Audit 295682

FY End
2023-06-30
Total Expended
$857.48M
Findings
4
Programs
124
Year: 2023 Accepted: 2024-03-18

Organization Exclusion Status:

Checking exclusion status...

Findings

ID Ref Severity Repeat Requirement
380941 2023-001 Significant Deficiency - E
380942 2023-001 Significant Deficiency - E
957383 2023-001 Significant Deficiency - E
957384 2023-001 Significant Deficiency - E

Programs

ALN Program Spent Major Findings
66.958 Water Infrastructure Finance and Innovation (wifia) (e) $122.28M Yes 0
93.778 Medical Assistance Program $92.88M Yes 0
21.027 Coronavirus State and Local Fiscal Recovery Funds $48.85M Yes 0
14.267 Continuum of Care Program $38.25M - 0
14.231 Emergency Solutions Grant Program $18.29M - 0
93.914 Hiv Emergency Relief Project Grants $14.84M - 0
14.239 Home Investment Partnerships Program $13.21M Yes 0
14.218 Community Development Block Grants/entitlement Grants $10.67M - 0
93.959 Block Grants for Prevention and Treatment of Substance Abuse $8.66M - 0
93.563 Child Support Enforcement $8.37M Yes 0
93.940 Hiv Prevention Activities_health Department Based $7.74M - 0
66.458 Capitalization Grants for Clean Water State Revolving Funds $7.55M Yes 0
21.019 Coronavirus Relief Fund $5.68M - 0
93.498 Provider Relief Fund $4.93M Yes 0
97.083 Staffing for Adequate Fire and Emergency Response (safer) $4.52M - 0
21.023 Emergency Rental Assistance Program $3.52M Yes 0
93.958 Block Grants for Community Mental Health Services $3.47M - 0
93.917 Hiv Care Formula Grants $3.31M - 0
16.734 Special Data Collections and Statistical Studies $3.23M Yes 0
97.067 Homeland Security Grant Program $3.21M - 0
93.686 Ending the Hiv Epidemic: A Plan for America — Ryan White Hiv/aids Program Parts A and B (b) $2.10M - 0
93.053 Nutrition Services Incentive Program $2.08M - 0
10.557 Special Supplemental Nutrition Program for Women, Infants, and Children $1.96M - 0
93.977 Preventive Health Services_sexually Transmitted Diseases Control Grants $1.96M - 0
93.391 Activities to Support State, Tribal, Local and Territorial (stlt) Health Department Response to Public Health Or Healthcare Crises $1.92M - 0
97.106 Securing the Cities Program $1.71M - 0
97.111 Regional Catastrophic Preparedness Grant Program (rcpgp) $1.71M - 0
97.036 Disaster Grants - Public Assistance (presidentially Declared Disasters) $1.61M - 0
93.645 Stephanie Tubbs Jones Child Welfare Services Program $1.57M - 0
93.045 Special Programs for the Aging_title Iii, Part C_nutrition Services $1.56M - 0
14.871 Section 8 Housing Choice Vouchers $1.55M - 0
93.268 Immunization Cooperative Agreements $1.49M - 0
93.667 Social Services Block Grant $1.09M - 0
93.659 Adoption Assistance $1.03M Yes 1
93.944 Human Immunodeficiency Virus (hiv)/acquired Immunodeficiency Virus Syndrome (aids) Surveillance $974,064 - 0
15.U01 Nps Cooperative Agreement $956,313 - 0
93.116 Project Grants and Cooperative Agreements for Tuberculosis Control Programs $927,683 - 0
93.527 Affordable Care Act (aca) Grants for New and Expanded Services Under the Health Center Program $871,456 - 0
97.132 Financial Assistance for Countering Violent Extremism $868,644 - 0
93.834 Capacity Building Assistance (cba) for High-Impact Hiv Prevention $866,266 - 0
93.870 Maternal, Infant and Early Childhood Home Visiting Grant $830,030 - 0
93.069 Public Health Emergency Preparedness $796,547 - 0
16.922 Equitable Sharing Program $690,416 - 0
93.556 Promoting Safe and Stable Families $665,674 - 0
97.044 Assistance to Firefighters Grant $636,364 - 0
11.307 Economic Adjustment Assistance $628,593 - 0
16.738 Edward Byrne Memorial Justice Assistance Grant Program $577,833 - 0
17.258 Wia Adult Program $573,507 Yes 0
66.126 The San Francisco Bay Water Quality Improvement Fund $558,292 - 0
97.039 Hazard Mitigation Grant $537,461 - 0
93.658 Foster Care_title IV-E $527,596 - 0
93.150 Projects for Assistance in Transition From Homelessness (path) $489,070 - 0
93.889 National Bioterrorism Hospital Preparedness Program $473,459 - 0
10.558 Child and Adult Care Food Program $457,300 - 0
17.278 Wia Dislocated Worker Formula Grants $449,891 Yes 0
17.277 Workforce Investment Act (wia) National Emergency Grants $401,084 - 0
93.575 Child Care and Development Block Grant $396,188 - 0
16.741 Dna Backlog Reduction Program $372,132 - 0
93.421 Strengthening Public Health Systems and Services Through National Partnerships to Improve and Protect the Nation’s Health $370,727 - 0
93.994 Maternal and Child Health Services Block Grant to the States $366,631 - 0
14.241 Housing Opportunities for Persons with Aids $349,423 - 0
93.224 Consolidated Health Centers (community Health Centers, Migrant Health Centers, Health Care for the Homeless, and Public Housing Primary Care) $338,900 - 0
17.259 Wia Youth Activities $283,490 Yes 0
16.590 Grants to Encourage Arrest Policies and Enforcement of Protection Orders Program $280,553 - 0
93.090 Guardianship Assistance $274,494 - 0
93.070 Environmental Public Health and Emergency Response $239,329 - 0
16.745 Criminal and Juvenile Justice and Mental Health Collaboration Program $230,218 - 0
93.590 Community-Based Child Abuse Prevention Grants $196,282 - 0
97.056 Port Security Grant Program $195,542 - 0
16.575 Crime Victim Assistance $189,067 - 0
16.827 Justice Reinvestment Initiative $181,571 - 0
10.559 Summer Food Service Program for Children $177,496 - 0
93.918 Grants to Provide Outpatient Early Intervention Services with Respect to Hiv Disease $156,606 - 0
93.674 John H. Chafee Foster Care Program for Successful Transition to Adulthood $152,180 - 0
17.268 H-1b Job Training Grants $143,447 - 0
93.558 Temporary Assistance for Needy Families $143,149 - 0
16.588 Violence Against Women Formula Grants $139,862 - 0
93.747 Elder Abuse Prevention Interventions Program $132,113 - 0
84.126 Rehabilitation Services_vocational Rehabilitation Grants to States $127,414 - 0
16.710 Public Safety Partnership and Community Policing Grants $125,000 - 0
93.270 Adult Viral Hepatitis Prevention and Control $122,800 - 0
10.580 Supplemental Nutrition Assistance Program, Process and Technology Improvement Grants $105,808 - 0
93.043 Special Programs for the Aging_title Iii, Part D_disease Prevention and Health Promotion Services $105,516 - 0
93.324 State Health Insurance Assistance Program $102,551 - 0
59.037 Small Business Development Centers $101,489 - 0
15.614 Coastal Wetlands Planning, Protection and Restoration Program $91,899 - 0
16.034 Coronavirus Emergency Supplemental Funding Program $88,759 - 0
93.243 Substance Abuse and Mental Health Services_projects of Regional and National Significance $87,970 - 0
10.576 Senior Farmers Market Nutrition Program $87,500 - 0
93.354 Public Health Emergency Response: Cooperative Agreement for Emergency Response: Public Health Crisis Response $86,569 - 0
93.153 Coordinated Services and Access to Research for Women, Infants, Children, and Youth $79,441 - 0
81.086 Conservation Research and Development $77,419 - 0
93.044 Special Programs for the Aging_title Iii, Part B_grants for Supportive Services and Senior Centers $76,942 - 0
16.607 Bulletproof Vest Partnership Program $73,145 - 0
93.434 Every Student Succeeds Act/preschool Development Grants $67,875 - 0
16.742 Paul Coverdell Forensic Sciences Improvement Grant Program $66,821 - 0
97.042 Emergency Management Performance Grants $66,761 - 0
93.071 Medicare Enrollment Assistance Program $65,197 - 0
93.596 Child Care Mandatory and Matching Funds of the Child Care and Development Fund $64,215 - 0
20.600 State and Community Highway Safety $54,173 - 0
21.032 Local Assistance and Tribal Consistency Fund $50,000 - 0
93.279 Drug Abuse and Addiction Research Programs $48,181 - 0
93.217 Family Planning_services $46,428 - 0
93.136 Injury Prevention and Control Research and State and Community Based Programs $36,806 - 0
93.991 Preventive Health and Health Services Block Grant $36,366 - 0
93.855 Allergy, Immunology and Transplantation Research $31,584 - 0
93.945 Assistance Programs for Chronic Disease Prevention and Control $31,249 - 0
93.052 National Family Caregiver Support, Title Iii, Part E $27,895 - 0
45.024 Promotion of the Arts_grants to Organizations and Individuals $25,000 - 0
66.818 Brownfields Assessment and Cleanup Cooperative Agreements $22,989 - 0
20.608 Minimum Penalties for Repeat Offenders for Driving While Intoxicated $22,906 - 0
93.318 Protecting and Improving Health Globally: Building and Strengthening Public Health Impact, Systems, Capacity and Security $21,300 - 0
10.561 State Administrative Matching Grants for the Supplemental Nutrition Assistance Program $19,297 - 0
93.865 Child Health and Human Development Extramural Research $19,280 - 0
93.323 Epidemiology and Laboratory Capacity for Infectious Diseases (elc) $16,237 - 0
93.042 Special Programs for the Aging_title Vii, Chapter 2_long Term Care Ombudsman Services for Older Individuals $14,532 - 0
93.041 Special Programs for the Aging_title Vii, Chapter 3_programs for Prevention of Elder Abuse, Neglect, and Exploitation $12,027 - 0
93.067 Global Aids $10,870 - 0
93.566 Refugee and Entrant Assistance_state Administered Programs $8,190 - 0
93.242 Mental Health Research Grants $7,252 - 0
20.205 Highway Planning and Construction $6,306 - 0
21.016 Equitable Sharing $6,000 - 0
93.603 Adoption Incentive Payments $4,820 - 0
93.307 Minority Health and Health Disparities Research $1,204 - 0

Contacts

Name Title Type
MYM4VNNBN6T9 Sally Chan Auditee
4155547418 Annie Louie Auditor
No contacts on file

Notes to SEFA

Title: 1. GENERAL Accounting Policies: The accompanying Schedule is presented using the modified accrual basis of accounting for program expenditures accounted for in the governmental funds and the accrual basis of accounting for program expenditures accounted for in the proprietary funds as described in Note 2(b) of the City’s basic financial statements, with the exception of the Economic Adjustment Assistance Program described in Note 5. De Minimis Rate Used: N Rate Explanation: N/A The schedule of expenditures of federal awards (Schedule) includes the federal grant activity of the City and County of San Francisco (City). All federal awards received directly from federal agencies as well as federal awards passed through other non-federal agencies are included in this Schedule except for assistance related to Medical Assistance (Medi-Cal) and Medicare Hospital Insurance (Medicare) (see Note 4). The City’s basic financial statements include the operations of the San Francisco County Transportation Authority (Authority), the San Francisco International Airport (Airport), the Municipal Transportation Agency (MTA), and the Successor Agency to the San Francisco Redevelopment Agency (Successor Agency). The expenditures of the Authority, the Airport, the MTA, and the Successor Agency are not included in the schedule of expenditures of federal awards for the year ended June 30, 2023. Federal expenditures for these entities are separately audited.
Title: 2. BASIS OF ACCOUNTING Accounting Policies: The accompanying Schedule is presented using the modified accrual basis of accounting for program expenditures accounted for in the governmental funds and the accrual basis of accounting for program expenditures accounted for in the proprietary funds as described in Note 2(b) of the City’s basic financial statements, with the exception of the Economic Adjustment Assistance Program described in Note 5. De Minimis Rate Used: N Rate Explanation: N/A The accompanying Schedule is presented using the modified accrual basis of accounting for program expenditures accounted for in the governmental funds and the accrual basis of accounting for program expenditures accounted for in the proprietary funds as described in Note 2(b) of the City’s basic financial statements, with the exception of the Economic Adjustment Assistance Program described in Note 5. The City did not elect to use the 10% de minimis cost rate as covered in U.S. Code of Federal Regulations, Title 2 section 200.414 Indirect (F&A) costs.
Title: 3. RELATIONSHIP TO FEDERAL FINANCIAL REPORTS AND BASIC FINANCIAL STATEMENTS Accounting Policies: The accompanying Schedule is presented using the modified accrual basis of accounting for program expenditures accounted for in the governmental funds and the accrual basis of accounting for program expenditures accounted for in the proprietary funds as described in Note 2(b) of the City’s basic financial statements, with the exception of the Economic Adjustment Assistance Program described in Note 5. De Minimis Rate Used: N Rate Explanation: N/A Expenditures of federal awards are reported in the City’s basic financial statements as expenditures in the governmental funds, and as expenses for noncapital expenditures and as additions to capital assets for capital related expenditures in the proprietary funds. Amounts reported in the accompanying Schedule agree or can be reconciled with amounts reported in the related federal award reports and the City’s basic financial statements.
Title: 4. MEDI-CAL AND MEDICARE Accounting Policies: The accompanying Schedule is presented using the modified accrual basis of accounting for program expenditures accounted for in the governmental funds and the accrual basis of accounting for program expenditures accounted for in the proprietary funds as described in Note 2(b) of the City’s basic financial statements, with the exception of the Economic Adjustment Assistance Program described in Note 5. De Minimis Rate Used: N Rate Explanation: N/A Direct Medi-Cal and Medicare expenditures are excluded from the Schedule. These expenditures represent fees for services and are not included in the Schedule or in determining major programs. The City assists the State in determining eligibility and provides Medi-Cal and Medicare services through City-owned facilities. Administrative costs related to Medi-Cal and Medicare are, however, included in the Schedule under the Medical Assistance Program (Assistance Listing Number 93.778).
Title: 5. ECONOMIC ADJUSTMENT ASSISTANCE PROGRAM Accounting Policies: The accompanying Schedule is presented using the modified accrual basis of accounting for program expenditures accounted for in the governmental funds and the accrual basis of accounting for program expenditures accounted for in the proprietary funds as described in Note 2(b) of the City’s basic financial statements, with the exception of the Economic Adjustment Assistance Program described in Note 5. De Minimis Rate Used: N Rate Explanation: N/A For the purpose of calculating federal expenditures for the Schedule, the Economic Adjustment Assistance Program (Assistance Listing Number 11.307) reports non-loan expenditures and grants for revolving loan funds (RLF). Federal expenditures for RLF loans are calculated as the federal share of the sum of RLF loans outstanding and cash and investment balance in the RLF at the end of the fiscal year or through or the date of release by the U.S. Department of Commerce of its federal interest in the RLF award, and administrative expenses paid out of RLF income and the unpaid principal of all loans written off during the year. The table provides the breakdown of expenditures included in the Schedule.
Title: 6. CALIFORNIA DEPARTMENT OF AGING (CDA) SINGLE AUDIT REPORTING REQUIREMENTS Accounting Policies: The accompanying Schedule is presented using the modified accrual basis of accounting for program expenditures accounted for in the governmental funds and the accrual basis of accounting for program expenditures accounted for in the proprietary funds as described in Note 2(b) of the City’s basic financial statements, with the exception of the Economic Adjustment Assistance Program described in Note 5. De Minimis Rate Used: N Rate Explanation: N/A The terms and conditions of agency contracts with CDA require agencies to display State-funded expenditures discretely along with the related federal expenditures. CDA grant expenditures that involve federal funding have been presented in the Schedule. The schedule is presented using the modified accrual basis of accounting. For State grants not involving federal funding, the amounts are to be displayed separately. The schedule is presented to comply with these requirements.
Title: 7. PROGRAM TOTALS Accounting Policies: The accompanying Schedule is presented using the modified accrual basis of accounting for program expenditures accounted for in the governmental funds and the accrual basis of accounting for program expenditures accounted for in the proprietary funds as described in Note 2(b) of the City’s basic financial statements, with the exception of the Economic Adjustment Assistance Program described in Note 5. De Minimis Rate Used: N Rate Explanation: N/A The table summarizes programs funded by various sources or grants whose totals are not shown on the Schedule.
Title: 8. CALIFORNIA DEPARTMENT OF EDUCATION (CDE) REPORTING REQUIREMENTS Accounting Policies: The accompanying Schedule is presented using the modified accrual basis of accounting for program expenditures accounted for in the governmental funds and the accrual basis of accounting for program expenditures accounted for in the proprietary funds as described in Note 2(b) of the City’s basic financial statements, with the exception of the Economic Adjustment Assistance Program described in Note 5. De Minimis Rate Used: N Rate Explanation: N/A The terms and conditions of contracts with CDE require agencies to display State-funded expenditures discretely along with the related federal expenditures. CDE grant expenditures that involve federal funding have been presented in the Schedule. The schedule is presented using the modified accrual basis of accounting. For State grants not involving federal funding, the amounts are to be displayed separately.
Title: 9. CALIFORNIA DEPARTMENT OF SOCIAL SERVICES (CDSS) REPORTING REQUIREMENTS Accounting Policies: The accompanying Schedule is presented using the modified accrual basis of accounting for program expenditures accounted for in the governmental funds and the accrual basis of accounting for program expenditures accounted for in the proprietary funds as described in Note 2(b) of the City’s basic financial statements, with the exception of the Economic Adjustment Assistance Program described in Note 5. De Minimis Rate Used: N Rate Explanation: N/A The terms and conditions of contracts with CDSS require agencies to display State-funded expenditures discretely along with the related federal expenditures for assistance listing numbers 10.558, 93.575 and 93.596 whose contracts were previously administered by the California Department of Education. CDSS grant expenditures that involve federal funding have been presented in the Schedule. The schedule is presented using the modified accrual basis of accounting. For State grants not involving federal funding, the amounts are to be displayed separately. Additionally, for subawards connected to child care services, entities must report the name of the subawardees and the related contracts, including contract numbers and amounts. This information is reflected in the supplemental table:

Finding Details

Finding Reference: 2023-001 Federal Agency: U.S. Department of Health and Human Services Federal Program Title: Adoption Assistance Assistance Listing Number: 93.659 Pass Through Entity: California Department of Social Services Grant Number: None Category of Finding: Eligibility Classification of Finding: Significant Deficiency in Internal Control over Compliance Criteria States are required to adopt and adhere to their own statutes and regulations for Adoption Assistance Program (AAP) implementation, consistent with the requirements of Title IV-E of the Social Security Act and the approved Title IV-E Plan. California Code of Regulations, Title 22, Division 2, section 35333 Determination of Amount and Duration of AAP Benefit for All Children states that “reassessment of the AAP benefit shall be required every two (2) years beginning from the date of a signed Adoption Assistance Program Agreement (AD 4320) between the agency and the adoptive parents.” CFR Title 75, section 75.303 Internal Controls requires the non-federal entity to establish and maintain effective internal control over the Federal award that provides reasonable assurance that the non-Federal entity is managing the Federal award in compliance with Federal statutes, regulations, and the terms and conditions of the Federal award. Condition The City’s Human Services Agency (Department) administers the program and oversees the assessments and continued reassessments of participant eligibility. We tested a statistically valid sample of 60 participants selected from a population of 1,087 receiving AAP benefits for the period of July 1, 2022 through June 30, 2023. Of the 60 cases tested, seven cases did not contain documentary evidence of supervisory review of reassessments performed by eligibility caseworkers. Cause of Condition The Department’s policy is for eligibility supervisors to review the assessments and reassessments performed by the eligibility caseworkers for the Adoptions Assistance program. Checklists are maintained to document the necessary steps and files to be retained for each reassessment performed. However, supervisor reviews were not consistently performed on all reassessments and the checklists used by the caseworkers were not consistently applied. This was primarily due to program personnel having limited accessibility to physical files during the restrictions of the COVID-19 pandemic. Effect There is a potential for not identifying ineligible participants in a timely manner. Questioned Costs There are no questioned costs. Program participants are considered to be eligible for benefits once they are initially determined to be eligible through the point when they reach age 18, the adoptive parents are no longer legally responsible for the support of the child or the adoptive parents are no longer providing support to the child. None of the seven cases met one of these triggering events. Identification of Repeat Findings This is not a repeat finding from the prior year audit. Recommendation We recommend that the Human Services Agency revisit and implement a more robust review process for eligibility reassessment reviews and ensure that documentation of reviews is consistently maintained. View of Responsible Officials and Planned Corrective Action See separately prepared Corrective Action Plan.
Finding Reference: 2023-001 Federal Agency: U.S. Department of Health and Human Services Federal Program Title: Adoption Assistance Assistance Listing Number: 93.659 Pass Through Entity: California Department of Social Services Grant Number: None Category of Finding: Eligibility Classification of Finding: Significant Deficiency in Internal Control over Compliance Criteria States are required to adopt and adhere to their own statutes and regulations for Adoption Assistance Program (AAP) implementation, consistent with the requirements of Title IV-E of the Social Security Act and the approved Title IV-E Plan. California Code of Regulations, Title 22, Division 2, section 35333 Determination of Amount and Duration of AAP Benefit for All Children states that “reassessment of the AAP benefit shall be required every two (2) years beginning from the date of a signed Adoption Assistance Program Agreement (AD 4320) between the agency and the adoptive parents.” CFR Title 75, section 75.303 Internal Controls requires the non-federal entity to establish and maintain effective internal control over the Federal award that provides reasonable assurance that the non-Federal entity is managing the Federal award in compliance with Federal statutes, regulations, and the terms and conditions of the Federal award. Condition The City’s Human Services Agency (Department) administers the program and oversees the assessments and continued reassessments of participant eligibility. We tested a statistically valid sample of 60 participants selected from a population of 1,087 receiving AAP benefits for the period of July 1, 2022 through June 30, 2023. Of the 60 cases tested, seven cases did not contain documentary evidence of supervisory review of reassessments performed by eligibility caseworkers. Cause of Condition The Department’s policy is for eligibility supervisors to review the assessments and reassessments performed by the eligibility caseworkers for the Adoptions Assistance program. Checklists are maintained to document the necessary steps and files to be retained for each reassessment performed. However, supervisor reviews were not consistently performed on all reassessments and the checklists used by the caseworkers were not consistently applied. This was primarily due to program personnel having limited accessibility to physical files during the restrictions of the COVID-19 pandemic. Effect There is a potential for not identifying ineligible participants in a timely manner. Questioned Costs There are no questioned costs. Program participants are considered to be eligible for benefits once they are initially determined to be eligible through the point when they reach age 18, the adoptive parents are no longer legally responsible for the support of the child or the adoptive parents are no longer providing support to the child. None of the seven cases met one of these triggering events. Identification of Repeat Findings This is not a repeat finding from the prior year audit. Recommendation We recommend that the Human Services Agency revisit and implement a more robust review process for eligibility reassessment reviews and ensure that documentation of reviews is consistently maintained. View of Responsible Officials and Planned Corrective Action See separately prepared Corrective Action Plan.
Finding Reference: 2023-001 Federal Agency: U.S. Department of Health and Human Services Federal Program Title: Adoption Assistance Assistance Listing Number: 93.659 Pass Through Entity: California Department of Social Services Grant Number: None Category of Finding: Eligibility Classification of Finding: Significant Deficiency in Internal Control over Compliance Criteria States are required to adopt and adhere to their own statutes and regulations for Adoption Assistance Program (AAP) implementation, consistent with the requirements of Title IV-E of the Social Security Act and the approved Title IV-E Plan. California Code of Regulations, Title 22, Division 2, section 35333 Determination of Amount and Duration of AAP Benefit for All Children states that “reassessment of the AAP benefit shall be required every two (2) years beginning from the date of a signed Adoption Assistance Program Agreement (AD 4320) between the agency and the adoptive parents.” CFR Title 75, section 75.303 Internal Controls requires the non-federal entity to establish and maintain effective internal control over the Federal award that provides reasonable assurance that the non-Federal entity is managing the Federal award in compliance with Federal statutes, regulations, and the terms and conditions of the Federal award. Condition The City’s Human Services Agency (Department) administers the program and oversees the assessments and continued reassessments of participant eligibility. We tested a statistically valid sample of 60 participants selected from a population of 1,087 receiving AAP benefits for the period of July 1, 2022 through June 30, 2023. Of the 60 cases tested, seven cases did not contain documentary evidence of supervisory review of reassessments performed by eligibility caseworkers. Cause of Condition The Department’s policy is for eligibility supervisors to review the assessments and reassessments performed by the eligibility caseworkers for the Adoptions Assistance program. Checklists are maintained to document the necessary steps and files to be retained for each reassessment performed. However, supervisor reviews were not consistently performed on all reassessments and the checklists used by the caseworkers were not consistently applied. This was primarily due to program personnel having limited accessibility to physical files during the restrictions of the COVID-19 pandemic. Effect There is a potential for not identifying ineligible participants in a timely manner. Questioned Costs There are no questioned costs. Program participants are considered to be eligible for benefits once they are initially determined to be eligible through the point when they reach age 18, the adoptive parents are no longer legally responsible for the support of the child or the adoptive parents are no longer providing support to the child. None of the seven cases met one of these triggering events. Identification of Repeat Findings This is not a repeat finding from the prior year audit. Recommendation We recommend that the Human Services Agency revisit and implement a more robust review process for eligibility reassessment reviews and ensure that documentation of reviews is consistently maintained. View of Responsible Officials and Planned Corrective Action See separately prepared Corrective Action Plan.
Finding Reference: 2023-001 Federal Agency: U.S. Department of Health and Human Services Federal Program Title: Adoption Assistance Assistance Listing Number: 93.659 Pass Through Entity: California Department of Social Services Grant Number: None Category of Finding: Eligibility Classification of Finding: Significant Deficiency in Internal Control over Compliance Criteria States are required to adopt and adhere to their own statutes and regulations for Adoption Assistance Program (AAP) implementation, consistent with the requirements of Title IV-E of the Social Security Act and the approved Title IV-E Plan. California Code of Regulations, Title 22, Division 2, section 35333 Determination of Amount and Duration of AAP Benefit for All Children states that “reassessment of the AAP benefit shall be required every two (2) years beginning from the date of a signed Adoption Assistance Program Agreement (AD 4320) between the agency and the adoptive parents.” CFR Title 75, section 75.303 Internal Controls requires the non-federal entity to establish and maintain effective internal control over the Federal award that provides reasonable assurance that the non-Federal entity is managing the Federal award in compliance with Federal statutes, regulations, and the terms and conditions of the Federal award. Condition The City’s Human Services Agency (Department) administers the program and oversees the assessments and continued reassessments of participant eligibility. We tested a statistically valid sample of 60 participants selected from a population of 1,087 receiving AAP benefits for the period of July 1, 2022 through June 30, 2023. Of the 60 cases tested, seven cases did not contain documentary evidence of supervisory review of reassessments performed by eligibility caseworkers. Cause of Condition The Department’s policy is for eligibility supervisors to review the assessments and reassessments performed by the eligibility caseworkers for the Adoptions Assistance program. Checklists are maintained to document the necessary steps and files to be retained for each reassessment performed. However, supervisor reviews were not consistently performed on all reassessments and the checklists used by the caseworkers were not consistently applied. This was primarily due to program personnel having limited accessibility to physical files during the restrictions of the COVID-19 pandemic. Effect There is a potential for not identifying ineligible participants in a timely manner. Questioned Costs There are no questioned costs. Program participants are considered to be eligible for benefits once they are initially determined to be eligible through the point when they reach age 18, the adoptive parents are no longer legally responsible for the support of the child or the adoptive parents are no longer providing support to the child. None of the seven cases met one of these triggering events. Identification of Repeat Findings This is not a repeat finding from the prior year audit. Recommendation We recommend that the Human Services Agency revisit and implement a more robust review process for eligibility reassessment reviews and ensure that documentation of reviews is consistently maintained. View of Responsible Officials and Planned Corrective Action See separately prepared Corrective Action Plan.