Audit 323181

FY End
2023-12-31
Total Expended
$24.85M
Findings
4
Programs
47
Organization: County of Wayne, New York (NY)
Year: 2023 Accepted: 2024-09-30
Auditor: Bonadio & CO LLP

Organization Exclusion Status:

Checking exclusion status...

Findings

ID Ref Severity Repeat Requirement
500422 2023-001 Significant Deficiency - E
500423 2023-001 Significant Deficiency - E
1076864 2023-001 Significant Deficiency - E
1076865 2023-001 Significant Deficiency - E

Programs

ALN Program Spent Major Findings
93.558 Temporary Assistance for Needy Families $4.86M - 0
21.027 Coronavirus State and Local Fiscal Recovery Funds $4.45M Yes 0
93.568 Low-Income Home Energy Assistance $4.17M Yes 0
93.575 Child Care and Development Block Grant $1.45M Yes 1
93.778 Medical Assistance Program $1.42M - 0
10.561 State Administrative Matching Grants for the Supplemental Nutrition Assistance Program $1.11M - 0
93.658 Foster Care Title IV-E $712,709 - 0
93.667 Social Services Block Grant $653,776 - 0
93.829 Section 223 Demonstration Programs to Improve Community Mental Health Services $469,875 - 0
93.569 Community Services Block Grant $456,959 - 0
93.563 Child Support Services $395,438 - 0
14.231 Emergency Solutions Grant Program $382,658 - 0
93.959 Block Grants for Prevention and Treatment of Substance Abuse $199,338 - 0
16.575 Crime Victim Assistance $179,131 - 0
66.818 Brownfields Multipurpose, Assessment, Revolving Loan Fund, and Cleanup Cooperative Agreements $168,448 - 0
16.710 Public Safety Partnership and Community Policing Grants $165,762 - 0
93.045 Special Programs for the Aging, Title Iii, Part C, Nutrition Services $163,393 - 0
93.044 Special Programs for the Aging, Title Iii, Part B, Grants for Supportive Services and Senior Centers $80,524 - 0
93.767 Children's Health Insurance Program $75,129 - 0
20.205 Highway Planning and Construction $74,340 - 0
93.323 Epidemiology and Laboratory Capacity for Infectious Diseases (elc) $69,960 - 0
17.259 Wioa Youth Activities $69,828 - 0
93.243 Substance Abuse and Mental Health Services Projects of Regional and National Significance $63,256 - 0
93.276 Drug-Free Communities Support Program Grants $63,255 - 0
84.181 Special Education-Grants for Infants and Families $48,072 - 0
93.779 Centers for Medicare and Medicaid Services (cms) Research, Demonstrations and Evaluations $43,186 - 0
84.184 School Safely National Activities $42,170 - 0
97.042 Emergency Management Performance Grants $40,359 - 0
93.053 Nutrition Services Incentive Program $39,757 - 0
16.606 State Criminal Alien Assistance Program $34,432 - 0
17.278 Wioa Dislocated Worker Formula Grants $33,004 - 0
17.258 Wioa Adult Program $31,440 - 0
14.228 Community Development Block Grants/state's Program and Non-Entitlement Grants in Hawaii $28,412 Yes 0
93.052 National Family Caregiver Support, Title Iii, Part E $25,421 - 0
97.067 Homeland Security Grant Program $24,454 - 0
93.268 Immunization Cooperative Agreements $19,009 - 0
93.048 Special Programs for the Aging, Title Iv, and Title Ii, Discretionary Projects $17,918 - 0
93.069 Public Health Emergency Preparedness $17,454 - 0
93.071 Medicare Enrollment Assistance Program $14,413 - 0
93.090 Guardianship Assistance $13,082 - 0
93.994 Maternal and Child Health Services Block Grant to the States $12,472 - 0
93.747 Elder Abuse Prevention Interventions Program $9,781 - 0
16.607 Bulletproof Vest Partnership Program $9,597 - 0
93.043 Special Programs for the Aging, Title Iii, Part D, Disease Prevention and Health Promotion Services $3,196 - 0
20.602 Occupant Proctection Incentive Grants $2,835 - 0
93.566 Refugee and Entrant Assistance State/replacement Designee Administered Programs $1,825 - 0
93.674 John H. Chafee Foster Care Program for Successful Transition to Adulthood $121 - 0

Contacts

Name Title Type
ZTCHL211PJT4 Patrick J. Schmitt Auditee
3159467441 Gregg Evans Auditor
No contacts on file

Notes to SEFA

Title: 1. BASIS OF PRESENTATION Accounting Policies: The schedule of expenditures of federal awards is presented in conformity with accounting principles generally accepted in the United States of America and the amounts presented are derived from the County’s general ledger. For programs with funding ceilings and caps, federal expenditures are only recorded and presented in the schedule of expenditures of federal awards up to such amounts. De Minimis Rate Used: N Rate Explanation: Indirect costs are included in the reported expenditures to the extent such costs are included in the federal financial reports used as the source for the data presented. The County has elected to use the 10% de minimis indirect cost rate as allowed under the Uniform Guidance. The accompanying Schedule of Expenditures of Federal Awards (the schedule) includes the federal award activity of the County of Wayne (the County) under programs of the federal government for the year ended December 31, 2023. 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 Requirement’s, Cost Principles, and Audit Requirements for Federal Awards (Uniform Guidance). Because the schedule presents only a selected portion of the operations of the County of Wayne, it is not intended to and does not present the financial position, changes in net position, or cash flows of the County.
Title: 2. BASIS OF ACCOUNTING Accounting Policies: The schedule of expenditures of federal awards is presented in conformity with accounting principles generally accepted in the United States of America and the amounts presented are derived from the County’s general ledger. For programs with funding ceilings and caps, federal expenditures are only recorded and presented in the schedule of expenditures of federal awards up to such amounts. De Minimis Rate Used: N Rate Explanation: Indirect costs are included in the reported expenditures to the extent such costs are included in the federal financial reports used as the source for the data presented. The County has elected to use the 10% de minimis indirect cost rate as allowed under the Uniform Guidance. The schedule of expenditures of federal awards is presented in conformity with accounting principles generally accepted in the United States of America and the amounts presented are derived from the County’s general ledger. For programs with funding ceilings and caps, federal expenditures are only recorded and presented in the schedule of expenditures of federal awards up to such amounts.
Title: 3. PASS THROUGH PROGRAMS Accounting Policies: The schedule of expenditures of federal awards is presented in conformity with accounting principles generally accepted in the United States of America and the amounts presented are derived from the County’s general ledger. For programs with funding ceilings and caps, federal expenditures are only recorded and presented in the schedule of expenditures of federal awards up to such amounts. De Minimis Rate Used: N Rate Explanation: Indirect costs are included in the reported expenditures to the extent such costs are included in the federal financial reports used as the source for the data presented. The County has elected to use the 10% de minimis indirect cost rate as allowed under the Uniform Guidance. Where the County receives funds from a government entity other than the federal government (pass-through), the funds are accumulated based upon the Assistance Listing (AL) number advised by the pass-through grantor. Identifying numbers, other than the AL numbers, which may be assigned by pass-through grantors are not maintained in the County’s financial management system. The County has identified certain pass-through identifying numbers and included them in the schedule of expenditures of federal awards, as available.
Title: 4. INDIRECT COSTS Accounting Policies: The schedule of expenditures of federal awards is presented in conformity with accounting principles generally accepted in the United States of America and the amounts presented are derived from the County’s general ledger. For programs with funding ceilings and caps, federal expenditures are only recorded and presented in the schedule of expenditures of federal awards up to such amounts. De Minimis Rate Used: N Rate Explanation: Indirect costs are included in the reported expenditures to the extent such costs are included in the federal financial reports used as the source for the data presented. The County has elected to use the 10% de minimis indirect cost rate as allowed under the Uniform Guidance. Indirect costs are included in the reported expenditures to the extent such costs are included in the federal financial reports used as the source for the data presented. The County has elected to use the 10% de minimis indirect cost rate as allowed under the Uniform Guidance.
Title: 5. MATCHING COSTS Accounting Policies: The schedule of expenditures of federal awards is presented in conformity with accounting principles generally accepted in the United States of America and the amounts presented are derived from the County’s general ledger. For programs with funding ceilings and caps, federal expenditures are only recorded and presented in the schedule of expenditures of federal awards up to such amounts. De Minimis Rate Used: N Rate Explanation: Indirect costs are included in the reported expenditures to the extent such costs are included in the federal financial reports used as the source for the data presented. The County has elected to use the 10% de minimis indirect cost rate as allowed under the Uniform Guidance. Matching costs, i.e., the County's share of certain program costs, are not included in the schedule of expenditures of federal awards.
Title: 6. DEPARTMENT OF SOCIAL SERVICES – ADMINISTRATIVE COSTS Accounting Policies: The schedule of expenditures of federal awards is presented in conformity with accounting principles generally accepted in the United States of America and the amounts presented are derived from the County’s general ledger. For programs with funding ceilings and caps, federal expenditures are only recorded and presented in the schedule of expenditures of federal awards up to such amounts. De Minimis Rate Used: N Rate Explanation: Indirect costs are included in the reported expenditures to the extent such costs are included in the federal financial reports used as the source for the data presented. The County has elected to use the 10% de minimis indirect cost rate as allowed under the Uniform Guidance. Differences between the amounts reflected in the Schedule of Expenditures of Federal Awards and the Department of Social Services’ federal financial reports (RF-2 claims) are due to the allocation of administrative costs to the individual programs.
Title: 7. CHILD CARE DEVELOPMENT BLOCK GRANT Accounting Policies: The schedule of expenditures of federal awards is presented in conformity with accounting principles generally accepted in the United States of America and the amounts presented are derived from the County’s general ledger. For programs with funding ceilings and caps, federal expenditures are only recorded and presented in the schedule of expenditures of federal awards up to such amounts. De Minimis Rate Used: N Rate Explanation: Indirect costs are included in the reported expenditures to the extent such costs are included in the federal financial reports used as the source for the data presented. The County has elected to use the 10% de minimis indirect cost rate as allowed under the Uniform Guidance. The Child Care Development Block Grant is funded by State and Federal monies. The percentage allocated to each varies on amonthly basis and is therefore, recorded on the books of the County as State expenditures. Because these State and Federal expenditures are commingled they are all assumed to be Federal for single audit purposes.
Title: 8. NON-MONETARY FEDERAL PROGRAM Accounting Policies: The schedule of expenditures of federal awards is presented in conformity with accounting principles generally accepted in the United States of America and the amounts presented are derived from the County’s general ledger. For programs with funding ceilings and caps, federal expenditures are only recorded and presented in the schedule of expenditures of federal awards up to such amounts. De Minimis Rate Used: N Rate Explanation: Indirect costs are included in the reported expenditures to the extent such costs are included in the federal financial reports used as the source for the data presented. The County has elected to use the 10% de minimis indirect cost rate as allowed under the Uniform Guidance. The County is the recipient of federal award programs that do not result in cash receipts or disbursements. Such programs are termed “non-monetary programs.” During the year ended December 31, 2023, the County participated in the low-income home energy assistance program (HEAP) in which the County identifies the vendors who are to receive reimbursement for services provided to HEAP recipients and New York State pays those vendors directly. The County authorized $4,165,887 in benefits for the HEAP program (AL Number 93.568).

Finding Details

Finding 2023-001: Child Care and Development Block Grant Assistance and COVID-19 - Child Care and Development Block Grant Listing #93.575; Federal Agency: U.S. Department of Health and Human Services Grant Period: Year ended December 31, 2023 Condition/Criteria: The County bases its eligibility determination, in part, on the age of the children in the household who are required to be under the age of 13 (or up to age 19 if incapable of self-care or under court supervision). Cause: The County did not have a process in place to ensure that supporting documentation (birth certificates) were maintained on file to support eligibility determinations. Context: Of the 40 cases selected, 6 of the cases did not have birth certificates to verify the age of the children and whether or not they were eligible. This sample was not statistically valid. Therefore, there are $4,290 of questioned costs associated with this program. Effect: There is no supporting documentation that proves these individuals were eligible to receive benefits under the grant. Therefore, there were $4,290 of costs that are questioned as a result of failing to meet eligibility requirements. This is not considered material to the Child Care and Development Block Grant program. Recommendation: We recommend that the County implement a process to ensure all supporting documentation related to eligibility determinations is maintained on file.
Finding 2023-001: Child Care and Development Block Grant Assistance and COVID-19 - Child Care and Development Block Grant Listing #93.575; Federal Agency: U.S. Department of Health and Human Services Grant Period: Year ended December 31, 2023 Condition/Criteria: The County bases its eligibility determination, in part, on the age of the children in the household who are required to be under the age of 13 (or up to age 19 if incapable of self-care or under court supervision). Cause: The County did not have a process in place to ensure that supporting documentation (birth certificates) were maintained on file to support eligibility determinations. Context: Of the 40 cases selected, 6 of the cases did not have birth certificates to verify the age of the children and whether or not they were eligible. This sample was not statistically valid. Therefore, there are $4,290 of questioned costs associated with this program. Effect: There is no supporting documentation that proves these individuals were eligible to receive benefits under the grant. Therefore, there were $4,290 of costs that are questioned as a result of failing to meet eligibility requirements. This is not considered material to the Child Care and Development Block Grant program. Recommendation: We recommend that the County implement a process to ensure all supporting documentation related to eligibility determinations is maintained on file.
Finding 2023-001: Child Care and Development Block Grant Assistance and COVID-19 - Child Care and Development Block Grant Listing #93.575; Federal Agency: U.S. Department of Health and Human Services Grant Period: Year ended December 31, 2023 Condition/Criteria: The County bases its eligibility determination, in part, on the age of the children in the household who are required to be under the age of 13 (or up to age 19 if incapable of self-care or under court supervision). Cause: The County did not have a process in place to ensure that supporting documentation (birth certificates) were maintained on file to support eligibility determinations. Context: Of the 40 cases selected, 6 of the cases did not have birth certificates to verify the age of the children and whether or not they were eligible. This sample was not statistically valid. Therefore, there are $4,290 of questioned costs associated with this program. Effect: There is no supporting documentation that proves these individuals were eligible to receive benefits under the grant. Therefore, there were $4,290 of costs that are questioned as a result of failing to meet eligibility requirements. This is not considered material to the Child Care and Development Block Grant program. Recommendation: We recommend that the County implement a process to ensure all supporting documentation related to eligibility determinations is maintained on file.
Finding 2023-001: Child Care and Development Block Grant Assistance and COVID-19 - Child Care and Development Block Grant Listing #93.575; Federal Agency: U.S. Department of Health and Human Services Grant Period: Year ended December 31, 2023 Condition/Criteria: The County bases its eligibility determination, in part, on the age of the children in the household who are required to be under the age of 13 (or up to age 19 if incapable of self-care or under court supervision). Cause: The County did not have a process in place to ensure that supporting documentation (birth certificates) were maintained on file to support eligibility determinations. Context: Of the 40 cases selected, 6 of the cases did not have birth certificates to verify the age of the children and whether or not they were eligible. This sample was not statistically valid. Therefore, there are $4,290 of questioned costs associated with this program. Effect: There is no supporting documentation that proves these individuals were eligible to receive benefits under the grant. Therefore, there were $4,290 of costs that are questioned as a result of failing to meet eligibility requirements. This is not considered material to the Child Care and Development Block Grant program. Recommendation: We recommend that the County implement a process to ensure all supporting documentation related to eligibility determinations is maintained on file.