Finding 514176 (2024-101)

Significant Deficiency
Requirement
A
Questioned Costs
-
Year
2024
Accepted
2024-12-13
Audit: 332377
Organization: Southwest Leadership Academy (AZ)

AI Summary

  • Core Issue: Two employees were paid less than their documented rates, indicating a problem with payroll accuracy.
  • Impacted Requirements: Compliance with 2 CFR §200.430(i)(1)(i) regarding accurate employee compensation verification.
  • Recommended Follow-Up: Implement stronger internal controls for payroll verification to prevent compensation discrepancies.

Finding Text

FAL No. and Name: 84.425U COVID-19 American Rescue Plan - Elementary and Secondary School Emergency Relief (ARP ESSER) 84.425W COVID-19 American Rescue Plan - Elementary and Secondary School Emergency Relief - Homeless Children and Youth Award Number: 21FESIII-110236-01A 22FARHOI-210236-01A 22FAHIIE-210236-01A Federal Agency: Arizona Department of Education Compliance Requirement: Allowable Costs Questioned Costs: None Criteria: In accordance with 2 CFR §200.430(i)(1)(i), the School should have a system of internal control that provides reasonable assurance that employee compensation rates are accurate and properly verified. Condition and context: Two out of twenty-five employees tested were found to have been paid at a rate lower than what was documented in their personnel file. Cause: There appears to be insufficient review and verification procedures within the payroll processing system. Effect: This deficiency increases the risk of discrepancies in employee compensation, potentially leading to both overpayments and underpayments. Recommendation: To help ensure employees receive accurate compensation, the School should implement internal control procedures that include thorough verification of payroll data against authorized pay rates before payroll is processed. Management's Corrective Action Plan is included at the end of this report.

Corrective Action Plan

2024-101: Significant Deficiency in Internal Controls Over Compliance and Noncompliance Required to be Reported in Accordance with 2 CFR §200.516(c): Payroll Recommendation: To help ensure employees receive accurate compensation, the School should implement internal control procedures that include thorough verification of payroll data against authorized pay rates before payroll is processed. Action Taken: 1. Pay rate change requests will be accumulated and organized by effective date. 2. For each payroll, all (100%) of the pay rate change requests that became effective during the pay period will be compared to the pay rates for the impacted employee that appear in the preliminary payroll reports. For example, for a pay period from 10/16/2024 to 10/30/2024, all pay rate change requests with effective dates between 10/16/2024 and 10/30/2024 will be compared to the pay rates for the impacted employees in the preliminary payroll reports. 3. If any discrepancies between the pay rate change requests and the pay rates in the preliminary payroll reports are identified, the pay rate will be corrected in the payroll system, the preliminary payroll reports will be reproduced, and steps 1 and 2 will be repeated. 4. If no discrepancies between the pay rate change requests and the pay rates in the preliminary payroll reports are identified, the payroll will proceed as usual. 5. For pay rate change requests with retroactive effective dates, the date of receipt of the change request will be documented, pay rate changes will be implemented immediately, and retroactive pay will be paid in the next payroll. The retroactive change requests will be verified as described in steps 1 and 2. Anticipated Completion Date: 12/31/2024 Contact Person: Keith Chilton

Categories

Allowable Costs / Cost Principles Internal Control / Segregation of Duties

Other Findings in this Audit

  • 514177 2024-101
    Significant Deficiency
  • 1090618 2024-101
    Significant Deficiency
  • 1090619 2024-101
    Significant Deficiency

Programs in Audit

ALN Program Name Expenditures
84.425 American Rescue Plan - Elementary and Secondary School Emergency Relief (arp Esser) $400,816
84.371 Comprehensive Literacy State Development Grant - Continuation $297,739
84.010 Title I Grants to Local Educational Agencies $228,521
10.555 National School Lunch Program $47,462
84.027 Special Education_grants to States $45,004
84.425 American Rescue Plan - Elementary and Secondary School Emergency Relief - Homeless Children and Youth $28,750
84.365 English Language Acquisition State Grants $15,634
84.367 Improving Teacher Quality State Grants $8,253
84.424 Student Support and Academic Enrichment Program $5,986