Finding 1190918 (2025-002)

Material Weakness Repeat Finding
Requirement
N
Questioned Costs
-
Year
2025
Accepted
2026-03-27

AI Summary

  • Core Issue: The College failed to keep records of student drawdowns, hindering the ability to verify timely disbursement of federal funds.
  • Impacted Requirements: Federal regulations require disbursement of funds within 3 business days and credit balances to be paid within 14 days.
  • Recommended Follow-Up: Develop and implement clear policies for record retention and communication to ensure timely processing of student financial aid.

Finding Text

Special Tests and Provisions – Payment to Students Information of Federal Program: Student Financial Aid Cluster Federal Pell Grant Program – ALN # 84.063 Federal Family Education Loans – ALN # 84.032 Federal Supplemental Educational Opportunity Grant – ALN # 84.007 Federal Work-Study Program – ALN # 84.033 Criteria: The institution must disburse Federal funds requested as soon as administratively feasible but no later than 3 business days following the date the institution received those funds. A credit balance on a student account must be paid directly to the student or parent as soon as possible, but no later than fourteen (14) days after the balance occurred. 34 CFR sections 668.162, 668.164, 668.167(b), 682.603, and 682.604(d)). Condition: During our testing of the financial aid disbursements it was noted the College is not maintaining records of what students the drawdowns were for, therefore we were unable to determine if the amounts were posted to the student accounts within the required time frame and subsequently were paying out any credit balances created on student accounts. Cause: The College did not have proper procedures in place regarding record retention. Effect or Potential Effect: The deficiencies in the design and operation of the internal controls in this area could result in the delayed payment to the student. Questioned Costs: None Context: During our testing of student financial aid disbursements, it was noted that Fort Scott Community College’s internal controls over posting to student accounts broke down after there was a change in staff. Forty (40) of forty (40) files tested, the College was unable to produce reports showing what students were included with each drawdown from the Department of Education, therefore resulting in an inability to complete the test. Repeat Finding: Yes Recommendation: Policies and procedures should be written to provide internal control over the documentation used to complete the drawdowns from the Department of Education. We recommend the College establish a communication and record retention process that allows for the notification of the student financial aid proceeds and a control in place that allows the financial aid department to know the student financial aid was applied to the student’s account timely. Views of responsible officials and planned corrective action: See the Corrective Action Plan on pages 71-73 of the current year audit.

Corrective Action Plan

Special Tests and Provisions – Payment to Students Condition: During our testing of the financial aid disbursements, it was noted the College is not maintaining records of what students the drawdowns were for, therefore we were unable to determine if the amounts were posted to the student accounts within the required time frame and subsequently were paying out any credit balances created on student accounts. Recommendation: Policies and procedures should be written to provide internal control over the documentation used to complete the drawdowns from the Department of Education. We recommend the College establish a communication and record retention process that allows for the notification of the student financial aid proceeds and a control in place that allows the financial aid department to know the student financial aid was applied to the student’s account timely. Views of responsible officials and planned corrective action: The College has established formal procedures governing the documentation, approval, and processing of financial aid drawdowns from the Department of Education. A segregated and controlled workflow has been implemented through the use of a secure shared electronic folder with restricted access to provide confidentiality and provide documentation of the shared communication between the Financial Aid office who approves the aid, the Business Office who ultimately pulls down from the Department of Education, and with the Cashier who distributes any refunds. The Financial Aid Office prepares and approves disbursement amounts and communicates them via documented reporting; the Business Office reconciles disbursement amounts to individual student accounts prior to drawdown; the CFO initiates drawdowns after documented review and approval; and the Cashier processes student refunds, where applicable. The documentation is being retained and backed up. Measurable targets will be to do this weekly or as batches are prepared for draw-down. This documentation can be found in the secure shared electronic folder, which has already been implemented. Financial aid disbursements are processed on a weekly or batch basis, and funds are applied to student accounts in compliance with federal requirements, generally within three (3) business days of receipt.

Categories

Special Tests & Provisions Student Financial Aid Cash Management Matching / Level of Effort / Earmarking Internal Control / Segregation of Duties

Other Findings in this Audit

  • 1190910 2025-002
    Material Weakness Repeat
  • 1190911 2025-003
    Material Weakness Repeat
  • 1190912 2025-002
    Material Weakness Repeat
  • 1190913 2025-003
    Material Weakness Repeat
  • 1190914 2025-002
    Material Weakness Repeat
  • 1190915 2025-003
    Material Weakness Repeat
  • 1190916 2025-002
    Material Weakness Repeat
  • 1190917 2025-003
    Material Weakness Repeat
  • 1190919 2025-003
    Material Weakness Repeat

Programs in Audit

ALN Program Name Expenditures
84.268 FEDERAL DIRECT STUDENT LOANS $1.04M
84.149 MIGRANT EDUCATION COLLEGE ASSISTANCE MIGRANT PROGRAM $516,216
84.141 MIGRANT EDUCATION HIGH SCHOOL EQUIVALENCY PROGRAM $442,947
84.042 TRIO STUDENT SUPPORT SERVICES $265,021
17.289 COMMUNITY PROJECT FUNDING/CONGRESSIONALLY DIRECTED SPENDING $192,915
84.033 FEDERAL WORK-STUDY PROGRAM $43,115
84.007 FEDERAL SUPPLEMENTAL EDUCATIONAL OPPORTUNITY GRANTS $32,758
84.048 CAREER AND TECHNICAL EDUCATION -- BASIC GRANTS TO STATES $2,500
84.063 FEDERAL PELL GRANT PROGRAM $1,620