Finding 1172089 (2024-002)

Material Weakness Repeat Finding
Requirement
AB
Questioned Costs
-
Year
2024
Accepted
2026-02-03

AI Summary

  • Core Issue: The Authority could not provide necessary documentation to verify employee pay rates during the audit, raising concerns about compliance and internal controls.
  • Impacted Requirements: The Authority must maintain records that support payroll expenditures and ensure internal controls are in place for proper authorization and documentation.
  • Recommended Follow-Up: Implement stronger internal controls over payroll and HR, and review all employee files to ensure they are complete and up-to-date with necessary documentation.

Finding Text

Condition: During our audit of payroll expenditures, the Authority was unable to provide adequate supporting documentation and as a result we were unable to verify that employees were paid at the properly approved rates for the periods tested and that internal controls were operating effectively. Context: The auditor haphazardly selected 13 employees from the employee listing for the year ended September 30, 2024, in order to test 2 different pay periods during the fiscal year, which we consider to be a statistically valid sample size. The auditor requested the personnel and human resources documentation to ensure that proper procedures are being followed and that the Authority is in compliance with HUD requirements regarding complete and accurate payroll files. Management was unable to provide sufficient documentation to support the pay rates being used in processing for the selected employees. Criteria: The Authority is required to maintain records that adequately support the compliance and allowability of expenditures charged to HUD-funded programs. In addition, HUD financial management and internal control requirements require management to establish and maintain internal controls that ensure payroll costs are properly authorized, documented, and supported. Adequate personnel files should include documentation supporting approved compensation, including initial salary approvals and subsequent changes. Cause: The Authority changed providers for its payroll processing after the fiscal year and the former provider was not able to provide adequate audit support for timecards. In addition, the Authority experienced a change in Human Resources personnel after the fiscal year and staff were not able to locate support for all wages paid during the year ended September 30, 2024. Effect: Due to the lack of documentation, processes and internal controls, the Authority is unable to properly monitor their payroll process to ensure accurate wages were disbursed to employees. Questioned Costs: Unknown. Auditor’s Recommendations: The Authority should implement internal controls over payroll and human resources to ensure complete and accurate personnel files are maintained on an ongoing basis for all employees. The Authority should review all current employee payroll files to ensure their files are up to date and include documentation supporting their approved pay rates and all subsequent compensation changes. Management Response: See Corrective Action Plan.

Corrective Action Plan

Action Taken: Management acknowledges the findings and the significant deficiency in internal control. We accept responsibility for the deficiencies in internal control over payroll reporting and are committed to implementing corrective actions as follows to ensure a robust control environment that ensures payroll transactions are verified against authorized documentation. • Comprehensive File Reviews: We have immediately begun reviewing all current employee payroll files to confirm that they are complete. • Verify Documentation: We have immediately begun ensuring each employee file contains proper documentation for initial pay rates, compensation changes, and job descriptions and offer letters, where applicable. The Authority has implemented a checks and balances review process to ensure that time is entered accurately, reviewed and signed on by the employee and the employee's supervisor, and then Authority leadership also conducts a pre-payroll audit. • Internal Controls: The Authority currently uses a third-party, Paycom, to manage its payroll functions and for recordkeeping purposes. Timesheets are entered and approved electronically in the system. Pre-payroll audits are conducted by the CEO and COO, prior to payroll being approved for payment. With the current electronic record keeping system, payroll documents are securely stored, easily searchable, and traceable. • Ongoing Compliance: The HR Directorwill conduct semi-annual internal audits of a sample of employee files to confirm and document ongoing compliance. In addition, staff who input and review payroll will receive ongoing compliance training and file documentation. Name of Responsible Person: Catherine Lamberg, CEO and Jackie Otto COO, and Natalie Hawks. HR Director Projected Completion Date: Some of the corrective activities are underway. We anticipate completing these activities by March 1, 2026.

Categories

HUD Housing Programs Allowable Costs / Cost Principles

Other Findings in this Audit

  • 1172072 2024-002
    Material Weakness Repeat
  • 1172073 2024-003
    Material Weakness Repeat
  • 1172074 2024-004
    Material Weakness Repeat
  • 1172075 2024-005
    Material Weakness Repeat
  • 1172076 2024-006
    Material Weakness Repeat
  • 1172077 2024-002
    Material Weakness Repeat
  • 1172078 2024-003
    Material Weakness Repeat
  • 1172079 2024-004
    Material Weakness Repeat
  • 1172080 2024-005
    Material Weakness Repeat
  • 1172081 2024-006
    Material Weakness Repeat
  • 1172082 2024-002
    Material Weakness Repeat
  • 1172083 2024-003
    Material Weakness Repeat
  • 1172084 2024-004
    Material Weakness Repeat
  • 1172085 2024-005
    Material Weakness Repeat
  • 1172086 2024-006
    Material Weakness Repeat
  • 1172087 2024-002
    Material Weakness Repeat
  • 1172088 2024-003
    Material Weakness Repeat

Programs in Audit

ALN Program Name Expenditures
14.872 PUBLIC HOUSING CAPITAL FUND $847,209
14.850 PUBLIC HOUSING OPERATING FUND $533,477
14.871 SECTION 8 HOUSING CHOICE VOUCHERS $270,152
14.879 MAINSTREAM VOUCHERS $252,031