Finding 1222437 (2025-003)

Material Weakness Repeat Finding
Requirement
M
Questioned Costs
-
Year
2025
Accepted
2026-06-30

AI Summary

  • Core Issue: AIHEC failed to conduct proper monitoring of subrecipients, lacking documentation for risk assessments and oversight activities.
  • Impacted Requirements: Noncompliance with Uniform Guidance Sections 200.332(b), (d), and (f) regarding subrecipient monitoring and risk evaluation.
  • Recommended Follow-Up: Implement internal controls and procedures for effective monitoring and risk assessments of subrecipient expenditures related to federal grants.

Finding Text

Criteria In accordance with the Uniform Guidance Section 200.332(b), 200.332(d), and 200.332(f), Requirements for Pass-Through Entities, pass-through entities must evaluate each subrecipient’s risk of noncompliance with Federal statutes, regulations, and the terms and conditions of the subaward for purposes of determining the appropriate subrecipient monitoring. Pass-through entities must also monitor the activities of the subrecipient as necessary to ensure that the subaward is used for authorized purposes, in compliance with Federal statutes, regulations, and the terms and conditions of the subaward; and that subaward performance goals are achieved. Pass-through entity monitoring of the subrecipient must include; (1) reviewing financial and performance reports required by the pass-through entity; (2) following-up and ensuring that the subrecipient takes timely and appropriate action on all deficiencies pertaining to the Federal award provided to the subrecipient from the pass-through entity detected through audits, on-site reviews, and other means; and (3) issuing a management decision for audit findings pertaining to the Federal award provided to the subrecipient from the pass-through entity. Additionally, pass-through entities must verify that every subrecipient is audited as required by Subpart F – Audit Requirements when it is expected that the subrecipient’s Federal awards expended during the respective fiscal year equaled or exceeded the threshold set forth in Section 200.501. Condition/Context During our testing of subrecipient monitoring, AIHEC was unable to provide sufficient documentation to demonstrate that appropriate subrecipient monitoring procedures were performed for the selected subrecipients indicating that a formal risk assessment had been conducted. Supporting documentation evidencing monitoring activities, including ongoing oversight and follow-up procedures, was not maintained. Cause AIHEC has not implemented sufficient internal controls or monitoring procedures to oversee the subrecipient's activities effectively. Effect AIHEC is not in compliance with federal requirements related to subrecipient monitoring. Recommendation We recommend that AIHEC implement the necessary internal controls to ensure effective subrecipient monitoring through risk assessments. AIHEC should establish comprehensive procedures to identify all subrecipient expenditures that correspond to federal grants.

Corrective Action Plan

Management Response AIHEC concurs with this finding. AIHEC is formalizing its subrecipient monitoring procedures by implementing a standardized subrecipient risk assessment template to be completed prior to issuing any subaward, evaluating factors including the subrecipient's prior audit history, financial management capacity, and program complexity. AIHEC will maintain a subrecipient monitoring file for each active subaward documenting the risk assessment, periodic review of financial and performance reports, and follow-up on any deficiencies identified. AIHEC will also confirm and document, for each subrecipient expending $1,000,000 or more in federal awards during its fiscal year, that a Single Audit (or other audit required under Subpart F) was obtained and reviewed. In addition, AIHEC's new grant management software, Grant Vantage, includes subrecipient monitoring functionality, including a subrecipient portal that will allow subrecipients to log in directly and a centralized tracking of subrecipient reporting schedules. This subrecipient monitoring module has not yet been implemented, as AIHEC is currently focused on rolling out the core grants management functionality of the system; however, AIHEC expects to roll out the subrecipient monitoring module by September 30, 2026, which is expected to drastically improve AIHEC's subrecipient monitoring and oversight capabilities. The Director of Finance will be responsible for ensuring monitoring files are complete and current in the interim, with a semiannual internal review of all active subawards. Estimated Completion Date September 30, 2026 Responsible Party Angela Toles, Grants & Compliance Manager, with oversight by Diane Robertsy, Director of Finance

Categories

Subrecipient Monitoring

Other Findings in this Audit

  • 1222418 2025-001
    Material Weakness Repeat
  • 1222419 2025-003
    Material Weakness Repeat
  • 1222420 2025-001
    Material Weakness Repeat
  • 1222421 2025-002
    Material Weakness Repeat
  • 1222422 2025-003
    Material Weakness Repeat
  • 1222423 2025-001
    Material Weakness Repeat
  • 1222424 2025-002
    Material Weakness Repeat
  • 1222425 2025-003
    Material Weakness Repeat
  • 1222426 2025-001
    Material Weakness Repeat
  • 1222427 2025-002
    Material Weakness Repeat
  • 1222428 2025-003
    Material Weakness Repeat
  • 1222429 2025-001
    Material Weakness Repeat
  • 1222430 2025-002
    Material Weakness Repeat
  • 1222431 2025-003
    Material Weakness Repeat
  • 1222432 2025-001
    Material Weakness Repeat
  • 1222433 2025-002
    Material Weakness Repeat
  • 1222434 2025-003
    Material Weakness Repeat
  • 1222435 2025-001
    Material Weakness Repeat
  • 1222436 2025-002
    Material Weakness Repeat

Programs in Audit

ALN Program Name Expenditures
15.027 ASSISTANCE TO TRIBALLY CONTROLLED COMMUNITY COLLEGES AND UNIVERSITIES $1.83M
43.008 OFFICE OF STEM ENGAGEMENT (OSTEM) $1.22M
47.070 COMPUTER AND INFORMATION SCIENCE AND ENGINEERING $1.05M
93.859 BIOMEDICAL RESEARCH AND RESEARCH TRAINING $1.02M
15.130 INDIAN EDUCATION ASSISTANCE TO SCHOOLS $712,953
15.156 TRIBAL CLIMATE RESILIENCE $536,039
10.234 AMERICAN RESCUE PLAN TECHNICAL ASSISTANCE INVESTMENT PROGRAM $272,790
47.076 STEM EDUCATION (FORMERLY EDUCATION AND HUMAN RESOURCES) $236,035
10.443 OUTREACH AND ASSISTANCE FOR SOCIALLY DISADVANTAGED AND VETERAN FARMERS AND RANCHERS $155,186
10.902 SOIL AND WATER CONSERVATION $52,937
12.630 BASIC, APPLIED, AND ADVANCED RESEARCH IN SCIENCE AND ENGINEERING $47,403