Audit 27008

FY End
2022-06-30
Total Expended
$74.53M
Findings
4
Programs
64
Organization: Brandeis University (MA)
Year: 2022 Accepted: 2022-11-29
Auditor: Rsm US LLP

Organization Exclusion Status:

Checking exclusion status...

Findings

ID Ref Severity Repeat Requirement
31784 2022-001 Significant Deficiency - L
31785 2022-001 Significant Deficiency - L
608226 2022-001 Significant Deficiency - L
608227 2022-001 Significant Deficiency - L

Programs

ALN Program Spent Major Findings
84.268 Federal Direct Student Loans $17.78M Yes 0
84.425 Cares Act Higher Education Emergency Relief Fund (heerf) Institution Portion $4.09M Yes 1
84.425 Cares Act Higher Education Emergency Relief Fund (heerf) Student Aid Portion $4.07M Yes 1
84.063 Federal Pell Grant Program $2.96M Yes 0
84.038 Federal Perkins Loan Program $2.47M Yes 0
93.433 Administration for Community Living $1.57M - 0
93.173 Research Related to Deafness and Communication Disorders $1.36M - 0
93.213 Research and Training in Complementary and Alternative Medicine $709,248 - 0
84.007 Federal Supplemental Educational Opportunity Grants $672,331 Yes 0
93.395 Cancer Treatment Research $608,681 - 0
93.959 Block Grants for Prevention and Treatment of Substance Abuse $589,083 - 0
84.033 Federal Work-Study Program $491,547 Yes 0
93.136 Injury Prevention and Control Research and State and Community Based Programs $358,401 - 0
84.042 Trio_student Support Services $325,919 - 0
93.243 Substance Abuse and Mental Health Services Projects of Regional and National Significance $321,629 - 0
12.800 Air Force Defense Research Sciences Program $278,645 - 0
95.007 Research and Data Analysis $242,316 - 0
47.075 Social, Behavioral, and Economic Sciences $228,209 - 0
93.393 Cancer Cause and Prevention Research $190,690 - 0
97.036 Federal Emergency Management Ageny Public Assistance $180,532 - 0
47.076 Education and Human Resources $138,969 - 0
12.910 U.s. Defense Advanced Research Projects Administration $113,790 - 0
47.049 Mathematical and Physical Sciences $101,776 - 0
93.867 Vision Research $100,202 - 0
93.273 Alcohol Research Programs $99,623 - 0
93.855 Allergy, Immunology and Transplantation Research $96,400 - 0
43.003 Human Exploration Research $89,179 - 0
93.575 Child Care and Development Block Grant $71,357 - 0
93.307 Minority Health and Health Disparities Research $62,621 - 0
47.070 Computer and Information Science and Engineering $54,518 - 0
94.006 Americorps $40,177 - 0
12.750 Uniformed Services University Medical Research Projects $36,750 - 0
91.005 Priority Grant Competition $34,756 - 0
45.024 Promotion of the Arts Grants to Organizations and Individuals $30,000 - 0
93.350 National Center for Advancing Translational Sciences $28,919 - 0
16.745 Criminal and Juvenile Justice and Mental Health Collaboration Program $28,796 - 0
93.595 Administration for Children and Families $27,869 - 0
47.074 Biological Sciences $23,260 - 0
93.866 Aging Research $21,185 - 0
47.041 Engineering Grants $21,005 - 0
93.853 Extramural Research Programs in the Neurosciences and Neurological Disorders $20,145 - 0
93.859 Biomedical Research and Research Training $19,048 - 0
81.049 Office of Science Financial Assistance Program $18,948 - 0
45.164 Promotion of the Humanities Public Programs $16,204 - 0
93.242 Mental Health Research Grants $14,721 - 0
93.310 Trans-Nih Research Support $10,815 - 0
93.349 Packaging and Spreading Proven Pediatric Weight Management Interventions for Use by Low-Income Families $10,689 - 0
93.631 Administration for Community Living $9,270 - 0
47.050 Geosciences $8,637 - 0
16.026 Criminal and Juvenile Justice and Mental Health Collaboration Program $7,514 - 0
16.838 Competitive Discretionary $6,787 - 0
16.320 Services for Trafficking Victims $6,152 - 0
43.001 NASA - Shared Services Center (nssc) $5,161 - 0
93.279 Drug Abuse and Addiction Research Programs $2,263 - 0
15.945 National Park Service $987 - 0
81.087 Office of Science Financial Assistance Program $929 - 0
93.110 Maternal and Child Health Federal Consolidated Programs $538 - 0
93.865 Child Health and Human Development Extramural Research $206 - 0
93.282 Mental Health National Research Service Awards for Research Training $150 - 0
93.286 Discovery and Applied Research for Technological Innovations $134 - 0
12.910 Research and Technology Development $-74 - 0
98.001 Usaid Foreign Assistance for Programs Overseas $-8,923 - 0
12.351 Scientific Research - Combatting Weapons of Mass Destruction $-10,344 - 0
93.067 Global Aids $-18,698 - 0

Contacts

Name Title Type
JLC9RHNT9479 Samuel Solomon Auditee
7817368539 Daniel Bonnette Auditor
No contacts on file

Notes to SEFA

Title: Federal Student Financial Assistance Accounting Policies: The accompanying schedule of expenditures of federal awards (the Schedule) summarizes the expenditures of Brandeis University (the University) under programs funded by the federal government 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). Because theSchedule 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 net assets or cash flows of the University. For purposes of the Schedule, federal awards include all grants, contracts and similar agreements entered into directly between the University and agencies and departments of the federal government and all subawards passed through to the University by nonfederal organizations pursuant to federal grants, contracts and similar agreements. The Schedule also denotes awards passed through from the University to other non-federal subrecipient organizations. Expenditures for direct costs are recognized as incurred using the accrual basis of accounting and cost accounting principles of the Uniform Guidance. Under these cost principles, certain types of expenditures are not allowable or are limited as to reimbursement. Expenditures also include a portion of costs associated with general University activities (facilities and administrative costs) which are allocated to awards under negotiated formulas commonly referred to as facilities and administrative cost rates. 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. De Minimis Rate Used: N Rate Explanation: The auditee did not use the de minimis cost rate. The University elected not to use the 10% deminimus indirect cost rate allowed under the Uniform Guidance. The University has approved predetermined facilities and administrative cost rates effective through fiscal year June 30, 2022 for on-campus and off-campus sponsored research program activities. The base rates in effect for the year ended June 30, 2022 were 62.5% for on-campusresearch and 26.0% for off-campus research. The rates for other federally sponsored programs were 33.9% for on-campus programs and 26.0% for off-campus programs. Facilities and administrative cost recoveries are reported as part of federal expenditures on the Schedule. Perkins Loan ProgramThe Perkins Loan Program listed below is administered directly by the University, and balances and transactions relating to this program are included in the Universitys financial statements. Loan activities and balances consist of the following for the year ended June 30, 2022:Balance as of July 1, 2021 $ 2,473,116 Loans issued $ --- Payments received and other changes $ 854,031 Balance as of June 30, 2022 $ 1,619,085. As required by the Uniform Guidance, the amount shown on the Schedule as expenditures for the Perkins Loan Program is equal to the balance outstanding at July 1, 2021. The University is continuing to service loans under the Perkins programs; however, no new loans were made subsequent to September 30, 2017. There was no administrative cost allowance recovered for the year ended June 30, 2022
Title: Federal Direct Loans Accounting Policies: The accompanying schedule of expenditures of federal awards (the Schedule) summarizes the expenditures of Brandeis University (the University) under programs funded by the federal government 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). Because theSchedule 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 net assets or cash flows of the University. For purposes of the Schedule, federal awards include all grants, contracts and similar agreements entered into directly between the University and agencies and departments of the federal government and all subawards passed through to the University by nonfederal organizations pursuant to federal grants, contracts and similar agreements. The Schedule also denotes awards passed through from the University to other non-federal subrecipient organizations. Expenditures for direct costs are recognized as incurred using the accrual basis of accounting and cost accounting principles of the Uniform Guidance. Under these cost principles, certain types of expenditures are not allowable or are limited as to reimbursement. Expenditures also include a portion of costs associated with general University activities (facilities and administrative costs) which are allocated to awards under negotiated formulas commonly referred to as facilities and administrative cost rates. 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. De Minimis Rate Used: N Rate Explanation: The auditee did not use the de minimis cost rate. The University elected not to use the 10% deminimus indirect cost rate allowed under the Uniform Guidance. The University has approved predetermined facilities and administrative cost rates effective through fiscal year June 30, 2022 for on-campus and off-campus sponsored research program activities. The base rates in effect for the year ended June 30, 2022 were 62.5% for on-campusresearch and 26.0% for off-campus research. The rates for other federally sponsored programs were 33.9% for on-campus programs and 26.0% for off-campus programs. Facilities and administrative cost recoveries are reported as part of federal expenditures on the Schedule. The University distributed $17,778,782 of federally guaranteed loans to students of the University through the Federal Direct Loan Program (Assistance Listing Number 84.268), which includes Direct Subsidized and Unsubsidized Loans, and Direct Parent Loans for Undergraduate Students. These distributions and the related funding sources are not included in the Universitys financial statements.

Finding Details

Finding No. 2022-001 Higher Education Emergency Relief Fund (HEERF) Reporting Federal Agency: Department of Education (DOE) Program: COVID-19 Education Stabilization Fund Under the Coronavirus Aid, Relief and Economic Security Act (CARES Act): ALN: 84.425F Criteria: Reporting requirements to the DOE state that the institutional portion of HEERF is reported by quarter in the quarter funds are drawn from the G5 system and reported for the allowable categories under the grant. The reports filed should include all information about expenditures incurred or lost revenues claimed under the grant. Condition: Amounts reported for the institutional portion by the University were originally reported in the incorrect period. Certain amounts were also reported in the wrong category (misclassified) or were omitted entirely ($137). Questioned Costs: None. Prevalence: 2 of 2 institutional quarterly reports tested. The sample was statistically valid. Effect: Incorrect amounts and classifications were reported to the DOE. Certain expenditures were also omitted. Improper reporting could result in the DOE withholding payments to the University. Cause: Changes to the program rules, regulations, and reporting for the HEERF programs were evolving throughout the different phases of the program. This issue is the result of improper tracking of those changes as they were occurring which resulted in errors in the original filing. The omission of certain costs was an oversight. The amount omitted was $137. Recommendation: We recommend the University amend the incorrect reports. The Federal funding for this program has ended. If the DOE should add additional funding or create new or similar programs, we recommend that management implement a control to regularly monitor and manage changes to rules and regulations promulgated by the DOE. View of Responsible Officials and Planned Corrective Actions: Management agrees with the finding, and corrective measures have been made.
Finding No. 2022-001 Higher Education Emergency Relief Fund (HEERF) Reporting Federal Agency: Department of Education (DOE) Program: COVID-19 Education Stabilization Fund Under the Coronavirus Aid, Relief and Economic Security Act (CARES Act): ALN: 84.425F Criteria: Reporting requirements to the DOE state that the institutional portion of HEERF is reported by quarter in the quarter funds are drawn from the G5 system and reported for the allowable categories under the grant. The reports filed should include all information about expenditures incurred or lost revenues claimed under the grant. Condition: Amounts reported for the institutional portion by the University were originally reported in the incorrect period. Certain amounts were also reported in the wrong category (misclassified) or were omitted entirely ($137). Questioned Costs: None. Prevalence: 2 of 2 institutional quarterly reports tested. The sample was statistically valid. Effect: Incorrect amounts and classifications were reported to the DOE. Certain expenditures were also omitted. Improper reporting could result in the DOE withholding payments to the University. Cause: Changes to the program rules, regulations, and reporting for the HEERF programs were evolving throughout the different phases of the program. This issue is the result of improper tracking of those changes as they were occurring which resulted in errors in the original filing. The omission of certain costs was an oversight. The amount omitted was $137. Recommendation: We recommend the University amend the incorrect reports. The Federal funding for this program has ended. If the DOE should add additional funding or create new or similar programs, we recommend that management implement a control to regularly monitor and manage changes to rules and regulations promulgated by the DOE. View of Responsible Officials and Planned Corrective Actions: Management agrees with the finding, and corrective measures have been made.
Finding No. 2022-001 Higher Education Emergency Relief Fund (HEERF) Reporting Federal Agency: Department of Education (DOE) Program: COVID-19 Education Stabilization Fund Under the Coronavirus Aid, Relief and Economic Security Act (CARES Act): ALN: 84.425F Criteria: Reporting requirements to the DOE state that the institutional portion of HEERF is reported by quarter in the quarter funds are drawn from the G5 system and reported for the allowable categories under the grant. The reports filed should include all information about expenditures incurred or lost revenues claimed under the grant. Condition: Amounts reported for the institutional portion by the University were originally reported in the incorrect period. Certain amounts were also reported in the wrong category (misclassified) or were omitted entirely ($137). Questioned Costs: None. Prevalence: 2 of 2 institutional quarterly reports tested. The sample was statistically valid. Effect: Incorrect amounts and classifications were reported to the DOE. Certain expenditures were also omitted. Improper reporting could result in the DOE withholding payments to the University. Cause: Changes to the program rules, regulations, and reporting for the HEERF programs were evolving throughout the different phases of the program. This issue is the result of improper tracking of those changes as they were occurring which resulted in errors in the original filing. The omission of certain costs was an oversight. The amount omitted was $137. Recommendation: We recommend the University amend the incorrect reports. The Federal funding for this program has ended. If the DOE should add additional funding or create new or similar programs, we recommend that management implement a control to regularly monitor and manage changes to rules and regulations promulgated by the DOE. View of Responsible Officials and Planned Corrective Actions: Management agrees with the finding, and corrective measures have been made.
Finding No. 2022-001 Higher Education Emergency Relief Fund (HEERF) Reporting Federal Agency: Department of Education (DOE) Program: COVID-19 Education Stabilization Fund Under the Coronavirus Aid, Relief and Economic Security Act (CARES Act): ALN: 84.425F Criteria: Reporting requirements to the DOE state that the institutional portion of HEERF is reported by quarter in the quarter funds are drawn from the G5 system and reported for the allowable categories under the grant. The reports filed should include all information about expenditures incurred or lost revenues claimed under the grant. Condition: Amounts reported for the institutional portion by the University were originally reported in the incorrect period. Certain amounts were also reported in the wrong category (misclassified) or were omitted entirely ($137). Questioned Costs: None. Prevalence: 2 of 2 institutional quarterly reports tested. The sample was statistically valid. Effect: Incorrect amounts and classifications were reported to the DOE. Certain expenditures were also omitted. Improper reporting could result in the DOE withholding payments to the University. Cause: Changes to the program rules, regulations, and reporting for the HEERF programs were evolving throughout the different phases of the program. This issue is the result of improper tracking of those changes as they were occurring which resulted in errors in the original filing. The omission of certain costs was an oversight. The amount omitted was $137. Recommendation: We recommend the University amend the incorrect reports. The Federal funding for this program has ended. If the DOE should add additional funding or create new or similar programs, we recommend that management implement a control to regularly monitor and manage changes to rules and regulations promulgated by the DOE. View of Responsible Officials and Planned Corrective Actions: Management agrees with the finding, and corrective measures have been made.