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April 06, 2019

New York State Comptroller Thomas P. DiNapoli announced the following audits were issued during the week ending April 5, 2019


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Department of Financial Services (DFS): Oversight of the Title Insurance Industry (2017-S-10) While DFS has worked to strengthen its oversight of the industry through the regulatory process, enforcement of the existing regulations has lagged.

Office of Children and Family Services (OCFS): Access Controls Over Selected Critical Systems (2017-S-56) Controls over six OCFS systems containing confidential information were insufficient to prevent unnecessary or inappropriate access to those systems. Auditors identified 367 user accounts with inappropriate access because OCFS had not performed the required annual reviews of user accounts. This included 35 active user accounts for individuals who no longer worked for OCFS.

Metropolitan Transportation Authority (MTA): New York City Transit: Practices Used by the Transit Adjudication Bureau (TAB) to Collect Fines and Fees (Follow-Up) (2018-F-20) An initial report issued in August 2016 determined that approximately half the fines and fees assessed by the TAB are never fully collected. In addition, inaccurate information written on summonses, such as bad addresses and false telephone numbers, contributes to collection difficulties. In a follow-up, auditors found the MTA made progress in implementing the recommendations contained in the initial report.

Department of Health (DOH): Examination of Travel Expenses (2017-BSE01-02) Auditors found $9,760 of a DOH employee’s expenses were not appropriate. This includes lodging, meal, and fuel expenses for which there was no business purpose, meal allowance expenses the employee was not entitled to receive, meal per diem expenses that exceeded the maximum allowable rates and inflated transportation reimbursements. Auditors also found the employee incurred $37,795 in questionable travel expenses.

State Education Department (SED): Examination of Payments to Tough Man Inc. (2018-BSE2-001) Tough Man is a not-for-profit corporation formed to sponsor community sporting events such as walks and races in New York. SED made five payments totaling $150,000 under contracts for services provided from July 1, 2013 through June 30, 2017. The contracts provide funding for Tough Man to provide an in-school program to students and to operate triathlons for kids and teens. Auditors found SED did not request, as required, sufficient evidence to demonstrate the expenses claimed were incurred for contract purposes and exceeded program revenues and other reimbursements by $150,000. There is also risk Tough Man did not keep such records.


Find out how your government money is spent at Open Book New York. Track municipal spending, the state's 160,000 contracts, billions in state payments and public authority data. 


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Subsequent court and administrative rulings, or changes to laws, rules and regulations may have modified or clarified or vacated or reversed the decisions summarized here. Accordingly, these summaries should be Shepardized® or otherwise checked to make certain that the most recent information is being considered by the reader.
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NYPPL Blogger Harvey Randall served as Principal Attorney, New York State Department of Civil Service; Director of Personnel, SUNY Central Administration; Director of Research, Governor’s Office of Employee Relations; and Staff Judge Advocate General, New York Guard. Consistent with the Declaration of Principles jointly adopted by a Committee of the American Bar Association and a Committee of Publishers and Associations, the material posted to this blog is presented with the understanding that neither the publisher nor NYPPL and, or, its staff and contributors are providing legal advice to the reader and in the event legal or other expert assistance is needed, the reader is urged to seek such advice from a knowledgeable professional.
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