Finding Text
Criteria: Per review of grant agreements, the employees are required to sign a nondiscrimination and drug free policy. Per Organization policy, employees are required to sign a confidentiality statement. Condition: One out of ten employee files tested lacked a signed nondiscrimination and drug policy. One employee also did not have a signed confidentiality statement on file. Cause: There is not an adequate internal control system over employee file documentation. Effect: The Organization is not in compliance with the grant policy requirements. Questioned Costs: N/A Perspective Information: The lack of documentation may be pervasive to other employee files not tested Repeat Findings: This finding is not a repeat finding. Context: Testing was conducted on ten employee files. One employee did not have a signed handbook which included the drug free policy and the nondiscrimination statement. The same employee also did not have a signed confidentiality statement. Recommendation: Procedures should be followed to ensure employee files have proper documentation per grant and Organization policy. Views of Responsible Officials and Planned Corrective Actions: YWCA acknowledges gaps in VOCA employee file documentation. Implement a standardized checklist for VOCA and other grant-funded employees that includes required acknowledgements (nondiscrimination, drug-free workplace, confidentiality, and related forms). Educate HR staff in auditing best practices, emphasizing complete and accurate employee files and the specific grant documentation required. Schedule periodic reviews of VOCA-funded employee files (at least quarterly) to verify that all required documents are present and current, with results reported to management.