Finding 38824 (2022-003)

Significant Deficiency
Requirement
AB
Questioned Costs
-
Year
2022
Accepted
2023-08-23

AI Summary

  • Core Issue: Lack of formal documentation for secondary payroll review, which undermines internal controls over federal awards.
  • Impacted Requirements: Compliance with 2 CFR 200.303(a) regarding effective internal controls for managing federal funds.
  • Recommended Follow-Up: Review payroll allocation procedures with staff to ensure proper documentation and retention practices are in place.

Finding Text

Department of Health and Human Services Passed Through Ramsey County Minnesota Family Investment Program Adult Services (MFIP), Federal Financial Assistance Listing 93.558, Award #2201MNTANF, 2022 Temporary Assistance for Needy Families Allowable Activities and Costs Significant Deficiency in Internal Control over Compliance Criteria: 2 CFR 200.303(a) establishes that the auditee must establish and maintain effective internal control over the federal award that provides assurance that the entity is managing the federal award in compliance with federal statutes, regulations, and conditions of the federal award. Condition: For one employee tested, there was no formal documentation of a secondary review of the payroll allocation calculation. Cause: The Association has designed internal controls over this area; however, the controls were not formerly documented. Effect: The condition may affect the Association?s ability to support compliance with allowable activities and costs requirements. Questioned Costs: None reported. Context/Sampling: A nonstatistical sample of 3 employees out of 14 were selected for testing, which accounted for $94,033 of $651,866 of federal program expenditures. Repeat Finding from Prior Year(s): No. Recommendation: We recommend the procedures related to payroll allocations be reviewed with applicable program employees to ensure proper documentation and review is properly supported and the documentation is retained. Views of Responsible Officials: Management agrees with the finding.

Corrective Action Plan

Finding Summary: For one employee tested, there was no formal documentation of a secondary review of the payroll allocation calculation. Responsible Individuals: Lisa Gochanour, Accounting Manager ? Stephanie Kilian, CFO Corrective Action Plan: Going forward the Accounting Manager will ensure that any payroll allocation changes have an appropriate status change form accompanying the change in payroll allocation. Any change in allocation lacking an approved status change form will be reported to the CFO who can work with the appropriate manager to secure the necessary documentation. All new employees will have the initial allocation documented on the status change form as part of the new hire process. Anticipated Completion Date: 08/01/2023 ? 12/31/2023

Categories

Allowable Costs / Cost Principles Significant Deficiency Internal Control / Segregation of Duties

Other Findings in this Audit

  • 615266 2022-003
    Significant Deficiency

Programs in Audit

ALN Program Name Expenditures
93.558 Temporary Assistance for Needy Families $651,866
14.871 Section 8 Housing Choice Vouchers $589,820
14.267 Continuum of Care Program $241,173
17.259 Wia Youth Activities $27,502