Audit 20951

FY End
2022-06-30
Total Expended
$160.40M
Findings
4
Programs
43
Year: 2022 Accepted: 2022-12-01
Auditor: Kpmg LLP

Organization Exclusion Status:

Checking exclusion status...

Findings

ID Ref Severity Repeat Requirement
24098 2022-001 Significant Deficiency - N
24099 2022-002 Significant Deficiency - I
600540 2022-001 Significant Deficiency - N
600541 2022-002 Significant Deficiency - I

Programs

ALN Program Spent Major Findings
84.268 Federal Direct Student Loans $90.93M Yes 1
84.063 Federal Pell Grant Program $20.47M Yes 0
84.425E Education Stabilization Fund $14.51M Yes 0
84.425F Education Stabilization Fund $11.71M Yes 1
84.038 Federal Perkins Loan $6.68M Yes 0
12.910 Research and Technology Development $2.44M Yes 0
84.007 Federal Supplemental Educational Opportunity Grants $1.35M Yes 0
84.033 Federal Work-Study Program $959,491 Yes 0
12.357 Rotc Language and Culture Training Grants $404,683 - 0
84.200 Graduate Assistance in Areas of National Need $263,884 - 0
16.560 National Institute of Justice Research, Evaluation, and Development Project Grants $251,683 Yes 0
84.047 Trio_upward Bound $229,124 - 0
12.905 Cybersecurity Core Curriculum $203,492 Yes 0
93.262 Occupational Safety and Health Program $189,428 Yes 0
97.132 Financial Assistance of Targeted Violence and Terrorism Prevention $151,645 Yes 0
12.800 Air Force Defense Research Sciences Program $132,156 Yes 0
12.630 Basic, Applied, and Advanced Research in Science and Engineering $106,853 Yes 0
20.109 Air Transportation Centers of Excellence $82,368 Yes 0
12.300 Basic and Applied Scientific Research $61,236 Yes 0
10.310 Agriculture and Food Research Initiative (afri) $52,886 Yes 0
20.108 Aviation Research Grants $47,529 Yes 0
12.RD Defense Health Agency $44,459 Yes 0
11.459 Weather and Air Quality Research $32,735 Yes 0
47.049 Mathematical and Physical Sciences $31,275 Yes 0
11.468 Applied Meteorological Research $29,629 Yes 0
47.076 Education and Human Resources $28,949 Yes 0
81.089 Fossil Energy Research and Development $28,480 Yes 0
43.008 Education $27,908 Yes 0
10.028 Wildlife Services $26,547 Yes 0
11.467 Meteorologic and Hydrologic Modernization Development $25,905 Yes 0
12.431 Basic Scientific Research $25,215 Yes 0
93.879 National Library of Medicine $23,061 Yes 0
47.050 Geosciences $22,181 Yes 0
43.002 Aeronautics $17,184 Yes 0
47.070 Computer and Information Science and Engineering $14,805 Yes 0
43.RD Cross Agency Support $11,716 Yes 0
20.701 University Transportation Centers Program $8,659 Yes 0
11.478 Center for Sponsored Coastal Ocean Research_coastal Ocean Program $7,788 Yes 0
12.598 Centers for Academic Excellence $7,106 Yes 0
20.215 Highway Training and Education $5,000 Yes 0
43.001 Science $1,018 Yes 0
47.041 Engineering $463 Yes 0
12.RD Department of the Navy $-611 Yes 0

Contacts

Name Title Type
U5MMBAC9XAM5 Kathy Jacobs Auditee
3862267079 Lori Nissen Auditor
No contacts on file

Notes to SEFA

Title: 3 Federal Perkins Loan Program Accounting Policies: The accompanying schedule of expenditures of federal awards and state projects (the Schedule) includes the federal award and state project activity of Embry-Riddle Aeronautical University, Inc. (the University) under programs of the federal government and State of Florida for the year ended June 30, 2022. The information in the schedule is presented in accordance with the requirements of Title 2 U.S. Code of Federal Regulations Part 200, Uniform Administrative Requirements, Cost Principles, and Audit Requirements for Federal Awards (the Uniform Guidance) and Chapter 10.650, Rules of the Florida Auditor General. Because the Schedule presents only a selected portion of the operations of the University, it is notintended to and does not present the financial position, changes in net assets, or cash flows of the University. The reimbursement of costs reflected in the accompanying financial statements as grants and contracts revenue is subject to final approval by federal and state grantors and could be adjusted upon the results ofthese reviews. Management believes that the results of any such adjustment will not be material to the Universitys financial position or change in net assets. De Minimis Rate Used: N Rate Explanation: The auditee did not use the de minimis cost rate. Summary of Significant Accounting Policies: Expenditures reported on the Schedule are reported on the accrual basis of accounting. Such expenditures are recognized following the cost principles contained in the Uniform Guidance and Chapter 10.650, Rules of the Florida Auditor General, wherein certain types of expenditures are not allowable or are limited as to reimbursement. Negative amounts shown on the Schedule represent adjustments or credits made in the normal course of business to amounts reported as expenditures in prior years. The University has elected not to use the 10-percent de minimis indirect cost rate allowed under the Uniform Guidance. The University administers the Federal Perkins Loan Program. The amount included in the Schedule includes the outstanding balance as of June 30, 2021 of $6,680,861. The outstanding balance of loans receivable under this program was $4,819,949 at June 30, 2022, which includes cancellations of $37,231, assignments of $481,650 and collections on principal of $1,341,991.As required by Uniform Guidance, the amount shown on the Schedule as expenditures for the PerkinsLoan Program is equal to the balance of loans outstanding at June 30, 2021. Under federal law, thePerkins Loan Program ended on September 30, 2017, and final disbursements under the program werepermitted through June 30, 2018.
Title: 4 Federal Direct Student Loans Program Accounting Policies: The accompanying schedule of expenditures of federal awards and state projects (the Schedule) includes the federal award and state project activity of Embry-Riddle Aeronautical University, Inc. (the University) under programs of the federal government and State of Florida for the year ended June 30, 2022. The information in the schedule is presented in accordance with the requirements of Title 2 U.S. Code of Federal Regulations Part 200, Uniform Administrative Requirements, Cost Principles, and Audit Requirements for Federal Awards (the Uniform Guidance) and Chapter 10.650, Rules of the Florida Auditor General. Because the Schedule presents only a selected portion of the operations of the University, it is notintended to and does not present the financial position, changes in net assets, or cash flows of the University. The reimbursement of costs reflected in the accompanying financial statements as grants and contracts revenue is subject to final approval by federal and state grantors and could be adjusted upon the results ofthese reviews. Management believes that the results of any such adjustment will not be material to the Universitys financial position or change in net assets. De Minimis Rate Used: N Rate Explanation: The auditee did not use the de minimis cost rate. Summary of Significant Accounting Policies: Expenditures reported on the Schedule are reported on the accrual basis of accounting. Such expenditures are recognized following the cost principles contained in the Uniform Guidance and Chapter 10.650, Rules of the Florida Auditor General, wherein certain types of expenditures are not allowable or are limited as to reimbursement. Negative amounts shown on the Schedule represent adjustments or credits made in the normal course of business to amounts reported as expenditures in prior years. The University has elected not to use the 10-percent de minimis indirect cost rate allowed under the Uniform Guidance. The University participated in the Federal Direct Student Loans Program beginning in May 2010 (which includes subsidized Stafford loans, unsubsidized Stafford loans and Plus loans). Such programs are considered a component of the Student Financial Assistance Cluster. New loans processed for students during the year ended June 30, 2022 were $90,933,043 consisting of Federal Direct Loans of $16,690,234, Federal Direct Unsubsidized Loans of $28,373,791, Federal Direct Parent PLUS Loans of$44,451,859, Federal Direct Graduate PLUS Loans of $880,810, and Federal Direct Flight PLUS Loans of $536,349.
Title: 5 Matching Accounting Policies: The accompanying schedule of expenditures of federal awards and state projects (the Schedule) includes the federal award and state project activity of Embry-Riddle Aeronautical University, Inc. (the University) under programs of the federal government and State of Florida for the year ended June 30, 2022. The information in the schedule is presented in accordance with the requirements of Title 2 U.S. Code of Federal Regulations Part 200, Uniform Administrative Requirements, Cost Principles, and Audit Requirements for Federal Awards (the Uniform Guidance) and Chapter 10.650, Rules of the Florida Auditor General. Because the Schedule presents only a selected portion of the operations of the University, it is notintended to and does not present the financial position, changes in net assets, or cash flows of the University. The reimbursement of costs reflected in the accompanying financial statements as grants and contracts revenue is subject to final approval by federal and state grantors and could be adjusted upon the results ofthese reviews. Management believes that the results of any such adjustment will not be material to the Universitys financial position or change in net assets. De Minimis Rate Used: N Rate Explanation: The auditee did not use the de minimis cost rate. Summary of Significant Accounting Policies: Expenditures reported on the Schedule are reported on the accrual basis of accounting. Such expenditures are recognized following the cost principles contained in the Uniform Guidance and Chapter 10.650, Rules of the Florida Auditor General, wherein certain types of expenditures are not allowable or are limited as to reimbursement. Negative amounts shown on the Schedule represent adjustments or credits made in the normal course of business to amounts reported as expenditures in prior years. The University has elected not to use the 10-percent de minimis indirect cost rate allowed under the Uniform Guidance. Under the Federal Work-Study Program, the University matched $137,965 in total compensation for the year ended June 30, 2022, in addition to the federal share of expenditures included in the accompanying Schedule. Under the Federal Supplemental Educational Opportunity Grant Program, the University matched $528,597 in funds awarded to students for the year ended June 30, 2022, in addition to the federal share of expenditures included in the accompanying Schedule.
Title: 6 Administrative Cost Allowance Accounting Policies: The accompanying schedule of expenditures of federal awards and state projects (the Schedule) includes the federal award and state project activity of Embry-Riddle Aeronautical University, Inc. (the University) under programs of the federal government and State of Florida for the year ended June 30, 2022. The information in the schedule is presented in accordance with the requirements of Title 2 U.S. Code of Federal Regulations Part 200, Uniform Administrative Requirements, Cost Principles, and Audit Requirements for Federal Awards (the Uniform Guidance) and Chapter 10.650, Rules of the Florida Auditor General. Because the Schedule presents only a selected portion of the operations of the University, it is notintended to and does not present the financial position, changes in net assets, or cash flows of the University. The reimbursement of costs reflected in the accompanying financial statements as grants and contracts revenue is subject to final approval by federal and state grantors and could be adjusted upon the results ofthese reviews. Management believes that the results of any such adjustment will not be material to the Universitys financial position or change in net assets. De Minimis Rate Used: N Rate Explanation: The auditee did not use the de minimis cost rate. Summary of Significant Accounting Policies: Expenditures reported on the Schedule are reported on the accrual basis of accounting. Such expenditures are recognized following the cost principles contained in the Uniform Guidance and Chapter 10.650, Rules of the Florida Auditor General, wherein certain types of expenditures are not allowable or are limited as to reimbursement. Negative amounts shown on the Schedule represent adjustments or credits made in the normal course of business to amounts reported as expenditures in prior years. The University has elected not to use the 10-percent de minimis indirect cost rate allowed under the Uniform Guidance. The University claimed an administrative cost allowance of $138,524 for the year ended June 30, 2022. This amount is included in the accompanying Schedule as federal expenditures under the Federal Work-Study Program.
Title: 8 State License Plate Accounting Policies: The accompanying schedule of expenditures of federal awards and state projects (the Schedule) includes the federal award and state project activity of Embry-Riddle Aeronautical University, Inc. (the University) under programs of the federal government and State of Florida for the year ended June 30, 2022. The information in the schedule is presented in accordance with the requirements of Title 2 U.S. Code of Federal Regulations Part 200, Uniform Administrative Requirements, Cost Principles, and Audit Requirements for Federal Awards (the Uniform Guidance) and Chapter 10.650, Rules of the Florida Auditor General. Because the Schedule presents only a selected portion of the operations of the University, it is notintended to and does not present the financial position, changes in net assets, or cash flows of the University. The reimbursement of costs reflected in the accompanying financial statements as grants and contracts revenue is subject to final approval by federal and state grantors and could be adjusted upon the results ofthese reviews. Management believes that the results of any such adjustment will not be material to the Universitys financial position or change in net assets. De Minimis Rate Used: N Rate Explanation: The auditee did not use the de minimis cost rate. Summary of Significant Accounting Policies: Expenditures reported on the Schedule are reported on the accrual basis of accounting. Such expenditures are recognized following the cost principles contained in the Uniform Guidance and Chapter 10.650, Rules of the Florida Auditor General, wherein certain types of expenditures are not allowable or are limited as to reimbursement. Negative amounts shown on the Schedule represent adjustments or credits made in the normal course of business to amounts reported as expenditures in prior years. The University has elected not to use the 10-percent de minimis indirect cost rate allowed under the Uniform Guidance. The University has entered into an agreement with the State of Floridas Department of Highway Safety and Motor Vehicles to issue University specialty license plates through the Embry-Riddle Aeronautical College License Plate Project (CSFA No. 76.045). Revenue generated by this project is remitted to the University by the State and is placed into an endowed scholarship fund. The earnings from this fund are used to award scholarships to deserving students. The total funds received and accumulated unspent earnings at July 1, 2021, amounted to $869,924. During the fiscal year ended June 30, 2022, the University received $41,173 in additional funds from the State of Florida, recognized interest of $31,423, recognized a net loss of $134,846, recognized management fees of $3,358 and scholarships awarded of $45,474. The balance of the funds remaining in the endowment fund from the project at June 30, 2022, is $758,842.
Title: 9 COVID 19 HEERF Education Stabilization Fund - Institutional Portion Accounting Policies: The accompanying schedule of expenditures of federal awards and state projects (the Schedule) includes the federal award and state project activity of Embry-Riddle Aeronautical University, Inc. (the University) under programs of the federal government and State of Florida for the year ended June 30, 2022. The information in the schedule is presented in accordance with the requirements of Title 2 U.S. Code of Federal Regulations Part 200, Uniform Administrative Requirements, Cost Principles, and Audit Requirements for Federal Awards (the Uniform Guidance) and Chapter 10.650, Rules of the Florida Auditor General. Because the Schedule presents only a selected portion of the operations of the University, it is notintended to and does not present the financial position, changes in net assets, or cash flows of the University. The reimbursement of costs reflected in the accompanying financial statements as grants and contracts revenue is subject to final approval by federal and state grantors and could be adjusted upon the results ofthese reviews. Management believes that the results of any such adjustment will not be material to the Universitys financial position or change in net assets. De Minimis Rate Used: N Rate Explanation: The auditee did not use the de minimis cost rate. Summary of Significant Accounting Policies: Expenditures reported on the Schedule are reported on the accrual basis of accounting. Such expenditures are recognized following the cost principles contained in the Uniform Guidance and Chapter 10.650, Rules of the Florida Auditor General, wherein certain types of expenditures are not allowable or are limited as to reimbursement. Negative amounts shown on the Schedule represent adjustments or credits made in the normal course of business to amounts reported as expenditures in prior years. The University has elected not to use the 10-percent de minimis indirect cost rate allowed under the Uniform Guidance. The amounts presented in the accompanying Schedule of Expenditures of Federal Awards and State Projects for the institutional portion of the Higher Education Emergency Relief Fund are based on actual expenditures incurred and may be different from the amounts recorded as revenue in the consolidated financial statements due to the matching requirements of the program.

Finding Details

Finding 2022-001: Disbursements to or on Behalf of Students Federal Agency: U.S. Department of Education Federal Program: Federal Direct Student Loans (ALN 84.268) Award Year: July 1, 2021 to June 30, 2022 Criteria or Specific Requirement: The institution must notify the student, or parent, in writing of (1) the date and amount of the disbursement; (2) the student?s right, or parent?s right, to cancel all or a portion of that loan or loan disbursement and have the loan proceeds returned to the holder of that loan; and (3) the procedure and time by which the student or parent must notify the institution that he or she wishes to cancel the loan. Institutions that do not implement an affirmative confirmation process must notify a student no earlier than 30 days before, but no later than seven days after, crediting the student?s account and must give the student 30 days to cancel all or part of the loan. Per 2 CFR 200.303, the non-federal entity must establish and maintain effective internal control over the federal award that provides reasonable assurance that the non-federal entity is managing the federal award in compliance with federal statutes, regulations, and the terms and conditions of the federal award. Condition Found: Of the 40 students selected for disbursement notification testing, 13 students who had disbursements of subsidized direct loans, unsubsidized direct loans, and direct PLUS loans did not receive the required disbursement notifications. Cause and Possible Asserted Effect: The University?s system was not properly configured to automatically send the disbursement notifications to a select number of students at its Prescott campus during the fall 2021 semester; as a result, the students were not notified of their loan disbursements. Questioned Costs: None. Whether the Sample Was a Statistically Valid Sample: The sample was not intended to be, and was not, a statistically valid sample. Identification of Whether the Audit Finding Was a Repeat Finding in the Immediately Prior Audit: No similar findings were noted in the prior year audit. Recommendation: We recommend the University strengthen its controls surrounding the disbursement notification process to ensure students are notified of financial aid disbursements, as required. View of Responsible Officials: Financial Aid management will establish a control check to monitor that student disbursement notices are being sent within the required timeframe. The control check is comprised of a report generated directly from the University?s student information system and a manual review of the output to confirm notices are being sent. This review will be completed at the start of the new aid year and monthly thereafter.
Finding 2022-002: Procurement, Suspension and Debarment Federal Agency: U.S. Department of Education Federal Program: Education Stabilization Fund (ALN 84.425F) Award Year: July 1, 2021 ? June 30, 2022 Criteria or Specific Requirement: Per 2 CFR 200.303, the non-federal entity must establish and maintain effective internal control over the federal award that provides reasonable assurance that the non-federal entity is managing the federal award in compliance with federal statutes, regulations, and the terms and conditions of the federal award. Condition Found: In a sample of 5 expenditures totaling $753,542 of the total Institutional Portion of expenditures to 12 vendors of covered transactions of $1,047,431, we were unable to obtain audit evidence that the University followed its internal policy that requires vendors in covered transactions to be verified for suspension and debarment. Cause and Possible Asserted Effect: Given the recent retirement of the purchasing director, management was not able to provide written evidence that the verification for suspension and debarment had been performed for the sample of vendors. The lack of documentation that this policy was being followed could have resulted in instances where the University entered into a covered transaction with a suspended or debarred vendor. As part of the audit procedures, we were able to independently verify that the sampled vendors were not suspended or debarred. Questioned Costs: None. Whether the Sample Was a Statistically Valid Sample: The sample was not intended to be, and was not, a statistically valid sample. Identification of Whether the Audit Finding Was a Repeat Finding in the Immediately Prior Audit: No similar findings were noted in the prior year audit. Recommendation: We recommend the University retain written evidence that its internal policies regarding suspension and debarment are being followed. View of Responsible Officials: The Controller's Office will implement an additional internal control for this compliance requirement. In addition to Procurement's verification and documentation, Accounting will also perform a verification of the written evidence of the suspension and debarment review.
Finding 2022-001: Disbursements to or on Behalf of Students Federal Agency: U.S. Department of Education Federal Program: Federal Direct Student Loans (ALN 84.268) Award Year: July 1, 2021 to June 30, 2022 Criteria or Specific Requirement: The institution must notify the student, or parent, in writing of (1) the date and amount of the disbursement; (2) the student?s right, or parent?s right, to cancel all or a portion of that loan or loan disbursement and have the loan proceeds returned to the holder of that loan; and (3) the procedure and time by which the student or parent must notify the institution that he or she wishes to cancel the loan. Institutions that do not implement an affirmative confirmation process must notify a student no earlier than 30 days before, but no later than seven days after, crediting the student?s account and must give the student 30 days to cancel all or part of the loan. Per 2 CFR 200.303, the non-federal entity must establish and maintain effective internal control over the federal award that provides reasonable assurance that the non-federal entity is managing the federal award in compliance with federal statutes, regulations, and the terms and conditions of the federal award. Condition Found: Of the 40 students selected for disbursement notification testing, 13 students who had disbursements of subsidized direct loans, unsubsidized direct loans, and direct PLUS loans did not receive the required disbursement notifications. Cause and Possible Asserted Effect: The University?s system was not properly configured to automatically send the disbursement notifications to a select number of students at its Prescott campus during the fall 2021 semester; as a result, the students were not notified of their loan disbursements. Questioned Costs: None. Whether the Sample Was a Statistically Valid Sample: The sample was not intended to be, and was not, a statistically valid sample. Identification of Whether the Audit Finding Was a Repeat Finding in the Immediately Prior Audit: No similar findings were noted in the prior year audit. Recommendation: We recommend the University strengthen its controls surrounding the disbursement notification process to ensure students are notified of financial aid disbursements, as required. View of Responsible Officials: Financial Aid management will establish a control check to monitor that student disbursement notices are being sent within the required timeframe. The control check is comprised of a report generated directly from the University?s student information system and a manual review of the output to confirm notices are being sent. This review will be completed at the start of the new aid year and monthly thereafter.
Finding 2022-002: Procurement, Suspension and Debarment Federal Agency: U.S. Department of Education Federal Program: Education Stabilization Fund (ALN 84.425F) Award Year: July 1, 2021 ? June 30, 2022 Criteria or Specific Requirement: Per 2 CFR 200.303, the non-federal entity must establish and maintain effective internal control over the federal award that provides reasonable assurance that the non-federal entity is managing the federal award in compliance with federal statutes, regulations, and the terms and conditions of the federal award. Condition Found: In a sample of 5 expenditures totaling $753,542 of the total Institutional Portion of expenditures to 12 vendors of covered transactions of $1,047,431, we were unable to obtain audit evidence that the University followed its internal policy that requires vendors in covered transactions to be verified for suspension and debarment. Cause and Possible Asserted Effect: Given the recent retirement of the purchasing director, management was not able to provide written evidence that the verification for suspension and debarment had been performed for the sample of vendors. The lack of documentation that this policy was being followed could have resulted in instances where the University entered into a covered transaction with a suspended or debarred vendor. As part of the audit procedures, we were able to independently verify that the sampled vendors were not suspended or debarred. Questioned Costs: None. Whether the Sample Was a Statistically Valid Sample: The sample was not intended to be, and was not, a statistically valid sample. Identification of Whether the Audit Finding Was a Repeat Finding in the Immediately Prior Audit: No similar findings were noted in the prior year audit. Recommendation: We recommend the University retain written evidence that its internal policies regarding suspension and debarment are being followed. View of Responsible Officials: The Controller's Office will implement an additional internal control for this compliance requirement. In addition to Procurement's verification and documentation, Accounting will also perform a verification of the written evidence of the suspension and debarment review.