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11s35

11s35

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Published by Jon Campbell

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Published by: Jon Campbell on Jun 15, 2012
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07/10/2013

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New York State Oce of the State Comptroller
Thomas P. DiNapoliDivision of State Government Accountability
Report 2011-S-35June 2012
Metropolitan Transportaon
 
AuthorityMetro-North Railroad
 
Forensic Audit of Payments toOn-Board Service Managers
 
2011-S-35
Division of State Government Accountability
1
Execuve Summary
Purpose
The purpose of our audit was to determine whether the employees in Metro North’s On-Board
Services Unit (Unit) fullled their dues and performed the assigned tasks for which they werepaid—specically, riding trains in order to observe and report on the performance of train crews.Our audit covered the period January 1, 2009 through June 30, 2011.
Background
The Metro-North Railroad (Metro-North), a constuent of the Metropolitan TransportaonAuthority (MTA), established the Unit in 2004 to monitor train crew performance in such areasas fare collecon and passenger safety. The Unit consists of a supervisor and ve employees. Itsannual employee compensaon costs $832,676. Unit sta members are expected to completeand document at least six train rides daily.
Key Findings
• While Unit sta members are required to monitor the performance of train crews, they havenot been accountable for their own work performance and me and aendance.Of the work periods we examined, the Unit sta members failed to document 29 percent of therides they were required to complete, raising quesons about whether the rides were actuallytaken.• We esmate that four Unit sta members are being paid an excess of $170,000 annually forwork that might not have been performed.• In violaon of Metro-North policy, the Assistant Vice President responsible for the Unit did notdisclose the referral of a relave who was hired in the Unit over more qualied candidates.Once hired, the relave received special privileges and remained in the direct line of supervisionby the Assistant Vice President, in possible violaon of the New York State Public Ocers Law.
Key Recommendaons
• Invesgate the producvity, me, and aendance of Unit sta and determine whether any
salary payments need to be recouped or discipline is appropriate.
• Determine whether the current Unit stang is jused and necessary.• Strengthen supervision over the Unit and address the other risk factors associated with Unitoperaon.
Other Related Audits/ Reports of Interest
 
2011-S-35
Division of State Government Accountability
2
State of New YorkOce of the State ComptrollerDivision of State Government Accountability
June 14, 2012Joseph LhotaChairman and Chief Execuve OcerMetropolitan Transportaon Authority347 Madison AvenueNew York, NY 10017Dear Mr. Lhota:The Oce of the State Comptroller is commied to helping State agencies, public authoriesand local government agencies manage government resources eciently and eecvely and, bydoing so, providing accountability for tax dollars spent to support government operaons. TheComptroller oversees the scal aairs of State agencies, public authories and local governmentagencies, as well as their compliance with relevant statutes and their observance of good businesspracces. This scal oversight is accomplished, in part, through our audits, which idenfyopportunies for improving operaons. Audits can also idenfy strategies for reducing costs andstrengthening controls that are intended to safeguard assets.Following is a report of our audit,
Metro-North Railroad 
:
Forensic Audit of Payments to On-Board Services Managers.
This audit was performed pursuant to the State Comptroller’s authority under
Arcle X, Secon 5 of the State Constuon and Secon 2803 of the Public Authories Law. Thisengagement was undertaken as part of a series of comprehensive forensic audits of overmepracces and other payroll-related payments at the Metropolitan Transportaon Authority.This audit’s results and recommendaons are resources for you to use in eecvely managingyour operaons and in meeng the expectaons of taxpayers. If you have any quesons aboutthis report, please feel free to contact us.Respecully submied,
Oce of the State Comptroller 
Division of State Government Accountability 

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