Audit 313446

FY End
2022-06-30
Total Expended
$293.97M
Findings
2
Programs
57
Organization: University of Dayton (OH)
Year: 2022 Accepted: 2022-12-08
Auditor: Rsmus LLP

Organization Exclusion Status:

Checking exclusion status...

Findings

ID Ref Severity Repeat Requirement
452443 2022-001 Significant Deficiency - L
1028885 2022-001 Significant Deficiency - L

Programs

ALN Program Spent Major Findings
84.268 Federal Direct Student Loans $61.03M Yes 0
39.RD Research and Development $26.56M - 0
84.425 Education Stabilization Fund $9.85M Yes 1
12.800 Air Force Defense Research Sciences Program $8.88M - 0
84.063 Federal Pell Grant Program $6.47M Yes 0
84.038 Federal Perkins Loan Program $4.91M Yes 0
11.013 Education Quality Award Ambassadorship $1.76M - 0
20.109 Air Transportation Centers of Excellence $1.48M - 0
84.007 Federal Supplemental Educational Opportunity Grants $943,066 Yes 0
11.611 Manufacturing Extension Partnership $833,961 - 0
84.033 Federal Work-Study Program $603,590 Yes 0
12.400 Military Construction, National Guard $457,146 - 0
93.732 Mental and Behavioral Health Education and Training Grants $347,618 - 0
12.300 Basic and Applied Scientific Research $289,930 - 0
81.117 Energy Efficiency and Renewable Energy Information Dissemination, Outreach, Training and Technical Analysis/assistance $248,599 - 0
11.RD Research and Development $228,020 - 0
47.RD Research and Development $216,038 - 0
93.867 Vision Research $189,712 - 0
47.041 Engineering $170,474 - 0
93.575 Child Care and Development Block Grant $167,584 - 0
84.047 Trio_upward Bound $158,285 - 0
93.865 Child Health and Human Development Extramural Research $157,638 - 0
43.002 Aeronautics $148,537 - 0
47.049 Mathematical and Physical Sciences $132,216 - 0
20.RD Research and Development $127,451 - 0
20.200 Highway Research and Development Program $126,296 - 0
94.006 Americorps $86,964 - 0
47.074 Biological Sciences $79,130 - 0
93.859 Biomedical Research and Research Training $74,657 - 0
84.350 Transition to Teaching $71,527 - 0
81.049 Office of Science Financial Assistance Program $66,930 - 0
66.RD Research and Development $58,820 - 0
20.108 Aviation Research Grants $57,191 - 0
20.723 Phmsa Pipeline Safety Research and Development Oother Transaction Agreementso $52,788 - 0
12.431 Basic Scientific Research $51,717 - 0
47.076 Education and Human Resources $49,210 - 0
47.070 Computer and Information Science and Engineering $48,170 - 0
93.RD Research and Development $42,727 - 0
81.RD Research and Development $42,660 - 0
93.853 Extramural Research Programs in the Neurosciences and Neurological Disorders $38,933 - 0
43.001 Science $37,471 - 0
12.100 Aquatic Plant Control $36,950 - 0
12.630 Basic, Applied, and Advanced Research in Science and Engineering $36,407 - 0
10.558 Child and Adult Care Food Program $22,925 - 0
47.050 Geosciences $22,895 - 0
45.162 Promotion of the Humanities_teaching and Learning Resources and Curriculum Development $19,497 - 0
97.012 Boating Safety Financial Assistance $14,434 - 0
84.027 Special Education_grants to States $13,711 - 0
84.379 Teacher Education Assistance for College and Higher Education Grants (teach Grants) $9,430 Yes 0
21.RD Research and Development $8,964 - 0
10.707 Research Joint Venture and Cost Reimbursable Agreements $8,373 - 0
84.323 Special Education - State Personnel Development $7,480 - 0
43.RD Research and Development $3,757 - 0
84.287 Twenty-First Century Community Learning Centers $2,651 - 0
19.RD Research and Development $1,304 - 0
99.RD Research and Development $681 - 0
12.RD Research and Development $-4,280 - 0

Contacts

Name Title Type
V62NC51F7YV1 Andrew Horner Auditee
9372292980 David Andrews Auditor
No contacts on file

Notes to SEFA

Title: Note 4. Federal Direct Student Loans Program (CFDA No. 84.268) 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, where in certain types of expenditures are not allowable or are limited as to reimbursement. The expenditures reported for COVID-19 Educational Stabilization Fund institutional portion are based on the University's consideration the full student portion and the specified uses of the institutional portion will be met. The expenditures reported for COVID-19 Educational Stabilization Fund are required to be met by the end of the period of performance for expenditures to be considered eligible. De Minimis Rate Used: N Rate Explanation: The University is using a federally negotiated Facility and Administrative (F&A) cost rate and has elected not to use the 10% de minimis indirect cost rate allowed under the Uniform Guidance. The F&A rate is negotiated with the University's cognizant federal agency. The University acts as an intermediary for students receiving Federal Family Education Loan Program loans (CFDA No. 84.268), which includes the Direct Stafford Loan and Parents Loans for Undergraduate Students, from the federal government. The federal government is responsible for billings and collections of the loans. The University assists the federal government by processing the applications and applying funds to student accounts from the federal government. Since this program is administered by the federal government, new loans made in the fiscal year ended June 30, 2022, related to Federal Family Education Loan Program loans are considered current year federal expenditures, whereas the outstanding loan balances are not. The total amount processed during fiscal year 2022 is included on the Schedule. The University is responsible only for the performance of certain administrative duties with respect to the Federal Direct Student Loan Programs and, accordingly, balances and transactions relating to the loan programs are not included in the Universitys financial statements. Therefore, it is not practical to determine the balance of loans outstanding to student and former students of the University at June 30, 2022.
Title: Note 1. Basis of Presentation 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, where in certain types of expenditures are not allowable or are limited as to reimbursement. The expenditures reported for COVID-19 Educational Stabilization Fund institutional portion are based on the University's consideration the full student portion and the specified uses of the institutional portion will be met. The expenditures reported for COVID-19 Educational Stabilization Fund are required to be met by the end of the period of performance for expenditures to be considered eligible. De Minimis Rate Used: N Rate Explanation: The University is using a federally negotiated Facility and Administrative (F&A) cost rate and has elected not to use the 10% de minimis indirect cost rate allowed under the Uniform Guidance. The F&A rate is negotiated with the University's cognizant federal agency. The accompanying schedule of expenditures of federal awards (the Schedule) includes the federal award activity of the University of Dayton (the University) under programs of the federal government for the year ended June 30, 2022. The information in this 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 (Uniform Guidance). Because the Schedulepresents only a selected portion of the operations of the University of Dayton, it is not intended to and does not present the financial position, changes in net assets, or cash flows of the University of Dayton.
Title: Note 3. Federal Perkins Loan Program 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, where in certain types of expenditures are not allowable or are limited as to reimbursement. The expenditures reported for COVID-19 Educational Stabilization Fund institutional portion are based on the University's consideration the full student portion and the specified uses of the institutional portion will be met. The expenditures reported for COVID-19 Educational Stabilization Fund are required to be met by the end of the period of performance for expenditures to be considered eligible. De Minimis Rate Used: N Rate Explanation: The University is using a federally negotiated Facility and Administrative (F&A) cost rate and has elected not to use the 10% de minimis indirect cost rate allowed under the Uniform Guidance. The F&A rate is negotiated with the University's cognizant federal agency. The amount presented as Perkins Loan Fund expenditures consists of beginning outstanding loan balances of approximately $4,906,138. Loans outstanding at June 30,2022 totaled $3,807,199.
Title: Note 6. Research and Development Cluster Detail 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, where in certain types of expenditures are not allowable or are limited as to reimbursement. The expenditures reported for COVID-19 Educational Stabilization Fund institutional portion are based on the University's consideration the full student portion and the specified uses of the institutional portion will be met. The expenditures reported for COVID-19 Educational Stabilization Fund are required to be met by the end of the period of performance for expenditures to be considered eligible. De Minimis Rate Used: N Rate Explanation: The University is using a federally negotiated Facility and Administrative (F&A) cost rate and has elected not to use the 10% de minimis indirect cost rate allowed under the Uniform Guidance. The F&A rate is negotiated with the University's cognizant federal agency. See notes to the SEFA.

Finding Details

Finding No. 2022-001 ? Higher Education Emergency Relief Fund (HEERF) ReportingFederal Agency: Department of Education (DOE)Federal Program: COVID-19 Education Stabilization Fund Under the Coronavirus Aid, Relief andEconomic Security Act (CARES Act): ALN: 84.425FCriteria: Reporting requirements to the DOE state that the University ensure the institutional portion ofHEERF is accurately reported by quarter in the quarter funds are drawn from the G5 system.Condition: Amounts claimed for the institutional portion by the University were originally reported in theHEERF quarterly reporting as fiscal year 2021 lost revenue rather than fiscal year 2022 lost revenue.Questioned Costs: None.Effect: Fiscal year 2021 lost revenue was reported rather than fiscal year 2022 lost revenue. Reportingshould match the period in which lost revenue was claimed to not result in the DOE withholding paymentsto the University.Cause: Changes to the program rules, regulations, and reporting for the HEERF programs were evolvingthroughout the different phases of the program. The issue identified is the result of reporting the incorrectyear of lost revenue being claimed as the program rules were being developed and communicated tograntees which resulted in the original filing reporting fiscal year 2021 lost revenue.Recommendation: We recommend the University amend the previously posted reports. The Federalfunding for this program has ended. If the DOE should add additional funding or create new or similarprograms, we recommend that management regularly monitor and manage changes to rules andregulations promulgated by the DOE.View of Responsible Officials and Planned Corrective Actions: Management accepts the identifiedfinding.
Finding No. 2022-001 ? Higher Education Emergency Relief Fund (HEERF) ReportingFederal Agency: Department of Education (DOE)Federal Program: COVID-19 Education Stabilization Fund Under the Coronavirus Aid, Relief andEconomic Security Act (CARES Act): ALN: 84.425FCriteria: Reporting requirements to the DOE state that the University ensure the institutional portion ofHEERF is accurately reported by quarter in the quarter funds are drawn from the G5 system.Condition: Amounts claimed for the institutional portion by the University were originally reported in theHEERF quarterly reporting as fiscal year 2021 lost revenue rather than fiscal year 2022 lost revenue.Questioned Costs: None.Effect: Fiscal year 2021 lost revenue was reported rather than fiscal year 2022 lost revenue. Reportingshould match the period in which lost revenue was claimed to not result in the DOE withholding paymentsto the University.Cause: Changes to the program rules, regulations, and reporting for the HEERF programs were evolvingthroughout the different phases of the program. The issue identified is the result of reporting the incorrectyear of lost revenue being claimed as the program rules were being developed and communicated tograntees which resulted in the original filing reporting fiscal year 2021 lost revenue.Recommendation: We recommend the University amend the previously posted reports. The Federalfunding for this program has ended. If the DOE should add additional funding or create new or similarprograms, we recommend that management regularly monitor and manage changes to rules andregulations promulgated by the DOE.View of Responsible Officials and Planned Corrective Actions: Management accepts the identifiedfinding.