Finding 45543 (2022-001)

- Repeat Finding
Requirement
M
Questioned Costs
-
Year
2022
Accepted
2023-02-14
Audit: 46212
Auditor: Rsm US LLP

AI Summary

  • Core Issue: The U.S. Department of State is not complying with FFATA reporting requirements for subawards over $30,000.
  • Impacted Requirements: Recipients must report first-tier subawards to the FSRS, as mandated by the Transparency Act.
  • Recommended Follow-Up: Management should collaborate with grant officers to seek a waiver and establish procedures for timely FFATA compliance.

Finding Text

Finding 2022-001: Noncompliance with Rules and Regulations with regards to Reporting Requirements under the Federal Funding Accountability and Transparency Act (FFATA) Agency and Award: U.S. Department of State, Assistance Listing Number 19.345 Criteria: Under the requirements of the Federal Funding and Transparency Act (FFATA) (Pub. L. No. 109-282), as amended by Section 6202 of Public Law 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). The requirements pertain to recipients (i.e., direct recipients) of grants or cooperative agreements who make first-tier subawards and contractors (i.e., prime contractors) that award first-tier subcontracts. There are limited exceptions as specified in 2 CFR Part 170 and the Federal Acquisition Regulation (FAR). Condition and context: The Endowment works with sub awardees and some of its awards require compliance with the FFATA requirement. Even though NED is aware of the FFATA requirement, NED does not report its subawards in the required system. Questioned costs: None Repeat finding: Yes Effect: The Endowment is in non-compliance with FFATA reporting requirements. No other reporting issues noted. Cause: The Endowment works with many grantees that work in high-risk countries and concluded that complying with the requirement, would put its grantees at risk. Recommendation: We recommend management continues to work with its grant officers to obtain a waiver and implement procedures to ensure grants are evaluated for reporting requirements under FFATA and if required, the reporting is completed within the required timeframe required. View of responsible officials and planned corrective actions: Management acknowledges the FFATA requirement and will continue working with the grant officers. See corrective action plan 2022.

Corrective Action Plan

Management?s Response and Corrective Action Plan: As noted in the audit, NED management is and has been aware of the FFATA reporting requirements. For the record, NED management takes a serious approach to FFATA regulations. NED?s concerns regarding FFATA compliance are rooted in concern for our grantees working in the sphere of human rights and democracy, particularly those NED partners working in the world?s most hostile authoritarian countries. As stated in our response to the FY 21 Audit, NED staff analysis of the potential reporting requirements recognized two significant risks to NED?s partners and the success of its programs: 1) reporting all first-tier subawardees would mean posting the identity of recipients and details of sensitive awards on a publicly accessible website, and 2) reporting NED partners as first-tier subawardees of the Department of State on a public website of federal funding accountability undermines the Congress? intentional decision to protect the independence of NED?s programmatic decision-making when it crafted the NED Act. However, NED seeks to balance these legitimate concerns with our desire to comply with the spirit of transparency rooted in FFATA, recognizing the importance of transparency and accountability as foundational tenets of a democratic society. As NED management stated in response to the FY 21 audit, in 2015, DOS offered NED the option of case-by-case waivers of individual subgrantees, rather than a per-country or blanket waiver of subgrantees which would have allowed for a practicable solution to meet the reporting requirements. In response and with notice to DOS, NED proposed and implemented an alternate method of compliance by posting information about subrecipients and funded programs on a searchable online database with content controlled by NED, with anonymized records for sensitive programs. This flexibility is essential to NED?s sensitive grantmaking program, where we often must make quick adjustments to anonymize information when partners face new risks in their operating environment. In total, NED currently has more than 700 grants in 50 countries requiring special protection of grantee identities. Corrective Action Plan NED renewed discussions to find a resolution to this issue in 2022, with leadership at NED and at DOS serving as a catalyst for a fresh approach to the issue. In our correspondence and discussion with DOS officials, NED management and staff have continually cited the legitimate concern for the security of our grantees and that the disclosure of NED?s grantees on a federal website runs contrary to NED?s standing as an independent entity. In response, DOS once again stated that a blanket waiver was not possible. Further, DOS advised NED that it approached OMB on this issue and that OMB would not entertain granting a formal exemption to NED. Unfortunately, this response from DOS fails to address NED?s concerns or offer any solutions regarding risks that public disclosure poses to its grantees. We aim to prevent this from becoming a reoccurring issue on our audits, and NED management believes there are viable solutions beyond a blanket exemption. It is NED?s understanding that DOS conducts its own assessment of risks to grantees before any public disclosure, and issues waivers from disclosure for individual grants deemed sensitive. NED would like to learn more about the process DOS uses to make that risk determination and apply it to the disclosure requirements related to NED?s most sensitive grants. Further, NED would like to explore using NED?s public website portal to disclose all non-sensitive grants to maintain a level of transparency. This would allow NED the flexibility to respond to evolving threats to our grantees and allow for public disclosure without using a US government website. NED Management is continuing the discussion of FFATA compliance with the Department of State and is scheduled to meet with the Acting Assistant Secretary, Bureau of Democracy, Human Rights, and Labor and other senior DOS staff to find a path forward on this issue. As stated above, NED takes this issue seriously and management will work on a solution to this issue that is consistent with NED?s mission and one that prioritizes the security of NED?s most vulnerable partners around the world. Responsible person is: Maju Varghese, Chief Operating Officer Anticipated completion date: 09/30/2023

Categories

Subrecipient Monitoring Reporting

Other Findings in this Audit

Programs in Audit

ALN Program Name Expenditures
19.666 Eur/ace National Endowment for Democracy Small Grants $254,563
19.345 International Programs to Support Democracy, Human Rights and Labor $0