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Uniform Guidance Single Audit Reports

OMB’s Uniform Administrative Requirements, Cost Principles, and Audit Requirements for Federal Awards (Uniform Guidance) requires annual audits of States, Local Governments, and Non-Profit Organizations that receive federal funding exceeding $750,000. The audit of selected federal awards is performed by Caltech’s external auditors, PricewaterhouseCoopers, LLP, and ultimately approved by Caltech. If any audit findings are made, Caltech must respond with a corrective action plan. Please refer to Section IV for findings and corrective action plans.

The Uniform Guidance audit report is due annually by June 30 and is submitted to the Federal Audit Clearinghouse. Any agency or individual with access to the Federal Audit Clearinghouse may obtain a copy of Caltech's UG audit reports. Caltech’s current and past UG audit reports are presented here for reading or printing.

Reports on Federal Awards in Accordance with the Uniform Guidance

For the Year Ended September 30, 2017
View entire Uniform Guidance report
Section I - Financial Statements
Section II - Schedule of Expenditures of Federal Awards
Section III - Reports on Internal Controls and Compliance
Section IV - Findings

For the Year Ended September 30, 2016
View entire A-133 report
Section I - Financial Statements
Section II - Schedule of Expenditures of Federal Awards
Section III - Reports on Internal Controls and Compliance
Section IV - Findings

For the Year Ended September 30, 2015
View entire A-133 report
Section I - Financial Statements
Section II - Schedule of Expenditures of Federal Awards
Section III - Reports on Internal Controls and Compliance
Section IV - Findings

For the Year Ended September 30, 2014
View entire A-133 report
Section I - Financial Statements
Section II - Schedule of Expenditures of Federal Awards
Section III - Reports on Internal Controls and Compliance
Section IV - Findings

For the Year Ended September 30, 2013
View entire A-133 report
Section I - Financial Statements
Section II - Schedule of Expenditures of Federal Awards
Section III - Reports on Internal Controls and Compliance
Section IV - Findings

For the Year Ended September 30, 2012
View entire A-133 report
Section I - Financial Statements
Section II - Schedule of Expenditures of Federal Awards
Section III - Reports on Internal Controls and Compliance
Section IV - Findings

For the Year Ended September 30, 2011
View entire A-133 report
Section I - Financial Statements
Section II - Schedule of Expenditures of Federal Awards
Section III - Reports on Internal Controls and Compliance
Section IV - Findings

For the Year Ended September 30, 2010
View entire A-133 report
Section I - Financial Statements
Section II - Schedule of Expenditures of Federal Awards
Section III - Reports on Internal Controls and Compliance
Section IV - Findings

For the Year Ended September 30, 2009
View entire A-133 report
Section I - Financial Statements
Section II - Schedule of Expenditures of Federal Awards
Section III - Reports on Internal Controls and Compliance
Section IV - Findings

For the Year Ended September 30, 2008
View entire A-133 report
Section I - Financial Statements
Section II - Schedule of Expenditures of Federal Awards
Section III - Reports on Internal Controls and Compliance
Section IV - Findings

For the Year Ended September 30, 2007
View entire A-133 report
Section I - Financial Statements
Section II - Schedule of Expenditures of Federal Awards
Section III - Reports on Internal Controls and Compliance
Section IV - Findings

For the Year Ended September 30, 2006
View entire A-133 report
Section I - Financial Statements
Section II - Schedule of Expenditures of Federal Awards
Section III - Reports on Internal Controls and Compliance
Section IV - Findings

For the Year Ended September 30, 2005
View entire A-133 report
Section I- Financial Statements
Section II- Schedule of Expenditures of Federal Awards
Section III-Reports on Internal Controls and Compliance
Section IV-Findings

For the Year Ended September 30, 2004
View entire A-133 report
Section I - Financial Statements
Section II - Schedule of Expenditures of Federal Awards
Section III - Reports on Internal Controls and Compliance
Section IV - Findings

For the Year Ended September 30, 2003
View entire A-133 report
Section I - Financial Statements
Section II - Schedule of Expenditures of Federal Awards
Section III - Reports on Internal Controls and Compliance
Section IV - Findings