Finding 1217823 (2025-003)

Material Weakness Repeat Finding
Requirement
M
Questioned Costs
-
Year
2025
Accepted
2026-06-17

AI Summary

  • Core Issue: The Foundation failed to monitor subrecipients as required by federal regulations.
  • Impacted Requirements: Subrecipients spending $750,000 or more must be audited and corrective actions taken based on audit results.
  • Recommended Follow-Up: Implement procedures to ensure compliance with subrecipient monitoring regulations.

Finding Text

Condition The Foundation did not perform subrecipient monitoring procedures in accordance with federal regulations. Criteria The Foundation is responsible for establishing and maintaining effective internal controls that provide reasonable assurance the Foundations is managing federal awards in compliance with the terms and conditions of the federal awards. Federal regulations require recipients of federal awards to ensure their subrecipients expending $750,000 or more during fiscal years prior to October 1, 2024, are audited in accordance with requirements in 2 CFR 200 Subpart F, and then to perform certain actions dependent upon audit results. To satisfy this requirement, the Foundation is required to: • Ensure the subrecipient received an audit or consider sanctions per 2 CFR 200.339. • Ensure the subrecipient takes corrective action on all findings negatively affecting subawards. • Issue a management decision within six months of the Federal Audit Clearinghouse’s acceptance of the subrecipient’s audit report if there were findings pertaining to the agency’s subawards. Cause The Foundation was not aware of the federal regulations regarding the requirements for proper subrecipient monitoring. Effect Subrecipients were not properly monitored by the Foundation in accordance with federal regulations. Questioned costs $-0- Recommendation We recommend that the Foundation implement proper procedures and processes to ensure that subrecipients are monitored in accordance with federal regulations.

Corrective Action Plan

View of Responsible Officials The Foundation did indicate to the subrecipients that the subawards were federal funds and outlined terms and uses associated with the subawards. The Foundation also monitored and reviewed subrecipient reimbursement submissions and corresponding support to ensure requests complied with the terms and conditions of the subaward. Action planned: • Develop and implement written policies and procedures that: o Establish a formal process for identifying all subrecipients receiving federal awards and determining which ones meet the single audit threshold. o Define procedures to ensure subrecipients complete the required audits under 2 CFR 200 Subpart F. o Outline steps for reviewing subrecipient audit reports, identifying findings related to the Foundation's subawards, and ensuring the subrecipient develops a corrective action plan for those findings. o Formalize the process for the Foundation to issue a management decision on relevant findings within the required six-month timeframe. o Include procedures for considering sanctions if a subrecipient does not comply with audit requirements. • Perform a lookback review: o Review existing subrecipient agreements to identify any instances of non-compliance with past monitoring requirements and ensure the necessary follow-up actions (e.g., obtaining audit reports, issuing management decisions) are completed for those periods. • Establish a monitoring system: o Implement a tracking system (e.g., a spreadsheet or software) to monitor the status of subrecipient audits, deadlines for management decisions, and follow-up on corrective actions. o Designate a responsible individual/department to oversee the subrecipient monitoring process and ensure all requirements are met consistently. Responsibility: The Chief Operating Officer and Finance Manager will work to draft the policy and will bring it to the Audit Committee for review and approval. The Finance Manager will be responsible for overseeing the implementation and ongoing compliance of the new subrecipient monitoring procedures. Timeline: • February 2026: Policy approved and implemented, and lookback review of prior periods completed. • Ongoing: Continuously monitor subrecipients and ensure timely action is taken on all future audit findings.

Categories

Subrecipient Monitoring

Other Findings in this Audit

  • 1217815 2025-001
    Material Weakness Repeat
  • 1217816 2025-002
    Material Weakness Repeat
  • 1217817 2025-003
    Material Weakness Repeat
  • 1217818 2025-001
    Material Weakness Repeat
  • 1217819 2025-002
    Material Weakness Repeat
  • 1217820 2025-003
    Material Weakness Repeat
  • 1217821 2025-001
    Material Weakness Repeat
  • 1217822 2025-002
    Material Weakness Repeat

Programs in Audit

ALN Program Name Expenditures
84.116 FUND FOR THE IMPROVEMENT OF POSTSECONDARY EDUCATION $1.48M