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May 16, 2020

Audits released by the New York State Comptroller during the week ending May 17, 2020

New York State Comptroller Thomas P. DiNapoli announced the following audits have been issued during the week ending May 17, 2020.

Office of Addiction Services and Supports (OASAS): Problem Gambling Treatment Program (Follow-Up) (2020-F-5) An audit issued in February 2019 found since 2006, OASAS had not conducted a comprehensive needs assessment or social impact study to identify the number or location of individuals in need of problem gambling treatment services. As such, the audit was unable to determine whether OASAS had a sufficient number of treatment programs available for problem gamblers or whether OASAS’ limited resources were applied where they were needed most. In a follow-up, auditors found OASAS implemented both recommendations contained in the initial report.

Division of Criminal Justice Services: Monitoring and Administration of Public Protection Grant Programs (2019-S-21) The division’s administration and monitoring of the grant programs reviewed were adequate to ensure that the related grant expenses were supported and allowable. Of the $3.1 million in combined grant expenditures auditors reviewed from the three years ended Dec. 31, 2019 (of $57.3 million expended during the period), they identified one exception related to a grantee’s payments of confidential funds, some of which, totaling $1,652, lacked documentation of approval or receipt.
Gaming Commission: Equine Health and Safety (Follow-Up) (2019-F-49) An audit issued in November 2018 found that the commission had implemented measures to improve its practices to promote equine health and safety. However, auditors determined the commission could better document its daily operating policies and procedures; improve how information is recorded in the Equine Breakdown, Death, Injury and Incident Database; and ensure adherence to drug testing requirements. In a follow-up, auditors determined commission officials have made limited progress in correcting the problems identified in the initial report, and additional action is still needed. 
Department of Health, Medicaid Program: Opioid Prescriptions for Medicaid Recipients in an Opioid Treatment Program (Follow-Up) (2019-F-53)  An audit released in November 2018 identified 18,786 recipients who received 208,198 opioid prescriptions through the Medicaid program while also receiving opioids as part of a Treatment Program for opioid use disorder. These recipients may have received inappropriate, unnecessary, and/or dangerous prescriptions if treatment programs did not check the computer database and, where authorized, coordinate care with other prescribers. In a follow-up, auditors found DOH officials made significant progress in addressing the problems identified in the initial audit.
Division of Military and Naval Affairs (DMNA): Internal Controls Over Selected Financial Operations (2018-S-66) An agreement between DMNA and the federal National Guard Bureau (NGB) allows DMNA to be reimbursed by NGB for expenses it incurs in operations and training of the State Army and Air National Guard. Auditors found weaknesses in DMNA’s handling of reimbursement requests to NGB resulted in nearly $1.27 million in lost reimbursements. Auditors also found significant weaknesses in DMNA’s controls over accounting for employee credit card purchases. 

New York City Department of Social Services (DHS): Oversight of Selected Fiscal Aspects of Homeless Shelter Services (Follow-Up) (2019-F-54) An audit issued in October 2017, found that DHS lacked internal controls over the shelter contract procurement and rate-setting process. There were no written standard operating procedures for key aspects of the procurement process, and auditors could not determine whether shelter rates were reasonable. In a follow-up, auditors found DHS has made progress in addressing the issues identified in the initial report.
State Education Department (SED): Parsons Child and Family Center: Compliance With the Reimbursable Cost Manual (2019-S-25) Parsons is an SED-approved special education provider located in Albany County. Parsons is reimbursed for these services through rates set by SED. For the fiscal year ended June 30, 2015, auditors identified $247,699 in ineligible costs that Parsons reported, including $188,149 in overstated expenses that resulted from Parsons misreporting revenue that should have been offset against program expenses.  
State Education Department: Oversight of Chronic Absenteeism (Follow-Up) (2019-F-57) An audit issued in September 2018 identified risks to the implementation of the Department’s chronic absenteeism initiatives that could negatively affect progress toward the Department’s goals of increased student engagement and achievement. In a follow-up, auditors found SED made significant progress in addressing the problems identified in the initial audit report.
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