Audit 31089

FY End
2022-12-31
Total Expended
$403.01M
Findings
8
Programs
103
Organization: Suffolk County, New York (NY)
Year: 2022 Accepted: 2023-09-28

Organization Exclusion Status:

Checking exclusion status...

Findings

ID Ref Severity Repeat Requirement
34679 2022-005 Material Weakness - P
34680 2022-004 Significant Deficiency - E
34681 2022-004 Significant Deficiency - E
34682 2022-003 Significant Deficiency Yes E
611121 2022-005 Material Weakness - P
611122 2022-004 Significant Deficiency - E
611123 2022-004 Significant Deficiency - E
611124 2022-003 Significant Deficiency Yes E

Programs

ALN Program Spent Major Findings
93.558 Temporary Assistance for Needy Families $80.11M Yes 0
14.269 Hurricane Sandy Community Development Block Grant Disaster Recovery Grants (cdbg-Dr) $46.71M Yes 0
93.568 Low-Income Home Energy Assistance $38.46M Yes 1
93.575 Child Care and Development Block Grant $36.46M - 0
93.778 Medical Assistance Program $21.59M - 0
20.507 Federal Transit_formula Grants $18.93M - 0
97.039 Hazard Mitigation Grant $18.26M Yes 0
10.557 Special Supplemental Nutrition Program for Women, Infants, and Children $16.57M - 0
10.561 State Administrative Matching Grants for the Supplemental Nutrition Assistance Program $15.20M Yes 0
21.027 Covid-19: Coronavirus State and Local Fiscal Recovery Funds $11.70M Yes 0
93.667 Social Services Block Grant $11.41M Yes 0
93.563 Child Support Enforcement $8.93M - 0
93.658 Foster Care_title IV-E $8.64M - 0
93.659 Adoption Assistance $6.40M Yes 1
16.U00 Housing & Transportation of Federal Adult Prisoners $4.92M - 0
97.067 Homeland Security Grant Program $3.82M - 0
17.259 Wioa Youth Activities $3.70M - 0
93.323 Covid-19: Epidemiology and Laboratory Capacity for Infectious Diseases (elc) $3.61M Yes 1
17.258 Wioa Adult Program $3.01M - 0
16.606 State Criminal Alien Assistance Program $2.89M - 0
93.958 Block Grants for Community Mental Health Services $2.63M Yes 0
93.558 Covid-19: Temporary Assistance for Needy Families $2.56M Yes 0
93.045 Special Programs for the Aging_title Iii, Part C_nutrition Services $2.36M Yes 0
93.568 Covid-19: Low-Income Home Energy Assistance $1.95M Yes 1
16.734 Special Data Collections and Statistical Studies $1.36M Yes 0
10.561 Covid-19: State Administrative Matching Grants for the Supplemental Nutrition Assistance Program $1.22M Yes 0
93.044 Special Programs for the Aging_title Iii, Part B_grants for Supportive Services and Senior Centers $1.12M Yes 0
93.767 Children's Health Insurance Program $1.10M - 0
16.922 Equitable Sharing Program $1.00M - 0
21.016 Equitable Sharing $968,360 Yes 0
93.044 Covid-19: Special Programs for the Aging_title Iii, Part B_grants for Supportive Services and Senior Centers $960,379 Yes 0
14.218 Community Development Block Grants/entitlement Grants $939,256 - 0
17.277 Wioa National Dislocated Worker Grants / Wia National Emergency Grants $920,868 - 0
93.052 National Family Caregiver Support, Title Iii, Part E $885,734 - 0
84.181A Special Education-Grants for Infants and Families $762,809 Yes 0
93.069 Public Health Emergency Preparedness $681,024 - 0
14.239 Home Investment Partnerships Program $660,000 - 0
20.237 Motor Carrier Safety Assistance High Priority Activities Grants and Cooperative Agreements $574,988 - 0
93.045 Covid-19: Special Programs for the Aging_title Iii, Part C_nutrition Services $543,600 Yes 0
93.053 Nutrition Services Incentive Program $473,966 Yes 0
21.023 Covid-19: Emergency Rental Assistance Program $459,582 - 0
16.320 Services for Trafficking Victims $450,725 - 0
97.042 Emergency Management Performance Grants $434,266 - 0
16.609 Project Safe Neighborhoods $378,773 - 0
16.741 Dna Backlog Reduction Program $371,844 - 0
14.218 Covid-19: Community Development Block Grants/entitlement Grants $330,906 - 0
16.710 Public Safety Partnership and Community Policing Grants $301,839 - 0
93.243 Substance Abuse and Mental Health Services_projects of Regional and National Significance $288,755 - 0
16.817 Byrne Criminal Justice Innovation Program $286,128 - 0
93.674 John H. Chafee Foster Care Program for Successful Transition to Adulthood $275,696 - 0
20.600 State and Community Highway Safety $262,550 - 0
93.052 Covid-19: National Family Caregiver Support, Title Iii, Part E $243,171 - 0
93.090 Guardianship Assistance $232,502 - 0
93.136 Injury Prevention and Control Research and State and Community Based Programs $222,850 - 0
93.354 Covid-19: Public Health Emergency Response: Cooperative Agreement for Emergency Response: Public Health Crisis Response $211,961 - 0
17.278 Wioa Dislocated Worker Formula Grants $186,156 - 0
16.590 Grants to Encourage Arrest Policies and Enforcement of Protection Orders Program $185,984 - 0
20.205 Highway Planning and Construction $181,285 - 0
16.575 Crime Victim Assistance $175,305 - 0
16.034 Covid-19: Coronavirus Emergency Supplemental Funding Program $166,937 - 0
16.738 Edward Byrne Memorial Justice Assistance Grant Program $153,725 - 0
66.605 Performance Partnership Grants $149,225 - 0
93.994 Maternal and Child Health Services Block Grant to the States $147,984 - 0
93.150 Projects for Assistance in Transition From Homelessness (path) $146,720 - 0
97.083 Staffing for Adequate Fire and Emergency Response (safer) $121,804 - 0
97.036 Disaster Grants - Public Assistance (presidentially Declared Disasters) $117,013 - 0
16.123 Community-Based Violence Prevention Program $107,143 - 0
66.472 Beach Monitoring and Notification Program Implementation Grants $98,400 - 0
66.456 National Estuary Program $87,413 - 0
93.914 Hiv Emergency Relief Project Grants $84,065 - 0
93.279 Drug Abuse and Addiction Research Programs $82,421 - 0
10.928 Emergency Watershed Protection Program - Floodplain Easements ? Disaster Relief Appropriations Act $78,196 - 0
97.106 Securing the Cities Program $74,040 - 0
97.056 Port Security Grant Program $70,295 - 0
93.747 Covid-19: Elder Abuse Prevention Interventions Program $69,514 - 0
20.616 National Priority Safety Programs $64,471 - 0
16.746 Capital Case Litigation Initiative $61,146 - 0
93.U01 Mammography Inspection $59,904 - 0
93.048 Covid-19: Special Programs for the Aging_title Iv_and Title Ii_discretionary Projects $57,326 - 0
93.071 Medicare Enrollment Assistance Program $56,871 - 0
16.588 Violence Against Women Formula Grants $48,750 - 0
16.742 Paul Coverdell Forensic Sciences Improvement Grant Program $47,507 - 0
16.820 Postconviction Testing of Dna Evidence to Exonerate the Innocent $46,662 - 0
16.540 Juvenile Justice and Delinquency Prevention $44,988 - 0
93.669 Child Abuse and Neglect State Grants $42,818 - 0
93.008 Medical Reserve Corps Small Grant Program $41,709 - 0
93.043 Special Programs for the Aging_title Iii, Part D_disease Prevention and Health Promotion Services $41,531 - 0
93.959 Covid-19: Block Grants for Prevention and Treatment of Substance Abuse $38,279 - 0
20.106 Airport Improvement Program $36,567 - 0
93.779 Centers for Medicare and Medicaid Services (cms) Research, Demonstrations and Evaluations $36,177 - 0
16.585 Drug Court Discretionary Grant Program $34,341 - 0
15.153 Hurricane Sandy Disaster Relief - Coastal Resiliency Grants. $34,171 - 0
96.006 Supplemental Security Income $32,000 - 0
93.268 Immunization Cooperative Agreements $30,251 - 0
96.008 Social Security - Work Incentives Planning and Assistance Program $28,550 - 0
17.245 Trade Adjustment Assistance $24,799 - 0
93.103 Food and Drug Administration_research $18,847 - 0
16.735 Prea Program: Strategic Support for Prea Implementation $18,497 - 0
14.239 Covid-19: Home Investment Partnerships Program $17,519 - 0
20.106 Covid-19: Airport Improvement Program $15,694 - 0
93.268 Covid-19: Immunization Cooperative Agreements $12,920 - 0
93.043 Covid-19: Special Programs for the Aging_title Iii, Part D_disease Prevention and Health Promotion Services $5,817 - 0
15.616 Clean Vessel Act Program $2,000 - 0

Contacts

Name Title Type
CAAAWFCH3T41 Frank Bayer Auditee
6318526040 Jill Strohmeyer Auditor
No contacts on file

Notes to SEFA

Title: Federal Non-Monetary and Loan Programs Accounting Policies: Reporting Entity: Suffolk County is a charter form of government governed by an elected 18-member County Legislature and administered by an elected County Executive. The accompanying financial statements present the government and its component units, entities for which the government is considered to be financially accountable. The Governmental Accounting Standards Board (GASB) has set forth criteria to be considered in determining financial accountability. These criteria include the County appointing a voting majority of an organization's governing body and (1) the ability of the governing body to impose its will on that organization or (2) the potential for the organization to provide specific financial benefits to or impose specific financial burden on the County. Blended component units, although legally separate entities, are in substance, part of the government's operations. Discretely presented component units are reported in a separate column in the government-wide financial statements to emphasize that they are legally separate from the government. Basis of Accounting of Basic Financial Statements: The government-wide financial statements are reported using the economic resources measurement focus and the accrual basis of accounting, as are the proprietary fund and fiduciary fund financial statements (except that agency funds have no measurement focus). Revenues are recorded when earned and expenses are recorded when a liability is incurred, regardless of the timing of related cash flows. Property taxes are recognized as revenues in the year for which they are levied. Grants and similar items are recognized as revenue as soon as all eligibility requirements imposed by the provider have been met. Governmental fund financial statements are reported using the current financial resources measurement focus and the modified accrual basis of accounting. Revenues are recognized as soon as they are both measurable and available. Revenues are considered to be available when they are collectible within the current period or soon enough thereafter to pay liabilities of the current period. For the County, available is defined as expected to be received within 60 days of fiscal year-end except for expenditure-driven grant revenues, which are considered available if collected within one year of the fiscal year-end. Expenditures generally are recorded when a liability is incurred, as under accrual accounting. However, debt service expenditures, as well as expenditures related to compensated absences and claims and judgments, are recorded only when payment is due. Property taxes, sales and use tax, franchise taxes, licenses, and interest associated with the current fiscal period are all considered to be susceptible to accrual and so have been recognized as revenues of the current fiscal period. Only the portion of special assessments receivable due within the current fiscal period is considered to be susceptible to accrual as revenue of the current period. All other revenue items are considered to be measurable and available only when cash is received by the government. Basis of Presentation: The accompanying SEFA presents the activity of federal financial assistance programs administered by the County of Suffolk, New York (the "County"), a financial reporting entity as defined in Note 1 to the County's general purpose financial statements. All federal financial assistance passed through other government agencies is included in the SEFA, except those federal expenditures of Suffolk County Community College (the "College"), a component unit, as the College engaged other auditors to perform an audit in accordance with 2 CFR Part 200. Basis of Accounting: The accompanying SEFA of the County are presented on the accrual basis of accounting except for Disaster Grants-Public Assistance (Presidentially Declared Disasters ALN 97.036.) Due to the character limitation, the remainder of this note can be found in the 2022 Single Audit Report. De Minimis Rate Used: N Rate Explanation: The County has not elected to use the 10% de minimis indirect cost rate. The County is in receipt of federal financial assistance that did not result in cash receipts or disbursements, termed "non-monetary programs." During the year ended December 31, 2022, the County distributed $13,800,048 worth of WIC Food Checks and WIC Special Formula Food Instruments to eligible participants in the Special Supplemental Food Program for Women, Infants and Children, WIC (Assistance Listing # 10.557). Additionally, the HOME Investment Partnership Grant (Assistance Listing # 14.239) contains the outstanding balance of the $660,000 loan made to Artspace in 2011. This interest free loan, which has a 30-year life, has continuing compliance requirements. Assistance Program Name Beginning Balance Interest Outstanding Balance Listing Number HOME at January 1, 2022 - at December 31, 2022 14.239 Investment Partnership $660,000 $660,000
Title: Relationship to Federal and State Financial Reports Accounting Policies: Reporting Entity: Suffolk County is a charter form of government governed by an elected 18-member County Legislature and administered by an elected County Executive. The accompanying financial statements present the government and its component units, entities for which the government is considered to be financially accountable. The Governmental Accounting Standards Board (GASB) has set forth criteria to be considered in determining financial accountability. These criteria include the County appointing a voting majority of an organization's governing body and (1) the ability of the governing body to impose its will on that organization or (2) the potential for the organization to provide specific financial benefits to or impose specific financial burden on the County. Blended component units, although legally separate entities, are in substance, part of the government's operations. Discretely presented component units are reported in a separate column in the government-wide financial statements to emphasize that they are legally separate from the government. Basis of Accounting of Basic Financial Statements: The government-wide financial statements are reported using the economic resources measurement focus and the accrual basis of accounting, as are the proprietary fund and fiduciary fund financial statements (except that agency funds have no measurement focus). Revenues are recorded when earned and expenses are recorded when a liability is incurred, regardless of the timing of related cash flows. Property taxes are recognized as revenues in the year for which they are levied. Grants and similar items are recognized as revenue as soon as all eligibility requirements imposed by the provider have been met. Governmental fund financial statements are reported using the current financial resources measurement focus and the modified accrual basis of accounting. Revenues are recognized as soon as they are both measurable and available. Revenues are considered to be available when they are collectible within the current period or soon enough thereafter to pay liabilities of the current period. For the County, available is defined as expected to be received within 60 days of fiscal year-end except for expenditure-driven grant revenues, which are considered available if collected within one year of the fiscal year-end. Expenditures generally are recorded when a liability is incurred, as under accrual accounting. However, debt service expenditures, as well as expenditures related to compensated absences and claims and judgments, are recorded only when payment is due. Property taxes, sales and use tax, franchise taxes, licenses, and interest associated with the current fiscal period are all considered to be susceptible to accrual and so have been recognized as revenues of the current fiscal period. Only the portion of special assessments receivable due within the current fiscal period is considered to be susceptible to accrual as revenue of the current period. All other revenue items are considered to be measurable and available only when cash is received by the government. Basis of Presentation: The accompanying SEFA presents the activity of federal financial assistance programs administered by the County of Suffolk, New York (the "County"), a financial reporting entity as defined in Note 1 to the County's general purpose financial statements. All federal financial assistance passed through other government agencies is included in the SEFA, except those federal expenditures of Suffolk County Community College (the "College"), a component unit, as the College engaged other auditors to perform an audit in accordance with 2 CFR Part 200. Basis of Accounting: The accompanying SEFA of the County are presented on the accrual basis of accounting except for Disaster Grants-Public Assistance (Presidentially Declared Disasters ALN 97.036.) Due to the character limitation, the remainder of this note can be found in the 2022 Single Audit Report. De Minimis Rate Used: N Rate Explanation: The County has not elected to use the 10% de minimis indirect cost rate. The regulations and guidelines governing the preparation of federal, and state financial reports vary by state and federal agency and among programs administered by the same agency. Accordingly, the amounts reported in the federal and state financial reports do not necessarily agree with the amounts reported in the accompanying Schedule of Expenditures of Federal Awards, which is prepared as explained above.
Title: Low-Income Home Energy Assistance Program Accounting Policies: Reporting Entity: Suffolk County is a charter form of government governed by an elected 18-member County Legislature and administered by an elected County Executive. The accompanying financial statements present the government and its component units, entities for which the government is considered to be financially accountable. The Governmental Accounting Standards Board (GASB) has set forth criteria to be considered in determining financial accountability. These criteria include the County appointing a voting majority of an organization's governing body and (1) the ability of the governing body to impose its will on that organization or (2) the potential for the organization to provide specific financial benefits to or impose specific financial burden on the County. Blended component units, although legally separate entities, are in substance, part of the government's operations. Discretely presented component units are reported in a separate column in the government-wide financial statements to emphasize that they are legally separate from the government. Basis of Accounting of Basic Financial Statements: The government-wide financial statements are reported using the economic resources measurement focus and the accrual basis of accounting, as are the proprietary fund and fiduciary fund financial statements (except that agency funds have no measurement focus). Revenues are recorded when earned and expenses are recorded when a liability is incurred, regardless of the timing of related cash flows. Property taxes are recognized as revenues in the year for which they are levied. Grants and similar items are recognized as revenue as soon as all eligibility requirements imposed by the provider have been met. Governmental fund financial statements are reported using the current financial resources measurement focus and the modified accrual basis of accounting. Revenues are recognized as soon as they are both measurable and available. Revenues are considered to be available when they are collectible within the current period or soon enough thereafter to pay liabilities of the current period. For the County, available is defined as expected to be received within 60 days of fiscal year-end except for expenditure-driven grant revenues, which are considered available if collected within one year of the fiscal year-end. Expenditures generally are recorded when a liability is incurred, as under accrual accounting. However, debt service expenditures, as well as expenditures related to compensated absences and claims and judgments, are recorded only when payment is due. Property taxes, sales and use tax, franchise taxes, licenses, and interest associated with the current fiscal period are all considered to be susceptible to accrual and so have been recognized as revenues of the current fiscal period. Only the portion of special assessments receivable due within the current fiscal period is considered to be susceptible to accrual as revenue of the current period. All other revenue items are considered to be measurable and available only when cash is received by the government. Basis of Presentation: The accompanying SEFA presents the activity of federal financial assistance programs administered by the County of Suffolk, New York (the "County"), a financial reporting entity as defined in Note 1 to the County's general purpose financial statements. All federal financial assistance passed through other government agencies is included in the SEFA, except those federal expenditures of Suffolk County Community College (the "College"), a component unit, as the College engaged other auditors to perform an audit in accordance with 2 CFR Part 200. Basis of Accounting: The accompanying SEFA of the County are presented on the accrual basis of accounting except for Disaster Grants-Public Assistance (Presidentially Declared Disasters ALN 97.036.) Due to the character limitation, the remainder of this note can be found in the 2022 Single Audit Report. De Minimis Rate Used: N Rate Explanation: The County has not elected to use the 10% de minimis indirect cost rate. The Low-Income Home Energy Assistance Program (HEAP) total includes $37,651,237 in payments made by the NY Office of the State Comptroller on behalf of Suffolk DSS through the NYS Office of Temporary and Disability Assistance (Assistance Listing # 93.568).
Title: Sub-recipients Accounting Policies: Reporting Entity: Suffolk County is a charter form of government governed by an elected 18-member County Legislature and administered by an elected County Executive. The accompanying financial statements present the government and its component units, entities for which the government is considered to be financially accountable. The Governmental Accounting Standards Board (GASB) has set forth criteria to be considered in determining financial accountability. These criteria include the County appointing a voting majority of an organization's governing body and (1) the ability of the governing body to impose its will on that organization or (2) the potential for the organization to provide specific financial benefits to or impose specific financial burden on the County. Blended component units, although legally separate entities, are in substance, part of the government's operations. Discretely presented component units are reported in a separate column in the government-wide financial statements to emphasize that they are legally separate from the government. Basis of Accounting of Basic Financial Statements: The government-wide financial statements are reported using the economic resources measurement focus and the accrual basis of accounting, as are the proprietary fund and fiduciary fund financial statements (except that agency funds have no measurement focus). Revenues are recorded when earned and expenses are recorded when a liability is incurred, regardless of the timing of related cash flows. Property taxes are recognized as revenues in the year for which they are levied. Grants and similar items are recognized as revenue as soon as all eligibility requirements imposed by the provider have been met. Governmental fund financial statements are reported using the current financial resources measurement focus and the modified accrual basis of accounting. Revenues are recognized as soon as they are both measurable and available. Revenues are considered to be available when they are collectible within the current period or soon enough thereafter to pay liabilities of the current period. For the County, available is defined as expected to be received within 60 days of fiscal year-end except for expenditure-driven grant revenues, which are considered available if collected within one year of the fiscal year-end. Expenditures generally are recorded when a liability is incurred, as under accrual accounting. However, debt service expenditures, as well as expenditures related to compensated absences and claims and judgments, are recorded only when payment is due. Property taxes, sales and use tax, franchise taxes, licenses, and interest associated with the current fiscal period are all considered to be susceptible to accrual and so have been recognized as revenues of the current fiscal period. Only the portion of special assessments receivable due within the current fiscal period is considered to be susceptible to accrual as revenue of the current period. All other revenue items are considered to be measurable and available only when cash is received by the government. Basis of Presentation: The accompanying SEFA presents the activity of federal financial assistance programs administered by the County of Suffolk, New York (the "County"), a financial reporting entity as defined in Note 1 to the County's general purpose financial statements. All federal financial assistance passed through other government agencies is included in the SEFA, except those federal expenditures of Suffolk County Community College (the "College"), a component unit, as the College engaged other auditors to perform an audit in accordance with 2 CFR Part 200. Basis of Accounting: The accompanying SEFA of the County are presented on the accrual basis of accounting except for Disaster Grants-Public Assistance (Presidentially Declared Disasters ALN 97.036.) Due to the character limitation, the remainder of this note can be found in the 2022 Single Audit Report. De Minimis Rate Used: N Rate Explanation: The County has not elected to use the 10% de minimis indirect cost rate. For the year ended December 31, 2022, amounts provided to subrecipients totaled $11,288,878 and are listed by program on the Schedule of Expenditures of Federal Awards.
Title: Program Income and Recaptured Funds Accounting Policies: Reporting Entity: Suffolk County is a charter form of government governed by an elected 18-member County Legislature and administered by an elected County Executive. The accompanying financial statements present the government and its component units, entities for which the government is considered to be financially accountable. The Governmental Accounting Standards Board (GASB) has set forth criteria to be considered in determining financial accountability. These criteria include the County appointing a voting majority of an organization's governing body and (1) the ability of the governing body to impose its will on that organization or (2) the potential for the organization to provide specific financial benefits to or impose specific financial burden on the County. Blended component units, although legally separate entities, are in substance, part of the government's operations. Discretely presented component units are reported in a separate column in the government-wide financial statements to emphasize that they are legally separate from the government. Basis of Accounting of Basic Financial Statements: The government-wide financial statements are reported using the economic resources measurement focus and the accrual basis of accounting, as are the proprietary fund and fiduciary fund financial statements (except that agency funds have no measurement focus). Revenues are recorded when earned and expenses are recorded when a liability is incurred, regardless of the timing of related cash flows. Property taxes are recognized as revenues in the year for which they are levied. Grants and similar items are recognized as revenue as soon as all eligibility requirements imposed by the provider have been met. Governmental fund financial statements are reported using the current financial resources measurement focus and the modified accrual basis of accounting. Revenues are recognized as soon as they are both measurable and available. Revenues are considered to be available when they are collectible within the current period or soon enough thereafter to pay liabilities of the current period. For the County, available is defined as expected to be received within 60 days of fiscal year-end except for expenditure-driven grant revenues, which are considered available if collected within one year of the fiscal year-end. Expenditures generally are recorded when a liability is incurred, as under accrual accounting. However, debt service expenditures, as well as expenditures related to compensated absences and claims and judgments, are recorded only when payment is due. Property taxes, sales and use tax, franchise taxes, licenses, and interest associated with the current fiscal period are all considered to be susceptible to accrual and so have been recognized as revenues of the current fiscal period. Only the portion of special assessments receivable due within the current fiscal period is considered to be susceptible to accrual as revenue of the current period. All other revenue items are considered to be measurable and available only when cash is received by the government. Basis of Presentation: The accompanying SEFA presents the activity of federal financial assistance programs administered by the County of Suffolk, New York (the "County"), a financial reporting entity as defined in Note 1 to the County's general purpose financial statements. All federal financial assistance passed through other government agencies is included in the SEFA, except those federal expenditures of Suffolk County Community College (the "College"), a component unit, as the College engaged other auditors to perform an audit in accordance with 2 CFR Part 200. Basis of Accounting: The accompanying SEFA of the County are presented on the accrual basis of accounting except for Disaster Grants-Public Assistance (Presidentially Declared Disasters ALN 97.036.) Due to the character limitation, the remainder of this note can be found in the 2022 Single Audit Report. De Minimis Rate Used: N Rate Explanation: The County has not elected to use the 10% de minimis indirect cost rate. During the year ending December 31, 2022, the County received program income and recaptured funds as follows: In fiscal year 2022, the County generated and expended program income in the Federal Transit Formula Grant (Assistance Listing # 20.507) totaling $387,818. Additionally, the County received program income totaling $50,000 from the Neighborhood Stabilization Program (NSP) (Assistance Listing # 14.228); however, the County no longer receives funding through NSP. Therefore, HUD informed the County to record the program income to the Community Development Block Grant (Assistance Listing # 14.218). These funds were not expended in 2022; therefore, the program income was not included on the SEFA. In fiscal year 2022, the County recaptured $110,673 of Home Investment Partnership Program (Assistance Listing # 14.239); however, these funds were not expended in 2022; therefore, the recaptured funds were not included on the 2022 SEFA.
Title: Glossary of Pass-Through Grantors Accounting Policies: Reporting Entity: Suffolk County is a charter form of government governed by an elected 18-member County Legislature and administered by an elected County Executive. The accompanying financial statements present the government and its component units, entities for which the government is considered to be financially accountable. The Governmental Accounting Standards Board (GASB) has set forth criteria to be considered in determining financial accountability. These criteria include the County appointing a voting majority of an organization's governing body and (1) the ability of the governing body to impose its will on that organization or (2) the potential for the organization to provide specific financial benefits to or impose specific financial burden on the County. Blended component units, although legally separate entities, are in substance, part of the government's operations. Discretely presented component units are reported in a separate column in the government-wide financial statements to emphasize that they are legally separate from the government. Basis of Accounting of Basic Financial Statements: The government-wide financial statements are reported using the economic resources measurement focus and the accrual basis of accounting, as are the proprietary fund and fiduciary fund financial statements (except that agency funds have no measurement focus). Revenues are recorded when earned and expenses are recorded when a liability is incurred, regardless of the timing of related cash flows. Property taxes are recognized as revenues in the year for which they are levied. Grants and similar items are recognized as revenue as soon as all eligibility requirements imposed by the provider have been met. Governmental fund financial statements are reported using the current financial resources measurement focus and the modified accrual basis of accounting. Revenues are recognized as soon as they are both measurable and available. Revenues are considered to be available when they are collectible within the current period or soon enough thereafter to pay liabilities of the current period. For the County, available is defined as expected to be received within 60 days of fiscal year-end except for expenditure-driven grant revenues, which are considered available if collected within one year of the fiscal year-end. Expenditures generally are recorded when a liability is incurred, as under accrual accounting. However, debt service expenditures, as well as expenditures related to compensated absences and claims and judgments, are recorded only when payment is due. Property taxes, sales and use tax, franchise taxes, licenses, and interest associated with the current fiscal period are all considered to be susceptible to accrual and so have been recognized as revenues of the current fiscal period. Only the portion of special assessments receivable due within the current fiscal period is considered to be susceptible to accrual as revenue of the current period. All other revenue items are considered to be measurable and available only when cash is received by the government. Basis of Presentation: The accompanying SEFA presents the activity of federal financial assistance programs administered by the County of Suffolk, New York (the "County"), a financial reporting entity as defined in Note 1 to the County's general purpose financial statements. All federal financial assistance passed through other government agencies is included in the SEFA, except those federal expenditures of Suffolk County Community College (the "College"), a component unit, as the College engaged other auditors to perform an audit in accordance with 2 CFR Part 200. Basis of Accounting: The accompanying SEFA of the County are presented on the accrual basis of accounting except for Disaster Grants-Public Assistance (Presidentially Declared Disasters ALN 97.036.) Due to the character limitation, the remainder of this note can be found in the 2022 Single Audit Report. De Minimis Rate Used: N Rate Explanation: The County has not elected to use the 10% de minimis indirect cost rate. The following is a glossary of pass-through grantor acronyms which may be used in the Schedule of Expenditures of Federal Awards.AcronymAgencyHRIHealth Research, Inc.NACCHONational Association of County & City Health OfficialsNFWFNational Fish & Wildlife FoundationNYC POLICENew York City Police DepartmentNYMTCNew York Metropolitan Transit CouncilNYS DCJSNew York State Division of Criminal Justice ServicesNYS DECNewYorkStateDepartmentofEnvironmentalConservationNYS DHSESNew York State Division of Homeland Security &Emergency ServicesNYS DOHNew York State Department of HealthNYS DOH - OASASNew York State Department of Health - Office ofAddiction Services & SupportsNYS DOH - OMHNew York State Department of Health - Office of MentalHealthNYS DOLNew York State Department of LaborNYS DOTNew York State Department of TransportationNYS EFCNew York State Environmental Facilities CorporationNYS GTSCNew York State Governor's Traffic Safety CommitteeNYS GTSC/DWINew York State Governor's Traffic Safety Committee / New York State STOP DWI FoundationNYS HTFCNew York State Housing Trust Fund Corporation(RHC Division)NYS OFANew York State Office for the AgingNYS OTDANew York State Office of Temporary and DisabilityAssistanceNYS OVSNew York State Office of Victim ServicesNYS UCSNew York State Unified Court SystemRFMHResearch Foundation for Mental Hygiene, Inc.UWLIUnited Way of Long Island

Finding Details

FINDING # 2022-005 OTHER - BASIS OF ACCOUNTING ? MATERIAL DEFICIENCY EPIDEMIOLOGY AND LABORATORY CAPACITY FOR INFECTIOUS DISEASES (ALN 93.323) PASS-THROUGH AGENCY: HEALTH RESEARCH, INC. IDENTIFICATION NUMBER(S): 6831-01 FEDERAL AGENCY: U.S. DEPARTMENT OF HEALTH AND HUMAN SERVICES COUNTY AGENCY: SUFFFOLK COUNTY HEALTH DEPARTMENT 1. CRITERIA Basis of Accounting ?Uniform Guidance states the basis of accounting used may be a special purpose framework. However, it does state that the determination of when an award is expended must be based on when the activity related to the federal award occurs. Uniform Guidance also states for Grants, cost reimbursement contracts, cooperative agreements, and direct appropriation type of contracts, the federal expenditure or expense should be reported when the transaction occurs. Uniform Guidance further states, the auditee should also be able to reconcile amounts presented in the financial statements to related amounts in the schedule of expenditures of federal awards. 2. CONDITION/PERSPECTIVE The Suffolk County Department of Health Services (the ?Department?) receives Epidemiology and Laboratory Capacity for Infectious Diseases funds from Health Research, Inc. (the ?Agency?). The Department reports to the Agency on an accrual basis, as required by the Agency. The County?s Schedule of Expenditures of Federal Awards is presented on the accrual basis of accounting. The Department provides all supporting documents to the Agency for reimbursement. Of the sixty (60) files selected for testing: ? We noted that the Department submitted four (4) allowable invoices in the amount of $549,538, which were incurred and dated in the prior year. The Department recorded the expenditures and revenue in the 2022 financial statements. These invoices were also added to the Schedule of Expenditures of Federal Awards in calendar year ended December 31, 2022. 3. CAUSE The Departments did not ensure that all program expenditures were reported in the correct year in the County?s schedule of expenditures of federal awards. 4. EFFECT The Pass-through agency may consider Suffolk County noncompliance. 5. REPEAT FINDING No 6. RECOMMENDATION We recommend the Department report program expenditures on the Schedule of Expenditures of Federal Awards on the same basis as the County. 7. QUESTIONED COST Cannot be determined. 8. VIEWS OF RESPONSIBLE OFFICIAL During year end processing, the Suffolk County Department of Health Services, when entering vouchers into the financial system, will ensure items to be accrued will contain the letter ?A? as a prefix to the voucher number. The department will also check to ensure all items that should be accrued, are in fact accrued prior to year end closing. In addition, the department will confirm the date entered in the financial system, reflects the proper year in which the expense and associated revenue should be recorded. When preparing the annual Schedule of Expenses of Federal Awards (?SEFA?). The department will reconcile expense reports with the expenses reported on the annual SEFA.
FINDING # 2022-004 ELIGIBILITY FOR INDIVIDUALS ? SIGNIFICANT DEFICIENCY LOW-INCOME HOME ENERGY ASSISTANCE (ALN 93.568) STATE AGENCY: NEW YORK STATE OFFICE OF TEMPORARY AND DISABILITY ASSISTANCE IDENTIFICATION NUMBER(S): 21-LCM-15, 21-LCM-23, 22-LCM-06, AND 23-LCM-01 FEDERAL AGENCY: U.S. DEPARTMENT OF HEALTH AND HUMAN SERVICES COUNTY AGENCY: DEPARTMENT OF SOCIAL SERVICES 1. CRITERIA Eligibility for Individuals? Grantees may provide assistance to (a) households in which one or more individuals are receiving Temporary Assistance for Needy Families (TANF), Supplemental Security Income (SSI), Supplemental Nutrition Assistance Program (SNAP) benefits, or certain needs-tested veterans? benefits; or (b) households with incomes which do not exceed the greater of 150 percent of the state?s established poverty level, or 60 percent of the state median income. Grantees may establish lower income eligibility criteria, but no household may be excluded solely on the basis of income if the household income is less than 110 percent of the state?s poverty level (42 USC 8624(b)(2)). Grantees must give priority to those households with the highest home energy costs or needs in relation to income and household size (42 USC 8624(b)(5)). 2. CONDITION/PERSPECTIVE The New York State Office of Temporary and Disability Assistance is responsible for Low-Income Energy assistance programs that provide assistance and support to eligible families and individuals. The Home Energy Assistance Program (HEAP) helps eligible New Yorkers heat and cool their homes. An eligibility family may receive one regular HEAP benefit per program year and could also be eligible for emergency HEAP benefits if you are in danger of running out of fuel or having utility service shut off. Of the sixty (60) files selected for testing: ? One (1) case file did not include the required documentation to support eligibility for HEAP. Therefore, we were not able to determine if the eligible participants met all the eligibility criteria. 3. CAUSE The Department did not ensure that all required eligibility forms were obtained and filed timely. 4. EFFECT The grantor agency may disallow the claims and reimbursements for the recipients. County claims could be made on behalf of ineligible recipients. 5. REPEAT FINDING No 6. RECOMMENDATION We recommend the Department strengthen its monitoring controls over the Low-Income Home Energy case files to ensure the timely and accurate determination of eligibility. 7. QUESTIONED COST Cannot be determined. 8. VIEWS OF RESPONSIBLE OFFICIAL Staff will be reminded of the importance of scanning all applications and required documentation into the Imaging and Enterprise Document Repository to ensure that a complete and accurate case file is kept electronically for all cases.
FINDING # 2022-004 ELIGIBILITY FOR INDIVIDUALS ? SIGNIFICANT DEFICIENCY LOW-INCOME HOME ENERGY ASSISTANCE (ALN 93.568) STATE AGENCY: NEW YORK STATE OFFICE OF TEMPORARY AND DISABILITY ASSISTANCE IDENTIFICATION NUMBER(S): 21-LCM-15, 21-LCM-23, 22-LCM-06, AND 23-LCM-01 FEDERAL AGENCY: U.S. DEPARTMENT OF HEALTH AND HUMAN SERVICES COUNTY AGENCY: DEPARTMENT OF SOCIAL SERVICES 1. CRITERIA Eligibility for Individuals? Grantees may provide assistance to (a) households in which one or more individuals are receiving Temporary Assistance for Needy Families (TANF), Supplemental Security Income (SSI), Supplemental Nutrition Assistance Program (SNAP) benefits, or certain needs-tested veterans? benefits; or (b) households with incomes which do not exceed the greater of 150 percent of the state?s established poverty level, or 60 percent of the state median income. Grantees may establish lower income eligibility criteria, but no household may be excluded solely on the basis of income if the household income is less than 110 percent of the state?s poverty level (42 USC 8624(b)(2)). Grantees must give priority to those households with the highest home energy costs or needs in relation to income and household size (42 USC 8624(b)(5)). 2. CONDITION/PERSPECTIVE The New York State Office of Temporary and Disability Assistance is responsible for Low-Income Energy assistance programs that provide assistance and support to eligible families and individuals. The Home Energy Assistance Program (HEAP) helps eligible New Yorkers heat and cool their homes. An eligibility family may receive one regular HEAP benefit per program year and could also be eligible for emergency HEAP benefits if you are in danger of running out of fuel or having utility service shut off. Of the sixty (60) files selected for testing: ? One (1) case file did not include the required documentation to support eligibility for HEAP. Therefore, we were not able to determine if the eligible participants met all the eligibility criteria. 3. CAUSE The Department did not ensure that all required eligibility forms were obtained and filed timely. 4. EFFECT The grantor agency may disallow the claims and reimbursements for the recipients. County claims could be made on behalf of ineligible recipients. 5. REPEAT FINDING No 6. RECOMMENDATION We recommend the Department strengthen its monitoring controls over the Low-Income Home Energy case files to ensure the timely and accurate determination of eligibility. 7. QUESTIONED COST Cannot be determined. 8. VIEWS OF RESPONSIBLE OFFICIAL Staff will be reminded of the importance of scanning all applications and required documentation into the Imaging and Enterprise Document Repository to ensure that a complete and accurate case file is kept electronically for all cases.
FINDING # 2022-003 ELIGIBILITY FOR INDIVIDUALS ? SIGNIFICANT DEFICIENCY ADOPTION ASSISTANCE TITLE IV-E (ALN 93.659) STATE AGENCY: NEW YORK STATE OFFICE OF TEMPORARY AND DISABILITY ASSISTANCE IDENTIFICATION NUMBER(S): 18000 FEDERAL AGENCY: U.S. DEPARTMENT OF HEALTH AND HUMAN SERVICES COUNTY AGENCY: DEPARTMENT OF SOCIAL SERVICES 1. CRITERIA Eligibility for Individuals?Adoption assistance subsidy payments may be paid on behalf of a child only if all of the following requirements are met: Adoption agreements entered into prior to the beginning of Fiscal Year (FY) 2010, or agreements entered into during FY 2010 or thereafter for a ?non-applicable child?: The child is categorically eligible if: (i) the child was eligible, or would have been eligible, for the former Aid to Families with Dependent Children (AFDC) program (i.e., met the State established standard of need as of July 16, 1996, prior to enactment of the Personal Responsibility and Work Opportunity Reconciliation Act (PRWORA) (tribes must use the Title IV-A State plan in effect as of July 16, 1996 of the State in which the child resided at the time of removal in determining the child?s AFDC eligibility (42 USC 679c(c)(1)(C)(ii)(II))) except for his/her removal from the home of a relative pursuant to either a voluntary placement agreement or as a result of a judicial determination to the effect that continuation in the home of removal would have been contrary to the welfare of the child; or (ii) the child is eligible for Supplemental Security Income (SSI); or (iii) the child is a child whose costs in a foster family home or childcare institution are covered by the foster care maintenance payments being made with respect to his/her minor parent (42 USC 673(a)(2)(A)(i)(I)). Adoption agreements entered into during FY 2010 or thereafter for an ?applicable child?: The child is categorically eligible if the child: ? meets the disability or medical requirements of the SSI program; or ? does not fit within the following prohibited class for the payment of an adoption assistance payment (including payments of non-recurring expenses under 42 USC 673(a)(1)(B)(i)), i.e., an ?applicable child? who is not a citizen or resident of the U.S. and was either adopted outside the U.S. or brought to the U.S. for the purpose of being adopted (42 USC 673(a)(7) as added by Pub. L. No. 110-351). The following additional eligibility provisions must be met in addition to the establishment of categorical eligibility: The prospective adoptive parent(s) must satisfactorily have met a criminal records check, including a fingerprint-based check (42 USC 671(a)(20)(A)). This involves a determination that such individual(s) have not committed any prohibited felonies in accordance with 42 USC 671(a)(20)(A)(i) and (ii). The requirement for a fingerprint-based check took effect on October 1, 2006, unless prior to September 30, 2005 the State has elected to opt out of the criminal records check requirement or State legislation was required to implement the fingerprint-based check, in which case a delayed implementation is permitted until the first quarter of the State?s regular legislative session following the close of the first regular session beginning after October 1, 2006. The requirement applies to adoption assistance payments for calendar quarters beginning on or after the State?s effective date for, implementation (Pub. L. No. 109- 248, Section 152(c)(1) and (3)). States that opted out of the criminal records check requirement at Section 471(a)(20) of the Social Security Act prior to September 30, 2005 had until October 1, 2008 to implement the fingerprint-based check requirement. Effective October 1, 2008, a State is no longer permitted to opt out of the fingerprint-based check requirement. The opt-out provision does not impact tribes since they only became eligible to administer a Title IV-E plan on October 1, 2009. The statutory provisions apply to all prospective adoptive parents who are newly approved after the Title IV-E agency?s authorized date for implementation of the fingerprint-based background check provisions. Title IV-E agencies may also require that certain other adult individuals living in the adoptive home be subject to a criminal records check. The completion or lack of completion of criminal records checks for persons other than prospective adoptive parents does not, however, impact Title IV-E eligibility (42 USC 671(a)(20)(B); Pub. L. No. 109-248, Section 152(c)(2); 45 CFR sections 1356.30(b) and (c); and the Child Welfare Policy Manual section 8.4F Q/A#4). 2. CONDITION/PERSPECTIVE New York State has enacted legislation which allows payments to be made for the care and maintenance of children when they are adopted. Suffolk County Department of Social Services (the ?Department?) provides a monthly adoption subsidy payment mandated by law for the care, maintenance, and/or medical needs of a child who fits the definition of handicapped or hard-to-place as defined by New York State law and regulations. Subsidy payments are available to all eligible children until the age of 21 regardless of the adoptive parent?s income. These payments are discontinued only when it is determined by a social service official that the adoptive parent(s) is no longer legally responsible for the support of the child or that the child is no longer receiving any support from the parent(s). Of the sixty (60) files selected for testing: ? Five (5) case file did not include the Home Studies narrative; and one (1) case file did not include the Criminal check form. Therefore, we were not able to determine if the eligible participants met all the eligibility criteria. 3. CAUSE The Department did not ensure that all required eligibility forms were obtained and filed timely. 4. EFFECT The grantor agency may disallow the claims and reimbursements for the recipients. County claims could be made on behalf of ineligible recipients. 5. REPEAT FINDING A similar finding was included in the prior year single audit report as item 2021-001. 6. RECOMMENDATION We recommend the Department strengthen its monitoring controls over the adoption assistance case files to ensure the timely and accurate determination of eligibility. 7. QUESTIONED COST Cannot be determined. 8. VIEWS OF RESPONSIBLE OFFICIAL With regards to the Criminal check form: Corrective Action Plan: It was found that one (1) case file did not include the criminal check form. The criminal check forms for this case was conducted when the children were in Foster Care and the results were included in the Foster Home record. Foster Home records are purged after eight (8) years of the home closing and no longer available. Currently: The criminal record check is included in the Adoption Subsidy file upon adoption as well as maintained in our Adoption vendor files. With regards to the Home Study narrative: Corrective Action Plan: It was found that five (5) cases did not include the Home Study narrative. The Home Study narratives for these case files were conducted when the homes were first certified as Foster Homes and were included in the Foster Home case record. Foster Home records are purged after eight (8) years of the home closing and no longer available. Currently: The Home Study narrative is included in the Adoption Subsidy file upon adoption as well as maintained in our Adoption vendor files.
FINDING # 2022-005 OTHER - BASIS OF ACCOUNTING ? MATERIAL DEFICIENCY EPIDEMIOLOGY AND LABORATORY CAPACITY FOR INFECTIOUS DISEASES (ALN 93.323) PASS-THROUGH AGENCY: HEALTH RESEARCH, INC. IDENTIFICATION NUMBER(S): 6831-01 FEDERAL AGENCY: U.S. DEPARTMENT OF HEALTH AND HUMAN SERVICES COUNTY AGENCY: SUFFFOLK COUNTY HEALTH DEPARTMENT 1. CRITERIA Basis of Accounting ?Uniform Guidance states the basis of accounting used may be a special purpose framework. However, it does state that the determination of when an award is expended must be based on when the activity related to the federal award occurs. Uniform Guidance also states for Grants, cost reimbursement contracts, cooperative agreements, and direct appropriation type of contracts, the federal expenditure or expense should be reported when the transaction occurs. Uniform Guidance further states, the auditee should also be able to reconcile amounts presented in the financial statements to related amounts in the schedule of expenditures of federal awards. 2. CONDITION/PERSPECTIVE The Suffolk County Department of Health Services (the ?Department?) receives Epidemiology and Laboratory Capacity for Infectious Diseases funds from Health Research, Inc. (the ?Agency?). The Department reports to the Agency on an accrual basis, as required by the Agency. The County?s Schedule of Expenditures of Federal Awards is presented on the accrual basis of accounting. The Department provides all supporting documents to the Agency for reimbursement. Of the sixty (60) files selected for testing: ? We noted that the Department submitted four (4) allowable invoices in the amount of $549,538, which were incurred and dated in the prior year. The Department recorded the expenditures and revenue in the 2022 financial statements. These invoices were also added to the Schedule of Expenditures of Federal Awards in calendar year ended December 31, 2022. 3. CAUSE The Departments did not ensure that all program expenditures were reported in the correct year in the County?s schedule of expenditures of federal awards. 4. EFFECT The Pass-through agency may consider Suffolk County noncompliance. 5. REPEAT FINDING No 6. RECOMMENDATION We recommend the Department report program expenditures on the Schedule of Expenditures of Federal Awards on the same basis as the County. 7. QUESTIONED COST Cannot be determined. 8. VIEWS OF RESPONSIBLE OFFICIAL During year end processing, the Suffolk County Department of Health Services, when entering vouchers into the financial system, will ensure items to be accrued will contain the letter ?A? as a prefix to the voucher number. The department will also check to ensure all items that should be accrued, are in fact accrued prior to year end closing. In addition, the department will confirm the date entered in the financial system, reflects the proper year in which the expense and associated revenue should be recorded. When preparing the annual Schedule of Expenses of Federal Awards (?SEFA?). The department will reconcile expense reports with the expenses reported on the annual SEFA.
FINDING # 2022-004 ELIGIBILITY FOR INDIVIDUALS ? SIGNIFICANT DEFICIENCY LOW-INCOME HOME ENERGY ASSISTANCE (ALN 93.568) STATE AGENCY: NEW YORK STATE OFFICE OF TEMPORARY AND DISABILITY ASSISTANCE IDENTIFICATION NUMBER(S): 21-LCM-15, 21-LCM-23, 22-LCM-06, AND 23-LCM-01 FEDERAL AGENCY: U.S. DEPARTMENT OF HEALTH AND HUMAN SERVICES COUNTY AGENCY: DEPARTMENT OF SOCIAL SERVICES 1. CRITERIA Eligibility for Individuals? Grantees may provide assistance to (a) households in which one or more individuals are receiving Temporary Assistance for Needy Families (TANF), Supplemental Security Income (SSI), Supplemental Nutrition Assistance Program (SNAP) benefits, or certain needs-tested veterans? benefits; or (b) households with incomes which do not exceed the greater of 150 percent of the state?s established poverty level, or 60 percent of the state median income. Grantees may establish lower income eligibility criteria, but no household may be excluded solely on the basis of income if the household income is less than 110 percent of the state?s poverty level (42 USC 8624(b)(2)). Grantees must give priority to those households with the highest home energy costs or needs in relation to income and household size (42 USC 8624(b)(5)). 2. CONDITION/PERSPECTIVE The New York State Office of Temporary and Disability Assistance is responsible for Low-Income Energy assistance programs that provide assistance and support to eligible families and individuals. The Home Energy Assistance Program (HEAP) helps eligible New Yorkers heat and cool their homes. An eligibility family may receive one regular HEAP benefit per program year and could also be eligible for emergency HEAP benefits if you are in danger of running out of fuel or having utility service shut off. Of the sixty (60) files selected for testing: ? One (1) case file did not include the required documentation to support eligibility for HEAP. Therefore, we were not able to determine if the eligible participants met all the eligibility criteria. 3. CAUSE The Department did not ensure that all required eligibility forms were obtained and filed timely. 4. EFFECT The grantor agency may disallow the claims and reimbursements for the recipients. County claims could be made on behalf of ineligible recipients. 5. REPEAT FINDING No 6. RECOMMENDATION We recommend the Department strengthen its monitoring controls over the Low-Income Home Energy case files to ensure the timely and accurate determination of eligibility. 7. QUESTIONED COST Cannot be determined. 8. VIEWS OF RESPONSIBLE OFFICIAL Staff will be reminded of the importance of scanning all applications and required documentation into the Imaging and Enterprise Document Repository to ensure that a complete and accurate case file is kept electronically for all cases.
FINDING # 2022-004 ELIGIBILITY FOR INDIVIDUALS ? SIGNIFICANT DEFICIENCY LOW-INCOME HOME ENERGY ASSISTANCE (ALN 93.568) STATE AGENCY: NEW YORK STATE OFFICE OF TEMPORARY AND DISABILITY ASSISTANCE IDENTIFICATION NUMBER(S): 21-LCM-15, 21-LCM-23, 22-LCM-06, AND 23-LCM-01 FEDERAL AGENCY: U.S. DEPARTMENT OF HEALTH AND HUMAN SERVICES COUNTY AGENCY: DEPARTMENT OF SOCIAL SERVICES 1. CRITERIA Eligibility for Individuals? Grantees may provide assistance to (a) households in which one or more individuals are receiving Temporary Assistance for Needy Families (TANF), Supplemental Security Income (SSI), Supplemental Nutrition Assistance Program (SNAP) benefits, or certain needs-tested veterans? benefits; or (b) households with incomes which do not exceed the greater of 150 percent of the state?s established poverty level, or 60 percent of the state median income. Grantees may establish lower income eligibility criteria, but no household may be excluded solely on the basis of income if the household income is less than 110 percent of the state?s poverty level (42 USC 8624(b)(2)). Grantees must give priority to those households with the highest home energy costs or needs in relation to income and household size (42 USC 8624(b)(5)). 2. CONDITION/PERSPECTIVE The New York State Office of Temporary and Disability Assistance is responsible for Low-Income Energy assistance programs that provide assistance and support to eligible families and individuals. The Home Energy Assistance Program (HEAP) helps eligible New Yorkers heat and cool their homes. An eligibility family may receive one regular HEAP benefit per program year and could also be eligible for emergency HEAP benefits if you are in danger of running out of fuel or having utility service shut off. Of the sixty (60) files selected for testing: ? One (1) case file did not include the required documentation to support eligibility for HEAP. Therefore, we were not able to determine if the eligible participants met all the eligibility criteria. 3. CAUSE The Department did not ensure that all required eligibility forms were obtained and filed timely. 4. EFFECT The grantor agency may disallow the claims and reimbursements for the recipients. County claims could be made on behalf of ineligible recipients. 5. REPEAT FINDING No 6. RECOMMENDATION We recommend the Department strengthen its monitoring controls over the Low-Income Home Energy case files to ensure the timely and accurate determination of eligibility. 7. QUESTIONED COST Cannot be determined. 8. VIEWS OF RESPONSIBLE OFFICIAL Staff will be reminded of the importance of scanning all applications and required documentation into the Imaging and Enterprise Document Repository to ensure that a complete and accurate case file is kept electronically for all cases.
FINDING # 2022-003 ELIGIBILITY FOR INDIVIDUALS ? SIGNIFICANT DEFICIENCY ADOPTION ASSISTANCE TITLE IV-E (ALN 93.659) STATE AGENCY: NEW YORK STATE OFFICE OF TEMPORARY AND DISABILITY ASSISTANCE IDENTIFICATION NUMBER(S): 18000 FEDERAL AGENCY: U.S. DEPARTMENT OF HEALTH AND HUMAN SERVICES COUNTY AGENCY: DEPARTMENT OF SOCIAL SERVICES 1. CRITERIA Eligibility for Individuals?Adoption assistance subsidy payments may be paid on behalf of a child only if all of the following requirements are met: Adoption agreements entered into prior to the beginning of Fiscal Year (FY) 2010, or agreements entered into during FY 2010 or thereafter for a ?non-applicable child?: The child is categorically eligible if: (i) the child was eligible, or would have been eligible, for the former Aid to Families with Dependent Children (AFDC) program (i.e., met the State established standard of need as of July 16, 1996, prior to enactment of the Personal Responsibility and Work Opportunity Reconciliation Act (PRWORA) (tribes must use the Title IV-A State plan in effect as of July 16, 1996 of the State in which the child resided at the time of removal in determining the child?s AFDC eligibility (42 USC 679c(c)(1)(C)(ii)(II))) except for his/her removal from the home of a relative pursuant to either a voluntary placement agreement or as a result of a judicial determination to the effect that continuation in the home of removal would have been contrary to the welfare of the child; or (ii) the child is eligible for Supplemental Security Income (SSI); or (iii) the child is a child whose costs in a foster family home or childcare institution are covered by the foster care maintenance payments being made with respect to his/her minor parent (42 USC 673(a)(2)(A)(i)(I)). Adoption agreements entered into during FY 2010 or thereafter for an ?applicable child?: The child is categorically eligible if the child: ? meets the disability or medical requirements of the SSI program; or ? does not fit within the following prohibited class for the payment of an adoption assistance payment (including payments of non-recurring expenses under 42 USC 673(a)(1)(B)(i)), i.e., an ?applicable child? who is not a citizen or resident of the U.S. and was either adopted outside the U.S. or brought to the U.S. for the purpose of being adopted (42 USC 673(a)(7) as added by Pub. L. No. 110-351). The following additional eligibility provisions must be met in addition to the establishment of categorical eligibility: The prospective adoptive parent(s) must satisfactorily have met a criminal records check, including a fingerprint-based check (42 USC 671(a)(20)(A)). This involves a determination that such individual(s) have not committed any prohibited felonies in accordance with 42 USC 671(a)(20)(A)(i) and (ii). The requirement for a fingerprint-based check took effect on October 1, 2006, unless prior to September 30, 2005 the State has elected to opt out of the criminal records check requirement or State legislation was required to implement the fingerprint-based check, in which case a delayed implementation is permitted until the first quarter of the State?s regular legislative session following the close of the first regular session beginning after October 1, 2006. The requirement applies to adoption assistance payments for calendar quarters beginning on or after the State?s effective date for, implementation (Pub. L. No. 109- 248, Section 152(c)(1) and (3)). States that opted out of the criminal records check requirement at Section 471(a)(20) of the Social Security Act prior to September 30, 2005 had until October 1, 2008 to implement the fingerprint-based check requirement. Effective October 1, 2008, a State is no longer permitted to opt out of the fingerprint-based check requirement. The opt-out provision does not impact tribes since they only became eligible to administer a Title IV-E plan on October 1, 2009. The statutory provisions apply to all prospective adoptive parents who are newly approved after the Title IV-E agency?s authorized date for implementation of the fingerprint-based background check provisions. Title IV-E agencies may also require that certain other adult individuals living in the adoptive home be subject to a criminal records check. The completion or lack of completion of criminal records checks for persons other than prospective adoptive parents does not, however, impact Title IV-E eligibility (42 USC 671(a)(20)(B); Pub. L. No. 109-248, Section 152(c)(2); 45 CFR sections 1356.30(b) and (c); and the Child Welfare Policy Manual section 8.4F Q/A#4). 2. CONDITION/PERSPECTIVE New York State has enacted legislation which allows payments to be made for the care and maintenance of children when they are adopted. Suffolk County Department of Social Services (the ?Department?) provides a monthly adoption subsidy payment mandated by law for the care, maintenance, and/or medical needs of a child who fits the definition of handicapped or hard-to-place as defined by New York State law and regulations. Subsidy payments are available to all eligible children until the age of 21 regardless of the adoptive parent?s income. These payments are discontinued only when it is determined by a social service official that the adoptive parent(s) is no longer legally responsible for the support of the child or that the child is no longer receiving any support from the parent(s). Of the sixty (60) files selected for testing: ? Five (5) case file did not include the Home Studies narrative; and one (1) case file did not include the Criminal check form. Therefore, we were not able to determine if the eligible participants met all the eligibility criteria. 3. CAUSE The Department did not ensure that all required eligibility forms were obtained and filed timely. 4. EFFECT The grantor agency may disallow the claims and reimbursements for the recipients. County claims could be made on behalf of ineligible recipients. 5. REPEAT FINDING A similar finding was included in the prior year single audit report as item 2021-001. 6. RECOMMENDATION We recommend the Department strengthen its monitoring controls over the adoption assistance case files to ensure the timely and accurate determination of eligibility. 7. QUESTIONED COST Cannot be determined. 8. VIEWS OF RESPONSIBLE OFFICIAL With regards to the Criminal check form: Corrective Action Plan: It was found that one (1) case file did not include the criminal check form. The criminal check forms for this case was conducted when the children were in Foster Care and the results were included in the Foster Home record. Foster Home records are purged after eight (8) years of the home closing and no longer available. Currently: The criminal record check is included in the Adoption Subsidy file upon adoption as well as maintained in our Adoption vendor files. With regards to the Home Study narrative: Corrective Action Plan: It was found that five (5) cases did not include the Home Study narrative. The Home Study narratives for these case files were conducted when the homes were first certified as Foster Homes and were included in the Foster Home case record. Foster Home records are purged after eight (8) years of the home closing and no longer available. Currently: The Home Study narrative is included in the Adoption Subsidy file upon adoption as well as maintained in our Adoption vendor files.