Institutional Federal Compliance Report 2021

STATE OF NEW YORK

Schedule of Findings and Questioned Costs

Year ended March 31, 2018

(HRSA). The Department provides a field note within the application noting the estimates, making HRSA aware of this process.

For Form 6, the Department was able to demonstrate how the information was obtained to complete the form as part of the annual submission. However, testing of the underling detail could not be performed. Cause The cause of the condition is due to a lack of policies and procedures and internal controls regarding the retention of documentation evidencing the Department’s preparation of the annual application. Possible Asserted Effect Failure to maintain documentation supporting amounts submitted annually as part of the Department’s Maternal and Child Health Services Block Grant to the States Application/Annual Report (OMB No. 0915-0172) may result in inaccurate reporting to the Department of Health and Human Services and may impact its ability to effectively monitor and evaluate the State’s performance relative to Maternal and Child Health Services Block Grant to the States. Statistical Sampling The sample was not intended to be, and was not, a statistically valid sample. Questioned Costs Cannot be determined. Recommendation We recommend that the Department update its existing policies and procedures to ensure documentation is maintained from the Department’s completion of the annual report at an appropriate level of precision for amounts submitted as part of its Maternal and Child Health Services Block Grant to the States Application/Annual Report (OMB No. 0915-0172). Views of Responsible Officials Recommendation accepted. The Department is enhancing its processes in this area. Reference the corrective action plan for further details.

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