Institutional Federal Compliance Report 2021

STATE OF NEW YORK

Schedule of Findings and Questioned Costs

Year ended March 31, 2018

Federal Agency:

U.S. Department of Health and Human Services

Federal Program:

Block Grants for Prevention and Treatment of Substance Abuse (93.959)

Federal Award Numbers:

16B1NYSAPT and 17B1NYSAPT

Federal Award Years:

2016 and 2017

State Agency:

Office of Alcoholism and Substance Abuse Services

Reference:

2018-023

Criteria Title 45 U.S. Code of Federal Regulations Part 96 (45 CFR 96), Block Grants , section 96.136(a) states the State shall for the fiscal year for which the grant is provided, provide for independent peer review to assess the quality, appropriateness, and efficacy of treatment services provided in the State to individuals under the program involved, and ensure that at least 5% of the entities providing services in the State under such program are reviewed. The programs reviewed shall be representative of the total population of such entities. Condition During the fiscal year ended March 31, 2018, the Independent Peer Review results produced by the Office of Alcoholism and Substance Abuse Services (OASAS), for Federal fiscal year 2016–2017, stated that only one review was performed. The minimum number of Peer Reviews required to be completed is 5% of total providers. As there are 44 providers, the required number of peer reviews as calculated by OASAS was two providers. Cause The condition found was due to OASAS management selecting two providers who originally agreed to participate in a peer review. In accordance with 45 CFR 96, two would meet OASAS’ 5% compliance requirement. However, one of the selected providers withdrew from the peer review participation. Given the late timing of the provider’s withdrawal from participation, OASAS was unable to identify another provider in reasonable proximity to participate. As a result, OASAS was unable to comply with the requirements. Possible Asserted Effect Failure to oversee that the Independent Peer Reviews are completed resulted in the failure to meet the minimum required number of reviews and OASAS’ noncompliance with the laws, regulations, and the terms and conditions of the award. Statistical Sampling The sample was not intended to be, and was not, a statistically valid sample. Questioned Costs None.

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