recommendation: We recommend that the Organization revise its policies to
incorporate all required elements of the federal procurement, suspension and debarment
regulations.
Views of Responsible Officials and Planned Corrective Action: The Organization
agrees with the comment and will revise its policies to incorporate all required elements
of the federal procurement, suspension and debarment regulations.
Federal Program Name: Research and Development Cluster: Uniformed Services
University Medical Research Projects
Federal Agency: U.S. Department of Defense
Federal Assistance Listing Number: 12.750
Criteria or Specific Requirement: Subrecipient Monitoring
Condition: During testing of subrecipient monitoring, it was noted that the Organization
awarded three awards to subrecipients during the year and did not inform these
subrecipients of the federal nature of the award at the time of the subaward. Specifically,
the required federal award information was not included in the subaward documentation.
Effect: Failure to communicate the federal nature of the award may result in
subrecipients not being aware of their responsibilities under federal regulations, which
could lead to noncompliance with federal requirements.
Questioned Costs: None
Context: In accordance with 2 CFR section 200.332(a), pass-through entities are
required to clearly identify to the subrecipient the federal award information at the time of
the subaward. This includes the federal award identification number, the federal awarding
agency, the assistance listing number (ALN), and the amount of federal funds obligated.
This information was not communicated to the subrecipients
Cause: The Organization did not have adequate procedures in place to ensure that all
required federal award information was communicated to subrecipients.
Repeat Finding: No
Recommendation: We recommend that the Organization implement procedures to
ensure that all required federal award information is included in subaward agreements
and communicated to subrecipients at the time of the award.
Views of Responsible Officials and Planned Corrective Action: The Organization
agrees with the comment and will revise policies to communicate all required federal
award information to subrecipients.