Finding 1227597 (2025-002)

Material Weakness Repeat Finding
Requirement
L
Questioned Costs
-
Year
2025
Accepted
2026-08-21
Audit: 409601
Organization: Alaska Ocean Observing System (AK)
Auditor: CLARK NUBER PS

AI Summary

  • Core Issue: AOOS failed to file required FFATA sub-award reports for new subawards over $30,000.
  • Impacted Requirements: Noncompliance with FFATA reporting regulations as outlined in Title 2 U.S. Code of Federal Regulations.
  • Recommended Follow-Up: Update procedures to ensure timely filing of FFATA reports for all first-tier subawards.

Finding Text

Significant Deficiency in Internal Control Over Compliance and Noncompliance Related to Reporting for the Federal Funding Accountability and Transparency Act. Identifying Award Information Federal Agency: U.S. Department of Commerce, National Oceanic and Atmospheric Administration (NOAA) Assistance Listing Number: 11.012 Federal Program: Integrated Ocean Observing System (IOOS) ALASKA OCEAN OBSERVING SYSTEM Criteria Under the requirements of the Federal Funding Accountability and Transparency Act (Pub. L. No. 109‐282) (FFATA) that are codified in Title 2 U.S. Code of Federal Regulations, Part 170 ‐ Reporting Subaward and Executive Compensation Information. The prime awardee is required to file a FFATA sub‐award report by the end of the month following the month in which the prime recipient awards any sub‐grant in total greater than or equal to $30,000. The report must be filed in the Federal Funding Accountability and Transparency Act Subaward Reporting System (FSRS). Condition and Context Among the three sub-awards we tested that were new subawards during the period under audit, we found that AOOS had not filed the required FFATA subaward report. Cause AOOS did not have procedures and controls in place to ensure the required FFATA sub-award reports were filed by the due date. Effect AOOS did not comply with the FFATA subaward reporting requirements that are codified in Title 2 U.S. Code of Federal Regulations. Known Question Costs Not applicable. Repeat Finding This is not a repeat finding. Recommendations We recommend that management update procedures to ensure FFATA reports are filed for all first-tier subawards by the required due date. Views of Responsible Officials Management concurs with the finding and has provided the attached corrective action plan.

Corrective Action Plan

Significant Deficiency in Internal Control Over Compliance and Noncompliance Related to Reporting for the Federal Funding Accountability and Transparency Act. Contact Person: Sheyna Wisdom, Executive Director, AOOS Management Response: AOOS concurs with the finding and acknowledges that internal procedures and oversight were insufficient to ensure timely FFATA subaward reporting. Corrective Action: To address this deficiency, AOOS will update its subaward monitoring controls to ensure full compliance with 2 CFR Part 170. Specifically, AOOS will: • Assign dedicated responsibility to designated staff to file subaward reports in the Federal Funding Accountability and Transparency Act Subaward Reporting System (FSRS) by the end of the month following subaward execution. • Implement a monthly supervisory review to verify FSRS filing submissions and archive confirmation records in the subaward files. • Retroactively submit the missing FY25 FFATA reports into FSRS. 1007 W. Third Avenue, Suite 100 Anchorage, AK 99501 907.644.6753 www.aoos.org Anticipated Completion Date: September 30, 2026

Categories

Subrecipient Monitoring Reporting Significant Deficiency

Other Findings in this Audit

  • 1227586 2025-001
    Material Weakness Repeat
  • 1227587 2025-001
    Material Weakness Repeat
  • 1227588 2025-001
    Material Weakness Repeat
  • 1227589 2025-001
    Material Weakness Repeat
  • 1227590 2025-001
    Material Weakness Repeat
  • 1227591 2025-001
    Material Weakness Repeat
  • 1227592 2025-002
    Material Weakness Repeat
  • 1227593 2025-002
    Material Weakness Repeat
  • 1227594 2025-002
    Material Weakness Repeat
  • 1227595 2025-002
    Material Weakness Repeat
  • 1227596 2025-002
    Material Weakness Repeat

Programs in Audit

ALN Program Name Expenditures
47.084 TECHNOLOGY, INNOVATION, AND PARTNERSHIPS $594,219
11.012 INTEGRATED OCEAN OBSERVING SYSTEM (IOOS) $374,121
15.944 NATURAL RESOURCE STEWARDSHIP $75,228
47.050 GEOSCIENCES $28,325
11.472 COOPERATIVE RESEARCH PROGRAM $10,219
11.431 CLIMATE AND ATMOSPHERIC RESEARCH $8,458