Audit 33274

FY End
2022-06-30
Total Expended
$385.77M
Findings
2
Programs
136
Year: 2022 Accepted: 2022-11-29

Organization Exclusion Status:

Checking exclusion status...

Findings

ID Ref Severity Repeat Requirement
36386 2022-001 - - B
612828 2022-001 - - B

Programs

ALN Program Spent Major Findings
84.268 Federal Direct Student Loan $191.64M Yes 0
93.342 Health Professions Student Loans, Including Primary Care Loans and Loans for Disadvantaged Students (hpsl/pcl/lds) $10.03M Yes 0
84.425 Covid-19 - Higher Education Emergency Relief Fund - Institutional Portion $6.03M Yes 1
84.425 Covid-19 - Higher Education Emergency Relief Fund - Student Aid Portion $5.68M Yes 0
93.498 Covid-19 - Provider Relief Fund and American Rescue Plan (arp) Rural Distribution $5.37M Yes 0
84.038 Federal Perkins Loan $5.00M Yes 0
84.063 Federal Pell Grant Program $4.25M Yes 0
84.033 Federal Work-Study Program $2.23M Yes 0
84.032 Federal Family Education Loan $1.76M Yes 0
93.342 Health Professions Student Loans, Including Primary Care Loans and Loans for Disadvantaged Students (hpsl/pcl/lds)- New Loans Issued $1.73M Yes 0
47.074 Biological Sciences $1.63M - 0
10.557 Wic Special Supplemental Nutrition Program for Women, Infants, and Children $1.11M - 0
84.411 Education Innovation and Research (formerly Investing in Innovation (i3) Fund) $1.08M - 0
93.838 Lung Diseases Research $1.05M - 0
10.310 Agriculture and Food Research Initiative (afri) $993,900 - 0
93.173 Research Related to Deafness and Communication Disorders $780,283 - 0
98.007 Food for Peace Development Assistance Program (dap) $775,778 - 0
93.307 Minority Health and Health Disparities Research $719,114 - 0
84.007 Federal Supplemental Education Opportunity Grants $579,942 Yes 0
12.910 Research and Technology Development $465,922 - 0
47.075 Social, Behavioral, and Economic Sciences $354,659 - 0
43.007 Space Operations $351,701 - 0
93.353 21st Century Cures Act - Beau Biden Cancer Moonshot $349,627 - 0
93.732 Mental and Behavioral Health Education and Training Grants $345,363 - 0
10.253 Consumer Data and Nutrition Research $312,509 - 0
98.RD Food Aid Quality Review (faqr) Phase III Program $302,185 - 0
93.351 Research Infrastructure Programs $300,279 - 0
93.059 Training in General, Pediatric, and Public Health Dentistry $299,203 - 0
12.RD Development and Laboratory Validation of Mathematical Modeling Tools for Prediction of Pfas Transformation, Transport, and Retention in Afff Sources Areas $293,461 - 0
81.087 Renewable Energy Research and Development $290,097 - 0
93.213 Research and Training in Complementary and Integrative Health $218,157 - 0
10.443 Outreach and Assistance for Socially Disadvantaged and Veteran Farmers and Ranchers $215,923 - 0
20.109 Air Transportation Centers of Excellence $213,229 - 0
81.RD Department of Energy Contract $199,473 - 0
93.242 Mental Health Research Grants $197,154 - 0
93.061 Innovations in Applied Public Health Research $191,801 - 0
20.200 Highway Research and Development Program $190,348 - 0
19.033 Global Threat Reduction $187,410 - 0
15.807 Earthquake Hazards Program Assistance $163,455 - 0
14.900 Lead-Based Paint Hazard Control in Privately-Owned Housing $154,618 - 0
81.124 Predictive Science Academic Alliance Program $153,502 - 0
81.135 Advanced Research Projects Agency - Energy $146,314 - 0
12.630 Basic, Applied, and Advanced Research in Science and Engineering $141,331 - 0
10.210 Higher Education Graduate Fellowships Grant Program $138,878 - 0
12.330 Science, Technology, Engineering & Mathematics (stem) Education, Outreach and Workforce Program $138,675 - 0
98.001 Usaid Foreign Assistance for Programs Overseas $132,511 - 0
93.421 Strengthening Public Health Systems and Services Through National Partnerships to Improve and Protect the Nations Health $125,705 - 0
45.312 National Leadership Grants $118,708 - 0
98.001 Usaid Foreign Assistance for Programs Overseas-One Health Workforce $118,536 - 0
84.038 Federal Perkins Loan - Administrative Cost Allowance $114,851 Yes 0
12.800 Air Force Defense Research Sciences Program $114,715 - 0
81.049 Office of Science Financial Assistance Program $108,127 - 0
84.366 Mathematics and Science Partnerships $107,682 - 0
91.005 Priority Grant Competition $106,641 - 0
45.160 Promotion of the Humanities Teaching and Learning Resources and Curriculum Development $104,999 - 0
45.169 Promotion of the Humanities Office of Digital Humanities $98,604 - 0
12.300 Basic and Applied Scientific Research $98,334 - 0
93.396 Cancer Biology Research $95,576 - 0
93.846 Arthritis, Musculoskeletal and Skin Diseases Research $93,719 - 0
93.856 Microbiology and Infectious Diseases Research $89,211 - 0
10.500 Cooperative Extension Service $87,684 - 0
47.050 Geosciences $79,636 - 0
10.175 Farmers Market and Local Food Promotion Program $78,810 - 0
12.RD Advancing Gvs As A Novel Hands $77,604 - 0
45.024 Promotion of the Humanities Teaching and Learning Resources and Curriculum Development $75,434 - 0
94.026 Corporation for National and Community Service $71,381 - 0
93.924 Ryan White Hiv/aids Dental Reimbursement and Community Based Dental Partnership Grants $69,999 - 0
47.049 Mathematical and Physical Sciences $66,308 - 0
93.859 Biomedical Research and Research Training $65,526 - 0
84.305 Education Research, Development and Dissemination $61,822 - 0
93.866 Aging Research $61,787 - 0
93.350 National Center for Advancing Translational Sciences $58,137 - 0
10.025 Plant and Animal Disease, Pest Control, and Animal Care $56,194 - 0
12.RD Development of Vhh Agents Bind $55,154 - 0
98.RD The Agricultural Knowledge, Learning, Documentation and Policy Project (akldp) $54,482 - 0
93.286 Discovery and Applied Research for Technological Innovations to Improve Human Health $54,367 - 0
93.273 Alcohol Research Programs $49,942 - 0
93.226 Research on Healthcare Costs, Quality and Outcomes $44,523 - 0
93.394 Cancer Detection and Diagnosis Research $43,299 - 0
47.070 Computer and Information Science and Engineering $43,217 - 0
93.310 Trans-Nih Research Support $41,921 - 0
19.040 Public Diplomacy Programs $41,822 - 0
93.865 Child Health and Human Development Extramural Research $41,227 - 0
93.RD Department of Health and Human Services, Contract $39,379 - 0
10.328 National Food Safety Training, Education, Extension, Outreach, and Technical Assistance Competitive Grants Program $38,755 - 0
97.061 Centers for Homeland Security $38,516 - 0
93.113 Environmental Health $38,449 - 0
12.RD Sttr- Air Force Research Labor $37,300 - 0
93.395 Cancer Treatment Research $37,125 - 0
93.393 Cancer Cause and Prevention Research $36,862 - 0
10.215 Sustainable Agriculture Research and Education $36,719 - 0
12.RD Opioid Indicator Spray for Complex Surfaces $35,087 - 0
93.877 Autism Collaboration, Accountability, Research, Education, and Support $33,934 - 0
47.076 Education and Human Resources $31,296 - 0
81.250 Energy Policy and Systems Analysis $30,734 - 0
93.397 Cancer Centers Support Grants $27,320 - 0
81.089 Fossil Energy Research and Development $26,931 - 0
93.398 Cancer Research Manpower $25,674 - 0
10.207 Animal Health and Disease Research $25,250 - 0
93.103 Food and Drug Administration Research $24,899 - 0
45.162 Promotion of the Humanities Teaching and Learning Resources and Curriculum Development $24,617 - 0
93.839 Blood Diseases and Resources Research $23,474 - 0
93.600 Head Start $22,592 - 0
43.001 Science $19,557 - 0
93.867 Vision Research $18,750 - 0
10.176 Dairy Business Innovation Initiatives $17,618 - 0
12.420 Military Medical Research and Development $16,686 - 0
93.136 Injury Prevention and Control Research and State and Community Based Programs $16,667 - 0
10.525 Farm and Ranch Stress Assistance Network Competitive Grants Program $13,359 - 0
93.853 Extramural Research Programs in the Neurosciences and Neurological Disorders $13,026 - 0
10.331 Food Insecurity Nutrition Incentive Grants Program $11,990 - 0
10.311 Beginning Farmer and Rancher Development Program $10,923 - 0
93.847 Diabetes, Digestive, and Kidney Diseases Extramural Research $10,851 - 0
10.520 Agriculture Risk Management Education Partnerships Competitive Grants Program $7,370 - 0
43.RD Association of Universities for Research in Astronomy, INC $6,380 - 0
12.750 Uniformed Services University Medical Research Projects $5,915 - 0
93.349 Packaging and Spreading Proven Pediatric Weight Management Interventions for Use by Low-Income Families $5,773 - 0
15.423 Bureau of Ocean Energy Management (boem) Environmental Studies (es) $5,270 - 0
47.079 Office of International Science and Engineering $4,984 - 0
93.855 Allergy and Infectious Diseases Research $4,900 - 0
10.912 Environmental Quality Incentives Program $4,596 - 0
84.330 Advanced Placement Incentive Program $4,524 - 0
93.279 Drug Abuse and Addiction Research Programs $4,212 - 0
93.121 Oral Diseases and Disorders Research $3,437 - 0
93.837 Cardiovascular Diseases Research $2,912 - 0
93.243 Substance Abuse and Mental Health Services Projects of Regional and National Significance $2,903 - 0
93.361 Nursing Research $2,469 - 0
10.377 Agriculture Innovation Center Demonstration Program $2,280 - 0
12.431 Basic Scientific Research $2,012 - 0
10.001 Agricultural Research Basic and Applied Research $513 - 0
93.989 International Research and Research Training $381 - 0
16.560 National Institute of Justice Research, Evaluation, and Development Project Grants $50 - 0
47.041 Engineering $-457 - 0
47.083 Integrative Activities $-905 - 0
93.884 Grants for Primary Care Training and Enhancement $-2,627 - 0
97.067 Homeland Security Grant Program $-13,322 - 0

Contacts

Name Title Type
WL9FLBRVPJJ7 Jonathan Pearsall Auditee
6176273816 Karen Pfeil Auditor
No contacts on file

Notes to SEFA

Title: Student Loan Programs Accounting Policies: The accompanying schedule of expenditures of federal awards (the Schedule) is presented on the accrual basis of accounting. The purpose of this schedule is to present a summary of those activities of Tufts University and its subsidiaries (the University) for the year ended June 30, 2022 which have been financed by the United States government (federal awards). For purposes of this Schedule, federal awards include all federal assistance entered into directly between the University and the federal government and subawards from nonfederal organizations made under federally sponsored agreements. 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). Pass-through entity identification numbers and Assistance Listing numbers have been provided where available. Negative amounts reflect adjustments made to amounts reported in prior years in the normal course of business. De Minimis Rate Used: N Rate Explanation: The University applies its predetermined approved facilities and administrative rate when charging indirect costs to federal awards rather than the 10% de minimis cost rate as described in Section 200.414 of the Uniform Guidance. The federal student loan programs listed below are administered directly by the University and balances and transactions relating to these programs are included in the Universitys consolidated financial statements. Loans made by the University to eligible students under federal student loan programs during the year ended June 30, 2022 are summarized as follows:TitleAssistanceAmount Issued Listing No.FY22Perkins84.038 $- Primary Care - Medical93.342 -LDS - Medical 93.342 165,000LDS - Dental 93.342 231,000HPSL - Dental 93.342 1,094,700 LDS - Veterinary93.342 22,500HPSL - Veterinary93.342 215,500 Total 93.342 1,728,700 Total Loans Issued$ 1,728,700The balance of loans outstanding at June 30, 2022 consists of:TitleAssistance Listing No.Amount Outstanding at June 30, 2022Perkins84.038 $ 3,582,142Primary Care - Medical93.342 793,783LDS - Medical 93.342 1,131,303 HPSL - Medical 93.342 8,290 LDS - Dental 93.342 773,761HPSL - Dental 93.342 6,359,354 LDS - Veterinary93.342 82,809 HPSL - Veterinary93.342 844,457Total 93.342 9,993,757 Total Loan Balances Outstanding $ 13,575,899The University participated in the School as Lender program (Assistance Listing # 84.032L) beginning in fiscal year 2004 until the program terminated on July 1, 2008. There were no new loans distributed to students in connection with this program during the year ended June 30, 2022. At June 30, 2022, the University held $1,373,420 in outstanding loans.
Title: Department of Health and Human Services - Provider Relief Funds Accounting Policies: The accompanying schedule of expenditures of federal awards (the Schedule) is presented on the accrual basis of accounting. The purpose of this schedule is to present a summary of those activities of Tufts University and its subsidiaries (the University) for the year ended June 30, 2022 which have been financed by the United States government (federal awards). For purposes of this Schedule, federal awards include all federal assistance entered into directly between the University and the federal government and subawards from nonfederal organizations made under federally sponsored agreements. 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). Pass-through entity identification numbers and Assistance Listing numbers have been provided where available. Negative amounts reflect adjustments made to amounts reported in prior years in the normal course of business. De Minimis Rate Used: N Rate Explanation: The University applies its predetermined approved facilities and administrative rate when charging indirect costs to federal awards rather than the 10% de minimis cost rate as described in Section 200.414 of the Uniform Guidance. The University was the recipient of funding under assistance listing number 93.498, Provider Relief Fund (PRF), and as required based on guidance in the 2022 OMB Compliance Supplement, the Schedule includes all Period 2 and 3 funds received between July 1, 2020 and June 30, 2021 and expended by June 30, 2022 as reported to the Department of Health and Human Services via the PRF Reporting Portal. The University only received Period 3 funds.The Schedule thus includes $2,773,825 of direct expenditures and $2,600,309 in lost revenue. Given the timing covered by the Period 3 funds, certain of these expenses were reflected in the University's financial statements for the year ended June 30, 2021. Additionally, lost revenue does not represent an expenditure in the University's financial statements and thus is a reconciling item between the federal expenses in the University's financial statements and the amount included on the Schedule.
Title: Department of Education - Higher Education Emergency Relief Funds Accounting Policies: The accompanying schedule of expenditures of federal awards (the Schedule) is presented on the accrual basis of accounting. The purpose of this schedule is to present a summary of those activities of Tufts University and its subsidiaries (the University) for the year ended June 30, 2022 which have been financed by the United States government (federal awards). For purposes of this Schedule, federal awards include all federal assistance entered into directly between the University and the federal government and subawards from nonfederal organizations made under federally sponsored agreements. 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). Pass-through entity identification numbers and Assistance Listing numbers have been provided where available. Negative amounts reflect adjustments made to amounts reported in prior years in the normal course of business. De Minimis Rate Used: N Rate Explanation: The University applies its predetermined approved facilities and administrative rate when charging indirect costs to federal awards rather than the 10% de minimis cost rate as described in Section 200.414 of the Uniform Guidance. The University was the recipient of funding under assistance listing number 84.425, Higher Education Emergency Relief Fund (HEERF). Of the amounts on the Schedule, $2,115,499 are supported by lost revenue. As such, this amount represents a reconciling item between the federal expenses in the University's financial statements and the amount included on the Schedule.

Finding Details

2022-001 Indirect cost rate incorrectly applied to HEERF lost revenue Cluster: Not appliable Grantor: Department of Education Award Name: COVID-19 - Higher Education Emergency Relief Fund (?HEERF?) ? Institutional Portion Award Year: FY2021 Assistance Listing Number: 84.425F Condition During the year ended June 30, 2022, the University expended $6,026,364 in HEERF III Institutional Portion funds and of that amount, $1,088,066 pertained to amounts claimed as indirect costs. Through testing of indirect costs, it was noted that the University appropriately made adjustments to their direct cost base to remove direct expenses associated with rental activities, consistent with the Uniform Guidance and the definition of Modified Total Direct Costs. However, lost revenue claimed was included in the direct cost base which resulted in indirect costs being overstated by $759,410. Following this, upon further review the University identified other costs that are allowable to swap out the identified unallowable costs, amended their Q1 2022 and Q2 2022 reports and reposted these reports to their website. Criteria Department of Education HEERF guidance notes that indirect costs may be charged only to Institutional Portion awards, both new and supplemental, and generally, this indirect cost rate will be the on-campus rate specified in an institution?s negotiated indirect cost rate agreement. Specifically, the 2022 OMB Compliance Supplement notes that an institution may not apply an indirect cost rate to its estimated amount of lost revenue. Cause The University was not aware indirect costs could not be charged to lost revenue, due to this information not being explicitly stated in various Department of Education HEERF published guidance and HEERF FAQs. Effect The University claimed too much under HEERF III for indirect costs versus identifying other allowable qualifying activities under HEERF III and had to amend their previous quarterly report submissions. Questioned Costs Indirect costs claimed were overstated by $759,410. However, those costs were ultimately replaced with other allowable expenses. Recommendation We recommend the University continue to strengthen their control environment around the review and approval of costs to be charged to federal awards, particularly when the awards are not directly managed through the sponsored research office. Management?s Views and Corrective Action Plan Management?s response is included in ?Management?s Views and Corrective Action Plan? included at the end of this report after the summary schedule of status of prior audit findings.
2022-001 Indirect cost rate incorrectly applied to HEERF lost revenue Cluster: Not appliable Grantor: Department of Education Award Name: COVID-19 - Higher Education Emergency Relief Fund (?HEERF?) ? Institutional Portion Award Year: FY2021 Assistance Listing Number: 84.425F Condition During the year ended June 30, 2022, the University expended $6,026,364 in HEERF III Institutional Portion funds and of that amount, $1,088,066 pertained to amounts claimed as indirect costs. Through testing of indirect costs, it was noted that the University appropriately made adjustments to their direct cost base to remove direct expenses associated with rental activities, consistent with the Uniform Guidance and the definition of Modified Total Direct Costs. However, lost revenue claimed was included in the direct cost base which resulted in indirect costs being overstated by $759,410. Following this, upon further review the University identified other costs that are allowable to swap out the identified unallowable costs, amended their Q1 2022 and Q2 2022 reports and reposted these reports to their website. Criteria Department of Education HEERF guidance notes that indirect costs may be charged only to Institutional Portion awards, both new and supplemental, and generally, this indirect cost rate will be the on-campus rate specified in an institution?s negotiated indirect cost rate agreement. Specifically, the 2022 OMB Compliance Supplement notes that an institution may not apply an indirect cost rate to its estimated amount of lost revenue. Cause The University was not aware indirect costs could not be charged to lost revenue, due to this information not being explicitly stated in various Department of Education HEERF published guidance and HEERF FAQs. Effect The University claimed too much under HEERF III for indirect costs versus identifying other allowable qualifying activities under HEERF III and had to amend their previous quarterly report submissions. Questioned Costs Indirect costs claimed were overstated by $759,410. However, those costs were ultimately replaced with other allowable expenses. Recommendation We recommend the University continue to strengthen their control environment around the review and approval of costs to be charged to federal awards, particularly when the awards are not directly managed through the sponsored research office. Management?s Views and Corrective Action Plan Management?s response is included in ?Management?s Views and Corrective Action Plan? included at the end of this report after the summary schedule of status of prior audit findings.