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October 19, 2012

 

Comptroller DiNapoli Releases Audits

New York State Comptroller Thomas P. DiNapoli announced today the following audits have been issued:

Office of the Medicaid Inspector General: Quality of Internal Control Certification (2012-S-46)
In 1987, the Legislature passed the New York State Governmental Accountability, Audit and Internal Control Act requiring state agencies and public authorities to each institute a comprehensive system of internal controls over their operations. By April 30 each year, the Division of the Budget (DOB) requires each covered agency to certify compliance with the act. OMIG's Internal Control Certification was submitted timely and exhibited the necessary quality. Answers were complete and responsive, and were supported by records and documentation maintained by the agency.

Office for the Prevention of Domestic Violence: Quality of Internal Control Certification (2012-S-41)
In 1987, the Legislature passed the New York State Governmental Accountability, Audit and Internal Control Act requiring State agencies and public authorities to each institute a comprehensive system of internal controls over their operations. By April 30 each year, DOB requires each covered agency to certify compliance with the act. OPDV's internal control certification was submitted on time and generally exhibited the necessary quality. Answers to most questions were complete and responsive, and were supported by records and documentation maintained by the agency. However, OPDV's certification did not provide sufficient detail in describing the monitoring system installed to verify that corrective actions are taken.

Department of Motor Vehicles Internal Controls Over Revenue Collection (Follow-up) (2011-F-27)
In a prior report, auditors found DMV needed to strengthen internal controls over revenue collection by adhering to established policies and procedures and by implementing additional controls. In a follow up report, auditors found DMV officials have made some progress in correcting some of the problems identified earlier. However, additional improvements are needed. Of the eight prior audit recommendations, four were implemented, two were partially implemented, and two were not implemented.

New York State Health Insurance Program Overpayments for Claims Submitted by TotalCare Medical PC (Follow-Up) (2012-F-23)
Auditors found United HealthCare (United) has made progress in correcting the problems identified in an earlier report. United implemented controls to stop inappropriate claims and is pursuing recovery of the overpaid amounts. United identified an additional $23,840 in overpayments that occurred outside of the audit scope period. Therefore, United is pursuing recovery of $272,042, including the $248,202 identified in the initial report.

New York State Health Insurance Program Overpayments for Claims Submitted by Albany Multi-Medicine Group (Follow-Up) (2012-F-22)
Auditors found United has made progress in correcting the problems identified in a prior report. United implemented controls to stop inappropriate claims and is pursuing recovery of the overpaid amounts. United identified an additional $61,512 in overpayments that occurred outside of the audit scope period, and is pursuing recovery of $510,395, including the $448,883 identified in the initial report.

Department of Health, Improper Medicaid Payments for Misclassified Patient Discharges (Follow-Up) (2012-F-10)
An initial audit for Jan. 1, 2004 through March 31, 2009, identified 211 claims that were incorrectly coded as a discharge (instead of a transfer) and resulted in Medicare overpayments totaling $5.4 million. Auditors also identified 3,000 other high risk claims that required further review. DOH officials have made some progress in correcting the problems identified earlier, but improvements are still needed. Of the five prior audit recommendations, four were partially implemented and the remaining recommendation was not implemented.

Department of Transportation, Management and Oversight of Structural Defects on Highway Bridges (Follow-up) (2012-F-18)
A previous audit determined whether serious structural defects on highway bridges are repaired or otherwise addressed within the time frames required by the Department of Transportation (DOT). Auditors found that 69 of the 204 defects (33.8 percent) pertaining to 25 state and 16 locally owned bridges were not addressed within the required time frame. Auditors found DOT has made progress in correcting the problems identified in the initial report. Of the 11 prior audit recommendations, nine recommendations have been implemented, and two recommendations have been partially implemented.

Department of Health, Medicaid Claims Processing Activity for April 1, 2009 through September 30, 2009 (Follow-Up) (2012-F-8)
An initial audit report found that overall, for the six-month period ended Sept. 30, 2009, DOH's eMedNY system reasonably ensured that Medicaid claims were submitted by approved providers, were processed in accordance with requirements, and resulted in correct payments to the providers. However, auditors also identified the need for improvements in the processing of certain types of claims that caused about $4.5 million in overpayments. Auditors found DOH officials have made some progress in addressing the problems identified in the initial audit. However, further actions are still warranted. Of the eleven prior audit recommendations, six were implemented, and five were partially implemented.

Office of Children and Family Services, Mobile Devices with Sensitive Information are not Secure (Follow Up) (2012-F-24)
An initial audit report found confidential child welfare data is at risk of being viewed by unauthorized users. In a follow-up, auditors determined OCFS officials have made significant progress in improving controls over mobile devices. Of the six prior audit recommendations, five were implemented and one was no longer applicable.

Metropolitan Transportation Authority, Access-A-Ride Safety Issues (Follow-Up) (2012-F-17)
An initial audit report found that safety defects on paratransit vehicles were not always properly reported and promptly repaired by the contracted carriers, and as a result, vehicles could be put into passenger service with safety defects. Auditors also found documentation supporting trade certification in the personnel files of only 15 of the 79 mechanics at the three larger carriers in our sample. In a follow up, auditors found officials have made some progress in correcting the problems identified. Of the 11 prior audit recommendations, three were implemented, three were partially implemented and five were not implemented.



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