Audit 58547

FY End
2022-06-30
Total Expended
$114.11M
Findings
4
Programs
69
Year: 2022 Accepted: 2023-02-01

Organization Exclusion Status:

Checking exclusion status...

Findings

ID Ref Severity Repeat Requirement
61423 2022-001 - - N
61424 2022-001 - - N
637865 2022-001 - - N
637866 2022-001 - - N

Programs

ALN Program Spent Major Findings
84.268 Federal Direct Student Loans $27.75M Yes 1
84.038 Federal Perkins Loan Program $14.06M Yes 0
84.425 Education Stabilization Fund $6.82M Yes 0
84.063 Federal Pell Grant Program $5.51M Yes 1
84.007 Federal Supplemental Educational Opportunity Grants $1.47M Yes 0
12.431 Basic Scientific Research $1.27M - 0
47.074 Biological Sciences $1.20M - 0
77.008 U.s. Nuclear Regulatory Commission Scholarship and Fellowship Program $683,223 - 0
47.050 Geosciences $666,663 - 0
15.808 U.s. Geological Survey Research and Data Collection $592,200 - 0
84.033 Federal Work-Study Program $469,677 Yes 0
43.012 Space Technology $414,069 - 0
12.RD Department of Defense $400,000 - 0
47.075 Social, Behavioral, and Economic Sciences $396,660 - 0
12.351 Scientific Research - Combating Weapons of Mass Destruction $356,061 - 0
93.837 Cardiovascular Diseases Research $309,409 - 0
64.RD Department of Veterans Affairs $282,962 - 0
93.103 Food and Drug Administration_research $228,738 - 0
93.113 Environmental Health $228,505 - 0
93.213 Research and Training in Complementary and Integrative Health $219,092 - 0
84.200 Graduate Assistance in Areas of National Need $217,427 - 0
81.086 Conservation Research and Development $203,905 - 0
93.351 Research Infrastructure Programs $201,122 - 0
93.396 Cancer Biology Research $197,962 - 0
12.420 Military Medical Research and Development $190,735 - 0
93.121 Oral Diseases and Disorders Research $167,298 - 0
12.630 Basic Applied, and Advanced Research in Science and Engineering $166,296 - 0
20.108 Aviation Research Grants $147,292 - 0
93.855 Allergy, Immunology and Transplantation Research $138,498 - 0
81.087 Renewable Energy Research and Development $134,795 - 0
43.001 Science $115,277 - 0
12.630 Basic, Applied and Advanced Research in Science and Engineering $107,679 - 0
93.RD Department of Health and Human Services $104,249 - 0
81.049 Office of Science Financial Assistance Program $103,911 - 0
93.838 Lung Diseases Research $103,233 - 0
11.619 Arrangements for Interdisciplinary Research Infrastructure $100,303 - 0
43.008 Office of Stem Engagement(ostem) $89,293 - 0
43.002 Aeronautics $87,642 - 0
98.001 Usaid Foreign Assistance for Programs Overseas $76,350 - 0
93.847 Diabetes, Digestive, and Kidney Diseases Extramural Research $74,983 - 0
93.866 Aging Research $64,233 - 0
47.041 Engineering $57,840 - 0
47.079 Office of International Science and Engineering $57,720 - 0
93.286 Discovery and Applied Research for Technological Innovations to Improve Human Health $57,674 - 0
15.560 National Institute of Justice Research, Evaluation and Development Project Grants $50,637 - 0
47.076 Education and Human Resources $46,997 - 0
47.049 Mathematical and Physical Sciences $40,213 - 0
93.394 Cancer Detection and Diagnosis Research $40,120 - 0
12.910 Research and Technology Development $32,197 - 0
81.135 Advanced Research Projects Agency - Energy $27,075 - 0
93.310 Trans-Nih Research Support $16,957 - 0
93.853 Extramural Research Programs in the Neurosciences and Neurological Disorders $14,892 - 0
93.395 Cancer Treatment Research $12,077 - 0
20.205 Highway Planning and Construction $10,712 - 0
93.859 Biomedical Research and Research Training $8,645 - 0
81.RD U.s. Department of Energy $8,591 - 0
97.061 Centers for Homeland Security $8,153 - 0
81.089 Fossil Energy Research and Development $7,764 - 0
15.RD Department of the Interior $7,281 - 0
43.RD National Aeronautics and Space Administration $6,916 - 0
93.846 Arthritis, Musculoskeletal and Skin Diseases Research $5,810 - 0
43.003 Exploration $4,642 - 0
43.007 Space Operations $2,877 - 0
12.800 Air Force Defense Research Sciences Program $2,178 - 0
45.024 Promotion of the Arts_grants to Organizations and Individuals $1,425 - 0
81.121 Nuclear Energy Research, Development and Demonstration $839 - 0
93.279 Drug Abuse and Addiction Research Programs $274 - 0
47.070 Computer and Information Science and Engineering $247 - 0
12.300 Basic and Applied Scientific Research $-1 - 0

Contacts

Name Title Type
U5WBFKEBLMX3 John Braungard Auditee
5182766196 Sandra Aresti 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) includes the federal grant activity of Rensselaer Polytechnic Institute and its affiliates (Rensselaer) for the year ended June 30, 2022 and is presented on the accrual basis of accounting. 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). Therefore, some amounts presented in this Schedule may differ from amounts presented in, or used in, the preparation of the basic consolidated financial statements. Negative amounts represent adjustments to amounts reported in prior years in the normal course of business. Assistance listing and pass-through identifying numbers are presented where available. De Minimis Rate Used: N Rate Explanation: Facilities and administrative costs are charged to federal grants and contracts at predetermined federally approved rates. Rensselaer has elected not to use the 10 percent deminimis indirect cost rate allowed under the Uniform Guidance. FEDERAL PERKINS LOAN PROGRAM (84.038) - The outstanding balance of loans under the Federal Perkins Loan Program was $10,390 at June 30, 2022.
Title: Federal Direct Loan Program (Assistance Listing 84.268) Accounting Policies: The accompanying schedule of expenditures of federal awards (the Schedule) includes the federal grant activity of Rensselaer Polytechnic Institute and its affiliates (Rensselaer) for the year ended June 30, 2022 and is presented on the accrual basis of accounting. 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). Therefore, some amounts presented in this Schedule may differ from amounts presented in, or used in, the preparation of the basic consolidated financial statements. Negative amounts represent adjustments to amounts reported in prior years in the normal course of business. Assistance listing and pass-through identifying numbers are presented where available. De Minimis Rate Used: N Rate Explanation: Facilities and administrative costs are charged to federal grants and contracts at predetermined federally approved rates. Rensselaer has elected not to use the 10 percent deminimis indirect cost rate allowed under the Uniform Guidance. Rensselaer is a full participant in the Federal Direct Loan Program (DL), processing student loan applications, including subsidized/unsubsidized Direct loans, undergraduate/graduate PLUS loans, via the U.S. Department of Education. The lender for these federally guaranteed loans is the U.S. Department of Education. The current year disbursements under the program are included in the Schedule.

Finding Details

Grantor: U.S. Department of Education Program Name: Student Financial Assistance Cluster Award Names: Federal Pell Grant Program and Federal Direct Loan Program Award Year: 7/1/2021 - 6/30/2022 Award Number: Not applicable Assistance Listing Numbers: 84.063 and 84.268 Criteria: In accordance with 34 CFR 690.83(b)(2) and 685.309, institutions are required to report enrollment information under the Federal Pell Grant (?Pell?) and Federal Direct Loan (?Direct Loan?) programs through the National Student Loan Data System (?NSLDS?). The enrollment information, including Campus Level and Program Level data, must be reviewed, updated, and validated by the institution promptly. Furthermore, specific to the Direct Loan program, for a student that received a Direct Loan and was enrolled or accepted for enrollment at the institution, and the student had ceased to be enrolled on at least a half-time basis or failed to enroll on at least a half-time basis for the period for which the loan was intended, the institution must report the change within 60 days from which the change was identified. Condition: We reviewed a sample of twenty-five students enrolled at Rensselaer who received either Pell and/or Direct Loans and had a change of enrollment status during the fiscal year. Of the twenty-five students tested, two students were reported to NSLDS with an inaccurate enrollment status. Both students were on a leave of absence effective during the spring semester, however, the change in enrollment status was not reported to NSLDS and both students were reported as full time during the spring semester. Questioned Costs: None Cause: Rensselaer utilizes the National Student Clearinghouse (?NSC?) to submit enrollment information to NSLDS. Rensselaer reported the status change for these two students to NSC, however, due to enrollment data errors, these changes were not submitted successfully. Due to staffing constraints in the Registrar?s Office, when the enrollment data errors were corrected and resubmitted to NSC, the students? status was reported inaccurately as full time. Effect: A student?s enrollment status determines eligibility for in-school status, deferment, and grace periods, as well as for the payment of interest subsidies all of which are impacted by inaccurate and late reporting. Recommendation: We recommend Rensselaer validate enrollment reporting parameters to ensure enrollment information pulled from Rensselaer?s student information system is submitted to NSC accurately and timely. We also recommend Rensselaer update its processes to effectively and timely record student status changes within its student information system and ensure all individuals involved in administering student status changes abide by Rensselaer?s policies and procedures. Management?s Response: Management?s Views and Corrective Action Plan is included at the end of this report after the summary schedule of prior audit findings and status.
Grantor: U.S. Department of Education Program Name: Student Financial Assistance Cluster Award Names: Federal Pell Grant Program and Federal Direct Loan Program Award Year: 7/1/2021 - 6/30/2022 Award Number: Not applicable Assistance Listing Numbers: 84.063 and 84.268 Criteria: In accordance with 34 CFR 690.83(b)(2) and 685.309, institutions are required to report enrollment information under the Federal Pell Grant (?Pell?) and Federal Direct Loan (?Direct Loan?) programs through the National Student Loan Data System (?NSLDS?). The enrollment information, including Campus Level and Program Level data, must be reviewed, updated, and validated by the institution promptly. Furthermore, specific to the Direct Loan program, for a student that received a Direct Loan and was enrolled or accepted for enrollment at the institution, and the student had ceased to be enrolled on at least a half-time basis or failed to enroll on at least a half-time basis for the period for which the loan was intended, the institution must report the change within 60 days from which the change was identified. Condition: We reviewed a sample of twenty-five students enrolled at Rensselaer who received either Pell and/or Direct Loans and had a change of enrollment status during the fiscal year. Of the twenty-five students tested, two students were reported to NSLDS with an inaccurate enrollment status. Both students were on a leave of absence effective during the spring semester, however, the change in enrollment status was not reported to NSLDS and both students were reported as full time during the spring semester. Questioned Costs: None Cause: Rensselaer utilizes the National Student Clearinghouse (?NSC?) to submit enrollment information to NSLDS. Rensselaer reported the status change for these two students to NSC, however, due to enrollment data errors, these changes were not submitted successfully. Due to staffing constraints in the Registrar?s Office, when the enrollment data errors were corrected and resubmitted to NSC, the students? status was reported inaccurately as full time. Effect: A student?s enrollment status determines eligibility for in-school status, deferment, and grace periods, as well as for the payment of interest subsidies all of which are impacted by inaccurate and late reporting. Recommendation: We recommend Rensselaer validate enrollment reporting parameters to ensure enrollment information pulled from Rensselaer?s student information system is submitted to NSC accurately and timely. We also recommend Rensselaer update its processes to effectively and timely record student status changes within its student information system and ensure all individuals involved in administering student status changes abide by Rensselaer?s policies and procedures. Management?s Response: Management?s Views and Corrective Action Plan is included at the end of this report after the summary schedule of prior audit findings and status.
Grantor: U.S. Department of Education Program Name: Student Financial Assistance Cluster Award Names: Federal Pell Grant Program and Federal Direct Loan Program Award Year: 7/1/2021 - 6/30/2022 Award Number: Not applicable Assistance Listing Numbers: 84.063 and 84.268 Criteria: In accordance with 34 CFR 690.83(b)(2) and 685.309, institutions are required to report enrollment information under the Federal Pell Grant (?Pell?) and Federal Direct Loan (?Direct Loan?) programs through the National Student Loan Data System (?NSLDS?). The enrollment information, including Campus Level and Program Level data, must be reviewed, updated, and validated by the institution promptly. Furthermore, specific to the Direct Loan program, for a student that received a Direct Loan and was enrolled or accepted for enrollment at the institution, and the student had ceased to be enrolled on at least a half-time basis or failed to enroll on at least a half-time basis for the period for which the loan was intended, the institution must report the change within 60 days from which the change was identified. Condition: We reviewed a sample of twenty-five students enrolled at Rensselaer who received either Pell and/or Direct Loans and had a change of enrollment status during the fiscal year. Of the twenty-five students tested, two students were reported to NSLDS with an inaccurate enrollment status. Both students were on a leave of absence effective during the spring semester, however, the change in enrollment status was not reported to NSLDS and both students were reported as full time during the spring semester. Questioned Costs: None Cause: Rensselaer utilizes the National Student Clearinghouse (?NSC?) to submit enrollment information to NSLDS. Rensselaer reported the status change for these two students to NSC, however, due to enrollment data errors, these changes were not submitted successfully. Due to staffing constraints in the Registrar?s Office, when the enrollment data errors were corrected and resubmitted to NSC, the students? status was reported inaccurately as full time. Effect: A student?s enrollment status determines eligibility for in-school status, deferment, and grace periods, as well as for the payment of interest subsidies all of which are impacted by inaccurate and late reporting. Recommendation: We recommend Rensselaer validate enrollment reporting parameters to ensure enrollment information pulled from Rensselaer?s student information system is submitted to NSC accurately and timely. We also recommend Rensselaer update its processes to effectively and timely record student status changes within its student information system and ensure all individuals involved in administering student status changes abide by Rensselaer?s policies and procedures. Management?s Response: Management?s Views and Corrective Action Plan is included at the end of this report after the summary schedule of prior audit findings and status.
Grantor: U.S. Department of Education Program Name: Student Financial Assistance Cluster Award Names: Federal Pell Grant Program and Federal Direct Loan Program Award Year: 7/1/2021 - 6/30/2022 Award Number: Not applicable Assistance Listing Numbers: 84.063 and 84.268 Criteria: In accordance with 34 CFR 690.83(b)(2) and 685.309, institutions are required to report enrollment information under the Federal Pell Grant (?Pell?) and Federal Direct Loan (?Direct Loan?) programs through the National Student Loan Data System (?NSLDS?). The enrollment information, including Campus Level and Program Level data, must be reviewed, updated, and validated by the institution promptly. Furthermore, specific to the Direct Loan program, for a student that received a Direct Loan and was enrolled or accepted for enrollment at the institution, and the student had ceased to be enrolled on at least a half-time basis or failed to enroll on at least a half-time basis for the period for which the loan was intended, the institution must report the change within 60 days from which the change was identified. Condition: We reviewed a sample of twenty-five students enrolled at Rensselaer who received either Pell and/or Direct Loans and had a change of enrollment status during the fiscal year. Of the twenty-five students tested, two students were reported to NSLDS with an inaccurate enrollment status. Both students were on a leave of absence effective during the spring semester, however, the change in enrollment status was not reported to NSLDS and both students were reported as full time during the spring semester. Questioned Costs: None Cause: Rensselaer utilizes the National Student Clearinghouse (?NSC?) to submit enrollment information to NSLDS. Rensselaer reported the status change for these two students to NSC, however, due to enrollment data errors, these changes were not submitted successfully. Due to staffing constraints in the Registrar?s Office, when the enrollment data errors were corrected and resubmitted to NSC, the students? status was reported inaccurately as full time. Effect: A student?s enrollment status determines eligibility for in-school status, deferment, and grace periods, as well as for the payment of interest subsidies all of which are impacted by inaccurate and late reporting. Recommendation: We recommend Rensselaer validate enrollment reporting parameters to ensure enrollment information pulled from Rensselaer?s student information system is submitted to NSC accurately and timely. We also recommend Rensselaer update its processes to effectively and timely record student status changes within its student information system and ensure all individuals involved in administering student status changes abide by Rensselaer?s policies and procedures. Management?s Response: Management?s Views and Corrective Action Plan is included at the end of this report after the summary schedule of prior audit findings and status.