Finding 537540 (2024-002)

Significant Deficiency
Requirement
M
Questioned Costs
-
Year
2024
Accepted
2025-03-27

AI Summary

  • Core Issue: The Agency failed to identify a subrecipient for COVID-19 funds, risking compliance with federal requirements.
  • Impacted Requirements: Internal controls for identifying and monitoring subrecipients were not established.
  • Recommended Follow-Up: Implement procedures to assess all grant activities and contracts to identify subrecipients or beneficiaries.

Finding Text

U.S. DEPARTMENT OF TREASURY , SIGNIFICANT DEFICIENCY 2024-002 COVID-19 Coronavirus State and Local Fiscal Recovery Funds – Assistance Listing No. 21.027 Identification of Federal Subaward Condition: The Agency did not identify a subrecipient of the Coronavirus State and Local Fiscal Recovery Funds and applicable requirements at the time a subaward was made to another Organization. Criteria: Internal controls should be in place to ensure management identifies any subrecipients of Federal grants and has processes in place to notify and monitor the subrecipient. Cause: There were no procedures in place to determine if any grants were subawards to subrecipients. Effect: Because the terms and conditions of the subaward were not identified, the Agency may not have been able to comply with Federal statutes, regulations, and the terms and conditions of the Federal award. Recommendation: Procedures should be implemented to evaluate grant activity and contracts to make a determination of subrecipients or beneficiaries on all grant awards.

Corrective Action Plan

Views of Responsible Officials and Planned Corrective Actions: We acknowledge the validity of this finding and offer the following explanation. While we recognized the Agency’s role as a subrecipient, we did not fully understand the guidelines for distinguishing between a “contractor” and a “subrecipient” when making a subaward to another organization. However, through a thorough discussion and assessment of the guidelines with the auditors, along with a joint review of the GSA-CX-1.8: Subrecipient and Contractor Determination Form, we have gained clarity on the proper process for making accurate determinations in future subawards. Corrective Action: For future grant awards, Agency staff will review the use of funds in accordance with federal guidelines to determine whether the recipient qualifies as a subrecipient or a contractor. Additionally, the Agency has taken steps to notify the organization of their subrecipient status and their obligation to conduct a Single Audit in compliance with Government Accounting Standards and Uniform Guidance requirements.

Categories

Subrecipient Monitoring Significant Deficiency

Other Findings in this Audit

Programs in Audit

ALN Program Name Expenditures
90.601 Northern Border Regional Development $500,000
21.027 Coronavirus State and Local Fiscal Recovery Funds $292,000