Audit 9729

FY End
2023-06-30
Total Expended
$107.08M
Findings
2
Programs
78
Year: 2023 Accepted: 2024-01-05

Organization Exclusion Status:

Checking exclusion status...

Findings

ID Ref Severity Repeat Requirement
7496 2023-001 - - L
583938 2023-001 - - L

Programs

ALN Program Spent Major Findings
84.268 Federal Direct Student Loans $29.50M - 0
84.038 Federal Perkins Loan Program, Outstanding Loans As of July 1, 2022 $10.35M - 0
84.063 Federal Pell Grant Program $6.20M - 0
12.431 Basic Scientific Research $1.33M Yes 0
47.074 Biological Sciences $1.32M Yes 0
84.007 Federal Supplemental Educational Opportunity Grants $899,683 - 0
84.033 Federal Work-Study Program $880,161 - 0
93.855 Allergy and Infectious Diseases Research $685,216 Yes 0
97.036 Covid-19 Disaster Grants - Public Assistance (presidentially Declared Disasters) $651,679 Yes 0
47.050 Geosciences $595,429 Yes 0
15.808 U.s. Geological Survey Research and Data Collection $594,900 Yes 0
93.103 Food and Drug Administration Research $535,720 Yes 0
11.619 Arrangements for Interdisciplinary Research Infrastructure $520,342 Yes 0
43.012 Space Technology $482,343 Yes 0
93.351 Research Infrastructure Programs $460,309 Yes 0
93.279 Drug Abuse and Addiction Research Programs $450,794 Yes 0
12.351 Scientific Research - Combating Weapons of Mass Destruction $348,671 Yes 0
64.RD Department of Veterans Affairs $303,273 Yes 0
93.837 Cardiovascular Diseases Research $292,392 Yes 0
47.075 Social, Behavioral, and Economic Sciences $228,774 Yes 0
47.049 Mathematical and Physical Sciences $226,700 Yes 0
93.121 Oral Diseases and Disorders Research $223,317 Yes 0
47.RD Intergovernmental Personnel Act (ipa) Agreement $220,790 Yes 0
12.910 Research and Technology Development $178,923 Yes 0
97.061 Usaid Foreign Assistance for Programs Overseas $174,722 Yes 0
12.420 Military Medical Research and Development $172,738 Yes 0
20.108 Aviation Research Grants $165,667 Yes 0
93.396 Cancer Biology Research $163,687 Yes 0
12.800 Air Force Defense Research Sciences Program $162,318 Yes 0
81.086 Conservation Research and Development $160,734 Yes 0
93.286 Discovery and Applied Research for Technological Innovations to Improve Human Health $157,201 Yes 0
11.617 Congressionally-Identified Projects (b) $147,600 Yes 0
93.113 Environmental Health $126,417 Yes 0
81.RD U.s. Department of Energy $125,827 Yes 0
12.630 Basic, Applied, and Advanced Research in Science and Engineering $125,258 Yes 0
93.838 Lung Diseases Research $124,698 Yes 0
81.089 Fossil Energy Research and Development $117,834 Yes 0
93.RD Department of Health and Human Services $112,845 Yes 0
93.866 Aging Research $111,962 Yes 0
93.213 Research and Training in Complementary and Integrative Health $98,423 Yes 0
81.087 Renewable Energy Research and Development $85,720 Yes 0
12.RD Department of Defense $80,646 Yes 0
93.394 Cancer Detection and Diagnosis Research $72,877 Yes 0
81.049 Office of Science Financial Assistance Program $72,633 Yes 0
20.205 Highway Planning and Construction $69,394 - 0
77.008 U.s. Nuclear Regulatory Commission Scholarship and Fellowship Program $63,425 Yes 0
93.859 Biomedical Research and Research Training $62,733 Yes 0
47.041 Engineering $60,421 Yes 0
12.330 Science, Technology, Engineering & Mathematics (stem) Education, Outreach and Workforce Program $60,352 Yes 0
84.200 Graduate Assistance in Areas of National Need $60,259 Yes 0
47.076 Education and Human Resources $51,376 Yes 0
93.847 Diabetes, Digestive, and Kidney Diseases Extramural Research $46,337 Yes 0
93.846 Arthritis, Musculoskeletal and Skin Diseases Research $40,194 Yes 0
93.273 Alcohol Research Programs $39,586 Yes 0
93.113 Oral Diseases and Disorders Research $37,952 Yes 0
98.001 Department of Homeland Security $36,359 Yes 0
43.RD National Aeronautics and Space Administration $29,658 Yes 0
45.024 Promotion of the Arts Grants to Organizations and Individuals $28,575 - 0
47.083 Integrative Activities $24,867 Yes 0
47.084 Nsf Technology, Innovation, and Partnerships $20,408 Yes 0
47.070 Computer and Information Science and Engineering $17,626 Yes 0
93.867 Vision Research $16,710 Yes 0
93.310 Trans-Nih Research Support $15,177 Yes 0
43.008 Office of Stem Engagement (ostem) $13,556 Yes 0
45.025 Promotion of the Arts Partnership Agreements $7,560 - 0
16.560 National Institute of Justice Research, Evaluation, and Development Project Grants $7,292 Yes 0
47.079 Office of International Science and Engineering $7,240 Yes 0
43.001 Science $7,212 Yes 0
15.RD Department of the Interior $5,981 Yes 0
47.078 Polar Programs $5,358 Yes 0
93.865 Child Health and Human Development Extramural Research $4,538 Yes 0
43.002 Aeronautics $3,786 Yes 0
93.395 Cancer Treatment Research $34 Yes 0
81.135 Advanced Research Projects Agency - Energy $-362 Yes 0
81.121 Nuclear Energy Research, Development and Demonstration $-839 Yes 0
12.300 Basic and Applied Scientific Research $-1,080 Yes 0
93.853 Extramural Research Programs in the Neurosciences and Neurological Disorders $-1,205 Yes 0
43.007 Space Operations $-1,438 Yes 0

Contacts

Name Title Type
U5WBFKEBLMX3 John Braungard Auditee
5182766196 Sandra Aresti Auditor
No contacts on file

Notes to SEFA

Title: Basis of Presentation Accounting Policies: The accompanying schedule of expeditures of federal awards (the "Schedule") includes the federal grant activity of Rensselaer Polytechnic Institute and its affiliates (“Rensselaer”) for the year ended June 30, 2023 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. 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, 2023 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.
Title: Federal Direct Loan Program (Assistance Lising 84.268) Accounting Policies: The accompanying schedule of expeditures of federal awards (the "Schedule") includes the federal grant activity of Rensselaer Polytechnic Institute and its affiliates (“Rensselaer”) for the year ended June 30, 2023 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 Student Loans Program, 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.
Title: Federal Perkins Loan Program (Assistance Listing 84.038) Accounting Policies: The accompanying schedule of expeditures of federal awards (the "Schedule") includes the federal grant activity of Rensselaer Polytechnic Institute and its affiliates (“Rensselaer”) for the year ended June 30, 2023 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. The outstanding balance of loans under the Federal Perkins Loan Program was $6,747 at June 30, 2023.
Title: Federal Emergency Management Agency (“FEMA”) Public Assistance (Assistance Listing 97.036) Accounting Policies: The accompanying schedule of expeditures of federal awards (the "Schedule") includes the federal grant activity of Rensselaer Polytechnic Institute and its affiliates (“Rensselaer”) for the year ended June 30, 2023 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 applied for reimbursement of certain expenses related to the COVID-19 pandemic and other weather-related incidents under Assistance Listing #97.036, FEMA Public Assistance through New York State. Expenditures under this program are reflected in the Schedule in the year in which a project application is obligated. The Schedule includes $2,771 of expenditures incurred in fiscal years 2021 and 2022. $620 of these expenditures were obligated in fiscal year 2022 and, therefore, should have been included in the 2022 Schedule. The total expenditures included in the 2023 Schedule represent a reconciling item between the federal expenses in Rensselaer’s financial statements and the amount included on the Schedule.
Title: Facilities and Administrative Costs Accounting Policies: The accompanying schedule of expeditures of federal awards (the "Schedule") includes the federal grant activity of Rensselaer Polytechnic Institute and its affiliates (“Rensselaer”) for the year ended June 30, 2023 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. 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.

Finding Details

Grantor: Department of Homeland Security Pass-through Entity: New York State Office of Emergency Management Program Name: COVID-19 Disaster Grants – Public Assistance (Presidentially Declared Disasters) Award Year: 07/2022 - 06/2023 Award Number: PA-02-NY-4480-PW-00788 Assistance Listing Number: 97.036 Criteria: Per the Federal Emergency Management Agency’s (“FEMA”) Public Assistance Program, nonfederal entities must record expenditures on the Schedule of Expenditures of Federal Awards (“SEFA”) when (1) FEMA has approved the nonfederal entity’s project worksheet, and (2) the nonfederal entity has incurred the eligible expenditures. Condition: Through testing of the FEMA program in the 2023 Uniform Guidance audit, we noted $619,653 of funds from this program, that were obligated in fiscal 2022 and included in the 2023 SEFA that should have been included in the 2022 SEFA. On the 2022 SEFA, management did not record any reimbursement for awards approved by FEMA. Cause: The cause of this finding was due to incorrect understanding of the reporting requirements related to this program which are unlike other federal programs. Effect: FEMA funding of $619,653 was incorrectly excluded from the 2022 SEFA and included in the 2023 SEFA. This did not impact the prior year or current year major program determinations. Questioned Costs: None. Recommendation: Management should enhance controls in place to review reporting requirements related to the federal programs to ensure expenditures are recorded in the appropriate period’s SEFA. Management’s Views and Corrective Action Plan: Management’s response is included in “Management’s Views and Corrective Action Plan” included on the report.
Grantor: Department of Homeland Security Pass-through Entity: New York State Office of Emergency Management Program Name: COVID-19 Disaster Grants – Public Assistance (Presidentially Declared Disasters) Award Year: 07/2022 - 06/2023 Award Number: PA-02-NY-4480-PW-00788 Assistance Listing Number: 97.036 Criteria: Per the Federal Emergency Management Agency’s (“FEMA”) Public Assistance Program, nonfederal entities must record expenditures on the Schedule of Expenditures of Federal Awards (“SEFA”) when (1) FEMA has approved the nonfederal entity’s project worksheet, and (2) the nonfederal entity has incurred the eligible expenditures. Condition: Through testing of the FEMA program in the 2023 Uniform Guidance audit, we noted $619,653 of funds from this program, that were obligated in fiscal 2022 and included in the 2023 SEFA that should have been included in the 2022 SEFA. On the 2022 SEFA, management did not record any reimbursement for awards approved by FEMA. Cause: The cause of this finding was due to incorrect understanding of the reporting requirements related to this program which are unlike other federal programs. Effect: FEMA funding of $619,653 was incorrectly excluded from the 2022 SEFA and included in the 2023 SEFA. This did not impact the prior year or current year major program determinations. Questioned Costs: None. Recommendation: Management should enhance controls in place to review reporting requirements related to the federal programs to ensure expenditures are recorded in the appropriate period’s SEFA. Management’s Views and Corrective Action Plan: Management’s response is included in “Management’s Views and Corrective Action Plan” included on the report.