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NYS Comptroller

THOMAS P. DiNAPOLI

News

From the Office of the New York State Comptroller

Thomas P. DiNapoli

September 13, 2016, Contact: Press Office (518) 474-4015

State Comptroller DiNapoli Releases State Audits

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


City University of New York (CUNY): Controls Over CUNY Fully Integrated Resources and Services Tool (CUNYfirst) (2015-S-34)

CUNYfirst replaced CUNY’s legacy computer systems as an integrated and flexible state-of-the-art program. Auditors, however, concluded that CUNY’s processes and controls did not adequately restrict CUNYfirst users’ access to ensure that individuals only had appropriate roles assigned. For example, a student had access to a business application that students normally cannot access. Multiple individuals also appeared to have roles for which they had no business purpose. For example, 22 employees outside of financial aid could apply for student loans for individuals other than themselves. Also, a student employee had unauthorized grade change capability. For the period January through May 2015, this student employee changed grades 127 times for other students.

State Education Department (SED): The ARC of Ulster-Greene, Compliance with the Reimbursable Cost Manual (2015-S-60)
For the year ended Dec. 31, 2014, The ARC of Ulster Greene generally complied with state guidelines for reimbursement. Auditors identified $995 in other-than-personal-service costs charged to the programs that did not comply with SED’s requirements for reimbursement.

New York State Energy Research and Development Authority (NYSERDA): NY-Sun Incentive Program (2015-S-91)
NYSERDA’s oversight of NY-Sun is adequate; however, auditors identified two areas where additional controls are necessary. NYSERDA established 210 days as the expected time required for installers to complete most projects, and an extension request is required if the project exceeds this timeframe. However, 1,568 projects not only have exceeded 210 days, but have been open for more than 300 days, and do not have an extension request. Auditors found NYSERDA had not completed the required inspections of the initial three jobs for some new installers, nor has it documented the reasons for the deviation.

State University of New York (SUNY): Compliance with the Clery Act (2016-F-4) (Follow-Up)
An initial audit report issued in August 2014 found that certain SUNY colleges published inaccurate crime statistics on their Annual Security Reports or to the Department of Education which could affect the public's ability to accurately assess college safety and security and make valid comparisons among colleges. In a follow-up report, auditors found SUNY officials have made some progress in correcting the problems identified in the initial report. However, improvements are still needed.

Office of General Services (OGS): Hourly Based Information Technology Services (BSE-2014-0002)
Auditors found OGS does not have an effective process to ensure a candidate consultant’s qualifications meet the mandatory qualifications specified by the agencies using the Hourly Based Information Technology Services (HBITS) contract, so OGS could not ensure it paid the correct hourly bill rates.  In particular, OGS does not ensure the HBITS vendors fulfill their contractual obligation to verify that a candidate has the mandatory qualifications specified by the agencies, nor do OGS staff verify the mandatory qualifications.

Westchester County Health Care Corporation (WCHCC): Supplemental Payments to Executive Employees (2015-S-77)
From 2013 through 2015, WCHCC paid 18 executives (with base salaries totaling about $21.6 million) almost $4.6 million in supplemental payments. The largest supplemental payments (totaling about $2.7 million) were made to the chief executive and the chief financial officer and accounted for almost 59 percent of the total paid. WCHCC officials stated that senior management had goals and were evaluated on achieving those goals before receiving their payments. During the audit period, senior managers often did not submit goals and achievements statements. Further, WCHCC officials could not provide written performance evaluations for any senior managers. Auditors identified other payments that may require further examination by WCHCC officials which, among other things, included sign-on and retention bonuses. Auditors also found that not all of the supplemental payments were reported to the Authorities Budget Office.

Albany Phone: (518) 474-4015 Fax: (518) 473-8940
NYC Phone: (212) 383-1388 Fax: (212) 681-7677
Internet: www.osc.state.ny.us
E-Mail: press@osc.state.ny.us