Audit 4516

FY End
2023-06-30
Total Expended
$300.38M
Findings
4
Programs
154
Year: 2023 Accepted: 2023-11-29
Auditor: Forvis LLP

Organization Exclusion Status:

Checking exclusion status...

Findings

ID Ref Severity Repeat Requirement
2677 2023-001 Significant Deficiency - N
2678 2023-001 Significant Deficiency - N
579119 2023-001 Significant Deficiency - N
579120 2023-001 Significant Deficiency - N

Programs

ALN Program Spent Major Findings
84.268 Federal Direct Student Loans $145.94M Yes 1
84.063 Federal Pell Grant Program $27.10M Yes 1
11.432 National Oceanic and Atmospheric Administration (noaa) Cooperative Institutes $21.00M - 0
84.334 Gaining Early Awareness and Readiness for Undergraduate Programs $10.89M - 0
84.038 Perkins Loan Program $6.48M Yes 0
11.459 Weather and Air Quality Research $4.14M - 0
12.300 Basic and Applied Scientific Research $3.42M - 0
84.126 Rehabilitation Services_vocational Rehabilitation Grants to States $3.22M Yes 0
93.323 Epidemiology and Laboratory Capacity for Infectious Diseases (elc) $1.39M - 0
84.007 Federal Supplemental Educational Opportunity Grants $1.32M Yes 0
11.431 Climate and Atmospheric Research $920,668 - 0
81.087 Renewable Energy Research and Development $827,024 - 0
14.239 Home Investment Partnerships Program $609,589 - 0
93.853 Extramural Research Programs in the Neurosciences and Neurological Disorders $606,822 - 0
81.000 Department of Energy Conract $605,396 - 0
19.415 Professional and Cultural Exchange Programs - Citizen Exchanges $545,223 - 0
93.600 Head Start $535,034 - 0
12.630 Basic, Applied, and Advanced Research in Science and Engineering $481,982 - 0
93.395 Cancer Treatment Research $432,210 - 0
84.324 Research in Special Education $405,936 - 0
84.379 Teacher Education Assistance for College and Higher Education Grants (teach Grants) $380,258 Yes 0
12.800 Air Force Defense Research Sciences Program $374,686 - 0
93.846 Arthritis, Musculoskeletal and Skin Diseases Research $348,055 - 0
93.394 Cancer Detection and Diagnosis Research $333,851 - 0
84.047 Trio_upward Bound $319,732 - 0
81.121 Nuclear Energy Research, Development and Demonstration $313,583 - 0
93.213 Research and Training in Complementary and Integrative Health $290,302 - 0
96.008 Social Security - Work Incentives Planning and Assistance Program $285,466 - 0
12.598 Centers for Academic Excellence $284,067 - 0
93.398 Cancer Research Manpower $276,322 - 0
84.325 Special Education - Personnel Development to Improve Services and Results for Children with Disabilities $270,322 - 0
84.184 Safe and Drug-Free Schools and Communities_national Programs $253,433 - 0
20.509 Formula Grants for Rural Areas and Tribal Transit Program $249,760 - 0
11.609 Measurement and Engineering Research and Standards $248,672 - 0
10.557 Special Supplemental Nutrition Program for Women, Infants, and Children $236,643 - 0
15.810 National Cooperative Geologic Mapping Program $234,340 - 0
93.173 Research Related to Deafness and Communication Disorders $232,661 - 0
93.855 Allergy, Immunology and Transplantation Research $225,507 - 0
20.109 Air Transportation Centers of Excellence $199,362 - 0
98.012 Usaid Development Partnerships for University Cooperation and Development $194,905 - 0
93.268 Immunization Cooperative Agreements $191,843 - 0
93.393 Cancer Cause and Prevention Research $185,019 - 0
11.307 Covid-19 - Economic Adjustment Assistance $174,438 - 0
11.303 Economic Development_technical Assistance $173,615 - 0
20.106 Covid-19 - Airport Improvement Program $171,318 - 0
20.200 Highway Research and Development Program $160,733 - 0
47.078 Polar Programs $160,116 - 0
97.061 Centers for Homeland Security $146,802 - 0
84.326 Special Education_technical Assistance and Dissemination to Improve Services and Results for Children with Disabilities $146,047 - 0
20.616 National Priority Safety Programs $145,486 - 0
20.724 Pipeline Safety Research Competitive Academic Agreement Program (caap) $141,532 - 0
84.335 Child Care Access Means Parents in School $138,273 - 0
20.701 University Transportation Centers Program $128,420 - 0
15.224 Cultural Resource Management $128,360 - 0
93.648 Child Welfare Research Training Or Demonstration $120,739 - 0
15.820 National Climate Change and Wildlife Science Center $117,366 - 0
84.425 Education Stabilization Fund $114,643 - 0
84.217 Trio_mcnair Post-Baccalaureate Achievement $114,007 - 0
93.837 Cardiovascular Diseases Research $95,067 - 0
81.086 Conservation Research and Development $89,939 - 0
15.156 Cooperative Landscape Conservation $84,494 - 0
12.910 Research and Technology Development $81,147 - 0
59.076 Lab-To-Market $80,211 - 0
15.904 Historic Preservation Fund Grants-in-Aid $79,531 - 0
15.506 Water Desalination Research and Development Program $79,349 - 0
45.312 National Leadership Grants $76,311 - 0
84.033 Federal Work-Study Program $75,000 Yes 0
11.478 Center for Sponsored Coastal Ocean Research_coastal Ocean Program $73,826 - 0
47.084 Nsf Technology, Innovation and Partnerships $70,107 - 0
47.041 Engineering $67,068 - 0
66.445 Innovative Water Infrastructure Workforce Development Program (sdwa 1459e) $66,397 - 0
11.307 Economic Adjustment Assistance $66,319 - 0
93.279 Drug Abuse and Addiction Research Programs $64,497 - 0
93.276 Drug-Free Communities Support Program Grants $62,260 - 0
93.847 Diabetes, Digestive, and Kidney Diseases Extramural Research $61,649 - 0
45.164 Promotion of the Humanities_public Programs $60,406 - 0
11.468 Applied Meteorological Research $60,388 - 0
93.397 Cancer Centers Support Grants $60,313 - 0
93.959 Block Grants for Prevention and Treatment of Substance Abuse $58,987 - 0
81.089 Fossil Energy Research and Development $57,893 - 0
11.472 Unallied Science Program $54,730 - 0
93.310 Trans-Nih Research Support $54,614 - 0
47.050 Geosciences $54,080 - 0
11.022 Bipartisan Budget Act of 2018 $51,633 - 0
15.255 Science and Technology Projects Related to Coal Mining and Reclamation $50,942 - 0
43.002 Aeronautics $50,744 - 0
12.431 Basic Scientific Research $42,042 - 0
15.807 Earthquake Hazards Research Grants $40,878 - 0
45.149 Promotion of the Humanities_division of Preservation and Access $40,538 - 0
93.286 Discovery and Applied Research for Technological Innovations to Improve Human Health $39,154 - 0
47.049 Mathematical and Physical Sciences $36,464 - 0
59.058 Federal and State Technology Partnership Program $36,055 - 0
43.008 Education $35,991 - 0
47.083 Integrative Activities $35,369 - 0
47.079 Office of International Science and Engineering $32,712 - 0
81.049 Office of Science Financial Assistance Program $32,491 - 0
10.310 Agriculture and Food Research Initiative (afri) $31,619 - 0
45.160 Promotion of the Humanities_fellowships and Stipends $29,698 - 0
10.001 Agricultural Research_basic and Applied Research $28,055 - 0
93.680 Medical Student Education $27,526 - 0
15.805 Assistance to State Water Resources Research Institutes $23,724 - 0
93.958 Block Grants for Community Mental Health Services $23,617 - 0
93.630 Developmental Disabilities Basic Support and Advocacy Grants $22,110 - 0
12.420 Military Medical Research and Development $21,443 - 0
93.172 Human Genome Research $19,272 - 0
93.839 Blood Diseases and Resources Research $18,474 - 0
93.307 Minority Health and Health Disparities Research $18,281 - 0
93.113 Environmental Health $17,455 - 0
15.922 Native American Graves Protection and Repatriation Act $16,826 - 0
20.106 Airport Improvement Program $16,373 - 0
47.076 Education and Human Resources $16,144 - 0
66.951 Environmental Education Grants $15,026 - 0
93.243 Substance Abuse and Mental Health Services_projects of Regional and National Significance $14,706 - 0
81.135 Advanced Research Projects Agency - Energy $14,589 - 0
42.013 Of the People: Community Collections Grants $14,546 - 0
43.001 Science $12,780 - 0
15.945 Cooperative Research and Training Programs Ð Resources of the National Park System $12,585 - 0
66.419 Water Pollution Control State, Interstate, and Tribal Program Support $12,245 - 0
15.670 Adaptive Science $11,989 - 0
93.865 Child Health and Human Development Extramural Research $11,787 - 0
93.969 Pphf Geriatric Education Centers $11,534 - 0
15.511 Cultural Resources Management $11,112 - 0
19.900 Aeeca/esf Pd Programs $10,847 - 0
93.870 Maternal, Infant and Early Childhood Home Visiting Grant $10,635 - 0
93.242 Mental Health Research Grants $10,633 - 0
12.351 Basic Scientific Research - Combating Weapons of Mass Destruction $10,335 - 0
15.808 U.s. Geological Survey_ Research and Data Collection $9,958 - 0
93.110 Maternal and Child Health Federal Consolidated Programs $9,958 - 0
15.073 Earth Mapping Resources Initiative $9,259 - 0
93.866 Aging Research $9,080 - 0
15.664 Fish and Wildlife Coordination and Assistance Programs $8,309 - 0
93.788 Opioid Str $8,234 - 0
47.074 Biological Sciences $8,212 - 0
45.024 Promotion of the Arts_grants to Organizations and Individuals $7,432 - 0
45.310 Grants to States $7,352 - 0
16.828 Innovative Responses to Behavior in the Community: Swift, Certain, and Fair Supervision Program $6,689 - 0
47.075 Social, Behavioral, and Economic Sciences $5,998 - 0
93.859 Biomedical Research and Research Training $5,558 - 0
47.070 Computer and Information Science and Engineering $5,003 - 0
10.699 Partnership Agreements $3,890 - 0
15.560 Secure Water Act Ð Research Agreements $3,602 - 0
15.634 State Wildlife Grants $3,538 - 0
15.615 Cooperative Endangered Species Conservation Fund $3,150 - 0
84.206 Javits Gifted and Talented Students Education $2,200 - 0
45.129 Promotion of the Humanities_federal/state Partnership $1,500 - 0
16.582 Crime Victim Assistance/discretionary Grants $587 - 0
16.812 Second Chance Act Reentry Initiative $394 - 0
21.019 Covid-19 - Coronavirus Relief Fund $381 - 0
20.205 Highway Planning and Construction $15 - 0
93.997 Assisted Outpatient Treatment $-85 - 0
15.605 Sport Fish Restoration Program $-263 - 0
93.077 Family Smoking Prevention and Tobacco Control Act Regulatory Research $-636 - 0
15.663 Nfwf-Usfws Conservation Partnership $-1,891 - 0
15.814 National Geological and Geophysical Data Preservation Program $-17,578 - 0

Contacts

Name Title Type
EVTSTTLCEWS5 Tamara Franklin Auditee
4052718001 Robyn Devore Auditor
No contacts on file

Notes to SEFA

Title: Basis of Presentation Accounting Policies: Expenditures reported in the Schedule are reported on the cash basis of accounting. Federal awards provided to subrecipients are treated as expenditures when paid to the subrecipient. When applicable, such expenditures are recognized following the cost principles contained in the Uniform Guidance, wherein certain types of expenditures are not allowable or are limited as to reimbursement. For purposes of the Schedule, federal awards have been identified into two types: • Direct federal awards consisting of federal assistance and federal student financial aid • Pass‐through funds received from non‐federal organizations made under federally sponsored programs conducted by those organizations Complete Federal Assistance Listing Numbers (FALN) are presented for those programs for which such numbers were available. FALN prefixes are presented for programs for which a complete FALN number is not available. Federal direct programs are presented by federal department and, where applicable, the funding agency within the department. Federal pass‐through programs are presented by the entity through which the University received the federal award. Amounts provided to subrecipients from each federal program have been separately identified for additional analysis. These pass‐through awards are included in total cash basis expenditures. The University administers the Pell Grant program, Supplemental Education Opportunity Grants, and other grant programs for students attending both the Norman and the Health Sciences Center campuses of the University. Grant revenues and expenditures under such programs for students attending these campuses are included in the financial statements of the Norman Campus. Therefore, the Norman Campus Schedule of Expenditures of Federal Awards includes expenditures under such programs for students attending these campuses. Federal contracts that do not meet the definition of Federal Domestic Assistance have been excluded from the Schedule as it was determined, based upon discussions with the University’s federal cognizant agency or by the nature of the contract, that such contracts do not represent auditable federal awards under the provisions of the Uniform Guidance. Also, fixed price and fixed rate programs have been excluded. De Minimis Rate Used: N Rate Explanation: The University has not elected to use the 10% de minimis cost rate. The accompanying schedule of expenditures of federal awards (the Schedule) includes the federal award activity of The University of Oklahoma – Norman Campus (the University) under programs of the federal government for the year ended June 30, 2023. The information 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 Schedule presents only a selected portion of the operations of the University, it is not intended to and does not present the financial position, changes in financial position, or cash flows of the University.
Title: Federal Direct Student Loan Program Accounting Policies: Expenditures reported in the Schedule are reported on the cash basis of accounting. Federal awards provided to subrecipients are treated as expenditures when paid to the subrecipient. When applicable, such expenditures are recognized following the cost principles contained in the Uniform Guidance, wherein certain types of expenditures are not allowable or are limited as to reimbursement. For purposes of the Schedule, federal awards have been identified into two types: • Direct federal awards consisting of federal assistance and federal student financial aid • Pass‐through funds received from non‐federal organizations made under federally sponsored programs conducted by those organizations Complete Federal Assistance Listing Numbers (FALN) are presented for those programs for which such numbers were available. FALN prefixes are presented for programs for which a complete FALN number is not available. Federal direct programs are presented by federal department and, where applicable, the funding agency within the department. Federal pass‐through programs are presented by the entity through which the University received the federal award. Amounts provided to subrecipients from each federal program have been separately identified for additional analysis. These pass‐through awards are included in total cash basis expenditures. The University administers the Pell Grant program, Supplemental Education Opportunity Grants, and other grant programs for students attending both the Norman and the Health Sciences Center campuses of the University. Grant revenues and expenditures under such programs for students attending these campuses are included in the financial statements of the Norman Campus. Therefore, the Norman Campus Schedule of Expenditures of Federal Awards includes expenditures under such programs for students attending these campuses. Federal contracts that do not meet the definition of Federal Domestic Assistance have been excluded from the Schedule as it was determined, based upon discussions with the University’s federal cognizant agency or by the nature of the contract, that such contracts do not represent auditable federal awards under the provisions of the Uniform Guidance. Also, fixed price and fixed rate programs have been excluded. De Minimis Rate Used: N Rate Explanation: The University has not elected to use the 10% de minimis cost rate. Under the Federal Direct Student Loan Program (Direct Loan Program), the U.S. Department of Education makes loans to enable a student or parent to pay the costs of the student’s attendance at a postsecondary school. The Direct Loan Program enables an eligible student or parent to obtain a loan to pay for the student’s cost of attendance directly from the U.S. Department of Education rather than through private lenders. The University began participation in the Direct Loan Program on July 1, 2010. The University administers the origination and disbursement of the loans to eligible students or parents. The University is not responsible for the collection of these loans.
Title: Federal Perkins Loan Program Accounting Policies: Expenditures reported in the Schedule are reported on the cash basis of accounting. Federal awards provided to subrecipients are treated as expenditures when paid to the subrecipient. When applicable, such expenditures are recognized following the cost principles contained in the Uniform Guidance, wherein certain types of expenditures are not allowable or are limited as to reimbursement. For purposes of the Schedule, federal awards have been identified into two types: • Direct federal awards consisting of federal assistance and federal student financial aid • Pass‐through funds received from non‐federal organizations made under federally sponsored programs conducted by those organizations Complete Federal Assistance Listing Numbers (FALN) are presented for those programs for which such numbers were available. FALN prefixes are presented for programs for which a complete FALN number is not available. Federal direct programs are presented by federal department and, where applicable, the funding agency within the department. Federal pass‐through programs are presented by the entity through which the University received the federal award. Amounts provided to subrecipients from each federal program have been separately identified for additional analysis. These pass‐through awards are included in total cash basis expenditures. The University administers the Pell Grant program, Supplemental Education Opportunity Grants, and other grant programs for students attending both the Norman and the Health Sciences Center campuses of the University. Grant revenues and expenditures under such programs for students attending these campuses are included in the financial statements of the Norman Campus. Therefore, the Norman Campus Schedule of Expenditures of Federal Awards includes expenditures under such programs for students attending these campuses. Federal contracts that do not meet the definition of Federal Domestic Assistance have been excluded from the Schedule as it was determined, based upon discussions with the University’s federal cognizant agency or by the nature of the contract, that such contracts do not represent auditable federal awards under the provisions of the Uniform Guidance. Also, fixed price and fixed rate programs have been excluded. De Minimis Rate Used: N Rate Explanation: The University has not elected to use the 10% de minimis cost rate. The Federal Perkins Loan Program is administered directly by the University. The beginning balance of loans outstanding (as of June 30, 2022) has been included as federal expenditures in the Schedule. As of June 30, 2023, the ending balance of the loans receivable under the Federal Perkins Loan Program was $4.6 million.

Finding Details

Student Financial Assistance Cluster, ALN 84.063 Federal Pell Grant Program and ALN 84.268 Federal Direct Student Loans, Department of Education, Award Year 2023 Criteria or Specific Requirement – Special Tests and Provisions – Enrollment Reporting – 34 CFR § 690.83(b)(2) and 34 CFR § 685.309(b)(1) Condition – The University is required to implement a system of internal controls that ensure enrollment information is reported to NSLDS at a minimum each 60 days. Questioned Costs – None Context – Out of a sample of 25 students selected for enrollment reporting testing, eight student status changes were not reported to NSLDS within the 60 days. Our sample was not and was not intended to be statistically valid. Effect – Enrollment information for eight students graduating in Spring 2023 was not reported timely to NSLDS. Cause – The University submits enrollment reporting information to NSLDS using a batch upload process from their student records system. At the end of the 2023 school year, the final batch was uploaded to NSLDS prior to some graduation information being updated within the student records system. The University’s internal controls did not ensure accuracy and completeness of data prior to submittal. Identification as a Repeat Finding, if applicable – N/A Recommendation – The University should ensure internal controls related to reporting enrollment information to NSLDS are designed in a way to ensure accurate and timely reporting. Views of Responsible Officials and Planned Corrective Actions – Management concurs with the finding. Management has implemented regular monthly meetings between the Financial Aid Services and Academic Records departments of the University to review graduation error reports and ensure timely processing.
Student Financial Assistance Cluster, ALN 84.063 Federal Pell Grant Program and ALN 84.268 Federal Direct Student Loans, Department of Education, Award Year 2023 Criteria or Specific Requirement – Special Tests and Provisions – Enrollment Reporting – 34 CFR § 690.83(b)(2) and 34 CFR § 685.309(b)(1) Condition – The University is required to implement a system of internal controls that ensure enrollment information is reported to NSLDS at a minimum each 60 days. Questioned Costs – None Context – Out of a sample of 25 students selected for enrollment reporting testing, eight student status changes were not reported to NSLDS within the 60 days. Our sample was not and was not intended to be statistically valid. Effect – Enrollment information for eight students graduating in Spring 2023 was not reported timely to NSLDS. Cause – The University submits enrollment reporting information to NSLDS using a batch upload process from their student records system. At the end of the 2023 school year, the final batch was uploaded to NSLDS prior to some graduation information being updated within the student records system. The University’s internal controls did not ensure accuracy and completeness of data prior to submittal. Identification as a Repeat Finding, if applicable – N/A Recommendation – The University should ensure internal controls related to reporting enrollment information to NSLDS are designed in a way to ensure accurate and timely reporting. Views of Responsible Officials and Planned Corrective Actions – Management concurs with the finding. Management has implemented regular monthly meetings between the Financial Aid Services and Academic Records departments of the University to review graduation error reports and ensure timely processing.
Student Financial Assistance Cluster, ALN 84.063 Federal Pell Grant Program and ALN 84.268 Federal Direct Student Loans, Department of Education, Award Year 2023 Criteria or Specific Requirement – Special Tests and Provisions – Enrollment Reporting – 34 CFR § 690.83(b)(2) and 34 CFR § 685.309(b)(1) Condition – The University is required to implement a system of internal controls that ensure enrollment information is reported to NSLDS at a minimum each 60 days. Questioned Costs – None Context – Out of a sample of 25 students selected for enrollment reporting testing, eight student status changes were not reported to NSLDS within the 60 days. Our sample was not and was not intended to be statistically valid. Effect – Enrollment information for eight students graduating in Spring 2023 was not reported timely to NSLDS. Cause – The University submits enrollment reporting information to NSLDS using a batch upload process from their student records system. At the end of the 2023 school year, the final batch was uploaded to NSLDS prior to some graduation information being updated within the student records system. The University’s internal controls did not ensure accuracy and completeness of data prior to submittal. Identification as a Repeat Finding, if applicable – N/A Recommendation – The University should ensure internal controls related to reporting enrollment information to NSLDS are designed in a way to ensure accurate and timely reporting. Views of Responsible Officials and Planned Corrective Actions – Management concurs with the finding. Management has implemented regular monthly meetings between the Financial Aid Services and Academic Records departments of the University to review graduation error reports and ensure timely processing.
Student Financial Assistance Cluster, ALN 84.063 Federal Pell Grant Program and ALN 84.268 Federal Direct Student Loans, Department of Education, Award Year 2023 Criteria or Specific Requirement – Special Tests and Provisions – Enrollment Reporting – 34 CFR § 690.83(b)(2) and 34 CFR § 685.309(b)(1) Condition – The University is required to implement a system of internal controls that ensure enrollment information is reported to NSLDS at a minimum each 60 days. Questioned Costs – None Context – Out of a sample of 25 students selected for enrollment reporting testing, eight student status changes were not reported to NSLDS within the 60 days. Our sample was not and was not intended to be statistically valid. Effect – Enrollment information for eight students graduating in Spring 2023 was not reported timely to NSLDS. Cause – The University submits enrollment reporting information to NSLDS using a batch upload process from their student records system. At the end of the 2023 school year, the final batch was uploaded to NSLDS prior to some graduation information being updated within the student records system. The University’s internal controls did not ensure accuracy and completeness of data prior to submittal. Identification as a Repeat Finding, if applicable – N/A Recommendation – The University should ensure internal controls related to reporting enrollment information to NSLDS are designed in a way to ensure accurate and timely reporting. Views of Responsible Officials and Planned Corrective Actions – Management concurs with the finding. Management has implemented regular monthly meetings between the Financial Aid Services and Academic Records departments of the University to review graduation error reports and ensure timely processing.