Finding Text
2023-001 Congressional Directives Principal Investigator
Cluster: Not applicable
Grantor: U.S. Department of Health and Human Services
Award Names: Congressional Directives
Award Year: August 1, 2022 – July 31, 2025
Award Number: 1 CE1HS46621‐01‐00
Assistance Listing Number: 93.493
Pass-through entity: Not applicable
Criteria
The recipient is required to notify the Grants Management Officer (GMO) in writing if the Principal Investigator (PI)/Program or Project Director (PD) or key personnel specifically named in the Notice of Award (NoA) will withdraw from the project entirely, be absent from the project during any continuous period of 3 months or more, or reduce time devoted to the project by 25 percent or more from the level that was approved at the time of award (for example, a proposed change from 40 percent effort to 30 percent or less effort). The HHS Operating Divisions (OPDIV) must approve any alternate arrangement proposed by the recipient, including any replacement of the PI/PD or key personnel named in the NoA.
Condition
We noted the PI specifically named in the NoA resigned from the System in February 2023. Management identified a replacement of the PI to oversee the grant; however, management did not notify the GMO in writing that the PI would withdraw from the project and did not obtain approval from the OPDIV regarding the replacement.
Cause
Management did not have a control in place to notify the GMO and request approval from OPDIV upon the PI withdrawal from the grant.
Effect
The System was not in compliance with the requirement to notify the GMO and OPDIV of the change in the PI role.
Questioned Costs
None identified.
Recommendation
We recommend that management communicate with their GMO and OPDIV, as applicable, regarding this matter and implement a control that monitors the PIs assigned to each grant to ensure that they are notifying the GMO of any changes in status and obtaining approval from the OPDIV in a timely manner.
Management’s View and Corrective Action Plan
Management’s Views and Corrective Action Plan are included at the end of this report after the summary schedule of prior audit findings and status.