Finding 564599 (2024-003)

Significant Deficiency
Requirement
B
Questioned Costs
-
Year
2024
Accepted
2025-06-12

AI Summary

  • Core Issue: Insufficient payroll authorization and timesheet controls led to documentation gaps and overpayments.
  • Impacted Requirements: Compliance with 2 CFR §200.430 and NIYC's Fiscal Manual for payroll documentation and approval processes.
  • Recommended Follow-up: Strengthen payroll controls and documentation practices to prevent future errors and ensure compliance.

Finding Text

2024-003 INSUFFICIENT PAYROLL AUTHORIZATION AND TIMESHEET CONTROLS Federal Agency: U.S. Department of Labor Federal Program and Assistance Listing Number: 17.265 Type of Finding: Significant Deficiency, Non-compliance Compliance Area: Allowable Costs (Payroll) Award Period: National Employment and Training (07/01/2022-06/30/2025) National Employment and Training (06/01/2023-06/30/2026) Questioned Costs: None Condition: Our testing of payroll disbursements identified the following exceptions: -One (1) out of 45 payroll transactions lacked supporting documentation for an approved pay rate change. -One (1) out of 45 payroll transactions resulted in an overpayment for 52 hours instead of the authorized 20 hours. Criteria: Per 2 CFR §200.430 and NIYC's Fiscal Manual, all payroll transactions must be supported by appropriate documentation, including approved personnel action forms for rate changes and verified timesheets. Payroll must be reviewed and approved by designated personnel prior to processing. Effect: These deficiencies increase the risk of financial loss, inaccurate payroll reporting, and noncompliance with federal cost principles. They also undermine the reliability of internal controls over payroll processing. Cause: The overpayment was due to a clerical error in the Work Experience (WEX) timesheet process. The missing pay rate documentation was not retained during a period of organizational restructuring.

Corrective Action Plan

Recommendation We recommend that NIYC strengthen its payroll controls by: Implementing a secondary review of WEX timesheets prior to payroll processing, - Requiring all pay rate changes to be documented using standardized personnel action forms, and -Conducting periodic payroll audits to verify compliance with documentation and approval requirements. Management Response Corrective Action: NIYC will strengthen internal controls over payroll by implementing additional monitoring and review processes. Going forward, the HR Accounting Coordinator will be responsible for an annual review of all staff employment files to ensure that all required documentation is present and up to date. Furthermore, no changes will be made to any employee pay rate without prior written approval and documentation using the standardized personnel action form. Once the change has been made in the payroll system, all approvals and documentation for the change in pay rate will be given to the HR Accounting Coordinator to include in the employee's file. We have also implemented a secondary review of WEX timesheets by the Accounting Manager during the payroll process. This should find and correct any errors in the spreadsheet used to summarize the timesheets and process WEX payroll. Due Date of Completion: Implementing new internal controls starting June 1, 2025 Responsible Person(s): Accounting Manager, HR Accounting Coordinator

Categories

Allowable Costs / Cost Principles Reporting Significant Deficiency

Other Findings in this Audit

  • 564597 2024-001
    Significant Deficiency Repeat
  • 564598 2024-002
    Significant Deficiency
  • 1141039 2024-001
    Significant Deficiency Repeat
  • 1141040 2024-002
    Significant Deficiency
  • 1141041 2024-003
    Significant Deficiency

Programs in Audit

ALN Program Name Expenditures
17.265 Native American Employment and Training $1.97M