Audit 400124

Condition: Case files not properly maintained. Criteria: Federral Award Identification Number SPRMC022CA006 Core Services, Section e - Case File Preparation and Maintenance states "a copy of the resettlement service plan, documenting a clear plan of action, follow-up, and progress in reaching goals for each refugee, including children, based on an assessment of individual neds and which indicates the initial assessment of employability for each adult, including the reason(s) a person may not be employable shall be contained in each case file". Cause: Staff not properly trained and monitored. Effect: The files do not depict the needs of the client at enrollment or what type of service that will be provided. Context: 17 of the 31 files reviewed did not have completed assessments in the case file for all individuals included in the case. Likewise 18 of 31 files reviewed did not have completed service plans. Recommendation: The agency should establish new staff training and program quality monitoring procedures.

Condition: Quetionable Employee Bonus/Incentive Pay. Criteria: 2 CFR, Section 230, allows incentive payments to employee if the paying agency has an organization-wide policy in place prior to work beginning. Cause: The agency established an incentive program during the fiscal year after work had begun. Effect: The agency is charging $83,010 in incentive pay to employees across four federal programs. ContextDuring the fiscal year, the federal admininistration drasitically increased the level of immigration into the United States. This massive increase in resettlement services forced the agency to require their staff to work longer hours in stressful situations. In an attempt to reward their efficiency and retain employees, the agency granted incentive payments. Management believes that their actions were retro-actively approve by their primary funding source (ALN: 19.510). The total amount of questioned costs by program is as follows: ALN: 19-510 equals $59,990: ALN: 93.576 equals $16,940; ALN: 93.567 equals $2,600; and ALN: 93.566 equals $3,480 totaling $83,010. Recommendation: The agency should seek confirmation of approval from the various programs for the costs in question.