Audit 44754

FY End
2022-06-30
Total Expended
$187.15M
Findings
2
Programs
80
Organization: American University (DC)
Year: 2022 Accepted: 2023-03-30

Organization Exclusion Status:

Checking exclusion status...

Findings

ID Ref Severity Repeat Requirement
50526 2022-001 - - L
626968 2022-001 - - L

Programs

ALN Program Spent Major Findings
84.268 Federal Direct and Direct Plus Student Loans $139.70M Yes 0
84.425E Higher Education Emergency Relief Fund (student Aid Portion) $8.31M Yes 0
84.425F Higher Education Emergency Relief Fund (institutional Portion) $8.31M Yes 1
84.038 Federal Perkins Loan Program $6.60M Yes 0
84.063 Federal Pell Grant Program $5.46M Yes 0
97.036 Public Assistance $3.70M Yes 0
84.007 Federal Supplemental Educational Opportunity Grants $1.95M Yes 0
47.070 Computer and Information Science and Engineering $801,202 - 0
84.033 Federal Work Study Program $763,984 Yes 0
47.041 Engineering Grants $736,625 - 0
43.008 Education $697,451 - 0
47.076 Education and Human Resources $479,056 - 0
47.074 Biological Sciences $381,081 - 0
19.345 International Programs to Support Democracy, Human Rights and Labor $313,754 - 0
19.705 Trans-National Crime $308,749 - 0
19.010 Academic Exchange Programs - Hubert H. Humphrey Fellowship Program $293,811 - 0
47.049 Mathematical and Physical Sciences $291,631 - 0
19.501 Public Diplomacy Programs for Afghanistan and Pakistan $281,391 Yes 0
84.325D Special Education - Personnel Development to Improve Services and Results for Children with Disabilities $272,012 - 0
93.242 Mental Health Research Grants $259,446 - 0
19.040 Public Diplomacy Programs $237,565 - 0
93.829 Section 223 Demonstration Programs to Improve Community Mental Health Services $228,510 - 0
93.273 Alcohol Research Programs $168,791 - 0
10.310 Agriculture and Food Research Initiative (afri) $167,894 - 0
93.859 Biomedical Research and Research Training $163,903 - 0
84.305A Education Research, Development and Dissemination $159,164 - 0
16.320 Services for Trafficking Victims $140,528 - 0
12.RD Verifiable Automatic Language Analysis and Refactoring for Inputs (valarin) $132,234 - 0
93.213 Research and Training in Complementary and Integrative Health $126,561 - 0
11.609 Measurement and Engineering Research and Standards $120,940 - 0
97.132 Financial Assistance for Targeted Violence and Terrorism Prevention $106,416 - 0
16.585 Drug Court Discretionary Grant Program $96,161 - 0
21.U02 Ipa: Robin Lumsdaine $94,780 - 0
12.901 Mathematical Sciences Grants $92,928 - 0
15.945 Cooperative Research and Training Programs Resources of the National Park System $88,804 - 0
93.867 Vision Research $88,504 - 0
47.075 Social, Behavioral, and Economic Sciences $84,281 - 0
93.855 Allergy and Infectious Diseases Research $81,768 - 0
12.300 Basic and Applied Scientific Research $80,676 - 0
47.RD Analysis of Cycles of Retributive Violence $79,670 - 0
10.557 Wic Special Supplemental Nutrition Program for Women, Infants, and Children $78,704 - 0
93.279 Drug Abuse and Addiction Research Programs $78,447 - 0
21.008 Low Income Taxpayer Clinics $69,043 - 0
12.800 Air Force Defense Research Sciences Program $66,006 - 0
89.003 National Historical Publications and Records Grants $59,349 - 0
45.313 Laura Bush 21st Century Librarian Program $58,472 - 0
12.420 Drug Court Discretionary Grant Program $44,366 - 0
45.162 Promotion of the Humanities Teaching and Learning Resources and Curriculum Development $41,705 - 0
93.847 Diabetes, Digestive, and Kidney Diseases Extramural Research $39,388 - 0
84.379 Teacher Education Assistance for College and Higher Education Grants - Teach $36,305 Yes 0
45.312 National Leadership Grants $33,668 - 0
93.958 Block Grants for Community Mental Health Services $32,599 - 0
91.005 Priority Grant Competition $31,558 - 0
11.482 Coral Reef Conservation Program $29,970 - 0
84.305B Education Research, Development and Dissemination $29,238 - 0
84.382A Strengthening Minority-Serving Institutions $28,949 - 0
16.601 Corrections Training and Staff Development $28,334 - 0
93.865 Child Health and Human Development Extramural Research $26,018 - 0
19.900 Aeeca/esf Pd Programs $22,248 - 0
81.RD Hyper Thesis $20,499 - 0
39.U03 Ipa - D. Schwegman $19,241 - 0
93.866 Aging Research $18,318 - 0
16.560 National Institute of Justice Research, Evaluation, and Development Project Grants $17,427 - 0
81.U01 Ipa - D. Schwegman $17,237 - 0
93.RD Ipa: Taryn Morrissey $14,760 - 0
81.RD Modeling and Analytic Capabilities for Kbase $12,508 - 0
93.853 Extramural Research Programs in the Neurosciences and Neurological Disorders $10,395 - 0
43.009 Safety, Security and Mission Services $8,485 - 0
43.007 Space Operations $8,051 - 0
84.022A Fulbright-Hays Doctoral Dissertation Research Abroad $7,562 - 0
43.001 Science $7,345 - 0
15.805 Assistance to State Water Resources Research Institutes $6,701 - 0
84.305H Education Research, Development and Dissemination $4,941 - 0
12.420 Military Medical Research and Development $4,749 - 0
45.024 Promotion of the Arts Grants to Organizations and Individuals $4,605 - 0
93.310 Trans-Nih Research Support $4,514 - 0
11.429 Marine Sanctuary Program $4,244 - 0
43.RD Rising From Ashes Or Dying Flash $3,950 - 0
16.526 Ovw Technical Assistance Initiative $-308 - 0
93.393 Cancer Cause and Prevention Research $-3,659 - 0

Contacts

Name Title Type
H4VNDUN2VWU5 Nicole Bresnahan Auditee
2028852822 Kelly Thornton Auditor
No contacts on file

Notes to SEFA

Title: Loan/loan guarantee outstanding balances Accounting Policies: The accompanying Schedule of Expenditures of Federal Awards (the Schedule) summarizes theexpenditures of American University (the University) under programs of the federal governmentfor the year ended June 30, 2022. Because the Schedule presents only the federal award activityof the University, it is not intended to and does not present the financial position, changes in netassets and cash flows of the University.For purposes of the Schedule, federal awards include all grants, contracts and similar agreementsentered directly between the University and agencies and departments of the federal governmentand all sub-awards to the University by nonfederal organizations pursuant to federal grants,contracts and similar agreements.Negative numbers in the Schedule represent adjustments to amounts reported in prior years in thenormal course of business. Assistance Listing numbers and pass-through numbers are providedwhen available.Expenditures for the federal programs are recognized as incurred. Expenditures for studentfinancial aid include Pell program grants to students, the federal share of students FSEOGprogram grants and FWS program earnings, loan disbursements to students, and administrativecost allowances, where applicable.Expenditures for other federal awards are determined using the cost accounting principles andprocedures set forth in Title 2 U.S. Code of Federal Regulations Part 200, Uniform AdministrativeRequirements, Cost Principles, and Audit Requirements for Federal Awards (Uniform Guidance) asapplicable. Under these cost principles, certain types of expenditures are not allowable or arelimited as to reimbursement. Direct costs are recognized as incurred using the accrual method ofaccounting. De Minimis Rate Used: N Rate Explanation: Expenditures for nonfinancial aid awards include indirect costs, relating primarily to facilitiesoperation and maintenance and general administration services, which are allocated to direct costobjectives (including federal award programs) based on negotiated formulas commonly referred toas indirect cost rates. The University applies its predetermined approved facilities andadministrative rate when charging indirect costs to federal awards rather than the 10% de minimiscost rate as described in Section 200.414 of the Uniform Guidance. Indirect costs allocated tosuch awards for the year ended June 30, 2022 were based on predetermined rates negotiated withthe Universitys cognizant federal agency, the Department of Health and Human Services. FEDERAL PERKINS LOAN PROGRAM (84.038) - Balances outstanding at the end of the audit period were 5543101. The Federal Perkins Loan Program (Perkins) under Assistance Listing #84.038 is administered directly by the University and the balance and transactions relating to this program are included in the Universitys basic financial statements. Loans outstanding at the beginning of the year are included in the federal expenditures presented in the Schedule.The University is responsible only for the performance of certain administrative duties with respect to federal direct loans disbursed by the Department of Education on behalf of University students under the direct loan programs (Federal Stafford, Federal Parents Loans for Undergraduate and Graduate Students, and Unsubsidized Federal Stafford Loans). These loan programs collectively are Assistance Listing # 84.268. It is not practical to determine the balance of loans outstanding to students and former students of the University under these federally guaranteed loan programs at June 30, 2022. The current year disbursements are included in the Schedule.
Title: Federal Emergency Management Agency (FEMA) Accounting Policies: The accompanying Schedule of Expenditures of Federal Awards (the Schedule) summarizes theexpenditures of American University (the University) under programs of the federal governmentfor the year ended June 30, 2022. Because the Schedule presents only the federal award activityof the University, it is not intended to and does not present the financial position, changes in netassets and cash flows of the University.For purposes of the Schedule, federal awards include all grants, contracts and similar agreementsentered directly between the University and agencies and departments of the federal governmentand all sub-awards to the University by nonfederal organizations pursuant to federal grants,contracts and similar agreements.Negative numbers in the Schedule represent adjustments to amounts reported in prior years in thenormal course of business. Assistance Listing numbers and pass-through numbers are providedwhen available.Expenditures for the federal programs are recognized as incurred. Expenditures for studentfinancial aid include Pell program grants to students, the federal share of students FSEOGprogram grants and FWS program earnings, loan disbursements to students, and administrativecost allowances, where applicable.Expenditures for other federal awards are determined using the cost accounting principles andprocedures set forth in Title 2 U.S. Code of Federal Regulations Part 200, Uniform AdministrativeRequirements, Cost Principles, and Audit Requirements for Federal Awards (Uniform Guidance) asapplicable. Under these cost principles, certain types of expenditures are not allowable or arelimited as to reimbursement. Direct costs are recognized as incurred using the accrual method ofaccounting. De Minimis Rate Used: N Rate Explanation: Expenditures for nonfinancial aid awards include indirect costs, relating primarily to facilitiesoperation and maintenance and general administration services, which are allocated to direct costobjectives (including federal award programs) based on negotiated formulas commonly referred toas indirect cost rates. The University applies its predetermined approved facilities andadministrative rate when charging indirect costs to federal awards rather than the 10% de minimiscost rate as described in Section 200.414 of the Uniform Guidance. Indirect costs allocated tosuch awards for the year ended June 30, 2022 were based on predetermined rates negotiated withthe Universitys cognizant federal agency, the Department of Health and Human Services. As of June 30, 2022, the University received approval for $3,695,810 of claims submitted to FEMA during 2022 under Assistance Listing Number 97.036. The claims submitted represented incurred expenses attributed to the Universitys response to COVID-19. The fiscal year 2022 Schedule of Expenditures of Federal Awards includes expenses of $3,310,314 which were incurred in a prior year.

Finding Details

Finding 2022-001 Reporting Grantor: Department of Education Program: COVID- 19 Education Stabilization Fund Assistance Listing#: 84.425F Award Title: Higher Education Emergency Relief Funding (Institutional Portion) Award Year: 07/1/2021 ? 06/30/2022 Award Number: 204302 - 20A Pass-through Number: Not applicable Criteria Coronavirus Response and Relief Supplemental Appropriations Act section 314(c)(1), (c)(3), and American Rescue Plan section 2003(5) and Pub. L. No. 117-2 (March 11, 2021) which details the compliance requirements for institutions receiving funding under the Higher Education Emergency Relief Funding program. The regulation along with guidance subsequently issued specifically provides institutions with the requirements and deadlines for filing periodic reports. Condition During fiscal year 2022, the University was required to submit eight quarterly reports detailing expenditure activity for both the student and institutional portion of funding received under the Higher Education Emergency Relief program. One of eight submissions due during the fiscal year was not submitted by the required deadline. More specifically, the July institutional reporting submission was submitted 17 days late. Cause The missed reporting deadline was an oversight on management?s behalf. The report was filed shortly after management became aware of the oversight. Effect The required report was not submitted by the deadline required by the regulations. Questioned Costs There are no questioned costs associated with this finding as the finding is related to reporting. Recommendation We recommend management establish automated reporting reminders that provide a notification to both the preparer and reviewer of reports that reports are coming due. Management?s View and Corrective Action Plan Please refer to management?s corrective action plan for management?s response and corrective action related to this finding.
Finding 2022-001 Reporting Grantor: Department of Education Program: COVID- 19 Education Stabilization Fund Assistance Listing#: 84.425F Award Title: Higher Education Emergency Relief Funding (Institutional Portion) Award Year: 07/1/2021 ? 06/30/2022 Award Number: 204302 - 20A Pass-through Number: Not applicable Criteria Coronavirus Response and Relief Supplemental Appropriations Act section 314(c)(1), (c)(3), and American Rescue Plan section 2003(5) and Pub. L. No. 117-2 (March 11, 2021) which details the compliance requirements for institutions receiving funding under the Higher Education Emergency Relief Funding program. The regulation along with guidance subsequently issued specifically provides institutions with the requirements and deadlines for filing periodic reports. Condition During fiscal year 2022, the University was required to submit eight quarterly reports detailing expenditure activity for both the student and institutional portion of funding received under the Higher Education Emergency Relief program. One of eight submissions due during the fiscal year was not submitted by the required deadline. More specifically, the July institutional reporting submission was submitted 17 days late. Cause The missed reporting deadline was an oversight on management?s behalf. The report was filed shortly after management became aware of the oversight. Effect The required report was not submitted by the deadline required by the regulations. Questioned Costs There are no questioned costs associated with this finding as the finding is related to reporting. Recommendation We recommend management establish automated reporting reminders that provide a notification to both the preparer and reviewer of reports that reports are coming due. Management?s View and Corrective Action Plan Please refer to management?s corrective action plan for management?s response and corrective action related to this finding.