Finding 42451 (2022-001)

Significant Deficiency
Requirement
N
Questioned Costs
-
Year
2022
Accepted
2022-11-28
Audit: 39719
Organization: Hamline University of Minnesota (MN)

AI Summary

  • Core Issue: The University failed to notify the Department of Education about a change in the VP of Finance within the required 10-day period.
  • Impacted Requirements: This oversight violates the reporting requirements outlined in 34 CFR 668.25(e).
  • Recommended Follow-Up: The University should review and improve its ECAR reporting procedures to ensure timely and accurate updates.

Finding Text

2022-001 Eligibility and Certification Approval Report (ECAR) Federal Agency: Department of Education Federal Program Title: Student Financial Assistance Cluster ALN Numbers: Various Award Period: July 1, 2021 through June 30, 2022 Type of Finding: - Significant Deficiency in Internal Control Over Compliance - Other Matters Criteria or specific requirement: The Code of Federal Regulations, 34 CFR 668.25(e) states that an institution must notify the Department of Education by way of the ECAR within 10 days of a change in position of an official at the University. Condition: During our testing, we noted that the change in Vice President (VP) of Finance was not reported timely to the Department of Education. Questioned costs: None Context: During our testing, we noted the VP of Finance had a change in position and it was not updated within 10 days. Cause: The VP of Finance left in August 2021 and there was no replacement until June 2022. The removal of the position was not done to add a temporary VP of Finance until the permanent replacement began. Effect: The University is not in compliance with Department of Education requirements that state the ECAR must have accurately reported information. Repeat Finding: No Recommendation: We recommend the University review its reporting procedures surrounding updating the ECAR to ensure reporting is accurate and completed. Views of responsible officials: There is no disagreement with the audit finding.

Corrective Action Plan

2022-001 Student Financial Assistance ? Assistance Listing No. Various Recommendation: We recommend the University review its reporting procedures surrounding updating the ECAR to ensure reporting is accurate and completed. Explanation of disagreement with audit finding: There is no disagreement with the audit finding. Action taken in response to finding: Hamline has started a Corrective Action Plan by more clearly communicating the requirements of the timely reporting to the partnering departments or Finance, Provost, President?s Office and Student Accounts. The Corrective Action Plan will require the Student Accounts area to report to Institutional Effectiveness Office and Financial Aid Office any updates to third party servicers. The Provost Office will responsible for reporting to Institutional Effectiveness Office and Financial Aid Office any additions or changes regarding academic program or educational locations. The President?s Office will be responsible for reporting to Institutional Effectiveness Office and Financial Aid Office any changes in leadership or board members. All changes need to be reported immediately to Institutional Effectiveness Office and Financial Aid Office to ensure the ECAR is updated within the 10-reporting requirement. Additionally, IE and Financial Aid will annually review the ECAR at the end of June to correspond to the new fiscal year board of trustees that is effective on July 1 every year. Names of the contact persons responsible for corrective action: Sally Gerlach, Assistant Director of Institutional Effectiveness and Lynette Wahl, Senior Director of Financial Aid and Enrollment Planned completion date for corrective action plan: October 11, 2022

Categories

Eligibility Reporting Significant Deficiency Internal Control / Segregation of Duties

Other Findings in this Audit

  • 42452 2022-001
    Significant Deficiency
  • 42453 2022-001
    Significant Deficiency
  • 42454 2022-001
    Significant Deficiency
  • 42455 2022-001
    Significant Deficiency
  • 42456 2022-001
    Significant Deficiency
  • 42457 2022-001
    Significant Deficiency
  • 618893 2022-001
    Significant Deficiency
  • 618894 2022-001
    Significant Deficiency
  • 618895 2022-001
    Significant Deficiency
  • 618896 2022-001
    Significant Deficiency
  • 618897 2022-001
    Significant Deficiency
  • 618898 2022-001
    Significant Deficiency
  • 618899 2022-001
    Significant Deficiency

Programs in Audit

ALN Program Name Expenditures
84.268 Federal Direct Student Loans $17.92M
84.425F Higher Education Emergency Relief Funds (heerf) $4.80M
84.063 Federal Pell Grant Program $3.63M
84.425E Higher Education Emergency Relief Funds (heerf) $3.49M
84.038 Federal Perkins Loans - Beginning Balance $2.73M
84.007 Federal Supplemental Educational Opportunity Grants $434,948
84.033 Federal Work-Study Program $376,843
84.365Z Elm Grant $232,043
84.011 Migrant Education_state Grant Program $199,335
97.036 Disaster Grants - Public Assistance (presidentially Declared Disasters) $175,948
84.425C Higher Education Emergency Relief Funds (heerf) $82,266
16.560 National Institute of Justice Research, Evaluation, and Development Project Grants $63,592
84.002 Adult Education - Basic Grants to States $20,725
84.379 Teacher Education Assistance for College and Higher Education Grants (teach Grants) $20,286
66.516 P3 Award: National Student Design Competition for Sustainability $8,306
15.654 Visitor Facility Enhancements - Refuges and Wildlife $6,984
84.038 Federal Perkins Loans - Loans Issued in 2022 $0