Audit 15899

FY End
2023-06-30
Total Expended
$7.15M
Findings
2
Programs
21
Organization: Pomona College (CA)
Year: 2023 Accepted: 2024-02-06
Auditor: Kpmg LLP

Organization Exclusion Status:

Checking exclusion status...

Findings

ID Ref Severity Repeat Requirement
11944 2023-001 Significant Deficiency - L
588386 2023-001 Significant Deficiency - L

Programs

ALN Program Spent Major Findings
84.268 Federal Direct Student Loans $1.76M Yes 0
84.063 Federal Pell Grant Program $1.75M Yes 0
84.425 Education Stabilization Fund $917,367 Yes 1
84.038 Federal Perkins Loan Program $851,022 Yes 0
47.049 Mathematical and Physical Sciences $351,928 - 0
84.007 Federal Supplemental Educational Opportunity Grants $287,880 Yes 0
84.033 Federal Work-Study Program $239,683 Yes 0
45.301 Museums for America $153,466 - 0
47.074 Biological Sciences $143,371 - 0
93.855 Allergy, Immunology and Transplantation Research $137,568 - 0
93.859 Biomedical Research and Research Training $132,191 - 0
47.041 Engineering $117,605 - 0
43.001 Science $60,914 - 0
47.050 Geosciences $59,953 - 0
93.879 Medical Library Assistance $54,514 - 0
93.310 Trans-Nih Research Support $37,374 - 0
93.865 Child Health and Human Development Extramural Research $27,868 - 0
45.129 Promotion of the Humanities_federal/state Partnership $23,219 - 0
12.630 Basic, Applied, and Advanced Research in Science and Engineering $16,246 - 0
12.901 Mathematical Sciences Grants Program $11,003 - 0
47.070 Computer and Information Science and Engineering $3,596 - 0

Contacts

Name Title Type
Q9VBQSV2CBY5 Vickie Roberts Auditee
9096218276 Spencer Endicott Auditor
No contacts on file

Notes to SEFA

Title: General Accounting Policies: The accompanying schedule of expenditures of federal awards (the Schedule) presents the activity of all federal award programs of Pomona College (the College). Because the Schedule presents only a selected portion of the operations of the College, it is not intended to, and does not, present the financial position, changes in net assets, or cash flows for the College. For purposes of the Schedule, federal awards include all grants and contracts entered into directly between the College and agencies and departments of the federal government and pass-through agencies. The awards are classified into major program categories in accordance with the provisions of Title 2 U.S. Code of Federal Regulations Part 200, Uniform Administrative Requirements, Cost Principles, and Audit Requirements for Federal Awards (Uniform Guidance), for Audits of States, Local Governments, and Non-Profit Organizations. De Minimis Rate Used: N Rate Explanation: The College has elected not to use the 10-percent de minimis direct cost rate allowed under the Uniform Guidance. Facilities and administrative costs allocated to awards for the year ended June 30, 2023, were based on predetermined fixed rates up to 62% negotiated with the College’s cognizant federal agency, the National Science Foundation, and are included as a component of the expenditures in the Schedule. The accompanying schedule of expenditures of federal awards (the Schedule) presents the activity of all federal award programs of Pomona College (the College). Because the Schedule presents only a selected portion of the operations of the College, it is not intended to, and does not, present the financial position, changes in net assets, or cash flows for the College. For purposes of the Schedule, federal awards include all grants and contracts entered into directly between the College and agencies and departments of the federal government and pass-through agencies. The awards are classified into major program categories in accordance with the provisions of Title 2 U.S. Code of Federal Regulations Part 200, Uniform Administrative Requirements, Cost Principles, and Audit Requirements for Federal Awards (Uniform Guidance), for Audits of States, Local Governments, and Non-Profit Organizations.
Title: Basis of Presentation Accounting Policies: The accompanying schedule of expenditures of federal awards (the Schedule) presents the activity of all federal award programs of Pomona College (the College). Because the Schedule presents only a selected portion of the operations of the College, it is not intended to, and does not, present the financial position, changes in net assets, or cash flows for the College. For purposes of the Schedule, federal awards include all grants and contracts entered into directly between the College and agencies and departments of the federal government and pass-through agencies. The awards are classified into major program categories in accordance with the provisions of Title 2 U.S. Code of Federal Regulations Part 200, Uniform Administrative Requirements, Cost Principles, and Audit Requirements for Federal Awards (Uniform Guidance), for Audits of States, Local Governments, and Non-Profit Organizations. De Minimis Rate Used: N Rate Explanation: The College has elected not to use the 10-percent de minimis direct cost rate allowed under the Uniform Guidance. Facilities and administrative costs allocated to awards for the year ended June 30, 2023, were based on predetermined fixed rates up to 62% negotiated with the College’s cognizant federal agency, the National Science Foundation, and are included as a component of the expenditures in the Schedule. The information in the Schedule is prepared based on the accrual basis of accounting and is also presented in accordance with the requirements of the Uniform Guidance. Therefore, some amounts presented in the Schedule may differ from amounts presented in, or used in the preparation of, the financial statements.
Title: Relationship to Federal Financial Reports Accounting Policies: The accompanying schedule of expenditures of federal awards (the Schedule) presents the activity of all federal award programs of Pomona College (the College). Because the Schedule presents only a selected portion of the operations of the College, it is not intended to, and does not, present the financial position, changes in net assets, or cash flows for the College. For purposes of the Schedule, federal awards include all grants and contracts entered into directly between the College and agencies and departments of the federal government and pass-through agencies. The awards are classified into major program categories in accordance with the provisions of Title 2 U.S. Code of Federal Regulations Part 200, Uniform Administrative Requirements, Cost Principles, and Audit Requirements for Federal Awards (Uniform Guidance), for Audits of States, Local Governments, and Non-Profit Organizations. De Minimis Rate Used: N Rate Explanation: The College has elected not to use the 10-percent de minimis direct cost rate allowed under the Uniform Guidance. Facilities and administrative costs allocated to awards for the year ended June 30, 2023, were based on predetermined fixed rates up to 62% negotiated with the College’s cognizant federal agency, the National Science Foundation, and are included as a component of the expenditures in the Schedule. Amounts reported in the Schedule agree in all material respects with the amounts reported in the related federal financial reports.
Title: Federal Perkins Loan Program Accounting Policies: The accompanying schedule of expenditures of federal awards (the Schedule) presents the activity of all federal award programs of Pomona College (the College). Because the Schedule presents only a selected portion of the operations of the College, it is not intended to, and does not, present the financial position, changes in net assets, or cash flows for the College. For purposes of the Schedule, federal awards include all grants and contracts entered into directly between the College and agencies and departments of the federal government and pass-through agencies. The awards are classified into major program categories in accordance with the provisions of Title 2 U.S. Code of Federal Regulations Part 200, Uniform Administrative Requirements, Cost Principles, and Audit Requirements for Federal Awards (Uniform Guidance), for Audits of States, Local Governments, and Non-Profit Organizations. De Minimis Rate Used: N Rate Explanation: The College has elected not to use the 10-percent de minimis direct cost rate allowed under the Uniform Guidance. Facilities and administrative costs allocated to awards for the year ended June 30, 2023, were based on predetermined fixed rates up to 62% negotiated with the College’s cognizant federal agency, the National Science Foundation, and are included as a component of the expenditures in the Schedule. Total loans outstanding under the Federal Perkins Loan Program were $408,376 at June 30, 2023. The amounts included in the Schedule consist of loans advanced to students and the administrative cost allowance for the year ended June 30, 2023.
Title: Indirect Cost Rates Accounting Policies: The accompanying schedule of expenditures of federal awards (the Schedule) presents the activity of all federal award programs of Pomona College (the College). Because the Schedule presents only a selected portion of the operations of the College, it is not intended to, and does not, present the financial position, changes in net assets, or cash flows for the College. For purposes of the Schedule, federal awards include all grants and contracts entered into directly between the College and agencies and departments of the federal government and pass-through agencies. The awards are classified into major program categories in accordance with the provisions of Title 2 U.S. Code of Federal Regulations Part 200, Uniform Administrative Requirements, Cost Principles, and Audit Requirements for Federal Awards (Uniform Guidance), for Audits of States, Local Governments, and Non-Profit Organizations. De Minimis Rate Used: N Rate Explanation: The College has elected not to use the 10-percent de minimis direct cost rate allowed under the Uniform Guidance. Facilities and administrative costs allocated to awards for the year ended June 30, 2023, were based on predetermined fixed rates up to 62% negotiated with the College’s cognizant federal agency, the National Science Foundation, and are included as a component of the expenditures in the Schedule. The College has elected not to use the 10-percent de minimis direct cost rate allowed under the Uniform Guidance. Facilities and administrative costs allocated to awards for the year ended June 30, 2023, were based on predetermined fixed rates up to 62% negotiated with the College’s cognizant federal agency, the National Science Foundation, and are included as a component of the expenditures in the Schedule.

Finding Details

Finding 2023-001 Reporting – Significant Deficiency in Internal Control Federal Program: COVID-19 Higher Education Emergency Relief Fund Federal Assistance Listing Number: 84.425F COVID-19 Higher Education Emergency Relief Fund-Institutional Aid Federal Agency: Department of Education Award Year: July 1, 2022 – June 30, 2023 Criteria: All institutions of higher education that received HEERF grant awards are required to submit a HEERF Annual Report. The Year Three report covering January 1, 2022, through December 31, 2022 was due on March 24, 2023. Condition and Context: Management failed to submit the Year Three report before the reporting period closed. While there were no drawdowns or expenditures to report in Year Three, the College was still required to provide enrollment data by ethnicity, gender, age, academic level, and Pell Grant status. The $917K of HEERF expenditures on the June 30, 2023 SEFA were all received and expended in 2023 and therefore will be reflected on the Year Four report in 2024. Isolated or Systemic: Isolated. Cause and Effect: The College’s control failed in ensuring that required reports were submitted timely. Questioned Costs: None noted. Whether the sampling was a statistically valid sample: The sample was not intended to be, and was not, a statistically valid sample. Repeat Finding: No. Recommendation: We recommend that the College enhance its internal controls to ensure all required reports are submitted timely. View of Responsible Officials: Management has maintained communication with the ESF Reporting Helpdesk. Year Three remains closed at this time but should it be reopened Management will provide the additional data requested. In June 2023, the remaining grant funds were drawn down and a quarterly report was both submitted to the Department of Education and posted to the College’s website. The Fourth Annual Report covering the calendar 2023 reporting period will be due in early 2024. This will be the final report as both the Emergency Financial Aid and Institutional grants are now closed. Management will complete and submit the annual report when the website is functional.
Finding 2023-001 Reporting – Significant Deficiency in Internal Control Federal Program: COVID-19 Higher Education Emergency Relief Fund Federal Assistance Listing Number: 84.425F COVID-19 Higher Education Emergency Relief Fund-Institutional Aid Federal Agency: Department of Education Award Year: July 1, 2022 – June 30, 2023 Criteria: All institutions of higher education that received HEERF grant awards are required to submit a HEERF Annual Report. The Year Three report covering January 1, 2022, through December 31, 2022 was due on March 24, 2023. Condition and Context: Management failed to submit the Year Three report before the reporting period closed. While there were no drawdowns or expenditures to report in Year Three, the College was still required to provide enrollment data by ethnicity, gender, age, academic level, and Pell Grant status. The $917K of HEERF expenditures on the June 30, 2023 SEFA were all received and expended in 2023 and therefore will be reflected on the Year Four report in 2024. Isolated or Systemic: Isolated. Cause and Effect: The College’s control failed in ensuring that required reports were submitted timely. Questioned Costs: None noted. Whether the sampling was a statistically valid sample: The sample was not intended to be, and was not, a statistically valid sample. Repeat Finding: No. Recommendation: We recommend that the College enhance its internal controls to ensure all required reports are submitted timely. View of Responsible Officials: Management has maintained communication with the ESF Reporting Helpdesk. Year Three remains closed at this time but should it be reopened Management will provide the additional data requested. In June 2023, the remaining grant funds were drawn down and a quarterly report was both submitted to the Department of Education and posted to the College’s website. The Fourth Annual Report covering the calendar 2023 reporting period will be due in early 2024. This will be the final report as both the Emergency Financial Aid and Institutional grants are now closed. Management will complete and submit the annual report when the website is functional.