Audit 315856

FY End
2023-12-31
Total Expended
$39.72M
Findings
2
Programs
36
Organization: Chemung County Treasurer (NY)
Year: 2023 Accepted: 2024-07-24

Organization Exclusion Status:

Checking exclusion status...

Findings

ID Ref Severity Repeat Requirement
479358 2023-001 - - E
1055800 2023-001 - - E

Programs

ALN Program Spent Major Findings
93.558 Temporary Assistance for Needy Families $7.53M - 0
93.568 Low-Income Home Energy Assistance $5.17M Yes 1
20.205 Highway Planning and Construction $4.85M - 0
93.575 Child Care and Development Block Grant $3.41M Yes 0
21.027 Coronavirus State and Local Fiscal Recovery Funds $2.35M Yes 0
93.659 Adoption Assistance $2.26M - 0
10.557 Special Supplemental Nutrition Program for Women, Infants, and Children $2.09M Yes 0
20.507 Federal Transit_formula Grants $1.94M - 0
93.778 Medical Assistance Program $1.92M Yes 0
10.561 State Administrative Matching Grants for the Supplemental Nutrition Assistance Program $1.78M - 0
20.106 Airport Improvement Program $1.33M - 0
93.667 Social Services Block Grant $1.32M - 0
93.658 Foster Care_title IV-E $961,850 Yes 0
93.563 Child Support Enforcement $752,335 - 0
20.505 Metropolitan Transportation Planning $510,000 - 0
93.045 Special Programs for the Aging_title Iii, Part C_nutrition Services $385,424 - 0
93.323 Epidemiology and Laboratory Capacity for Infectious Diseases (elc) $191,744 - 0
93.559 Title IV-B Subpart 2 & Title IV-B2 Caa $133,128 - 0
93.044 Special Programs for the Aging_title Iii, Part B_grants for Supportive Services and Senior Centers $99,395 - 0
97.067 Homeland Security Grant Program $73,169 - 0
84.181 Special Education-Grants for Infants and Families $69,492 - 0
16.710 Public Safety Partnership and Community Policing Grants $64,506 - 0
97.047 Pre-Disaster Mitigation $60,587 - 0
93.669 Child Abuse and Neglect State Grants $56,684 - 0
93.052 National Family Caregiver Support, Title Iii, Part E $54,103 - 0
93.053 Nutrition Services Incentive Program $41,064 - 0
93.069 Public Health Emergency Preparedness $38,743 - 0
93.779 Centers for Medicare and Medicaid Services (cms) Research, Demonstrations and Evaluations $34,386 - 0
93.603 Adoption Incentive Payments $33,867 - 0
93.071 Medicare Enrollment Assistance Program $15,916 - 0
93.994 Maternal and Child Health Services Block Grant to the States $12,901 - 0
97.039 Hazard Mitigation Grant $12,469 - 0
93.747 Elder Abuse Prevention Interventions Program $6,162 - 0
93.268 Immunization Grants $5,551 - 0
21.016 Covid-19 Coronavirus State and Local Fiscal Recovery Funds (arpa) $2,583 - 0
93.674 Chafee Foster Care Independence Program $742 - 0

Contacts

Name Title Type
ZSPKQ36C6GD4 Katlyn Colombani-Ruiz Auditee
6077372957 Richard J. Davis, CPA Auditor
No contacts on file

Notes to SEFA

Title: Note 1. Basis of Presentation Accounting Policies: The accompanying schedule of expenditures of federal awards (the "Schedule") presents the activity of all federal financial assistance programs of the County of Chemung - State of New York (the "County"). The information in this Schedule is presented in accordance with the requirements of Title 2 U.S. Code of Federal Regulations Part 200, Uniform Administrative Requirements, Cost Principles, and Audit Requirements for Federal Awards (Uniform Guidance). The County's reporting entity is defined in the notes to the County's financial statements. All federal financial assistance received directly from federal agencies as well as federal financial assistance passed through other government agencies are included on the Schedule. The amounts reported as federal expenditures generally were obtained from federal financial reports for the applicable program and period. The amounts reported in these federal financial reports are prepared from records maintained for each program. These records are periodically reconciled to the general ledger which is the source of the general purpose financial statements. During the year ended December 31, 2023, the County received funds from the following pass-through entities which are identifiable in the accompanying schedule as: • New York State Office of Children and Family Services (NYS OCFS) • New York State Office of Temporary and Disability Assistance (NYS OTDA) • New York State Department of Health (NYS DOH) • New York State Department of Transportation (NYS DOT) • New York State Division of Homeland Security and Emergency Services (NYS DHSES) • New York State Office of Mental Health (NYS OMH) • New York State Office for the Aging (NYS OFA) • New York State Division of Criminal Justice Services (NYS DCJS) • Health Research Incorporated Unless noted above, all other funding reported on the schedule of expenditures of federal awards was received directly from the noted federal agency. De Minimis Rate Used: N Rate Explanation: Expenditures reported on the Schedule are reported on the modified accrual basis of accounting, which is described in the notes to the County's financial statements. Such expenditures are recognized following the cost principles contained in the Uniform Guidance, wherein certain types of expenditures are not allowable or are limited as to reimbursement. In certain cases, the County uses an approved indirect cost allocation rate prepared by a third party, otherwise the County has elected not to use the 10 percent de minimis indirect cost rate as allowed under the Uniform Guidance. Included in the amount reported for Assistance Listing No. 10.557, Special Supplemental Nutrition Program for Women, Infants and Children, is $1,565,525 for the fair market value of the redeemed food instrument issuances. A food instrument is an electronic benefits transfer card (EBT) produced through the New York State WIC Statewide Information System that is issued to WIC participants and may be redeemed to obtain WIC approved foods/formula from authorized vendors. Included in the amount reported for Assistance Listing No. 93.568, Low-Income Home Energy Assistance, are payments to utility vendors for $4,699,736. These payments are issued directly from the New York State Office of the State Comptroller. The payments are processed through the State-wide Financial System. The accompanying schedule of expenditures of federal awards (the "Schedule") presents the activity of all federal financial assistance programs of the County of Chemung - State of New York (the "County"). The information in this Schedule is presented in accordance with the requirements of Title 2 U.S. Code of Federal Regulations Part 200, Uniform Administrative Requirements, Cost Principles, and Audit Requirements for Federal Awards (Uniform Guidance). The County's reporting entity is defined in the notes to the County's financial statements. All federal financial assistance received directly from federal agencies as well as federal financial assistance passed through other government agencies are included on the Schedule. The amounts reported as federal expenditures generally were obtained from federal financial reports for the applicable program and period. The amounts reported in these federal financial reports are prepared from records maintained for each program. These records are periodically reconciled to the general ledger which is the source of the general purpose financial statements. During the year ended December 31, 2023, the County received funds from the following pass-through entities which are identifiable in the accompanying schedule as: • New York State Office of Children and Family Services (NYS OCFS) • New York State Office of Temporary and Disability Assistance (NYS OTDA) • New York State Department of Health (NYS DOH) • New York State Department of Transportation (NYS DOT) • New York State Division of Homeland Security and Emergency Services (NYS DHSES) • New York State Office of Mental Health (NYS OMH) • New York State Office for the Aging (NYS OFA) • New York State Division of Criminal Justice Services (NYS DCJS) • Health Research Incorporated Unless noted above, all other funding reported on the schedule of expenditures of federal awards was received directly from the noted federal agency.
Title: Note 2. Summary of Significant Accounting Policies Accounting Policies: The accompanying schedule of expenditures of federal awards (the "Schedule") presents the activity of all federal financial assistance programs of the County of Chemung - State of New York (the "County"). The information in this Schedule is presented in accordance with the requirements of Title 2 U.S. Code of Federal Regulations Part 200, Uniform Administrative Requirements, Cost Principles, and Audit Requirements for Federal Awards (Uniform Guidance). The County's reporting entity is defined in the notes to the County's financial statements. All federal financial assistance received directly from federal agencies as well as federal financial assistance passed through other government agencies are included on the Schedule. The amounts reported as federal expenditures generally were obtained from federal financial reports for the applicable program and period. The amounts reported in these federal financial reports are prepared from records maintained for each program. These records are periodically reconciled to the general ledger which is the source of the general purpose financial statements. During the year ended December 31, 2023, the County received funds from the following pass-through entities which are identifiable in the accompanying schedule as: • New York State Office of Children and Family Services (NYS OCFS) • New York State Office of Temporary and Disability Assistance (NYS OTDA) • New York State Department of Health (NYS DOH) • New York State Department of Transportation (NYS DOT) • New York State Division of Homeland Security and Emergency Services (NYS DHSES) • New York State Office of Mental Health (NYS OMH) • New York State Office for the Aging (NYS OFA) • New York State Division of Criminal Justice Services (NYS DCJS) • Health Research Incorporated Unless noted above, all other funding reported on the schedule of expenditures of federal awards was received directly from the noted federal agency. De Minimis Rate Used: N Rate Explanation: Expenditures reported on the Schedule are reported on the modified accrual basis of accounting, which is described in the notes to the County's financial statements. Such expenditures are recognized following the cost principles contained in the Uniform Guidance, wherein certain types of expenditures are not allowable or are limited as to reimbursement. In certain cases, the County uses an approved indirect cost allocation rate prepared by a third party, otherwise the County has elected not to use the 10 percent de minimis indirect cost rate as allowed under the Uniform Guidance. Included in the amount reported for Assistance Listing No. 10.557, Special Supplemental Nutrition Program for Women, Infants and Children, is $1,565,525 for the fair market value of the redeemed food instrument issuances. A food instrument is an electronic benefits transfer card (EBT) produced through the New York State WIC Statewide Information System that is issued to WIC participants and may be redeemed to obtain WIC approved foods/formula from authorized vendors. Included in the amount reported for Assistance Listing No. 93.568, Low-Income Home Energy Assistance, are payments to utility vendors for $4,699,736. These payments are issued directly from the New York State Office of the State Comptroller. The payments are processed through the State-wide Financial System. Expenditures reported on the Schedule are reported on the modified accrual basis of accounting, which is described in the notes to the County's financial statements. Such expenditures are recognized following the cost principles contained in the Uniform Guidance, wherein certain types of expenditures are not allowable or are limited as to reimbursement. In certain cases, the County uses an approved indirect cost allocation rate prepared by a third party, otherwise the County has elected not to use the 10 percent de minimis indirect cost rate as allowed under the Uniform Guidance.
Title: Note 3. Fair Value of Noncash Awards Accounting Policies: The accompanying schedule of expenditures of federal awards (the "Schedule") presents the activity of all federal financial assistance programs of the County of Chemung - State of New York (the "County"). The information in this Schedule is presented in accordance with the requirements of Title 2 U.S. Code of Federal Regulations Part 200, Uniform Administrative Requirements, Cost Principles, and Audit Requirements for Federal Awards (Uniform Guidance). The County's reporting entity is defined in the notes to the County's financial statements. All federal financial assistance received directly from federal agencies as well as federal financial assistance passed through other government agencies are included on the Schedule. The amounts reported as federal expenditures generally were obtained from federal financial reports for the applicable program and period. The amounts reported in these federal financial reports are prepared from records maintained for each program. These records are periodically reconciled to the general ledger which is the source of the general purpose financial statements. During the year ended December 31, 2023, the County received funds from the following pass-through entities which are identifiable in the accompanying schedule as: • New York State Office of Children and Family Services (NYS OCFS) • New York State Office of Temporary and Disability Assistance (NYS OTDA) • New York State Department of Health (NYS DOH) • New York State Department of Transportation (NYS DOT) • New York State Division of Homeland Security and Emergency Services (NYS DHSES) • New York State Office of Mental Health (NYS OMH) • New York State Office for the Aging (NYS OFA) • New York State Division of Criminal Justice Services (NYS DCJS) • Health Research Incorporated Unless noted above, all other funding reported on the schedule of expenditures of federal awards was received directly from the noted federal agency. De Minimis Rate Used: N Rate Explanation: Expenditures reported on the Schedule are reported on the modified accrual basis of accounting, which is described in the notes to the County's financial statements. Such expenditures are recognized following the cost principles contained in the Uniform Guidance, wherein certain types of expenditures are not allowable or are limited as to reimbursement. In certain cases, the County uses an approved indirect cost allocation rate prepared by a third party, otherwise the County has elected not to use the 10 percent de minimis indirect cost rate as allowed under the Uniform Guidance. Included in the amount reported for Assistance Listing No. 10.557, Special Supplemental Nutrition Program for Women, Infants and Children, is $1,565,525 for the fair market value of the redeemed food instrument issuances. A food instrument is an electronic benefits transfer card (EBT) produced through the New York State WIC Statewide Information System that is issued to WIC participants and may be redeemed to obtain WIC approved foods/formula from authorized vendors. Included in the amount reported for Assistance Listing No. 93.568, Low-Income Home Energy Assistance, are payments to utility vendors for $4,699,736. These payments are issued directly from the New York State Office of the State Comptroller. The payments are processed through the State-wide Financial System. Included in the amount reported for Assistance Listing No. 10.557, Special Supplemental Nutrition Program for Women, Infants and Children, is $1,565,525 for the fair market value of the redeemed food instrument issuances. A food instrument is an electronic benefits transfer card (EBT) produced through the New York State WIC Statewide Information System that is issued to WIC participants and may be redeemed to obtain WIC approved foods/formula from authorized vendors. Included in the amount reported for Assistance Listing No. 93.568, Low-Income Home Energy Assistance, are payments to utility vendors for $4,699,736. These payments are issued directly from the New York State Office of the State Comptroller. The payments are processed through the State-wide Financial System.

Finding Details

2023-001 - Low-Income Home Energy Assistance - Assistance Listing No. 93.568; Grant Period - For the year ended December 31, 2023 Condition: Eligibility was not correctly determined for 1 of 40 case files selected for testing. Criteria: The County should have procedures in place for eligibility determination to allow for proper eligibility determination by all caseworkers. Cause: The eligibility determination process did not operate properly which resulted in 1 of 40 case files to be determined ineligible for Low-Income Home Energy Assistance funds when in fact they were eligible. Effect of Condition: The County denied benefits from this case when this case should have been approved for benefits during the application process. Questioned Cost: None. Statistical Sampling: The sample was not intended to be, and was not, a statistically valid sample. Recommendation: We recommend the County review the procedures in place for eligibility determination and provide the necessary training to all caseworker to ensure eligibility is properly determined going forward.
2023-001 - Low-Income Home Energy Assistance - Assistance Listing No. 93.568; Grant Period - For the year ended December 31, 2023 Condition: Eligibility was not correctly determined for 1 of 40 case files selected for testing. Criteria: The County should have procedures in place for eligibility determination to allow for proper eligibility determination by all caseworkers. Cause: The eligibility determination process did not operate properly which resulted in 1 of 40 case files to be determined ineligible for Low-Income Home Energy Assistance funds when in fact they were eligible. Effect of Condition: The County denied benefits from this case when this case should have been approved for benefits during the application process. Questioned Cost: None. Statistical Sampling: The sample was not intended to be, and was not, a statistically valid sample. Recommendation: We recommend the County review the procedures in place for eligibility determination and provide the necessary training to all caseworker to ensure eligibility is properly determined going forward.