internal audit activity report - West Midlands Police and Crime ...

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Internal Audit Services Internal Audit Activity Report 31 st May 2012 (iv) Payroll – Final Recommendation Action Plan Key Risk Major Significant Moderate Low Rec. No. Recommendation Agreed Responsibility Action to be Taken to Implement Recommendation Date By 1 Copies of authorised documentation relating to new starters should be held on the employee personal file to provide evidence of the authority to create the employee record within the payroll system. Where bulk notifications are used, these should be filed in a manner which allows source documentation to be easily retrieved as required. Any new appointment of Authority Members should only be actioned on receipt of an appropriately authorised variation form. (This matter has also been raised and agreed with the Police Authority Team to ensure that the correct procedures are followed in the future). Agreed Payroll Section Managers Where individual starter variations are received, they are and should always be held in the individual’s personal file. In the case of Bulk/electronic notifications staff have been advised that e- mailed notifications should be filed on the shared drive rather than individual hard disks. Payroll team have been instructed that all future new appointments/changes to the Police Authority team should only be accepted via a payroll variation signed by the Chief Executive. Implemented Implemented 13
Internal Audit Services Internal Audit Activity Report 31 st May 2012 Rec. No. Recommendation Agreed Responsibility Action to be Taken to Implement Recommendation Date By 2 Officers who are designated signatories should be requested to include their collar number alongside their signature when authorising documentation. Payroll officers should check to ensure that all payroll forms received are authorised only by designated signatures. Any forms which are incorrectly authorised should be referred back to the originating department for the correct authorisation. Agreed Payroll Section Managers Staff should be checking the signatures against the authorised signatory list and have been reminded of the importance of this. However, the authorised signatory list only shows the current status and does not show historical changes. The database changes frequently when staff move around the Force and individuals that are not showing against a department or LPU now, may have been at the time they signed the form. One of the examples provided by audit has demonstrated this where a HR officer was working in one department at the time of authorising the variation but who has since moved to SSC. Implemented 4 Payroll officers should be reminded of the need to check all leaver data processed through the payroll and to ensure that transactions are checked, independently verified and evidenced on the variation form and daily audit report. Agreed Payroll Section Managers Checks are being done but staff have been reminded to demonstrate this by initialling the documents Implemented 14
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