FY11-SIU-Comp-Full

              STATE OF ILLINOIS
SOUTHERN ILLINOIS UNIVERSITY
COMPLIANCE EXAMINATION
(In accordance with the Single Audit Act
and OMB Circular A133)
Year Ended June 30, 2011
Performed as Special Assistant
Auditors for the Auditor General,
State of Illinois
Crowe Horwath LLP
Independent Member Crowe Horwath InternationalSTATE OF ILLINOIS
SOUTHERN ILLINOIS UNIVERSITY
COMPLIANCE EXAMINATION
(In Accordance with the Single Audit Act and OMB Circular A-133)
Year Ended June 30, 2011
TABLE OF CONTENTS Page
Board of Trustees and Officers of Administration ............................................................................. 1
Management Assertion Letter ........................................................................................................... 2
Compliance Report
Summary ................................................................................................................................... 3
Auditors’ Reports
Independent Accountants’ Report on State Compliance and
on Internal Control Over Compliance for State Compliance Purposes.............................. 5
Independent Auditors’ Report on Compliance With Requirements That
Could Have a Direct and Material Effect on Each Major Program, on
Internal Control Over Compliance, and on the Schedule of Expenditures
of Federal Awards in Accordance with OMB Circular A-133.............................................. 7
Schedule of Findings and Questioned Costs.............................................................................. 10
Schedule of Expenditures of Federal Awards
Summary............................................................................................................................. 19
Carbondale.......................................................................................................................... 20
Edwardsville ......................................................................................................................... 43
Notes to Schedule of Expenditures of Federal Awards........................................................ 51
Related Reports Published Under Separate Cover
The Financial Statements for the Year Ended June 30, 2011 for
Southern Illinois University
Housing and Auxiliary Facilities System
Medical Facilities System
Supplementary Financial Information of Southern Illinois
University for the Year Ended June 30, 2011, Including
Compliance with Legislative Audit Commission University
Guidelines 1982 as Amended 1997, and Special Data
Required for University Audits1
Southern Illinois University
Board of Trustees and
Officers of Administration
Fiscal Year 2011
BOARD OF TRUSTEES OF SOUTHERN ILLINOIS UNIVERSITY
Roger Herrin, Chair Harrisburg
Ed Hightower, Vice Chair Edwardsville
Marquita Wiley, Secretary Belleville
Jeff Harrison Edwardsville
Mark Hinrichs Fairview Heights
Don Lowery Golconda
Donna Manering Makanda
John Simmons East Alton
Alex Vansaghi Carbondale
OFFICERS OF SOUTHERN ILLINOIS UNIVERSITY
Glenn Poshard, President
Jeffrey McLellan, Interim General Counsel
Paul Sarvela, Vice President, Academic Affairs
Duane Stucky, Senior Vice President, Financial and Administrative Affairs, and Board Treasurer
Misty Whittington, Executive Secretary of the Board
OFFICERS OF ADMINISTRATION, SOUTHERN ILLINOIS UNIVERSITY CARBONDALE
Rita Cheng, Chancellor
John Nicklow, Provost and Vice Chancellor for Academic Affairs
J. Kevin Dorsey, Dean and Provost, School of Medicine
Kevin D. Bame, Vice Chancellor for Administration and Finance
John A. Koropchak, Vice Chancellor for Research and Graduate Dean
OFFICERS OF ADMINISTRATION, SOUTHERN ILLINOIS UNIVERSITY EDWARDSVILLE
Vaughn Vandegrift, Chancellor
Paul W. Ferguson, Provost and Vice Chancellor for Academic Affairs
Narbeth Emmanuel, Vice Chancellor for Student Affairs
Patrick Hundley, Vice Chancellor for University Relations
Kenneth Neher, Vice Chancellor for Administration3
STATE OF ILLINOIS
SOUTHERN ILLINOIS UNIVERSITY
COMPLIANCE REPORT
SUMMARY
The compliance testing performed during this examination was conducted in accordance with Government Auditing Standards and in accordance with the Illinois State Auditing Act.
AUDITORS' REPORTS
The Independent Auditors' Report on State Compliance and on Internal Control Over Compliance does not contain scope limitations, disclaimers, or other significant non-standard language.
SUMMARY OF FINDINGS
Current Prior
Number of Report Report
Findings 6 6
Repeated findings 2 1
Prior recommendations implemented
or not repeated 4 3
SCHEDULE OF FINDINGS AND QUESTIONED COSTS
Item No.
Page
Description
Finding Type
FINDINGS AND QUESTIONED COSTS (FEDERAL COMPLIANCE)
11-01
11
Head Start Eligibility
Material Weakness and Noncompliance
11-02
11-03
12
13
Head Start Cash Management Controls
Inadequate Controls Over Loan Reporting – Edwardsville
Significant Deficiency
Significant Deficiency and Noncompliance
11-04
14
Failure to Meet Head Start Earmarking Requirements
Material Weakness and Noncompliance
FINDINGS (STATE COMPLIANCE)
11-05
15
Time Sheets are Not Required
Material Weakness and Noncompliance4
11-06
16
Controls Surrounding the Markdown of Inventory
Material Weakness
PRIOR FINDINGS NOT REPEATED (FEDERAL COMPLIANCE)
Item No.
Page
Description
a.
b.
17
17
Documented Controls Over Return of Title IV Funds Calculations
Inadequate Controls Over Loan Reporting - Edwardsville
PRIOR FINDINGS NOT REPEATED (STATE COMPLIANCE)
c. 18 Inadequate Segregation of Duties within the P-Card Approval
Process
d. 18 Inadequate Control over Access to and Disposal of Confidential
Information
EXIT CONFERENCE
The University waived the right to a formal exit conference at the conclusion of the audit. Written responses to the findings were provided by Kim Labonte, Director of Internal Audit, on March 26, 2012.5
INDEPENDENT ACCOUNTANTS' REPORT ON STATE COMPLIANCE AND
ON INTERNAL CONTROL OVER COMPLIANCE FOR STATE COMPLIANCE PURPOSES
Honorable William G. Holland
Auditor General, State of Illinois
and Board of Trustees
Southern Illinois University
Compliance
As Special Assistant Auditors for the Auditor General, we have examined Southern Illinois University's (“University”) compliance with the requirements listed below, as more fully described in the Audit Guide for Financial Audits and Compliance Attestation Engagements of Illinois State Agencies (“Audit Guide”) as adopted by the Auditor General, during the year ended June 30, 2011. The management of the University is responsible for compliance with these requirements. Our responsibility is to express an opinion on the University's compliance based on our examination.
A. The University has obligated, expended, received, and used public funds of the State in accordance with the purpose for which such funds have been appropriated or otherwise authorized by law.
B. The University has obligated, expended, received, and used public funds of the State in accordance with any limitations, restrictions, conditions or mandatory directions imposed by law upon such obligation, expenditure, receipt or use.
C. The University has complied, in all material respects, with applicable laws and regulations, including the State uniform accounting system, in its financial and fiscal operations.
D. State revenues and receipts collected by the University are in accordance with applicable laws and regulations and the accounting and recordkeeping of such revenues and receipts is fair, accurate and in accordance with law.
E. Money or negotiable securities or similar assets handled by the University on behalf of the State or held in trust by the University have been properly and legally administered and the accounting and recordkeeping relating thereto is proper, accurate, and in accordance with law.
We conducted our examination in accordance with attestation standards established by the American Institute of Certified Public Accountants; the standards applicable to attestation engagements contained in Government Auditing Standards issued by the Comptroller General of the United States; the Illinois State Auditing Act (“Act”); and the Audit Guide as adopted by the Auditor General pursuant to the Act; and, accordingly, included examining, on a test basis, evidence about the University's compliance with those requirements listed in the first paragraph of this report and performing such other procedures as we considered necessary in the circumstances. We believe that our examination provides a reasonable basis for our opinion. Our examination does not provide a legal determination on the University's compliance with specified requirements.
Crowe Horwath LLP
Independent Member Crowe Horwath International6
As described in the finding (Finding 11-05) in the accompanying schedule of findings and questioned costs, the University did not comply with requirements regarding employee time sheet submissions. Compliance with such requirements is necessary, in our opinion, for the University to comply with the requirements listed in the first paragraph of this report.
In our opinion, except for the noncompliance described in the preceding paragraph, the University complied, in all material respects, with the requirements listed in the first paragraph of this report during the year ended June 30, 2011.
Internal Control
The management of the University is responsible for establishing and maintaining effective internal control over compliance with the requirements listed in the first paragraph of this report. In planning and performing our examination, we considered the University's internal control over compliance with the requirements listed in the first paragraph of this report as a basis for designing our examination procedures for the purpose of expressing our opinion on compliance and to test and report on internal control over compliance in accordance with the Audit Guide issued by the Illinois Office of the Auditor General, but not for the purpose of expressing an opinion on the effectiveness of the University’s internal control over compliance. Accordingly, we do not express an opinion on the effectiveness of the University’s internal control over compliance.
Our consideration of internal control over compliance was for the limited purpose described in the preceding paragraph and was not designed to identify all deficiencies in internal control over compliance that might be deficiencies, significant deficiencies, or material weaknesses and therefore, there can be no assurance that all deficiencies, significant deficiencies, or material weaknesses have been identified. However, as described in the accompanying Schedule of Findings and Questioned Costs we identified certain deficiencies in internal control over compliance that we consider to be material weaknesses.
A deficiency in an entity’s internal control over compliance exists when the design or operation of a control over compliance does not allow management or employees, in the normal course of performing their assigned functions, to prevent, or detect and correct noncompliance with the requirements listed in the first paragraph of this report on a timely basis. A material weakness in internal control over compliance is a deficiency, or a combination of deficiencies, in internal control such that there is a reasonable possibility that material noncompliance with a requirement listed in the first paragraph of this report will not be prevented, or detected and corrected on a timely basis. We consider the deficiencies in internal control over compliance as described in the accompanying schedule of findings and questioned costs as findings 11-05 and 11-06 to be material weaknesses.
As required by the Audit Guide, immaterial findings excluded from this report have been reported in a separate letter to your office.
The University’s responses to the findings identified in our examination are described in the accompanying schedule of findings and questioned costs. We did not examine the University’s responses and, accordingly, we express no opinion on the responses.
This report is intended solely for the information and use of the Auditor General, the General Assembly, the Legislative Audit Commission, the Governor, the University Board of Trustees, management, and federal awarding agencies and pass-through entities and is not intended to be and should not be used by anyone other than these specified parties.
Crowe Horwath LLP
Springfield, Illinois
April 2, 20127
Crowe Horwath LLP
Independent Member Crowe Horwath International
INDEPENDENT AUDITORS’ REPORT ON COMPLIANCE WITH REQUIREMENTS THAT COULD HAVE A DIRECT AND MATERIAL EFFECT ON EACH MAJOR PROGRAM, ON INTERNAL CONTROL OVER COMPLIANCE, AND ON THE SCHEDULE OF EXPENDITURES OF FEDERAL AWARDS
IN ACCORDANCE WITH OMB CIRCULAR A-133
Honorable William G. Holland
Auditor General, State of Illinois
and Board of Trustees
Southern Illinois University
Compliance
We have audited Southern Illinois University’s (the "University") compliance with the types of compliance requirements described in the U.S. Office of Management and Budget (OMB) Circular A-133 Compliance Supplement that could have a direct and material effect on each of the University’s major federal programs for the year ended June 30, 2011. The University's major federal programs are identified in the summary of auditor's results section of the accompanying schedule of findings and questioned costs. Compliance with the requirements of laws, regulations, contracts, and grants applicable to each of its major federal programs is the responsibility of the University's management. Our responsibility is to express an opinion on the University's compliance based on our audit.
The schedule of expenditures of federal awards and our audit described below does not include expenditures of federal awards for those agencies determined to be component units of the University for financial statement purposes.
We conducted our audit of compliance in accordance with auditing standards generally accepted in the United States of America; the standards applicable to financial audits contained in Government Auditing Standards, issued by the Comptroller General of the United States; and OMB Circular A-133, Audits of States, Local Governments, and Non-Profit Organizations. Those standards and OMB Circular A-133 require that we plan and perform the audit to obtain reasonable assurance about whether noncompliance with the types of compliance requirements referred to above that could have a direct and material effect on a major federal program occurred. An audit includes examining, on a test basis, evidence about the University's compliance with those requirements and performing such other procedures as we considered necessary in the circumstances. We believe that our audit provides a reasonable basis for our opinion. Our audit does not provide a legal determination of the University's compliance with those requirements.
As described in items 11-01 and 11-04 in the accompanying schedule of findings and questioned costs, the University did not comply with eligibility and earmarking requirements applicable to its Head Start program. Compliance with such requirements is necessary, in our opinion, for the University to comply with the requirements applicable to that program.8
In our opinion, except for the noncompliance described in the preceding paragraph, the University complied, in all material respects, with the requirements referred to above that could have a direct and material effect on each of its major federal programs for the year ended June 30, 2011. However, the results of our auditing procedures disclosed an instance of noncompliance with those requirements, which is required to be reported in accordance with OMB Circular A-133 and which is described in the accompanying schedule of findings and questioned costs as item 11-03.
Internal Control Over Compliance
The management of the University is responsible for establishing and maintaining effective internal control over compliance with the requirements of laws, regulations, contracts, and grants applicable to federal programs. In planning and performing our audit, we considered the University's internal control over compliance with requirements that could have a direct and material effect on a major federal program in order to determine our auditing procedures for the purpose of expressing our opinion on compliance and to test and report on internal control over compliance in accordance with OMB Circular A-133, but not for the purpose of expressing an opinion on the effectiveness of the University’s internal control over compliance. Accordingly, we do not express an opinion on the effectiveness on the University’s internal control over compliance.
Our consideration of internal control over compliance was for the limited purpose described in the preceding paragraph and was not designed to identify all deficiencies in internal control over compliance that might be significant deficiencies or material weaknesses and therefore, there can be no assurance that all deficiencies, significant deficiencies, or material weaknesses have been identified. However, as discussed below, we identified certain deficiencies in internal control over compliance that we consider to be material weaknesses and other deficiencies that we consider to be significant deficiencies.
A deficiency in internal control over compliance exists when the design or operation of a control does not allow management or employees, in the normal course of performing their assigned functions, to prevent, or detect and correct, noncompliance with a type of compliance requirement of a federal program on a timely basis. A material weakness in internal control over compliance is a deficiency, or combination of deficiencies, in internal control over compliance, such that there is a reasonable possibility that material noncompliance with a type of compliance requirement of a federal program will not be prevented, or detected and corrected, on a timely basis. We consider the deficiencies in internal control over compliance described in the accompanying schedule of findings and questioned costs as items 11-01 and 11-04 to be material weaknesses.
A significant deficiency in internal control over compliance is a deficiency, or a combination of deficiencies in internal control over compliance with a type of compliance requirement of a federal program that is less severe than a material weakness in internal control over compliance, yet important enough to merit attention by those charged with governance. We consider the deficiencies in internal control over compliance described in the accompanying schedule of findings and questioned costs as items 11-02 and 11-03 to be significant deficiencies.
The University’s responses to the findings identified in our audit are described in the accompanying schedule of findings and questioned costs. We did not audit the University’s responses and, accordingly, we express no opinion on the responses.9
Schedule of Expenditures of Federal Awards
We have audited the basic financial statements of the University as of and for the year ended June 30, 2011, and have issued our report thereon dated April 2, 2012. Our audit was performed for the purpose of forming an opinion on the University's basic financial statements taken as a whole. The accompanying schedule of expenditures of federal awards is presented for purposes of additional analysis as required by OMB Circular A-133 and is not a required part of the basic financial statements. Such information has been subjected to the auditing procedures applied in the audit of the basic financial statements and, in our opinion, is fairly stated in all material respects, in relation to the basic financial statements taken as a whole.
This report is intended solely for the information and use of the Auditor General, the General Assembly, the Legislative Audit Commission, the Governor, University Board of Trustees, management, and federal awarding agencies and pass-through entities and is not intended to be and should not be used by anyone other than these specified parties.
Crowe Horwath LLP
Springfield, Illinois
April 2, 201210
STATE OF ILLINOIS
SOUTHERN ILLINOIS UNIVERSITY
SCHEDULE OF FINDINGS AND QUESTIONED COSTS
Year ended June 30, 2011
a. Summary of Auditor's Results
Financial Statements
Type of auditors' report issued: unqualified
Internal control over financial reporting:
• Material weakness(es) identified?
Yes

No
• Significant deficiencies(s) identified that are not considered to be material weakness(es)?
Yes

None reported
• Noncompliance material to financial statements noted?
Yes

No
Federal Awards
Internal control over major programs:
• Material weakness(es) identified?

Yes
No
• Significant deficiency(ies) identified that are not considered to be material weakness(es)?

Yes
None reported
Type of auditors' report issued on compliance for major programs: Unqualified for all major programs except for Head Start, which was qualified.
Any audit findings disclosed that are required to be reported in accordance with section 510(a) of Circular A-133?

Yes
No
Identification of major programs:
CFDA Number(s)
Name of Federal Program or Cluster
Various
(1) Student Financial Aid Cluster, Student Financial Aid Cluster - ARRA
93.600 / 93.708
(2) Head Start, Head Start - ARRA
Various
(3) Workforce Cluster, Workforce Cluster -ARRA
84.126 /84.390
(4) Vocational Rehabilitation Cluster, Vocational Rehabilitation Cluster - ARRA
Note: Tickmark “(5)” on the following Schedule of Expenditures of Federal Awards indicates expenditures from the American Reinvestment and Recovery Act.
Dollar threshold used to distinguish between type A and type B programs:
$1,953,392
Auditee qualified as low-risk auditee?
Yes

No
b. Findings Related to the Financial Statements that are Required to be Reported in Accordance with Government Auditing Standards - None
c. Findings and Questioned Costs for Federal Awards – Findings 11-01, 11-02, 11-03, and 11-04, pages 11 through 14
d. Status of Prior Year Findings Not Repeated – See page 17STATE OF ILLINOIS
SOUTHERN ILLINOIS UNIVERSITY
FINDINGS, RECOMMENDATIONS AND UNIVERSITY RESPONSES – FEDERAL
Year Ended June 30, 2011
11
11-01 Head Start Eligibility
Federal Agency: U.S. Department of Health and Human Services
CFDA Number: 93.600
Program Name: Head Start
Questioned Costs: None Noted
During our eligibility testing of the Head Start program the East St. Louis campus failed to produce evidence that an eligibility determination was performed on 3 of the 60 students selected for testing.
Of a sample of 60 students selected for compliance testing with eligibility requirements, the University was unable to provide student files for 3 (5.0%) students. The Head Start program student files contain the eligibility determination worksheet, the students’ program application form, and documented evidence of a formalized review of these documents by a Head Start administrator at the University. The 3 student record files were unable to be located by Head Start administrators. The University stated the records were most likely shredded accidently.
OMB Circular A-133 regulations require the University to maintain supporting documentation to demonstrate program eligibility.
The University stated the records were shredded accidently by the Edwardsville Campus’ Record Management Department instead of scanning them into electronic archives.
By not keeping complete records the University is unable to prove compliance with Head Start eligibility requirements set forth by OMB Circular A-133. (Finding Code 11-01)
Recommendation:
We recommend the Edwardsville campus reevaluate its policies and procedures surrounding records management to ensure supporting documentation is properly maintained until electronically archived.
University Response:
AcceptedSTATE OF ILLINOIS
SOUTHERN ILLINOIS UNIVERSITY
FINDINGS, RECOMMENDATIONS AND UNIVERSITY RESPONSES – FEDERAL
Year Ended June 30, 2011
12
11-02 Head Start Cash Management Controls
Federal Agency: U.S. Department of Health and Human Services
CFDA Number: 93.600
Program Name: Head Start
Questioned Costs: None Noted
The East St. Louis campus did not perform a formalized review of budget to actual reports for their Head Start program during fiscal year 2011.
The University had informal policies and procedures in place to review monthly budget to actual reports for the Head Start program. The University used the monthly budget to actual reports as a control to monitor revenues and expenditures related to the Head Start program during the grant period. The reviews were not formally documented, and as such, no audit evidence exists to prove that the reviews occurred.
The University is responsible for establishing and maintaining effective internal control over compliance with the requirements and regulations applicable to their Head Start program. These controls should be formalized to include documentation that these control activities are being performed.
University officials stated that turnover during the fiscal year at the East St. Louis campus was the reason for the informal reviews.
By not having a formalized process to review the program’s monthly budget to actual reports, the University is at a greater risk for noncompliance with Federal regulations. (Finding Code 11-02)
Recommendation:
We recommend the Edwardsville campus create formalized policies and procedures related to internal control documentation and retention for the Head Start program.
University Response:
AcceptedSTATE OF ILLINOIS
SOUTHERN ILLINOIS UNIVERSITY
FINDINGS, RECOMMENDATIONS AND UNIVERSITY RESPONSES – FEDERAL
Year Ended June 30, 2011
13
11-03 Inadequate Controls Over Loan Reporting
Federal Agency: U.S. Department of Education
CFDA Number: 84.268
Program Name: Federal Direct Loan Program
Questioned Costs: None Noted
The Edwardsville Campus does not have effective controls in place to ensure updates of student enrollment status are reported to the National Student Clearinghouse (“NSC”) for Federal student loan programs.
Out of 60 enrollment status changes tested, 1 (2%) was not reported to the NSC. The NSC is Edwardsville’s enrollment reporting service.
The National Student Loan Data System (“NSLDS”) Enrollment Reporting Guide requires schools to confirm and report the enrollment status of students who receive Federal student loans. As with any school/servicer arrangement for the administration of Title IV programs, the school remains responsible for submitting timely, accurate, and complete enrollment reporting roster files and for maintaining proper documentation in accordance with Federal Regulation 34 CFR 682.610(c).
According to the Edwardsville campus officials the student did not have enough credit hours to graduate at the conclusion of the Fall 2010 semester. A subsequent grade change related to the Fall 2010 semester posted in January 2011 resulted in the student having enough credits to graduate. The Registrar’s Office subsequently changed the student’s status to “graduated”. The update was not reported to NSC because the student’s record was updated after the Edwardsville Campus’ final term degree submission had taken place.
A student’s enrollment status determines eligibility for deferment, grace periods, and repayments, as well as the Federal Government’s payment of interest subsidies. Enrollment reporting is critical for effective administration of the Title IV student loan programs. (Finding Code 11-03)
Recommendation:
We recommend the University implement policies and procedures to prevent incomplete data submissions to the NSC. This will help ensure timely and accurate reporting of information to the NSC.
University Response:
AcceptedSTATE OF ILLINOIS
SOUTHERN ILLINOIS UNIVERSITY
FINDINGS, RECOMMENDATIONS AND UNIVERSITY RESPONSES – FEDERAL
Year Ended June 30, 2011
14
11-04 Failure to Meet Head Start Earmarking Requirements
Federal Agency: U.S. Department of Health and Human Services
CFDA Number: 93.600
Program Name: Head Start
Questioned Costs: None Noted
The East St. Louis campus failed to meet the Head Start program’s required 100% funded enrollment status.
The East St. Louis campus has a funded enrollment requirement of 1,569 individuals. Only 1,561 are enrolled leaving the program 8 individuals (1%) short of meeting the earmarking requirement.
University management is responsible for establishing and maintaining funded enrollment levels that are at least 100% of the funded enrollment levels agreed to in the grant agreement between the University and the Department of Health and Human Services.
According to University management, SIUE East St. Louis Head Start relied heavily on school districts and community partners who experienced unforeseen funding reductions that negatively impacted the number of those eligible to enroll in the program.
By not meeting funded enrollment requirements the University risks future funding allotments. (Finding Code 11-04, 10-03)
Recommendation:
We recommend that a documented supervisory review of projected enrollment levels occurs before the grant agreements are signed. The University should also formally monitor the enrollment status quarterly throughout the grant period.
University Response:
Accepted
STATE OF ILLINOIS
SOUTHERN ILLINOIS UNIVERSITY
FINDINGS, RECOMMENDATIONS AND UNIVERSITY RESPONSES – STATE
Year Ended June 30, 2011
15
11-05 Time Sheets are Not Required
The University does not have a policy that requires all employees to periodically submit time sheets documenting the time spent each day on official University business to the nearest quarter hour as required by the State Officials and Employees Ethics Act (Act).
The Act required the Illinois Board of Higher Education (IBHE), with respect to State employees of public universities, to adopt and implement personnel policies. The IBHE adopted personnel policies for public universities on February 1, 2004, in accordance with the Act. However, the University has not incorporated IBHE policies into the University's policies.
We noted that the University's faculty did not submit timesheets in compliance with the Act. The process is effectively a "negative" timekeeping system whereby the employee is assumed to be working unless noted otherwise. No time sheets documenting the time spent each day on official State business to the nearest quarter hour are required for faculty. During fiscal year 2007 the University adopted a policy to require time sheets from all employees except faculty.
The Act (5 ILCS 430/5-5(c)) states, "The policies shall require State employees to periodically submit time sheets documenting the time spent each day on official State business to the nearest quarter hour."
University officials’ explained that there is currently no formal policy in place for faculty to submit timesheets in accordance with the Act.
Failure to require appropriate time sheets from its employees constitutes noncompliance with State law. (Finding Code 11-05, 10-04, 09-03, 08-05, 07-10, 06-4, 05-1)
Recommendation:
We recommend the University amend its policies to require all employees to submit time sheets in compliance with the Act.
University Response:
Accepted
STATE OF ILLINOIS
SOUTHERN ILLINOIS UNIVERSITY
FINDINGS, RECOMMENDATIONS AND UNIVERSITY RESPONSES – STATE
Year Ended June 30, 2011
16
11-06 Controls Surrounding the Markdown of Inventory
The Edwardsville campus does not have sufficient controls in place surrounding the markdown of inventory at the Bookstore and Textbook Services departments.
The Bookstore and Textbook Services departments on the Edwardsville campus do not have sufficient controls or an appropriate approval process in place surrounding the markdown of inventory. The store-level managers are given the sole authority to markdown inventory items. The markdowns are not formally documented and there are no established approval or review processes in place.
The Fiscal Control and Internal Auditing Act (“FCIAA”) indicates that all agencies must be responsible for “establishing and maintaining an effective system of internal control”. An effective system of internal controls requires proper segregation of duties. Segregation of duties is critical to effective internal control because it reduces the risk of mistakes and inappropriate actions.
University management stated the Edwardsville Campus did not have formal inventory markdown procedures in place during fiscal year 2011.
Failure to establish sufficient controls surrounding inventory increases the likelihood of fraud and/or misuse of University funds. (Finding Code 11-06)
Recommendation:
We recommend the University establish and maintain an effective system of internal control surrounding the markdown of inventory.
University Response:
Accepted
STATE OF ILLINOIS
SOUTHERN ILLINOIS UNIVERSITY
PRIOR FINDINGS NOT REPEATED (FEDERAL)
Year Ended June 30, 2011
17
a. During the prior period, the Edwardsville campus did not have proper controls in place to calculate Return of Title IV Funds to the Department of Education. The University mistakenly calculated all fall 2009 semester returns using 117 days instead of the proper 110 days. This resulted in the University improperly returning $5,275 to the Department of Education in excess of the proper amount. The University mistakenly calculated all spring 2010 semester returns using 109 days instead of the proper 110 days. This resulted in the University improperly returning $378 less to the Department of Education than the proper amount. (Finding Code 10-2)
During the current examination period, the Edwardsville campus formalized supervisory review of the Return of Title IV Funds calculation for each semester to reduce the potential for errors in the calculation of return of funds. This finding will not be repeated.
b. During the prior period, The Edwardsville Campus did not have effective controls in place to ensure updates of student enrollment status to the National Student Clearinghouse (“NSC”) for Federal student loan programs. The University did not employ procedures that facilitate the collection of social security numbers from Student Financial Aid files when students elected to withhold reporting social security numbers within their student academic records. (Finding Code 10-1)
During the current examination period, The Edwardsville campus implemented policies and procedures to prevent incomplete data submissions to the NSC. This finding will not be repeated.STATE OF ILLINOIS
SOUTHERN ILLINOIS UNIVERSITY
PRIOR FINDINGS NOT REPEATED (STATE)
Year Ended June 30, 2011
18
c. During the prior period, the Carbondale campus had no segregation of duties in the P-Card approval process. Certain P-Card holders had the ability to approve their own purchases through the on-line P-Card approval process. (Finding Code 10-5)
During the current examination, the Carbondale campus implemented control procedures to the P-Card system that will not allow employees to approve their own purchases. This finding will not be repeated.
d. During the prior period, Southern Illinois University had not assured adequate security and control over access to or the proper disposal of confidential information. (Finding Code 10-6)
During the current examination, Southern Illinois University implemented University-wide procedures to ensure confidential and personal information is adequately secured (i.e. encrypted) and properly disposed. This finding will not be repeated.19
Federal Expenditures
Carbondale
Edwardsville
Total
U.S. Department of Education
38,678,866$
20,424,523$
59,103,389$
U.S. Department of Health and Human Services
19,770,872
13,384,670
33,155,542
National Science Foundation
4,689,611
1,622,038
6,311,649
U.S. Department of Agriculture
1,591,840
775,264
2,367,104
U.S. Department of Labor
2,697,341
209,981
2,907,322
U.S. Department of Defense
1,975,528
98,032
2,073,560
U.S. Department of Transportation
1,400,916
160,705
1,561,621
U.S. Department of Energy
1,642,471
-
1,642,471
U.S. Department of Commerce
1,087,417
171,610
1,259,027
U.S. Department of the Interior
1,857,334
416,813
2,274,147
U.S. Department of Homeland Security
1,142,922
-
1,142,922
Library of Congress
203,841
201,264
405,105
U.S. Small Business Administration
358,759
114,013
472,772
U.S. Agency for International Development
408,874
-
408,874
National Foundation on the Arts and the Humanities
20,233
-
20,233
National Aeronautics and Space Administration
13,795
159,964
173,759
U.S. Department of Justice
127,339
-
127,339
U.S. Environmental Protection Agency
115,718
-
115,718
U.S. Department of State
112,536
-
112,536
U.S. Department of Housing and Urban Development
43,181
24,159
67,340
National Endowment for the Humanities
-
154,212
154,212
U.S. Postal Service
-
2,864
2,864
TOTAL FEDERAL GRANTS AND CONTRACTS
77,939,394$
37,920,112$
115,859,506$
STATE OF ILLINOIS
SOUTHERN ILLINOIS UNIVERSITY
SCHEDULE OF EXPENDITURES OF FEDERAL AWARDS SUMMARY
Year ended June 30, 2011SOUTHERN ILLINOIS UNIVERSITY CARBONDALE
SCHEDULE OF EXPENDITURES OF FEDERAL AWARDS
Year Ended June 30, 2011
See accompanying Notes to Schedule of Expenditures of Federal Awards
20
Federal CFDA/Grant/
Flow-Thru
Disbursements/
Federal Grantor/Pass Through Grantor/Program Title
Contract Number
Grantor's Number
Expenditures
U.S. DEPARTMENT OF EDUCATION
Direct Grants and Contracts:
Student Support Service Program
(6)
84.042
64,628$
Student Support Service Program
(6)
84.042
234,156
Upward Bound
(6)
84.047
429,502
International Human Rights Certificate
84.116
22,520
WSIU Digital TV Production Equipment Grant
84.116
238,328
Rehabilitation Long Term Training
84.129
75,605
Rehabilitation Counselor Supervision
84.129
142,714
Rehabilitation Long Term RSA Training
84.129
118,297
Rehabilitation Long Term RSA Training
84.129
4,228
SIUC McNair Program - USDE
(6)
84.217
268,545
Service and Training Program for Veterans
84.235
23,346
Service and Training Program for Veterans
84.235
21,816
Service and Training Program for Veterans
84.235
44,397
Rehab Continuing Education Program
84.264
656,958
Playground Renovation
84.335
112,569
2,457,609
Financial Assistance:
Supplemental Educational Opportunity
Grant-FY11
(1)
84.007
977,758
Cooperative Work Study Program
(1)
84.033
1,901,897
Pell Grant Program-FY08
(1)
84.063
(327)
Pell Grant Program-FY09
(1)
84.063
(5,322)
Pell Grant Program-FY10
(1)
84.063
83,964
Pell Grant Program-FY11
(1)
84.063
28,791,418
ACG Grant-FY10
(1)
84.375
1,875
ACG Grant-FY11
(1)
84.375
466,622
SMART Grant-FY10
(1)
84.376
6,000
SMART Grant-FY11
(1)
84.376
766,100
TEACH Grant-FY11
(1)
84.379
25,500
33,015,485
Flow-Thru Grants and Contracts:
Monroe-Randolph ROE #45:SOUTHERN ILLINOIS UNIVERSITY CARBONDALE
SCHEDULE OF EXPENDITURES OF FEDERAL AWARDS
Year Ended June 30, 2011
See accompanying Notes to Schedule of Expenditures of Federal Awards
21
Federal CFDA/Grant/
Flow-Thru
Disbursements/
Federal Grantor/Pass Through Grantor/Program Title
Contract Number
Grantor's Number
Expenditures
Monroe Randolph Intel Math Connections
84.Unknown
NA
9,837
Corporation for Public Broadcasting:
Ready to Learn Outreach Station Grant
84.U395A050003
10939
40,983
Illinois State University:
Incorporating Learning Objects
(8)
84.048
10D282.03
6,575
Preparing Pre-Service Career and Technical Education
84.048
09D250.01
1,848
On-Line Professional Development Modules
(8)
84.048
09D250.02
1,259
9,682
Illinois Community College Board:
Adult Basic Education
84.002
NA
297
Adult Basic Education
84.002
NA
56,697
56,994
Southern Illinois University-Edwardsville:
Southern Regional Professional Development Center
84.Unknown
6-23772
35,671
Illinois State Board of Education:
Career and Technical Education Curriculum
84.048
4720-02
459,722
Statewide Non-Traditional Training
84.048
4720-04
(2,975)
Career and Technical Education Curriculum
84.048
4720-02
5,331
State Leadership-Illinois Nontrad Training
84.048
4720-04
313
State Leadership-Illinois Nontrad Training
84.048
4720-04
82,424
Illinois Student Information System
84.048
4720-00
1,116
Illinois Student Information System
84.048
4720-00
184,595
Partnership for Improved Science Instruction
84.366
4936-10
179,490
Science Math and Action Research
84.366
4936-80
171,282
Science Math and Action Research
84.366
4936-80
82,171
Partnership for Improved Science Instruction
84.366
4936-11
112,143
1,275,612
Illinois Department of Human Services:
EDC Third Party Agreement
(4)
84.126
10C6001651
(18,096)
EDC Third Party Agreement
(4)
84.126
10C6001651
932,816
Purchase of Service
(4)
(5)
84.390
40C6001651
(332)
Placement of Adults with Disabilities
(4)
(5)
84.390
40CMARA042
179,203
Transition Services to Youth with Disabilities
(4)
(5)
84.390
40CMARA080
191,923
Subaward for Employment of Individuals
(4)
(5)
84.390
40CMARA097
21,361
1,306,875
Carbondale Elementary School District No. 95:
Fresh Fit and Fly Physical Education Program
84.215
NA
14,037 SOUTHERN ILLINOIS UNIVERSITY CARBONDALE
SCHEDULE OF EXPENDITURES OF FEDERAL AWARDS
Year Ended June 30, 2011
See accompanying Notes to Schedule of Expenditures of Federal Awards
22
Federal CFDA/Grant/
Flow-Thru
Disbursements/
Federal Grantor/Pass Through Grantor/Program Title
Contract Number
Grantor's Number
Expenditures
Public Broadcasting Service:
PBS Teacherline
84.286
NA
4,188
Illinois Board of Higher Education:
Project RAMPD: Rural Access
84.367
09NCLB7
82,209
RAMPD Up Rural Access
84.367
10NCLB7
203,560
Southern Illinois Partnership for Achievement
84.367
NA
152,417
Statewide P-20 Longitudinal Data System
84.372
NA
13,707
451,893
3,205,772
Total U.S. Department of Education
38,678,866
U.S. DEPARTMENT OF HEALTH AND HUMAN SERVICES
Direct Grants and Contracts:
Improving Underground Safety
(8)
93.200-2009-32518
478,919
Aging Gracefully Through Behavioral and Oral Health
93.Unknown
87
Coating Effects on MR Relaxivities
(8)
93.113
(104)
Circadian Clock Disruption
(8)
93.113
290,025
Developing D-Methlonine
(8)
93.173
291,442
Synaptic Processing in the Gustatory Brainstem
(8)
93.173
49,292
Glycine Receptor in Rat Tinnitus
(8)
93.173
182,198
Endogenous Modulation
(8)
93.173
219,588
Features of Chronic Tinnitus
(8)
93.173
388,485
Amelioration of Cisplatin Ototoxicity
(8)
93.173
58,509
Coding in Auditory Neurons
(8)
93.173
2,497
Coding in Auditory Neurons
(8)
93.173
126,605
Sources and Wetting Characteristics
(8)
93.262
110,290
NRT and Bupropion Mechanisms
(8)
93.279
263,388
Waiting for a Better Future
(8)
93.279
59,982
Nicotine for Marijuana Withdrawal
(8)
93.279
20,282
A Novel Approach to Chronic Pain Treatment
(8)
93.279
292,275
Surface functionalized Spions for PH
(8)
93.286
37,414
Surface functionalized Spions for PH
(8)
93.286
31,172
Leica TCS SP5 Spectral LSCM for Research
93.389
499,973
Aldose Reductase
(8)
93.393
112,510
Alox15B as Tumor Suppressor
(8)
93.393
275,056
Dietary Intervention in the Gallus Domesticus
(8)
93.393
78,141
NF-KB Mediated Induction
(8)
93.393
336,218
Physical Activity After Breast Cancer
(8)
93.393
184,546 SOUTHERN ILLINOIS UNIVERSITY CARBONDALE
SCHEDULE OF EXPENDITURES OF FEDERAL AWARDS
Year Ended June 30, 2011
See accompanying Notes to Schedule of Expenditures of Federal Awards
23
Federal CFDA/Grant/
Flow-Thru
Disbursements/
Federal Grantor/Pass Through Grantor/Program Title
Contract Number
Grantor's Number
Expenditures
Enhancing Physical Activity After Breast Cancer
(8)
93.394
523,475
Research Supplement to Promote Diversity
(8)
93.394
57,876
Biosynthesis of Taxol Precursors
(8)
93.395
53,255
Aldose Reductase
(8)
93.395
(1,187)
Pregnane X Receptor in Prostate
(8)
93.395
(3,623)
Role of Adenosine A3
(8)
93.395
18,539
Tumor Metastatses Suppression
(8)
93.396
164,953
KAI1 in Tumor Progression
(8)
93.396
156,539
Equipment to Enhance Training
(5)
93.411
155,445
Head Start
(2)
93.600
50,279
Head Start
(2)
93.600
2,337
Head Start
(2)
93.600
9,751
Head Start
(2)
93.600
3,162,084
Head Start
(2)
93.600
37,261
A Transitional Model of Autism Services
93.647
(1,199)
Effects of Vitamin B3 on Traumatic Brain Injury
(5)
(8)
93.701
44,066
Frontal Lobe Size and Executive Dysfunction
(5)
(8)
93.701
114,465
Ginseng and Its Constituents
(5)
(8)
93.701
210,819
Suppi -Glycine Receptor in a Rat
(5)
(8)
93.701
(1,406)
Mechanisms of Fatigue
(5)
(8)
93.701
5,817
RHOX5 Cofactors
(5)
(8)
93.701
3,871
Developing D-Methlonine
(5)
(8)
93.701
118,765
Supp II-Glycine Receptor
(5)
(8)
93.701
(17)
Modifications in Prostate Cells
(5)
(8)
93.701
88,968
Genital Herpes Vaccine
(5)
(8)
93.701
146,747
Structural Organization and Enzymology
(5)
(8)
93.701
5,146
Chronic Tinnitus
(5)
(8)
93.701
113,512
Deaf-1 in Development
(5)
(8)
93.701
50,081
RNA Splicing in Archaea
(5)
(8)
93.701
55,610
EBV Protein II
(5)
(8)
93.701
(96)
Neighboring Ryanodine Receptor
(5)
(8)
93.701
(21)
Bile and Obesity Surgery
(5)
(8)
93.701
247,715
Chromatin Remodeling and Transcription
(5)
(8)
93.701
136,044
Circadian Clock Disruption
(5)
(8)
93.701
2,930
Biotherapeutic for Triple-Negative Breast Cancer
(5)
(8)
93.701
105,962
Forkhead Transcription Factor
(5)
(8)
93.701
117,291
Regulation and Function of RHOX8
(5)
(8)
93.701
29,026
Functional Role of WNT11 in Uterine Development
(5)
(8)
93.701
29,701
Microbrightfield Bioscience Imaging System
(5)
93.701
189,843
One Time Quality Funds
(2)
(5)
93.708
91,535
Combating Restenosis with Surface Texturing
(8)
93.390
(6,038)
Understanding the Role of Class II Activator
(8)
93.846
15,547
Vanilloid Receptors
(8)
93.847
1,250 SOUTHERN ILLINOIS UNIVERSITY CARBONDALE
SCHEDULE OF EXPENDITURES OF FEDERAL AWARDS
Year Ended June 30, 2011
See accompanying Notes to Schedule of Expenditures of Federal Awards
24
Federal CFDA/Grant/
Flow-Thru
Disbursements/
Federal Grantor/Pass Through Grantor/Program Title
Contract Number
Grantor's Number
Expenditures
Responsiveness to Nicotine of Nucleus
(8)
93.847
313,252
Differential Effects of Tarps on AMPA
(8)
93.853
45,712
Kar and Seizures
(8)
93.853
51,521
LS-1:Neuroprotection in PD
(8)
93.853
73,904
FS-Zone: Neuroprotection in Parkinson
(8)
93.853
6,104
Small RNAs and HFQ
(8)
93.855
75,628
Mechanisms of Fatigue
(8)
93.855
351,215
EBV Protein
(8)
93.855
83,158
Investigating Fluorescence Resonance Energy
(8)
93.859
94,399
Design and Evaluation of Response
(8)
93.859
23,379
Protein Separation with Polymer Brush
(8)
93.859
7,105
Gryanodine Receptor Channels
(8)
93.859
240,510
Transcriptional Activation
(8)
93.859
259,874
Chromatin Remodeling and Transcription
(8)
93.859
251,891
RNA Splicing in Archea
(8)
93.859
38,523
Proteasome Regulation of Transcriptional Activation
(8)
93.859
81,189
RHOX5 Cofactors
(8)
93.864
20,579
Uterine Development
(8)
93.864
83,218
Prolactin Feedback
(8)
93.865
84,765
Conceptus-Dependent Effects on the Endometrium
(8)
93.865
52,784
Opioid-Dopamine Interactions
(8)
93.865
121,752
Molecular Regulation and Role of Placenta
(8)
93.865
181,317
Interaction of Caloric Restriction
(8)
93.866
261,145
Interaction of Caloric Restriction
(8)
93.866
17,724
Interaction of Caloric Restriction
(8)
93.866
5,791
Mitoenergetic Failure in Brain
(8)
93.866
290,847
Core A: Somatotropic Axis
(8)
93.866
1,506,081
Project 1: Somatotropic Axis
(8)
93.866
220,542
Age-Related Response
(8)
93.866
91,298
Hill Supplement: Somatotropic Axis
(8)
93.866
25,331
Dietary Fat, Viceral Fat and Aging
(8)
93.866
130,367
Developmental Origins of Phenotypic
(8)
93.866
582
Enhancing Residency Training
93.884
885
Enhancing Residency Training
93.884
147,715
Illinois Catch on to Health Consortium
93.912
27,506
Illinois Catch on to Health Consortium
93.912
420,030
16,379,331
Financial Assistance:
Scholarships for Disadvantaged Students
(1)
(5)
93.407
53,228
Scholarships for Disadvantaged Students
(1)
93.925
80,584 SOUTHERN ILLINOIS UNIVERSITY CARBONDALE
SCHEDULE OF EXPENDITURES OF FEDERAL AWARDS
Year Ended June 30, 2011
See accompanying Notes to Schedule of Expenditures of Federal Awards
25
Federal CFDA/Grant/
Flow-Thru
Disbursements/
Federal Grantor/Pass Through Grantor/Program Title
Contract Number
Grantor's Number
Expenditures
133,812
Flow-Thru Grants and Contracts:
Fluid Measurement Technologies:
Fluid Measurement Technologies
93.Unknown
NA
719
St. Louis University:
National Children's Study
(8)
93.847
N27520080003C
46,892
Shawnee Health Service and Development Corporation:
Caring Connections Evaluation
93.Unknown
NA
11,797
Egyptian Area Agency on Aging:
Legal Services to Older Persons
93.044
9505-9408
(339)
Legal Services to Older Persons
93.044
10508-10408
16,786
Legal Services to Older Persons
93.044
11408 AND 11508
30,422
46,869
Illinois Department of Public Health:
Education and Training
93.069
77001001
68,848
Southern Illinois Asthma Action Team
93.070
13283002
285
Building a Coalition to Address Asthma
93.070
3283012
793
Illinois Breast and Cervical
93.283
06100013
2,307
Illinois Breast and Cervical
93.283
16100007
15,000
Illinois Cancer Prevention
93.283
13282005
4,976
Central IL HIV Care Connect
93.917
95780770
1,279
Central Illinois Care Connect
93.917
05780437
722,283
Central Illinois Care Connect
93.917
15780151
146,563
Dental Sealant Program
93.994
3480173
555
Dental Sealant Program
93.994
13480176
4,234
967,123
University of Illinois:
IL Lend Training Program
93.110
T73MC11047
4,472
Rural Methamphetamine
(8)
93.279
2006-07187-01
1
Characteristics of Multidrug Resistance
(8)
93.395
494235E6561
18,482
Provider and Consumer Knowledge
93.879
ID.00498944
16,770
39,725
University of Michigan:
Micronutrient Intervention
(8)
93.173
3000910943
50,454
Colorado State University:
Glutamate Receptor Desensitization
(8)
93.242
G-4499-2
21,729 SOUTHERN ILLINOIS UNIVERSITY CARBONDALE
SCHEDULE OF EXPENDITURES OF FEDERAL AWARDS
Year Ended June 30, 2011
See accompanying Notes to Schedule of Expenditures of Federal Awards
26
Federal CFDA/Grant/
Flow-Thru
Disbursements/
Federal Grantor/Pass Through Grantor/Program Title
Contract Number
Grantor's Number
Expenditures
The H Group:
ACRA/ACC Model
93.243
NA
7,127
Illinois Department of Children and Family Services:
Southern Illinois Methamphetamine Project
(8)
93.243
558609019
4,079
CMRN-Swafford
93.643
0457439020
(9,986)
CMRN-Swafford
93.643
0457439021
271,028
Project 12-Ways Enhancement
93.667
597348028
438
Project 12-Ways Enhancement
93.667
597348029
24,660
290,219
Association of American Medical Colleges:
Integrated Curriculum in Population Health
93.283
RMPHEC2006U36CCU319276
6,044
University of North Carolina:
Next Generation Digital Breast Tomosynthesis
(8)
93.394
5-30013
90,351
Duke University Medical Center:
American College of Surgeons Oncology Group
(8)
93.395
7U10CA7600147U10CA860040
919
National Childhood Cancer Foundation:
NCCF Clinical Trial
(8)
93.395
98543-1022
48,235
Children's Oncology Group
(8)
93.395
98543-1022
7,376
55,611
Administrative Office of the Illinois Courts:
Juvenile Justice Clinic
93.586
G-10041
5,034
Illinois Department of Human Services:
Project 12-Ways
93.667
10C6001651
1,489
Project 12-Ways
93.667
10C60016951
(9,561)
Employability Development
93.667
10C6001651
(1,651)
Project 12-Ways
93.667
10C6001651
595,615
Employability Development
93.667
10C6001651
46,430
Mobile School Health Center
93.994
10C6001651
184
Mobile School Health Center
93.994
10CM001651
102,998
735,504
University of Memphis:
ARRA Language Characteristics
(8)
93.701
P0054420
211,522
Illinois Department of Commerce and Economic Opportunity:
Youth Employment for the Summer
(5)
93.714
10-071027
45,760
Brigham and Women's Hospital:
Ancillary 129XE Studies for Copdgene
(8)
93.837
NA
82,771 SOUTHERN ILLINOIS UNIVERSITY CARBONDALE
SCHEDULE OF EXPENDITURES OF FEDERAL AWARDS
Year Ended June 30, 2011
See accompanying Notes to Schedule of Expenditures of Federal Awards
27
Federal CFDA/Grant/
Flow-Thru
Disbursements/
Federal Grantor/Pass Through Grantor/Program Title
Contract Number
Grantor's Number
Expenditures
Washington University:
Attract Trial-Pharmacomechanical Catheter
(8)
93.839
2905378N WU-09-100
1,702
St. Judes Children Hospital:
Gene Transfer into Hematopoietci Stem Cells
(8)
93.839
110697150-7306779
(2,128)
Gene Therapy of Sickle Cell Disease
(8)
93.839
110446160-7401626
16,624
14,496
Tufts University:
Fact-Ancillary Study
(8)
93.849
R01DK65114-01
(499)
University of Florida:
Form and Function in Neuronal Networks
(8)
93.853
UF-EIES-0934002-MOD 1
226,004
University of Rochester:
Progeni: Parkinson's Disease
(8)
93.853
9703-09-0416-08
(254)
University of California-San Francisco:
Bacterial Sit and Innate Immunity
(8)
93.856
NCIRE2005-927-A
18,313
University of Washington:
Multi-Drug Combinations
(8)
93.865
666581
263,679
University of California-San Diego:
Trial of Valproate to Attenuate
93.866
U01AG10483
(2)
Research Foundation for Mental Hygine, Inc.:
Vitamin E in Aging Persons
(8)
93.866
002458
495
Stanford University:
Raloxifene in Women
(8)
93.866
SPO 34955-C
3,771
Southern Illinois Healthcare:
Delta Innovative Project
93.912
NA
13,854
3,257,729
Total U.S. Department of Health and Human Services
19,770,872
NATIONAL SCIENCE FOUNDATION
Direct Grants and Contracts:SOUTHERN ILLINOIS UNIVERSITY CARBONDALE
SCHEDULE OF EXPENDITURES OF FEDERAL AWARDS
Year Ended June 30, 2011
See accompanying Notes to Schedule of Expenditures of Federal Awards
28
Federal CFDA/Grant/
Flow-Thru
Disbursements/
Federal Grantor/Pass Through Grantor/Program Title
Contract Number
Grantor's Number
Expenditures
Combinatorial Process Dev for Synthesis
(8)
47.041
98,763
Career: Kinetics of Adsorption
(8)
47.041
892
Static and Dynamic Response
(8)
47.041
81,677
Collaborative Research: Consortium
(8)
47.041
9,091
Analyzing Working Nanosensors
(8)
47.041
55,649
Collaborative Proposal: Ultra-High Performance
(8)
47.041
23,791
Development Plan for Optical/Nuclear Resonance
(8)
47.049
(259)
Study of Observability
(8)
47.049
215
Stochastic Synamical Systems
(8)
47.049
40,314
Statistics and Information Theory
(8)
47.049
5,319
Polyatomic Adsorbates on Carbon Bundles
(8)
47.049
90,085
RF Plasma Polymer Modified Maldi Targets
(8)
47.049
101,356
Investigations in Enantioselective Interactions
(8)
47.049
108,183
Collaborative Research: Modeling Dynamics
(8)
47.049
5,030
Career: Programmable Active Lithography
(8)
47.049
22,722
REU Site for Interdisciplinary Materials
(8)
47.049
40,380
REU Site for Interdisciplinary Materials
(8)
47.049
48,360
Career: Programmable Active Lithography
(8)
47.049
(3,370)
Integral Representation of Langlands
(8)
47.049
26,625
Constrained Statistical Inference
(8)
47.049
28,164
Collaborative Research: Carbon Nanohorns
(8)
47.049
27,939
RCN: Peatnet Globalization of Northern Peatland
(8)
47.050
21,198
Collaborative Research: Magma Dynamics
(8)
47.050
2,851
Testing Hypotheses of Latest Pleistocene
(8)
47.050
37,561
Collaborative Research: Assessment of T-Wave
(8)
47.050
34,027
Acquisition of an Isotope Ratio Mass Spectrometer
(8)
47.050
1,500
Tree Ring Studies of Hydroclimatic Variability
(8)
47.050
38,619
Tree Ring Studies of Hydroclimatic Variability
(8)
47.050
3,660
Collaborative Research Synthesis Verification
(8)
47.070
8,132
Practical Quantum Error Prevention
(8)
47.070
73,075
CSR-EHS: A VLIW Architecture
(8)
47.070
2,492
Collaborative Research:Synthesis Verification
(8)
47.070
78,116
A Time Predictable Multicore Architecture
(8)
47.070
10,135
Providing Predictable Timing for Task Migration
(8)
47.070
69,473
Nets Small Colaborative Research
(8)
47.070
37,930
Hierarchial Consequences of Intraspecific Variation
(8)
47.074
34,411
Assembling the Liverwort Tree
(8)
47.074
65,128
Assembling the Liverwort Tree
(8)
47.074
45,371
Collaborative Research: LTREB
(8)
47.074
8,422
Collaborative Research in IPY
(8)
47.074
44,937
Collaborative Research: Using Amphibian Declines
(8)
47.074
52,297
Collaborative Research: Variable Persistence
(8)
47.074
62,779
Development of a New Instrument
(8)
47.074
156,130 SOUTHERN ILLINOIS UNIVERSITY CARBONDALE
SCHEDULE OF EXPENDITURES OF FEDERAL AWARDS
Year Ended June 30, 2011
See accompanying Notes to Schedule of Expenditures of Federal Awards
29
Federal CFDA/Grant/
Flow-Thru
Disbursements/
Federal Grantor/Pass Through Grantor/Program Title
Contract Number
Grantor's Number
Expenditures
RIG: Mechanisms of Molecular Recognition
(8)
47.074
71,009
Workshop Use of 15N Tracer
(8)
47.074
48,843
Scents and Scent-Ability
(8)
47.074
11,180
Wormnet II Assembling the Annelid Tree of Life
(8)
47.074
2,161
Vulnerable Host Stages Development
(8)
47.074
5,337
REU Collaborative Research LTREB
(8)
47.074
2,827
Rapid: A Massive Floodplain Reconnects
(8)
47.074
68
Higher Order Chromatin Structure
(8)
47.074
154,141
Lower Mississippi River
(8)
47.075
(339)
Historical Trends in Flow Dynamics
(8)
47.075
(376)
Choosing Among Causal Agents
(8)
47.075
75
The Great Ballcourt at Nixtun-Ch-ich'
(8)
47.075
7,031
The Changing Face of Andean Peatlands
(8)
47.075
(638)
Collaborative Research: NSCC/SA: Terror Conflict
(8)
47.075
23,375
Doctoral Dissertation Research in Political Science
(8)
47.075
5,000
CNH: Climate Change Hydrology
(8)
47.075
62,461
Climate Change Impacts on Regional Wind Climates
(8)
47.075
6,696
Doctoral Dissertation Improvement
(8)
47.075
10,000
Engineering and Technology Expansion Program
47.076
316,499
Heartland Partnerships; Inquiry-Based Education
47.076
369,531
Green Scholarships
47.076
168,870
IGERT: Multidisciplinary Team-Based Training
47.076
319,999
IGERT: Multidisciplinary Team-Based Training
47.076
165,593
Leadership Development Program
47.076
5,504
Leadership Development Program
47.076
(4,500)
Southern Illinois Fellowships for teachers
47.076
59,071
C2P2 Oriented Laboratory Instruction
(8)
47.076
26,423
Large Carnivores-Graduate Research Fellowship
(8)
47.076
40,499
Collaborative Research: Testing the Impacts
(8)
47.078
(1,330)
Collaborative Research: Microbially Mediated Anaerobic
(8)
47.078
90,262
Collaborative Research The Permian Triassic Transition
(8)
47.078
29,999
Career: Simulation Studies of Time Evolution
(5)
(8)
47.082
1,855
Collaborative Research: Rapid-Investigating
(5)
(8)
47.082
1,496
Southern IL Undergrad Recruitment and Retention
(5)
(8)
47.082
67,963
Southern IL Undergrad Recruitment and Retention
(5)
(8)
47.082
1,037
MRI-Acquisition of Field Emission
(5)
(8)
47.082
461,050
4,227,842
Flow-Thru Grants and Contracts:
The Algebra Project:
Developing Student Cohorts
(8)
47.DRL-0822175
NA
130,849
Bridging Math and Media
(8)
47.1031633
NA
16,142 SOUTHERN ILLINOIS UNIVERSITY CARBONDALE
SCHEDULE OF EXPENDITURES OF FEDERAL AWARDS
Year Ended June 30, 2011
See accompanying Notes to Schedule of Expenditures of Federal Awards
30
Federal CFDA/Grant/
Flow-Thru
Disbursements/
Federal Grantor/Pass Through Grantor/Program Title
Contract Number
Grantor's Number
Expenditures
146,991
Chicago State University:
Illinois Louis Stokes Alliance
47.076
53725
15,378
ILSAMP:Year 2
47.076
53725
14,985
30,363
University of Iowa:
Understanding Water-Human Dynamics
(8)
47.041
W000108455
46,750
Research Foundation of the State University of New York:
Nanostructured Fuel Cell Catalysts
(8)
47.041
44356/1066058
61,923
Washington University:
Collaborative Research
(8)
47.050
2905710N
24,425
University of Minnesota:
Predictive Stream Restoration Studies
(8)
47.050
A536621614
48,996
Consortium for Ocean Leadership:
IODP Superfast Spreading Rate
(8)
47.050
BA-87
24,164
Kansas State University:
Konza Prairie: Community and Ecosystem
(8)
47.074
S09060
17,836
Riparian Influences
(8)
47.074
S09062
19,199
37,035
Arizona State University:
Evolutionary Diversification
(8)
47.074
10-036
3,605
University of Oklahoma:
Joara and Fort San Juan
(8)
47.075
2007-29
3,321
University of Nebraska:
Using Foraminefera
(8)
47.078
25-055
2,787
Reconstructing Miocene Glaciomarine
(8)
47.078
25-0550-0001-145
16,820
19,607
Rice University:
United States Japan Cooperative Research
(8)
47.079
R3C756
14,589
461,769
Total National Science Foundation
4,689,611
U.S. DEPARTMENT OF AGRICULTURESOUTHERN ILLINOIS UNIVERSITY CARBONDALE
SCHEDULE OF EXPENDITURES OF FEDERAL AWARDS
Year Ended June 30, 2011
See accompanying Notes to Schedule of Expenditures of Federal Awards
31
Federal CFDA/Grant/
Flow-Thru
Disbursements/
Federal Grantor/Pass Through Grantor/Program Title
Contract Number
Grantor's Number
Expenditures
Direct Grants and Contracts:
Quantifying Erosion
(8)
10.06-PA-11092100-045
13,036
Shawnee National Forest Vegetation Plot Analysis
(8)
10.09-CS-11090804-028
467
VHS Surveillance outreach and Biosecurity
(8)
10.09-9617-0877CA
38,573
Trail Surveys in the Kinkaid and Hutchins Creek
(8)
10.10-CS-11090800-01
21,271
Study of Forest Wetland and Grassland
(8)
10.10-CS-110
23,455
Viral Hemorrhagic Septicemia
(8)
10.10-9617-0877CA
271,385
Effect of Storm Damage on Densities
(8)
10.10-CA-11330129-098
12,027
Early Season Pod Weight Prediction
(8)
10.58-3AEU-0058
10,000
Identification of Novel Sources of Resistance
(8)
10.58-6435-5-032
(2,736)
Building Better Buffers
(8)
10.69-5A12-10-309
2,497
Touch the Trail of Tears
10.09-PA-11090800-017
506
Midwest Regional Canola Research Program
(8)
10.200
67,893
Midwest Regional Canola Research Program
(8)
10.200
54,681
Midwest Regional Canola Research Program
(8)
10.200
759
Effects of Storm Damage on Densities
(8)
10.202
11,137
McIntire-Stennis
(8)
10.202
47,730
McIntire-Stennis
(8)
10.202
141,874
Tilling: A Community Tool
(8)
10.206
(128)
Estimating the Costs of Continuous Conservation Tillage
(8)
10.250
2,350
Evaluating Watershed Health Risks
(8)
10.303
98,149
Institutional Mechanisms of Recreation
(8)
10.652
6,986
Analysis of FY10 Illinois Forest Stewardship Plans
(8)
10.652
5,792
Jackson County Hazardous Fuels Reduction
(8)
10.664
31,650
Forest Stewardship Program
(8)
10.678
19,380
Characterization of the Nematode Fauna
(8)
10.680
9,833
Operation Bootstrap
(8)
10.773
63,925
952,492
Flow-Thru Grants and Contracts:
University of Arkansas:
Charcoal Rot Cultivar Evaluation
(8)
10.Unknown
82116-04
62,023
Charcoal Rot Cultivar Evaluation
(8)
10.Unknown
82116-04
23,616
85,639
Johnson County 2000, Inc.:
WSIU Public TV Expanded Coverage
10.Unknown
NA
200
University of Illinois:
Head Scab Management in Wheat
(8)
10.001
2009-03803-1
7,287
Illinois Department of Agriculture:
Developing Vine Balance Strategies
(8)
10.170
NA
25,347 SOUTHERN ILLINOIS UNIVERSITY CARBONDALE
SCHEDULE OF EXPENDITURES OF FEDERAL AWARDS
Year Ended June 30, 2011
See accompanying Notes to Schedule of Expenditures of Federal Awards
32
Federal CFDA/Grant/
Flow-Thru
Disbursements/
Federal Grantor/Pass Through Grantor/Program Title
Contract Number
Grantor's Number
Expenditures
Kansas State University:
Ecotypic Variation and Functional Response
(8)
10.206
S09009
53,808
Iowa State University:
An Analysis of the Impact of Biofuel
(8)
10.310
416-40-39A
2,613
Connecticut Agricultural Experiment Station:
Nanoparticle Contamination
(8)
10.310
CAES-AC-2011-05
17,655
Illinois State Board of Education:
School Meals Initiative
10.560
NA
85,970
School Meals Initiative
10.560
NA
73,885
School Meals Initiative
10.560
MY03841
9,627
Child and Adult Care Food Program
10.558
11-4226
239,246
408,728
Southern Illinois Coal Belt Champion Community:
Southern Illinois Microentrepreneur Planning
10.870
NA
38,071
639,348
Total U.S. Department of Agriculture
1,591,840
U.S. DEPARTMENT OF LABOR
Flow-Thru Grants and Contracts:
Illinois Department of Employment Security:
IDES Web Site Development
(5)
17.207
11C30
769,485
Illinois Department of Commerce and Economic Opportunity:
Illinois Worknet Transition
(3)
17.258
NA
11,398
Illinois Worknet Integration and Training
(3)
17.258
08-676001
1,774
Illinois Worknet Technical Support
(3)
17.258
08-676002
4,585
Illinois Worknet Integration and Training
(3)
17.258
09-676001
10,204
Illinois Worknet Integration and Training
(3)
17.259
09-676001
11,162
Illinois Worknet Integration and Training
(3)
17.260
09-676001
14,067
Illinois Worknet Technical Support
(3)
17.258
09-676002
51
Illinois Worknet Technical Support
(3)
17.259
09-676002
56
Illinois Worknet Technical Support
(3)
17.260
09-676002
69
Illinois Worknet Technical Support
(3)
17.258
10-676002
295,948
Illinois Worknet Technical Support
(3)
17.259
10-676002
319,339
Illinois Worknet Technical Support
(3)
17.278
10-676002
401,716 SOUTHERN ILLINOIS UNIVERSITY CARBONDALE
SCHEDULE OF EXPENDITURES OF FEDERAL AWARDS
Year Ended June 30, 2011
See accompanying Notes to Schedule of Expenditures of Federal Awards
33
Federal CFDA/Grant/
Flow-Thru
Disbursements/
Federal Grantor/Pass Through Grantor/Program Title
Contract Number
Grantor's Number
Expenditures
Illinois Worknet Integration and Training
(3)
17.258
10-676001
247,466
Illinois Worknet Integration and Training
(3)
17.259
10-676001
266,111
Illinois Worknet Integration and Training
(3)
17.278
10-676001
333,910
Disability Resources Web Site
17.267
10-114002
10,000
1,927,856
Total U.S. Department of Labor
2,697,341
U.S. DEPARTMENT OF DEFENSE
Direct Grants and Contracts:
XI International Workshop
(8)
12.DAAL03-87-G0110
495
Monitoring Population Status
(8)
12.W912HZ-07-2-0009
11,947
Spatial Assessment of Cumulative Vehicle Use
(8)
12.W9132T-08-2-0019
26,255
Assisted Migration as a Management Tool
(8)
12.SI-1692
182,190
Genetic Purity of 2010 Pallid Sturgeon
(8)
12.W9128F-10-M-G014
2,778
Evaluating Linkages Between Habitat and Pallid Sturgeon
(8)
12.W912HZ-10-2-0
206,849
2011 Missouri River Pallid Sturgeon Recruitment
(8)
12.W9128F-11M-G007
7,403
Evaluation of Native and Non Native Fishes
(8)
12.W912HZ-05-C-0031
13,526
Dynamic Loading on Composite
(8)
12.300
46,725
Vagus Nerve Stimulation
(8)
12.420
(21,759)
Solidago Vigaurea for Prostate
(8)
12.420
200,391
NF-KB Pathway in Lymphangiogenesis
(8)
12.420
2,621
Thromboxane A2
(8)
12.420
237,746
Genetic Selection for Microrna Targets
(8)
12.420
(1,185)
Pregnane X Receptor
(8)
12.420
17,560
ID of Micrornas that Regulate Estrogen
(8)
12.420
59,899
Exosome Mediated Microrna
(8)
12.420
105,836
Bone Marrow Derived Endothelial
(8)
12.420
(5,173)
Aldo-Keto Reductase
(8)
12.420
112,375
Identification of Metastatic Tumor
(8)
12.420
5,148
DCIS-Specific Microrna in Cancer
(8)
12.420
54,709
Venom of Tropical Predatory Ant
(8)
12.420
15,800
Nanog, Cancer Stem Cells
(8)
12.420
21,412
BMP7 Dormancy
(8)
12.420
46,707
Triple Negative Breast Cancer
(8)
12.420
13,739
Role of Microrna Editing in Breast Cancer
(8)
12.420
73,221
A Novel Therapy for Metastatic Melanoma
(8)
12.420
23,260
Tumor-Associated Macrophage
(8)
12.420
17,458
Identification of Dormant Stem Cell in Prostate Cancer
(8)
12.420
589
Adenosine A3 Receptor
(8)
12.420
47,100
Phase II Clinical Trials
(8)
12.420
45,558
Investigation to Understand Adaptation Mechanisms
(8)
12.431
(9,139) SOUTHERN ILLINOIS UNIVERSITY CARBONDALE
SCHEDULE OF EXPENDITURES OF FEDERAL AWARDS
Year Ended June 30, 2011
See accompanying Notes to Schedule of Expenditures of Federal Awards
34
Federal CFDA/Grant/
Flow-Thru
Disbursements/
Federal Grantor/Pass Through Grantor/Program Title
Contract Number
Grantor's Number
Expenditures
St Johns New Madrid Floodway Fishery
(8)
12.630
69,378
Maintenance of a Telemetry Fish Passage
(8)
12.630
255,382
Monitoring Responses of the Texas Horned Lizard
(8)
12.630
34,207
Rankin-Selberg Integrals
(8)
12.901
1,939
1,922,947
Flow-Thru Grants and Contracts:
University of California at Berkeley:
An Enzymatic Bioassay
(8)
12.Unknown
SA5362
26,810
ERC, Inc.:
Crack Growth Analysis
(8)
12.Unknown
RP020298
372
Academy of Applied Sciences:
Illinois Junior Science Symposium
12.Unknown
NA
15,955
Illinois Junior Science Symposium
12.630
NA
1,633
17,588
Wright State University:
A Molecular Modeling Approach
(8)
12.800
FA9550
7,811
52,581
Total U.S. Department of Defense
1,975,528
U.S. DEPARTMENT OF TRANSPORTATION:
Flow-Thru Grants and Contracts:
Aviation Management Consulting Group:
Business Planning for General Aviation Airports
(8)
20.Unknown
NA
25,737
GCR & Associates, Inc.:
Airport Safety Data Collection
20.Unknown
NA
46,876
National Airport Safety Data Collection
20.Unknown
NA
14,252
Airport Safety Data Collection Program
20.Unknown
NA
97,979
159,107
Illinois Department of Transportation:
Entry Road to SIUC Research Park
20.Unknown
HPP2658(102)
25
Building a Bridge for Young Minds
20.205
NA
39,792
Building a Bridge for Young Minds
20.205
NA
45,163
Summer Transportation Institute
20.205
NA
(105) SOUTHERN ILLINOIS UNIVERSITY CARBONDALE
SCHEDULE OF EXPENDITURES OF FEDERAL AWARDS
Year Ended June 30, 2011
See accompanying Notes to Schedule of Expenditures of Federal Awards
35
Federal CFDA/Grant/
Flow-Thru
Disbursements/
Federal Grantor/Pass Through Grantor/Program Title
Contract Number
Grantor's Number
Expenditures
ET2 for Construction Industry
20.205
NA
134,680
Building a Bridge for Young Minds
20.205
NA
51
Rural Medical Transportation Network
20.205
SIU-RMTN SPR-07
253,031
Building a Bridge for Young Minds
20.205
NA
(226)
Rural Medical Transportation Network
20.205
SPR-PL-3000(47)
2
Institute of Intelligent Systems
(8)
20.205
ITS-0517(109)
196,343
Southwestern Illinois Regional Occupant Protection
(9)
20.613
OP1-0865-0
88,027
Southwestern Illinois Regional Occupant Protection
(9)
20.613
OP0-0865-258
22,524
Think First
(9)
20.600
OP9-5480-224
303
Think First
(9)
20.600
OP0-5480-245
119,188
Think First
(9)
20.600
AL1-5480-253
234,297
Boost IL, Child Passenger Safety Program
(9)
20.613
BI0-5480-233
5,792
Boost IL, Child Passenger Safety Program
(9)
20.613
OP1-5480-067
5,917
1,144,804
Southern Illinois Airport Authority:
Safety Management System Implementation
20.106
NA
71,268
Total U.S. Department of Transportation
1,400,916
U.S. DEPARTMENT OF ENERGY
Direct Grants and Contracts:
Pilot Scale Facility
(8)
81.DE-AP26-98FT01504
410
Understanding Compound Phase Transitions
(8)
81.FG02-06ER46291
(2,804)
Equipment Request for the Belleville Center
(8)
81.DE-FG36-08GO88040
352,618
First Principles Based Simulation
(8)
81.041
126,668
High-Performance Networks
(8)
81.049
99,624
Professional Science Masters in Advanced Energy
81.049
158,232
Understanding Compound Phase Transitions
(8)
81.049
102,811
Risk Assessment and Monitoring
(5)
(8)
81.133
57,093
894,652
Flow-Thru Grants and Contracts:
West Kentucky Community and Technical College:
New Energy Workforce System
81.Unknown
NA
12,507
Gitech, LLC:
Phase I: Intelligent Mobile Agents
(8)
81.Unknown
NA
31,383
Argonne National Lab:
Metal Borides for Developing Superior Plates
(8)
81.DE-AC02-06CH11357
9F-32102
53,296 SOUTHERN ILLINOIS UNIVERSITY CARBONDALE
SCHEDULE OF EXPENDITURES OF FEDERAL AWARDS
Year Ended June 30, 2011
See accompanying Notes to Schedule of Expenditures of Federal Awards
36
Federal CFDA/Grant/
Flow-Thru
Disbursements/
Federal Grantor/Pass Through Grantor/Program Title
Contract Number
Grantor's Number
Expenditures
Advanced Resources International:
Changes in Coal Properties
(8)
81.DE-FE0001560
09FE007998
110,332
UT-Battelle, LLC:
Probing Phase Transitions
(8)
81.DE-AC058-000R22725
400091160
42,585
University of California at Berkeley:
Molecular Determinants of Community Activity
(8)
81.Unknown
683
78,601
Anaerobic Bio-Oxidation of Uraninite
(8)
81.049
5642-11568
75,300
153,901
Illinois Department of Commerce and Economic Opportunity:
Stone Center Geothermal Grant
(5)
81.041
09-468004
30,000
Wind Turbine Grant
(5)
81.041
09-462002
80,000
110,000
University of Nebraska:
Viral Mediation of Subsurface Communities
(8)
81.049
25-0506-0082-002
923
Iowa State University:
Expansion of Ethanol Production
(8)
81.087
404-40-89
81,607
Illinois Institute of Technology:
A World Class University Industry Consortium
(5)
(8)
81.087
SA405-0210-6757
82,362
University of Illinois:
Imaging and Modeling of CO2 Flow
(8)
81.089
2005-05060-24
68,445
Contaminant Burdens & Abundance of Turtles
(8)
81.104
P02-129-0800019241
478
68,923
747,819
Total U.S. Department of Energy
1,642,471
U.S. DEPARTMENT OF COMMERCE
Direct Grants and Contracts:
The Role of Seedbanks in Coastal Vegetation
(8)
11.420
17,222
Use of Alternative Lipid Sources
(8)
11.427
94,976
112,198
Flow-Thru Grants and Contracts:SOUTHERN ILLINOIS UNIVERSITY CARBONDALE
SCHEDULE OF EXPENDITURES OF FEDERAL AWARDS
Year Ended June 30, 2011
See accompanying Notes to Schedule of Expenditures of Federal Awards
37
Federal CFDA/Grant/
Flow-Thru
Disbursements/
Federal Grantor/Pass Through Grantor/Program Title
Contract Number
Grantor's Number
Expenditures
Illinois Department of Commerce and Economic Opportunity:
Small Business Development Center
11.Unknown
10-801125
747
Partnership for a Connected Illinois:
Replacement of Fish Meal
(5)
(8)
11.417
2006-02560-07
41,854
Bradley University:
Manufacturing Extension-NIST
11.611
NA
172,630
Manufacturing Extension-NIST
11.611
NA
747,927
920,557
University of Illinois:
Increasing the Availability of Veterinarians
(8)
11.417
2006-02560-07
9,999
Replacement of Fish Meal
(8)
11.417
2006-02560-07
2,062
12,061
975,219
Total U.S. Department of Commerce
1,087,417
U.S. DEPARTMENT OF THE INTERIOR
Direct Grants and Contracts:
Special Wildlife Studies
(8)
15.Unknown
11,103
Status of Paddlefish
(8)
15.301816J229
15,002
Scaphirhynchus Sturgeion Genetic Analysis
(8)
15.608
47
Habitat and Wildlife Research
(8)
15.608
58
Pre Listing Assessment of Illinois Chorus Frog
(8)
15.650
14,627
Development of Single Markers
(8)
15.808
(2,412)
Pesticide Tolerance in Native Frogs
(8)
15.808
2,681
Visitor Related Impacts
(8)
15.916
75,268
116,374
Flow-Thru Grants and Contracts:
Simon Fraser University:
Refining Marine Contaminant Studies
(8)
15.Unknown
NA
5,000
Illinois Department of Natural Resources:
Public Service Chemistry Internship Program
15.252
6084004
8,618
Comprehensive Assessment of a Commercial Fishery
(8)
15.608
CAFWS-74
725,038 SOUTHERN ILLINOIS UNIVERSITY CARBONDALE
SCHEDULE OF EXPENDITURES OF FEDERAL AWARDS
Year Ended June 30, 2011
See accompanying Notes to Schedule of Expenditures of Federal Awards
38
Federal CFDA/Grant/
Flow-Thru
Disbursements/
Federal Grantor/Pass Through Grantor/Program Title
Contract Number
Grantor's Number
Expenditures
Reducing and Controlling Asian Carp Populations
(7)
15.611
CAFWS-74
15,320
Bobwhite Quail Life
(7)
15.611
R90470190
(17)
Ecology of White Tailed Deer
(7)
15.611
W-087-R-32
6,298
Cooperative Upland Wildlife Research and Surveys
(7)
15.611
W-106-R-20
4,812
Cooperative Fur-Bearing
(7)
15.611
W-135-R-11
1,733
Population Assessment of Golden Mice
(7)
15.611
W-135-R-11
-
Cooperative Fur-Bearing
(7)
15.611
W135R12
111,242
Cooperative Upland Wildlife Research and Surveys
(7)
15.611
W106R21
169,220
Ecology of White Tailed Deer
(7)
15.611
W087R33
175,299
Population Assessment of Golden Mice
(7)
15.611
W135R12
18,879
Duck Distribution and Habitat
(7)
15.611
W-158-R-1
101,222
Illinois Wetlands Campaign Planning
(7)
15.611
NA
55,098
Large Carnivores in Illinois
(7)
15.611
W163-R1
16,383
Demonstrating the Benefits of In-Stream Restoration
(8)
15.634
T-51-D-1
(783)
Survey for the Pathogen Batrachochytrium
(8)
15.634
T-56-R-1
52,480
Illinois Conservation Opportunity Areas
(8)
15.634
T-55-P-1
125,900
Demonstrating the Benefits of Stream Reconnection
(8)
15.634
T-66-R-1
81,422
1,668,164
University of California at Berkeley:
Sources of Pyrethroid Insecticides
(8)
15.512
7451
11,169
Kentucky Department of Fish and Wildlife Resources:
Description and Geography of Restricted Range
(8)
15.608
266009000235271
853
Description and Geography of Restricted Range
(8)
15.608
266010000033671
26,277
27,130
North Dakota Game and Fish:
Influence of Habitat Types on Waterfowl
(8)
15.634
T2-10-R
9,141
Southeastern Regional Planning and Development Commission:
Prescribed Burning Effectiveness Monitoring
(8)
15.634
NA
20,356
1,740,960
Total U.S. Department of the Interior
1,857,334
U.S. DEPARTMENT OF HOMELAND SECURITY
Flow-Thru Grants and Contracts:
Illinois Emergency Management Agency:
Disaster Grants-Public Assistance
97.036
NA
789,588
Earthquake Hazard Mitigation
97.039
DR-1633-IL
22,168
Southern Illinois Multi-Hazard Mitigation
97.039
NA
32,064
843,820 SOUTHERN ILLINOIS UNIVERSITY CARBONDALE
SCHEDULE OF EXPENDITURES OF FEDERAL AWARDS
Year Ended June 30, 2011
See accompanying Notes to Schedule of Expenditures of Federal Awards
39
Federal CFDA/Grant/
Flow-Thru
Disbursements/
Federal Grantor/Pass Through Grantor/Program Title
Contract Number
Grantor's Number
Expenditures
Christian County:
Illinois Multi-Hazard Mitigation Planning
97.039
NA
18,601
Fulton County:
Illinois Multi-Hazard Mitigation Planning
97.039
NA
19,941
Macoupin County:
Illinois Multi-Hazard Mitigation Planning
97.047
NA
50,598
Schuyler County:
Illinois Multi-Hazard Mitigation Planning
97.047
NA
51,413
Menard County:
Illinois Multi-Hazard Mitigation Planning
97.047
NA
46,456
Kendall County:
Illinois Multi-Hazard Mitigation Planning
97.047
NA
40,234
Knox County:
Illinois Multi-Hazard Mitigation Planning
97.047
NA
20,049
McDonough County:
Illinois Multi-Hazard Mitigation Planning
97.047
NA
51,810
299,102
Total U.S. Department of Homeland Security
1,142,922
LIBRARY OF CONGRESS
Direct Grants and Contracts:
Teaching with Primary Sources
42.Unknown
GA07C0058
203,841
Total Library of Congress
203,841
U.S. SMALL BUSINESS ADMINISTRATION
Direct Grants and Contracts:
Southern Illinois Research Park Building #3
59.9200700Z0069A
244,981
244,981
Flow-Thru Grants and Contracts:
Illinois Department of Commerce and Economic Opportunity:SOUTHERN ILLINOIS UNIVERSITY CARBONDALE
SCHEDULE OF EXPENDITURES OF FEDERAL AWARDS
Year Ended June 30, 2011
See accompanying Notes to Schedule of Expenditures of Federal Awards
40
Federal CFDA/Grant/
Flow-Thru
Disbursements/
Federal Grantor/Pass Through Grantor/Program Title
Contract Number
Grantor's Number
Expenditures
Small Business Development Center
59.037
10-561125
66,250
Small Business Development Center
59.037
11-181125
47,500
Small Business Development Center
59.037
11-081125
28
113,778
Total U.S. Small Business Administration
358,759
U.S. AGENCY FOR INTERNATIONAL DEVELOPMENT
Flow-Thru Grants and Contracts:
New Mexico State University:
Afghanistan Water Agriculture
98.306-A-00-08-00506
Q01125
408,874
Total U.S. Agency for International Development
408,874
NATIONAL FOUNDATION ON THE ARTS AND THE HUMANITIES
Direct Grants and Contracts:
Presenting Illinois' Selection of the Vogel Collection
45.024
6,230
Taking the Arts on the Road
45.024
3,959
Southern Illinois Music Festival Klassics
45.024
9,091
21st Century Collection Management Initiative
45.301
953
20,233
Total National Foundation on the Arts and the Humanities
20,233
NATIONAL AERONAUTICS AND SPACE ADMINISTRATION
Direct Grants and Contracts:
NASA Wings Summer Camp
43.NNX10AK39G
13,795
Total National Aeronautics and Space Administration
13,795
U.S. DEPARTMENT OF JUSTICE
Direct Grants and Contracts:
Homeland Security in Small Law Enforcement
(8)
16.560
47,191
47,191
Flow-Thru Grants and Contracts:
City of Carbondale, Illinois:SOUTHERN ILLINOIS UNIVERSITY CARBONDALE
SCHEDULE OF EXPENDITURES OF FEDERAL AWARDS
Year Ended June 30, 2011
See accompanying Notes to Schedule of Expenditures of Federal Awards
41
Federal CFDA/Grant/
Flow-Thru
Disbursements/
Federal Grantor/Pass Through Grantor/Program Title
Contract Number
Grantor's Number
Expenditures
Domestic Violence Clinic
16.2009-WE-AX-0044
NA
4,535
Land of Lincoln Legal Assistance Foundation Inc.:
Legal Assistance to Victims
16.Unknown
NA
18,962
Eastern Illinois University:
Underage Alchohol Prevention Program
16.727
10-06
8,500
Underage Alchohol Prevention Program
16.727
11.07
7,500
16,000
Illinois Criminal Justice Information Authority:
Student Perceptions of Campus Safety
(8)
16.Unknown
NA
528
A Systematic Evaluation of Pulling Levers
(8)
16.Unknown
NA
37,004
37,532
Illinois State Police:
Bullet Proof Vest Partnership Grant
16.607
NA
3,119
80,148
Total U.S. Department of Justice
127,339
U.S. ENVIRONMENTAL PROTECTION AGENCY
Direct Grants and Contracts:
Assessment of Sealed Off Areas
(8)
66.034
71,086
71,086
Flow-Thru Grants and Contracts:
University of California at Berkeley:
Reducing Unexplained Toxicity
(8)
66.114
SA5768-77094
9,681
Iowa State University:
Biofuel Feedstock Landscape Coverage
(8)
66.511
459-40-12
10,406
Illinois Emergency Management Agency:
Radon Risks and Your Patients
66.032
K1-99501818-0
13,584
State Indoor Radon Grant
66.032
11SIUSCI (RADON)
2,773
16,357
Illinois Environmental Protection Agency:
Southern Illinois University Intensive Basin
(8)
66.605
FW-9307
8,188
44,632
Total U.S. Environmental Protection Agency
115,718 SOUTHERN ILLINOIS UNIVERSITY CARBONDALE
SCHEDULE OF EXPENDITURES OF FEDERAL AWARDS
Year Ended June 30, 2011
See accompanying Notes to Schedule of Expenditures of Federal Awards
42
Federal CFDA/Grant/
Flow-Thru
Disbursements/
Federal Grantor/Pass Through Grantor/Program Title
Contract Number
Grantor's Number
Expenditures
U.S. DEPARTMENT OF STATE
Flow-Thru Grants and Contracts:
Study of the US Institute
19.S-ECAAE-08-CA-053
3957-02-02
75
Study of the US Institute
19.S-ECAAE-10-CA-114
4310-02-01
59,341
Study of the US Institute
19.S-ECAAE-10-CA-114
4310-02-01
53,120
Total U.S. Department of State
112,536
U.S. DEPARTMENT OF HOUSING AND URBAN DEVELOPMENT
Flow-Thru Grants and Contracts:
Illinois Department of Public Health:
HOPWA/IL Care Connect
14.241
05780437
15,667
HOPWA FY10
14.241
05780418
27,514
Total U.S. Department of Housing and
Urban Development
43,181
TOTAL FEDERAL ASSISTANCE
77,939,394$ SOUTHERN ILLINOIS UNIVERSITY EDWARDSVILLE
SCHEDULE OF EXPENDITURES OF FEDERAL AWARDS
Year Ended June 30, 2011
See accompanying Notes to Schedule of Expenditures of Federal Awards
43
Federal CFDA/Grant/
Flow-Thru
Disbursements/
Federal Grantor/Pass Through Grantor/Program Title
Contract Number
Grantor's Number
Expenditures
U.S. DEPARTMENT OF EDUCATION
Direct Grants and Contracts:
Talent Search-CM 06/10-USDE
(6)
84.044
PO44A060116/
216,010$
Talent Search 07/11
(6)
84.044
P044A070125
221,461
Upward Bound -BEV FY09
(6)
84.047
PO47A080489
276,736
Upward Bound-EC 08/12
(6)
84.047
P047A080484
495,965
Upward Bound Math and Science 08/12
(6)
84.047
P047m080163
278,832
Child Care Access Means Parents in Schools
84.335
P335A090238
77,383
SIAM Center Capability Enhancement-USDE
(8)
84.116
P116Z090135
23,148
1,589,535
Financial Assistance:
Federal Work Study 2011
(1)
84.033
P033A101286
440,268
National Smart Grant - FY10/11
(1)
84.376
P376S100116
130,500
Academic Competitiveness Grant-FY2011
(1)
84.375
P375A100116
311,457
Federal Pell Grant Program FY2010
(1)
84.063
P063P100116
16,351,771
Federal SEOG
(1)
84.007
P007A101286
287,123
Teach Grant -FY10/11
(1)
84.000
P379T110116
64,802
17,585,921
Flow-Thru Grants and Contracts:
St. Clair County Regional Office of Education
People and Places: Our Story of Freedom, Liberty and Equality
(8)
84.000
78-499905-6000-314-02
24,317
East St. Louis School District #189
Back to Basics Transition to Teaching(BTBT3)
84.350
U350A090046A/30003143501
62,849
Illinois State Board of Education
Mathematics and Science Leadership Initiative 2(MASLI12-SM)
84.366
4936-70-41-057-029P-00
184,776
Early Intervening Services and Responses-ISBE/USDE
(8)
84.027
IDEA4631RC
179,503
364,279
Illinois Board of Higher Education
Students Learning Science through a Sustained Network of Teachers
84.336
2010 NCLB
243,890
Students Learning Science through a Sustained Network of Teachers
84.336
2011 NCLB
25,623
Hands on Science: Improving Science Teacher Quality
84.367
4,858
274,371
Illinois Community College Board
SIPDC FY10/11
84.002
AEL11005
391,071
SIPDC FY 09/10
84.002
AEL10005
15,352
Index of Need - FY2011
84.002
AEL11001
28,109
Index of Need FY2010
84.002
AEL10001
974
SIPDC WIA Adult Education FY2010
84.002
WIASCN02
2,244
437,750SOUTHERN ILLINOIS UNIVERSITY EDWARDSVILLE
SCHEDULE OF EXPENDITURES OF FEDERAL AWARDS
Year Ended June 30, 2011
See accompanying Notes to Schedule of Expenditures of Federal Awards
44
Federal CFDA/Grant/
Flow-Thru
Disbursements/
Federal Grantor/Pass Through Grantor/Program Title
Contract Number
Grantor's Number
Expenditures
National Writing Project Corp./University of California
Piasa Bluffs Writing Project
84.000
#08-IL06
63,092
Higher Education Consortium
Educational Opportunity Center - 09/10
(6)
84.066
22,409
1,249,067
Total U.S. Department Of Education
20,424,523
U.S. DEPARTMENT OF HEALTH AND HUMAN SERVICES
Direct Grants and Contracts:
Nurse Anesthetist Training 10/11
93.124
2 A22HPO7388-05-00
23,400
Advanced Education Nurse Traineeship 10/11
93.358
2 A10HP008265-04-00
43,303
St. Clair Head Start 09/10
(2)
93.600
05CH5228/27
17,930
ARRA-Early Head Start Quality Improvement 09/10
(2)
(5)
93.708
05SE5228/01
45,080
ARRA-Head Start Quality Improvement 09/10
(2)
(5)
93.708
05SE5228/01
381,435
ARRA-ESL Head Start-COLA 09/10
(2)
(5)
93.708
05SE5228/01
26,414
ARRA-Early Head Start COLA FY09/10
(2)
(5)
93.708
05SE5228/01
1,398
ARRA-Early Head Start Expansion Start-Up
(2)
(5)
93.708
05SH5228/01
395,326
ARRA Early Head Start Expansion T&TA
(2)
(5)
93.708
05SH5228/01
13,190
ESL St. Clair Head Start Base Oper. FY10/11
(2)
93.600
05CH5228/28
6,921,233
St. Clair Head Start T/TA FY 10/11
(2)
93.600
05CH5228/28
73,537
St. Clair Early Head Start Oper FY10/11
(2)
93.600
05CH5228/28
1,040,630
St. Clair Early Head Start T/TA FY10/11
(2)
93.600
05CH5228/28
26,220
Project S.N.A.P. Student Nurse Achievement Program
93.178
D19HP19030-01-00
195,250
Establishment of a SIUE Regional Nursing Program
93.888
D1DHP20360-01-00
294,814
2011-2012 Head Start Base Operating Grant
(2)
93.600
05CH5228/29
1,854,064
2011-2012 Head Start T/TA
(2)
93.600
05CH5228/29
13,109
2011-2012 Early Head Start Base Grant
(2)
93.600
05CH5228/29
318,630
2011-2012 Early Head Start T/TA
(2)
93.600
05CH5228/29
2,656
Investigating the Role of ATG1
(8)
93.390
1r15ns063315-01
13,876
Exercise Dose and Nonalcoholic Fatty Liver Disease
(8)
93.848
7K01DK078738-03
110,406
ARRA:Investigating the Role of ATG1 in the Regulation of Glutamate
(5)
(8)
93.701
3R15NS063315-01S1
7,823
Somatostatin Agonist Treatment for Cognitive Aging and Dementia
(8)
93.866
1R21AG029318-01A2
182,762
ARRA Targeting the Relief of Chronic Pain with Orally Active Peroxynitrite Decomposition
(5)
(8)
93.701
1RC1AR058231-01
447,917
Ruth L. Kirschstein National Research Service Award-NIH
(8)
93.000
1F32NR012389-01
48,444
EB1 Protein: Regulator of Actin Protrusion and Cell Motility
(8)
93.859
1R15GM093288-01A1
5,645
ARRA NIDDKExercise Dose and Non Fatty Liver Disease-Supplement
(5)
(8)
93.701
3K01DK078738-04S1
41
12,504,533
Financial Assistance:
Health Professions Student Loans
(1)
93.342
E11HP14836
11,227
Flow-Thru Grants & Contracts:
Illinois Department of Children and Family ServicesSOUTHERN ILLINOIS UNIVERSITY EDWARDSVILLE
SCHEDULE OF EXPENDITURES OF FEDERAL AWARDS
Year Ended June 30, 2011
See accompanying Notes to Schedule of Expenditures of Federal Awards
45
Federal CFDA/Grant/
Flow-Thru
Disbursements/
Federal Grantor/Pass Through Grantor/Program Title
Contract Number
Grantor's Number
Expenditures
Project Success 09/10
93.667
Provider#075226
1,575
Project Success 10/11
93.667
Provider#075226
248,504
250,079
Illinois Department of Health and Human Services
Child Care and Development Blk Grant
93.575
0100149GL
870
Lewis and Clark Community College
Evaluation of Lewis and Clark Nursing Program
(8)
93.359
25,716
Southern Illinois University Carbondale
Live Free-Tobacco Free-SIUC/IDPH
93.283
23086-7603Z
44
Stoecker and Associates
Automatic Detection of Critical Dermascopy Features
(8)
93.000
SBIR-NIH
11,747
Washington University
Development Phase 1: Tobacco Use in Pregnancy and Psychiatric Disorder
(8)
93.389
CTSA201/5 UL1 RR024992-03(NIH)
2,366
St. Louis University
National Children's Study-St. Louis City Site
(8)
93.847
HHSN267200700033C
149,154
National Children's Study-Macoupin County Site
(8)
93.847
HHSN26720070033C
59,833
Jefferson County/Gateway Study Ctr-NCS Grant
(8)
93.847
HHSN275200800023C
1,029
210,016
Lessie Bates Davis Neighborhood House
TANF/Low Income Scholarship Fy2010
93.000
329,366
Madison County Probation And Court Services Department
Madison County Illinois Drug Court Treatment Enhancement
93.243
1H79T1021891-01
38,706
868,910
Total U.S. Department of Health and Human Services
13,384,670
NATIONAL SCIENCE FOUNDATION
Direct Grants and Contracts:
Creating Educational Opportunities Through Partnerships-NSF
47.076
DUE-0806608
157,412
Spectroscopy of Pd and Pt Catalytic Mimetics-NSF
(8)
47.049
CHE-0612931
31,220
Collaborative Project Gemini SPM
(8)
47.076
DUE-0633186
240
RUI Collaborative Research-Analysis of Optimal and Suboptimal Controls
(8)
47.049
DMS-0707404
16,783
Collaborative Research: Phylogeography, Ecology
(8)
47.074
DEB-0716964
53,846
Collaborative Research: Novel 3D Nanocomposites
(8)
47.041
CMMI0757547
13,599
Commonsense Computing: What Students Should Know Before We Teach
(8)
47.076
DUE-0736958
7,246
MRI: Acquisition of an EPR Spectrometer for Teaching & Research
(8)
47.049
CHE-0821082
1,276SOUTHERN ILLINOIS UNIVERSITY EDWARDSVILLE
SCHEDULE OF EXPENDITURES OF FEDERAL AWARDS
Year Ended June 30, 2011
See accompanying Notes to Schedule of Expenditures of Federal Awards
46
Federal CFDA/Grant/
Flow-Thru
Disbursements/
Federal Grantor/Pass Through Grantor/Program Title
Contract Number
Grantor's Number
Expenditures
Collaborative Research:A Disciplinary Commons in Computing Education-NSF
(8)
47.076
DUE-0817254
5,786
Regional Collaboration to Improve Science Content-NSF
(8)
47.076
DUE-0837417
35,098
Collaborative Research: Shifting Paradigms
(8)
47.075
SES-0849170
19,776
ARRA-Collaborative Research:Efficient Experimentation for Product and Process Reliabiliity
(5)
(8)
47.082
CMMI-0928046
34,990
Isothermal Calorimetry in Physical Chemistry and Biochemistry
(8)
47.076
DUE-0941517
58,253
ARRA-MRI-R2 Acquisition of Raman and Infrared Microscopes
(5)
(8)
47.082
DMR0960177
572,533
Giving the Zoo Universe a Face
(8)
47.079
AST-0958508
34,244
Collaborative Research: BPC-DP Using Auditory Programming
(8)
47.070
CNS-0940521
134,681
RUI: Collab Res: Optimal Control of Multi-Input Mathematical Models
(8)
47.049
DMS-1008221
41,515
Laying the Groundwork: Status of Women
(8)
47.076
HRD-1008696
50,534
MRI: Major Components for Constructing Supply Chain Test-Bed
(8)
47.041
CMMI-1039936
184,508
Assay Development for a Biosensor-NSF
(8)
47.041
EEC-0538739/IIP-0538739
93
U.S.-Israel Workshop:Mathematical Methods in System Biology
(8)
47.079
OISE-0929596
1,735
Biosolids on Agricultural Land-NSF
(8)
47.041
CBET/BES-0553322
446
1,455,814
Flow-Thru Grants and Contracts:
Chicago State University
Increasing the Minority Scientist Pool:ILSAMP Phase IV
47.076
HRD-0904024
20,965
Road Narrows , LLC
SBIR/STTR Phase II:General Robotic Controller
(8)
47.000
IIP-0848762
34,882
Blended Integrated Circuit Systems, LLC
ARRA Blendics Phase II STTR
(5)
(8)
47.082
WU-004457/IIP-0924010
15,565
Adler Planetarium
Investigating Audience Engagement with Citizen Science
(8)
47.076
DRL-0917608/1941-IAECS-02
20,214
Zoo Universe US-UK Planning Meeting
(8)
47.079
OISE-0937322
461
ARRA CDI-TYPE II: Zoo Universe-Conquering the Data Flood
(5)
(8)
47.082
1266-CDIZCDF-02
6,525
27,200
University Of Oklahoma
Redox Behavior of Heme-NO Models
(8)
47.049
CHE-0911537/sub#2010-16
67,612
166,224
Total National Science Foundation
1,622,038
U.S. DEPARTMENT OF AGRICULTURE
Direct Grants and Contracts:
ARS/Ethanol Research Agreement 58-0200-9-185
(8)
10.001
58-0200-9-185
206,482
Flow-Thru Grants and Contracts:
Illinois State Board of EducationSOUTHERN ILLINOIS UNIVERSITY EDWARDSVILLE
SCHEDULE OF EXPENDITURES OF FEDERAL AWARDS
Year Ended June 30, 2011
See accompanying Notes to Schedule of Expenditures of Federal Awards
47
Federal CFDA/Grant/
Flow-Thru
Disbursements/
Federal Grantor/Pass Through Grantor/Program Title
Contract Number
Grantor's Number
Expenditures
Head Start - Food Service-ISBE
10.558
41-057-029P-00
442,846
Project Success-Food Service - ISBE
10.558
30,083
ECC Food Program - ISBE
10.558
28,523
PALS - Food Service - ISBE
10.558
15,400
Summer Food Prog.
10.558
41-057-029P-00
9,861
School Lunch 99/07
10.558
41-057-029P-00
26,611
TRIO Food Program
10.558
Site # 43557
15,458
568,782
Total U.S. Department of Agriculture
775,264
U.S. DEPARTMENT OF LABOR
Flow-Thru Grants and Contracts:
Illinois Community College Board
SIPDC Professional Development Center FY2009
(3)
17.259
SG AEManu
46,000
SIPDC WIA Adult Education FY2010
17.267
SG AE
44,920
90,920
Madison County Employment & Training Department
ARRA Vocational Training Agreement-Madison County
(3)
(5)
17.258/17.260
2009-24-84
119,061
Total U.S. Department of Labor
209,981
U.S. DEPARTMENT OF DEFENSE
Direct Grants and Contracts:
Spatially Explicit Assessments-SERDP
(8)
12.300
W912HQ-06-P-0053
18
Flow-Thru Grants and Contracts:
Washington University
Development of a Digital Interface for PSD8C Chip
(8)
12.000
W
WU-HT-09-40/DE-AC52-06
61,066
Streamline Automation, LLC
STTR: Fusion of a Real Time Analytical Model with Facility Control System
(8)
12.000
FA9505-10-C-0137/1065-L
36,948
98,014
Total U.S. Department of Defense
98,032
U.S. DEPARTMENT OF TRANSPORTATION
Flow-Thru Grants and Contracts:
University of Illinois
Development of a Highway Incident Management Operational and Training Guide
(8)
20.000
2008-04435-12
62,176
Clemson University
Evaluation of Communication Alternatives
(8)
20.000
1421-223-2006586
546SOUTHERN ILLINOIS UNIVERSITY EDWARDSVILLE
SCHEDULE OF EXPENDITURES OF FEDERAL AWARDS
Year Ended June 30, 2011
See accompanying Notes to Schedule of Expenditures of Federal Awards
48
Federal CFDA/Grant/
Flow-Thru
Disbursements/
Federal Grantor/Pass Through Grantor/Program Title
Contract Number
Grantor's Number
Expenditures
Illinois Department of Transportation
Investigation of Contributing Factors -Wrong Way Driving on Freeways
(8)
20.205
2008-04435-22
74,795
Southern Illinois University Carbondale
Summer Transportation Institute
(8)
20.205
SIUC 10-38
23,188
Total U.S. Department of Transportation
160,705
U.S. DEPARTMENT OF COMMERCE
Direct Grants and Contracts:
EDA-Economic Development Administration-DOC
(8)
11.303
06-66-05311
171,610
Total U.S. Department of Commerce
171,610
U.S. DEPARTMENT OF THE INTERIOR
Direct Grants and Contracts:
Examining Hybridization Relationships
(8)
15.608
301818J219
440
Flow-Thru Grants and Contracts:
Illinois Department of Natural Resources
Mine Subsidence Project Aide
15.252
N/A
994
Subsidence Monitoring Response Team FY10/13
(8)
15.252
AML-GSwA-2010D
113,090
Mine Map Preservation Implementation Project FY10-13
(8)
15.252
AML-GSWA-0010E
253,268
Subsidence Monitoring Response Team-IDNR FY10
(8)
15.252
AML-GSwA-0900D
7,929
Mine Map Preservation Implementation Project 07-10
(8)
15.252
AML-GSwA-0700E
41,092
416,373
Total U.S. Department of the Interior
416,813
LIBRARY OF CONGRESS
Direct Grants and Contracts:
Teaching w/ Primary Resources-LOC
42.006
00G-LIB-ND001
201,264
Total Library of Congress
201,264
U.S. SMALL BUSINESS ADMINISTRATION
Flow-Thru Grants and Contracts:
Illinois Department of Commerce and Economic Opportunity
SBDC/ITC 10-805126
59.037
10-805126
47,250
Small Business Development Centers SBDC 05-FY11
59.037
11-801126
66,763
114,013SOUTHERN ILLINOIS UNIVERSITY EDWARDSVILLE
SCHEDULE OF EXPENDITURES OF FEDERAL AWARDS
Year Ended June 30, 2011
See accompanying Notes to Schedule of Expenditures of Federal Awards
49
Federal CFDA/Grant/
Flow-Thru
Disbursements/
Federal Grantor/Pass Through Grantor/Program Title
Contract Number
Grantor's Number
Expenditures
Total U.S. Small Business Administration
114,013
NATIONAL AERONAUTICS AND SPACE ADMINISTRATION
Direct Grants and Contracts:
The Universal Zoo:Citizen Science - NASA
(8)
43.000
NNX09AD34G
128,469
Flow-Thru Grants and Contracts:
Illinois Space Grant Consortium (NASA)
ISGC Scholarships and Fellowships 2010/2011
43.000
2010-04000-01 A2154
27,964
University Of Illinois
SIUE Automated Observatory
(8)
43.000
2005-03386-10/A5868
2,870
South West Research Institute
Ice Hunters for New Horizons
(8)
43.000
D99037LM/NASW-02008
661
31,495
Total National Aeronautics and Space Administration
159,964
U.S. DEPARTMENT OF HOUSING AND URBAN DEVELOPMENT
Flow-Thru Grants and Contracts:
Community Development Black Grant
Youth in Arts FY10/11
14.218
HUD
24,159
Total U.S. Department of Housing and Urban Development
24,159
NATIONAL ENDOWMENT FOR THE HUMANITIES
Direct Grants and Contracts:
Abraham Lincoln and the Forging of Modern America-NEH
45.163
BH-50308-09
90,984
2011 Abraham Lincoln and the Forging of Modern America II-NEH
45.163
BH-50362-10
59,019
Documenting Edo North Languages-NEH
(8)
47.075
PD-50004-06
1,215
151,218
Flow-Thru Grants and Contracts:
Illinois Humanities Council
The African American Mixed Media Poetry Project
45.129
4676
1,744
Illinois Arts Council
Youth Arts FY10/11
45.000
20101538, SPECIAL
1,250
2,994
Total National Endowment for the Humanities
154,212SOUTHERN ILLINOIS UNIVERSITY EDWARDSVILLE
SCHEDULE OF EXPENDITURES OF FEDERAL AWARDS
Year Ended June 30, 2011
See accompanying Notes to Schedule of Expenditures of Federal Awards
50
Federal CFDA/Grant/
Flow-Thru
Disbursements/
Federal Grantor/Pass Through Grantor/Program Title
Contract Number
Grantor's Number
Expenditures
U.S. POSTAL SERVICE
Direct Grants and Contracts:
S.I.U. Branch Post Office
287140-90-P-0079
2,864
Total U.S. Postal Service
2,864
TOTAL FEDERAL ASSISTANCE
37,920,112$
Subtotal of Non Major Clusters:
(6) TRIO Cluster Total Expenditures of $2,508,244
(7) Fish and Wildlife Cluster Total Expenditures of $675,489
(8) Research and Development Cluster Total Expenditures of $26,095,594
(9) Highway and Safety Cluster Total Expenditures of $476,048STATE OF ILLINOIS
SOUTHERN ILLINOIS UNIVERSITY
NOTES TO SCHEDULE OF EXPENDITURES OF FEDERAL AWARDS
Year ended June 30, 2011
51
NOTE A – BASIS OF PRESENTATION
The accompanying schedule of expenditures of federal awards includes the federal grant activity of Southern Illinois University (the “University”) and is presented on the accrual basis of accounting. The information in this schedule is presented in accordance with the requirements of OMB Circular A-133, Audits of States, Local Governments, and Non-Profit Organizations. Therefore, some amounts presented in this schedule may differ from amounts presented in, or used in the preparation of, the basic financial statements.
NOTE B – STUDENT LOAN PROGRAMS ADMINISTERED BY THE UNIVERSITY
The University administered the following federal loan programs during the year ended June 30, 2011: Carbondale Edwardsville Total
Perkins Loan Program CFDA #84.038
Outstanding balance, July 1, 2010 $ 14,869,538 $ 2,325,090 $ 17,194,628
Additions:
Interest income 235,478 70,009 305,487
Decrease in provision for notes receivable - 16,948 16,948
Total additions 235,478 86,957 322,435
Deductions:
Loans canceled or written-off, net 88,110 15,119 103,229
Administrative charges 131,638 72,500 204,138
Increase in provision for notes receivable 136,518 - 136,518
Total deductions 356,266 87,619 443,885
Outstanding balance, June 30, 2011 $ 14,748,750 $ 2,324,428 $ 17,073,178STATE OF ILLINOIS
SOUTHERN ILLINOIS UNIVERSITY
NOTES TO SCHEDULE OF EXPENDITURES OF FEDERAL AWARDS
Year ended June 30, 2011
52
NOTE B – STUDENT LOAN PROGRAMS ADMINISTERED BY THE UNIVERSITY
(Continued) Carbondale Edwardsville Total
Nursing Student Loan Program CFDA #93.364
Outstanding balance, July 1, 2010 $ - $ 4,847 $ 4,847
Additions:
Interest income - 115 115
Decrease in provision for notes receivable - 708 708
Total additions - 823 823
Deductions:
Loans canceled or written off, net - - -
Total deductions - - -
Outstanding balance, June 30, 2011 $ - $ 5,670 $ 5,670
Health Professionals Loan Program
CFDA #93.342
Outstanding balance, July 1, 2010 $ 1,393,147 $ 390,541 $ 1,783,688
Additions:
Interest income 23,029 9,510 32,539
Other - 12,474 12,474
Total additions 23,029 21,984 45,013
Deductions:
Refunds to grantor 302,289 - 302,289
Increase in provision for notes receivable (2,467) 15,480 13,013
Total deductions 299,822 15,480 315,302
Outstanding balance, June 30, 2011 $ 1,116,354 $ 397,045 $ 1,513,399STATE OF ILLINOIS
SOUTHERN ILLINOIS UNIVERSITY
NOTES TO SCHEDULE OF EXPENDITURES OF FEDERAL AWARDS
Year ended June 30, 2011
53
NOTE B – STUDENT LOAN PROGRAMS ADMINISTERED BY THE UNIVERSITY
(Continued) Carbondale Edwardsville Total
Disadvantaged Student Loan Program
CFDA #93.342
Outstanding balance, July 1, 2010 $ 168,247 $ 699 $ 168,946
Additions:
Interest income 3,125 - 3,125
Deductions:
Refund to grantor - 699 699
Increase in provision for notes receivable 2,772 - 2,772
Total deductions 2,772 699 3,471
Outstanding balance, June 30, 2011 $ 168,600 $ - $ 168,600
The above deductions include disbursements and expenditures such as loans to students and administrative expenditures.
NOTE C – FEDERAL DIRECT STUDENT LOAN PROGRAM CFDA #84.268:
During the fiscal year ended June 30, 2011, the University processed the following amounts of non-cash federal awards in the form of loans under the Federal Direct Student Loan Program (which includes Stafford Loans, Parents’ Loans for Undergraduate Students, and Supplemental Loans for Students): Carbondale Edwardsville Total
Year ended June 30, 2011 $ 132,474,480 $ 93,980,847 $ 226,455,327STATE OF ILLINOIS
SOUTHERN ILLINOIS UNIVERSITY
NOTES TO SCHEDULE OF EXPENDITURES OF FEDERAL AWARDS
Year ended June 30, 2011
54
NOTE D – MAJOR PROGRAMS
The following federal program expenditures comprise major program expenditures under OMB Circular A-133 for the year ended June 30, 2011. (Major programs are indicated in the Schedule of Expenditures of Federal Awards by (1), (2), (3) or (4)). Carbondale Edwardsville Total
(1) Student Financial Aid Cluster $ 33,149,297 $ 17,597,148 $ 50,746,445
(2) Head Start Program 3,353,247 11,130,852 14,484,099
(3) Workforce Infrastructure Act 1,917,858 165,060 2,082,918
(4) Vocational Rehabilitation Cluster 1,306,875 - 1,306,875
Total major program
expenditures 39,727,277 28,893,060 68,620,337
Other program expenditures 38,212,117 9,027,052 47,239,169
Total federal expenditures $ 77,939,394 $ 37,920,112 $ 115,859,506
As part of the Student Financial Aid Program, Southern Illinois University administers loan proceeds under the Perkins Loan Program (as described in Note B) and the Federal Direct Student Loan Program (as described in Note C).
NOTE E – SUBRECIPIENTS
Of the federal expenditures presented in the Schedule of Expenditures of Federal Awards, the University provided federal awards to subrecipients as follows:
Federal CFDA Amount Provided Program Title Number to Subrecipients
Carbondale:
Aging Research 93.866 $ 1,614,485
Rural Health Care Services Outreach and
Rural Health Network Development Prog. 93.912 248,930
Allergy, Immunology and Transplantation
Research 93.855 10,796
U.S. Department of Defense 12.W912HZ-10-2-0037 80,320
Improving Teacher Quality State Grants 84.367 158,057
Grants for Agricultural Research, SpecialSTATE OF ILLINOIS
SOUTHERN ILLINOIS UNIVERSITY
NOTES TO SCHEDULE OF EXPENDITURES OF FEDERAL AWARDS
Year ended June 30, 2011
55
NOTE E – SUBRECIPIENTS (Continued)
Federal CFDA Amount Provided Program Title Number to Subrecipients
Special Research Grants 10.200 $ 94,646
Cancer Detection and Diagnosis Research 93.394 297,322
Integrated Programs 10.303 41,307
Surveys, Studies, Research, Investigations,
Demonstrations, and Special Purpose
Activities Relating to the Clean Air Act 66.034 (35,000)
U.S. Department of Agriculture 10.09-9617-0877CA 17,357
Housing Opportunities for Persons
With AIDS 14.241 15,667
Research Related to Deafness and
Communication Disorders 93.173 46,670
Cancer Cause and Prevention Research 93.393 33,188
Fish and Wildlife Management Assistance 15.608 49,891
U.S. Department of Justice 16.Unknown 11,572
Highway Planning and Construction 20.205 23,188
State and Community Highway Safety 20.600 5,608
Fund for The Improvement of Postsecondary
Education 84.116 2,324
Biological Sciences 47.074 5,109
Diabetes, Digestive, and Kidney Diseases
Extramural Research 93.847 88,153
Hazard Mitigation Grant 97.039 21,823
Pre-Disaster Mitigation 97.047 65,573
Subrecipients - Carbondale $ 2,896,986
Federal CFDA Amount Provided Program Title Number to Subrecipients
Edwardsville:
Special Education – State Grants 84.027 $ 138,017
Trans-NIH Recovery ACT Research Support 93.701 195,300
Head Start 93.600 66,814
Aging Research 93.866 40,516
National Aeronautics and Space Administration 43.000 3,366
Education and Human Resources 47.076 12,309
Digestive Disease and Nutrition Research 93.848 14,400
Digital Strategy – American Memory Fellows 42.006 3,411
Mathematics and Science Partnership 84.366 5,000
ARRA DHHS Head Start 93.708 179,132
Subrecipients - Edwardsville $ 658,265STATE OF ILLINOIS
SOUTHERN ILLINOIS UNIVERSITY
NOTES TO SCHEDULE OF EXPENDITURES OF FEDERAL AWARDS
Year ended June 30, 2011
56
NOTE F – NON-CASH ASSISTANCE AND FEDERAL INSURANCE
During the year ended June 30, 2011, the University received no non-cash assistance, except as disclosed in Note C. Also, there was no federally funded insurance in effect during the year ended June 30, 2011.
NOTE G – SCHEDULE OF FEDERAL EXPENDITURES, NON FEDERAL EXPENSES, AND NEW LOANS Carbondale Edwardsville Total Amount Amount Amount
Total Federal expenditures
Reported on SEFA $ 77,939,394 $ 37,920,112 $ 115,859,506
Total New Loans Made not
Included on SEFA 132,474,480 93,980,847 226,455,327
Amount of Federal Loan Balances
At Beginning of the Year 16,430,932 2,721,177 19,152,109
Other noncash Federal Award
Expenditures - - -
Total Federal Financial
Component $ 226,844,806 $ 134,622,136 $ 361,466,942
Total Operating Expenses (From
Financial Statements) $ 712,627,028 $ 290,977,388 $1,003,604,416
Total Nonoperating Expenses
From Financial Statements) 7,597,108 8,505,215 16,102,323
Total New Loans Made 132,474,480 93,980,847 226,455,327
Amount of Federal Loan Balances
At Beginning of the Year 16,430,932 2,721,177 19,152,109
Other noncash Federal Award
Expenditures - - -
Total Financial Component $ 869,129,548 $ 396,184,627 $1,265,314,175
Total Federal Financial Amount Percent Amount Percent Amount Percent
Component $ 226,844,806 26.1% $ 134,622,136 34.0% $ 361,466,942 28.6%
Nonfederal Expenses 642,284,742 73.9% 261,562,491 66.0% 903,847,233 71.4%
Total Financial Component $ 869,129,548 100.00% $ 396,184,627 100.00% $ 1,265,314,175 100.00%
Breakout of Major and Nonmajor Programs Carbondale Edwardsville Total
Amount Percent Amount Percent Amount Percent
Major programs $ 39,727,277 51.0% $ 28,893,060 76.2% $ 68,620,337 59.2%
Nonmajor programs 38,212,117 49.0% 9,027,052 23.8% 47,239,169 40.8%
Total federal expenditures $ 77,939,394 100.00% $ 37,920,112 100.00% $ 115,859,506 100.00%