Institutional Federal Compliance Report 2021

ANDREWM. CUOMO Governor ROBERT F. MUJICA JR. Director of the Budget

SANDRA L. BEATTIE Deputy Director

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AQC has documented the monitoring activities currently in place for the Title IV-E Foster Care grant and the Adoption Assistance grant and is in the process of documenting the monitoring activities in place for all other federal funds passed through OCFS. A risk assessment tool has been developed which enables OCFS to assess each subrecipient’s risk of noncompliance. The tool has questions addressing each factor described in the Uniform Guidance section 2 CFR 200.331(b) as well as questions regarding the subrecipient’s accounting systems ability to track grant specific receipts and disbursements. Upon completion of the risk assessment, a score will be calculated for each section of the risk assessment as well as an overall risk score. Utilizing these scores, a risk profile will be calculated for each subrecipient to assist the program office in determining the extent of monitoring procedures to be performed. If areas of concern are identified during the risk assessment process, the information will be noted and forwarded to the program office.

Progress Update:

OCFS is in the process of comparing the monitoring procedures currently in place for the Title IV-E Foster Care grant and the Adoption Assistance grant with those required in the federal compliance supplements to identify any variations. If variations are identified the monitoring procedures will be updated as required. The process will be completed for all federal funds that pass through OCFS.

Anticipated Completion Date:

Corrective action in progress. September 30, 2018.

State Capitol, Albany, NY 12224 │ www.budget.ny.gov