Finding Number: 2023-003 Reporting - Compliance and Internal Control
Summary of Finding: Under the requirements of the Federal Funding Accountability and Transparency Act
(“FFATA”) (Pub. L. No. 109-282), as amended by Section 6202 of Pub. L. No. 110-252, hereafter referred as
the “Transparency Act” ...
Finding Number: 2023-003 Reporting - Compliance and Internal Control
Summary of Finding: Under the requirements of the Federal Funding Accountability and Transparency Act
(“FFATA”) (Pub. L. No. 109-282), as amended by Section 6202 of Pub. L. No. 110-252, hereafter referred as
the “Transparency Act” that are codified in 2 CFR Part 170, recipients (i.e., direct recipients) of
grants or cooperative agreements are required to report first-tier subawards of $30,000 or more to
the Federal Funding Accountability and Transparency Act Subaward Reporting System (FSRS).
We were unable to verify that the Organization has established policies and procedures to ensure that the
required reports are accurately completed and submitted on a timely basis, we noted the following
matters for the subawards tested:
• For the two samples tested, the Organization was unable to provide proof of submission of the
FFATA reports.
Response to Finding: Heartland Alliance International acknowledges the findings related to the FFATA
reporting requirements. We recognize the importance of accurate and timely submission of reports to the
Federal Funding Accountability and Transparency Act Subaward Reporting System (FSRS). The identified
issue was due to a lack of established policies and procedures for ensuring the submission of FFATA reports.
We are committed to rectifying this oversight and enhancing our reporting processes to ensure full
compliance with the Transparency Act requirements.
Corrective Action:
1. Development of Reporting Procedures:
o Action: Develop and implement comprehensive policies and procedures for FFATA reporting.
This will include detailed guidelines on the preparation, review, and submission of FFATA
reports, ensuring that all necessary documentation is maintained.
o Responsible Individual: Carolina Ramazzina Van Moorsel, Sr. Director Global Grant
Compliance
o Completion Date: 9/30/2024
2. Training for Staff:
o Action: Conduct training sessions for staff responsible for FFATA reporting to ensure they
are fully aware of the reporting requirements and the importance of timely submissions.
Training will cover the use of the FSRS system and the new procedures.
o Responsible Individual: Carolina Ramazzina Van Moorsel, Sr. Director Global Grant
Compliance
o Completion Date: 9/30/2024
3. Internal Monitoring and Verification:
o Action: Establish an internal monitoring and verification process to ensure all FFATA reports
are submitted accurately and on time. This will involve periodic checks and audits of the
reporting process to identify and address any discrepancies promptly. o Responsible Individual: Carolina Ramazzina Van Moorsel, Sr. Director Global Grant
Compliance
o Completion Date: 9/30/2024
4. Documentation and Record-Keeping:
o Action: Implement a standardized system for documenting and storing all FFATA report
submissions. This system will ensure that proof of submission is readily available for
verification and audit purposes.
o Responsible Individual: Carolina Ramazzina Van Moorsel, Sr. Director Global Grant
Compliance
o Completion Date: 9/30/2024
5. Automated Reminders and Alerts:
o Action: Utilize an automated system to set reminders and alerts for upcoming FFATA
reporting deadlines. This system will help ensure that reports are submitted on time and
that staff are aware of their responsibilities.
o Responsible Individual: Carolina Ramazzina Van Moorsel, Sr. Director Global Grant
Compliance
o Completion Date: 9/30/2024
By implementing these corrective actions, we aim to ensure full compliance with the Transparency Act
requirements and strengthen our internal controls to prevent recurrence of such findings in the future.
Individual(s) Responsible for Corrective Action Plan:
• Name: Rebecca Obrock
• Title: Chief Operating Officer
• Phone number: (773) 275-2586
• Anticipated Completion Date: 9/30/2024