Selected reports andinformation published by New York State's Comptroller Thomas P. DiNapoli
New York State Comptroller Thomas P. DiNapoliannounced that the following audits have been issued:
SUNY at New Paltz Selected Employee TravelExpenses (2012-S-140)
Auditors examined thetravel expenses for one college employee whose travel charges totaled $269,627. Theyfound that the selected employee was responsible for arranging travel for othercollege staff members, charging these travel expenses to her travel card.Auditors reviewed a sample of charges to this employee’s travel card and foundthe expenses were documented and adhered to state travel rules and regulations.
Department of Economic Development Quality ofInternal Control Certification (2012-S-48)
In 1987, theLegislature passed the New York State Governmental Accountability, Audit andInternal Control Act requiring state agencies and public authorities to eachinstitute a comprehensive system of internal controls over their operations.Each covered State agency and public authority is required to certifycompliance with act by April 30 of each year. DED's Internal ControlCertification was submitted timely.
However, auditors identified several areaswhere the quality of the certification could be improved. In threeinstances, DED's certification did not provide the required level of detail toexplain the actual steps taken to implement certain provisions, includingdescribing its internal control testing and monitoring processes and theresults of its reviews of high risk activities. Although DED certifiedfull compliance with all provisions of the act, its internal audit function hasnot had an external quality control assessment completed as required byprofessional auditing standards.
Office of General Services Disposal ofElectronic Devices (2012-S-4)
The New York StateOffice of Cyber Security requires all state entities to establish formalprocesses to address the risk that information may be improperly disclosed.Information can be compromised through careless disposal of electronicequipment. OGS' surplus unit disposes of such equipment for many Stateagencies.
The Surplus Unit does not accept any responsibility for clearing thedata from these devices. However, OGS' Information Resource Management (IRM)bureau provides IT support for some state agencies. In these cases, IRM isresponsible for removing information from the devices prior to making themavailable to the surplus unit.
At the time of the audit, the surplus unit had429 electronic devices in its possession for disposal and IRM was responsiblefor removing information from 25 of the devices on hand. Of these, three didnot have information completely removed. One of the three devices still hadsensitive information on a hard drive, including multiple social securitynumbers, medical records and confidential human resource information.
New York State Health Insurance Program-Department of Civil Service Empire BlueCross BlueShield Selected Payments forSpecial Items for the Period April 1 Through June 30, 2011 (2011-S-42)
Empire processesclaims for hospital services in accordance to agreements they negotiate withmember hospitals. Payments for hospital services are generally based onstandard fee schedules. However, hospitals may be entitled to additionalpayments for special items that are not covered by the standard fee schedules.
Many of Empire's agreements with member hospitals limit charges for specialitems, while agreements with other hospitals do not have such limitations.Auditors found Empire did not have adequate controls to ensure special itemswere paid according to contract limitations.
As a result, Empire made a netoverpayment of $119,141 on 33 claims. Empire made an excessive payment to ahospital that did not have formal contract provisions limiting reimbursements forspecial items. On one claim we reviewed, Empire paid about $52,755 (or 444percent) more than the costs of the three special items in question.
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