FAC Explorer

Finding 1778 (2023-001)

- Repeat Finding
Requirement
E
Questioned Costs
-
Year
2023
Accepted
2023-11-14
Audit: 3049
Organization: Guilford County (NC)
Auditor: Cherry Bekaert LLP

AI Summary

  • Core Issue: The County lacks adequate documentation for participant eligibility, leading to potential challenges in substantiating eligibility determinations.
  • Impacted Requirements: Documentation errors were found in 5 out of 60 cases, including missing approval notices and incorrect income calculations.
  • Recommended Follow-Up: Reinforce training and procedures to ensure proper documentation is maintained and reduce clerical errors moving forward.

Finding Text

U.S. Department of Health and Human Services Passed through the N.C. Department of Health and Human Services Medical Assistance Programs Assistance Listing # 93.778 Finding 2023-001 Nonmaterial Noncompliance – Eligibility Criteria: The County should have adequate documentation for each participant that supports each eligibility determination and the information entered into NC FAST, and to ensure all required physical documentation is located in the file to properly document eligibility with program requirements. The County should ensure all countable resources are computed accurately and all income information is entered into NCFAST correctly. Condition: There were 5 out of 60 participants tested with various filing errors noted below. Due to theCOVID-19 Public Health Emergency, there were waivers in place during the fiscal year in which prevented the termination of benefits. In all instances, participants were found to be eligible for benefits. Questioned costs: None. Context: There was one instance where the approval notice was not in case file but case was properly approved; one instance where OVS was generated but not documented on the Evidence dashboard; one instance where DMA-5097 was not in the case file; one instance where income was calculated incorrectly; and one instance where checking account amount was not included in resources. Effect: By not having the required documentation in the files or information being incorrectly documented, eligibility cannot be readily substantiated and there is a risk that the County could not immediately substantiate the eligibility determination. Cause: The increased workload caused by the global pandemic, coupled with Federal and State directives to not reduce or terminate benefits leading to human errors regarding clerical and data entry activities. Recommendation: Although this issue will occur from time to time considering the volume of case files that the County processes and maintains, we recommend procedures be reinforced by means of training to ensure all proper documentation is kept and maintained. Management’s Response: Management agrees with the finding but wishes to stress that Federal directives mandated eligibility for all applicants. Although eligibility was not affected, DSS mid-management will continue to close any continuous quality improvement process issues as well as work to improve trainings / supervision to reduce these technical errors. The results of the Single Audit will be focus areas for monthly refreshers and future trainings.

Categories

Eligibility Matching / Level of Effort / Earmarking

Other Findings in this Audit

Programs in Audit

ALN Program Name Expenditures
21.027 Coronavirus State and Local Fiscal Recovery Funds $28.01M
10.557 Special Supplemental Nutrition Program for Women, Infants, and Children $2.98M
97.042 Emergency Management Performance Grants $1.50M
93.568 Low-Income Home Energy Assistance $1.27M
93.323 Epidemiology and Laboratory Capacity for Infectious Diseases (elc) $1.16M
16.922 Equitable Sharing Program $1.10M
93.596 Child Care Mandatory and Matching Funds of the Child Care and Development Fund $1.05M
93.305 National State Based Tobacco Control Programs $714,116
93.563 Child Support Enforcement $617,315
93.045 Special Programs for the Aging_title Iii, Part C_nutrition Services $480,544
93.354 Public Health Emergency Response: Cooperative Agreement for Emergency Response: Public Health Crisis Response $399,999
93.217 Family Planning_services $332,301
93.767 Children's Health Insurance Program $307,736
93.667 Social Services Block Grant $190,661
93.U01 Adoption Fostercare $172,828
93.283 Centers for Disease Control and Prevention_investigations and Technical Assistance $163,958
93.645 Stephanie Tubbs Jones Child Welfare Services Program $154,044
93.940 Hiv Prevention Activities_health Department Based $146,409
93.044 Special Programs for the Aging_title Iii, Part B_grants for Supportive Services and Senior Centers $129,101
14.267 Continuum of Care Program $106,669
20.509 Formula Grants for Rural Areas and Tribal Transit Program $103,125
93.053 Nutrition Services Incentive Program $101,862
93.539 Pphf Capacity Building Assistance to Strengthen Public Health Immunization Infrastructure and Performance Financed in Part by Prevention and Public Health Funds $94,346
93.994 Maternal and Child Health Services Block Grant to the States $93,797
93.069 Public Health Emergency Preparedness $80,000
10.561 State Administrative Matching Grants for the Supplemental Nutrition Assistance Program $79,931
20.513 Enhanced Mobility of Seniors and Individuals with Disabilities $76,839
93.136 Injury Prevention and Control Research and State and Community Based Programs $76,309
10.555 National School Lunch Program $75,738
93.116 Project Grants and Cooperative Agreements for Tuberculosis Control Programs $73,766
16.710 Public Safety Partnership and Community Policing Grants $71,959
93.674 John H. Chafee Foster Care Program for Successful Transition to Adulthood $69,524
93.558 Temporary Assistance for Needy Families $68,738
93.391 Activities to Support State, Tribal, Local and Territorial (stlt) Health Department Response to Public Health Or Healthcare Crises $64,715
93.566 Refugee and Entrant Assistance_state Administered Programs $56,908
21.023 Emergency Rental Assistance Program $56,132
95.001 High Intensity Drug Trafficking Areas Program $48,000
93.658 Foster Care_title IV-E $45,860
20.600 State and Community Highway Safety $36,624
93.556 Promoting Safe and Stable Families $30,408
93.758 Preventive Health and Health Services Block Grant Funded Solely with Prevention and Public Health Funds (pphf) $29,850
93.778 Medical Assistance Program $26,735
20.507 Federal Transit_formula Grants $24,020
20.616 National Priority Safety Programs $19,530
16.738 Edward Byrne Memorial Justice Assistance Grant Program $11,547
93.659 Adoption Assistance $9,500
93.837 Cardiovascular Diseases Research $2,225
93.977 Preventive Health Services_sexually Transmitted Diseases Control Grants $100