Audit 321277

FY End
2023-12-31
Total Expended
$48.74M
Findings
4
Programs
45
Organization: Outagamie County (WI)
Year: 2023 Accepted: 2024-09-26

Organization Exclusion Status:

Checking exclusion status...

Findings

ID Ref Severity Repeat Requirement
498533 2023-002 Significant Deficiency - L
498534 2023-002 Significant Deficiency - L
1074975 2023-002 Significant Deficiency - L
1074976 2023-002 Significant Deficiency - L

Programs

ALN Program Spent Major Findings
20.106 Airport Improvement Program, Covid-19 Airports Programs, and Infrastructure Investment and Jobs Act Programs $4.56M Yes 0
93.778 Medical Assistance Program $687,994 - 0
21.027 Coronavirus State and Local Fiscal Recovery Funds $409,055 Yes 1
93.658 Foster Care Title IV-E $223,064 - 0
93.558 Temporary Assistance for Needy Families $196,353 - 0
20.600 State and Community Highway Safety $167,629 - 0
93.959 Block Grants for Prevention and Treatment of Substance Abuse $122,721 - 0
20.616 National Priority Safety Programs $121,493 - 0
93.563 Child Support Services $121,089 - 0
93.045 Special Programs for the Aging, Title Iii, Part C, Nutrition Services $118,832 - 0
66.460 Nonpoint Source Implementation Grants $108,311 - 0
97.042 Emergency Management Performance Grants $100,540 - 0
93.354 Public Health Emergency Response: Cooperative Agreement for Emergency Response: Public Health Crisis Response $100,073 - 0
93.069 Public Health Emergency Preparedness $79,724 - 0
93.090 Guardianship Assistance $73,085 - 0
93.767 Children's Health Insurance Program $68,527 - 0
93.556 Marylee Allen Promoting Safe and Stable Families Program $66,620 - 0
16.738 Edward Byrne Memorial Justice Assistance Grant Program $56,607 - 0
93.659 Adoption Assistance $55,782 - 0
66.469 Geographic Programs - Great Lakes Restoration Initiative $55,584 - 0
93.044 Special Programs for the Aging, Title Iii, Part B, Grants for Supportive Services and Senior Centers $50,402 - 0
93.958 Block Grants for Community Mental Health Services $48,472 - 0
15.658 Natural Resource Damage Assessment and Restoration $38,427 - 0
93.053 Nutrition Services Incentive Program $35,955 - 0
16.606 State Criminal Alien Assistance Program $35,028 - 0
93.994 Maternal and Child Health Services Block Grant to the States $32,854 - 0
14.228 Community Development Block Grants/state's Program and Non-Entitlement Grants in Hawaii $31,794 - 0
93.136 Injury Prevention and Control Research and State and Community Based Programs $31,358 - 0
97.047 Bric: Building Resilient Infrastructure and Communities $25,832 - 0
93.747 Elder Abuse Prevention Interventions Program $25,588 - 0
21.032 Local Assistance and Tribal Consistency Fund $24,041 - 0
93.052 National Family Caregiver Support, Title Iii, Part E $23,639 - 0
93.268 Immunization Cooperative Agreements $22,194 - 0
10.902 Soil and Water Conservation $20,979 - 0
93.667 Social Services Block Grant $16,260 - 0
10.557 Wic Special Supplemental Nutrition Program for Women, Infants, and Children $14,203 - 0
93.991 Preventive Health and Health Services Block Grant $10,787 - 0
84.181 Special Education-Grants for Infants and Families $10,186 - 0
10.561 State Administrative Matching Grants for the Supplemental Nutrition Assistance Program $8,626 - 0
93.324 State Health Insurance Assistance Program $8,621 - 0
16.800 Internet Crimes Against Children Task Force Program $7,907 - 0
93.645 Stephanie Tubbs Jones Child Welfare Services Program $6,106 - 0
93.043 Special Programs for the Aging, Title Iii, Part D, Disease Prevention and Health Promotion Services $4,746 - 0
93.575 Child Care and Development Block Grant $4,160 - 0
16.710 Public Safety Partnership and Community Policing Grants $466 - 0

Contacts

Name Title Type
ENGJCKR9MGC5 Kay Hamilton Auditee
9208321675 Jake Lenell Auditor
No contacts on file

Notes to SEFA

Title: BASIS OF PRESENTATION Accounting Policies: Revenues and expenditures in the schedules are presented in accordance with the modified accrual basis of accounting and are generally in agreement with revenues and expenditures reported in the County’s 2023 fund financial statements. Such expenditures are recognized following the cost principles contained in the Uniform Guidance and the State Single Audit Guidelines, wherein certain types of expenditures are not allowable or are limited as to reimbursement. Expenditures for Federal Assistance Listing Number 21.019 follow criteria determined by the Department of the Treasury for allowability of costs. Accrued revenue at year-end consists of federal and state program expenditures scheduled for reimbursement to the County in the succeeding year while unearned revenue represents advances for federal and state programs that exceed recorded County expenditures. Because of subsequent program adjustments, these amounts may differ from the prior year’s ending balances. De Minimis Rate Used: N Rate Explanation: The County has not elected to charge a de minimis rate of 10% of modified total costs. The accompanying Schedules of Expenditures of Federal and State Awards for the County are presented in accordance with the requirements of Title 2 U.S. Code of Federal Regulations Part 200, Uniform Administrative Requirements, Cost Principles, and Audit Requirements for Federal Awards (Uniform Guidance) and the State Single Audit Guidelines issued by the Wisconsin Department of Administration. The Schedules of Expenditures of Federal and State Awards include all federal and state awards of the County. Because the schedules present only a selected portion of the operations of the County, it is not intended to and does not present the financial position, changes in net position, or cash flows of the County.
Title: OVERSIGHT AGENCIES Accounting Policies: Revenues and expenditures in the schedules are presented in accordance with the modified accrual basis of accounting and are generally in agreement with revenues and expenditures reported in the County’s 2023 fund financial statements. Such expenditures are recognized following the cost principles contained in the Uniform Guidance and the State Single Audit Guidelines, wherein certain types of expenditures are not allowable or are limited as to reimbursement. Expenditures for Federal Assistance Listing Number 21.019 follow criteria determined by the Department of the Treasury for allowability of costs. Accrued revenue at year-end consists of federal and state program expenditures scheduled for reimbursement to the County in the succeeding year while unearned revenue represents advances for federal and state programs that exceed recorded County expenditures. Because of subsequent program adjustments, these amounts may differ from the prior year’s ending balances. De Minimis Rate Used: N Rate Explanation: The County has not elected to charge a de minimis rate of 10% of modified total costs. The federal and state oversight agencies for the County are as follows: Federal U.S. Department of Transportation State Wisconsin Department of Health Services
Title: TITLE 19 MEDICAL ASSISTANCE PAYMENTS Accounting Policies: Revenues and expenditures in the schedules are presented in accordance with the modified accrual basis of accounting and are generally in agreement with revenues and expenditures reported in the County’s 2023 fund financial statements. Such expenditures are recognized following the cost principles contained in the Uniform Guidance and the State Single Audit Guidelines, wherein certain types of expenditures are not allowable or are limited as to reimbursement. Expenditures for Federal Assistance Listing Number 21.019 follow criteria determined by the Department of the Treasury for allowability of costs. Accrued revenue at year-end consists of federal and state program expenditures scheduled for reimbursement to the County in the succeeding year while unearned revenue represents advances for federal and state programs that exceed recorded County expenditures. Because of subsequent program adjustments, these amounts may differ from the prior year’s ending balances. De Minimis Rate Used: N Rate Explanation: The County has not elected to charge a de minimis rate of 10% of modified total costs. The Schedules of Expenditures of Federal and State Awards do not include recorded revenues received by the County for Title 19 Medical Assistance programs. The payments are considered a contract for services between the State and the County and therefore are not reported as federal or state awards.
Title: STATE DIRECT PAYMENTS Accounting Policies: Revenues and expenditures in the schedules are presented in accordance with the modified accrual basis of accounting and are generally in agreement with revenues and expenditures reported in the County’s 2023 fund financial statements. Such expenditures are recognized following the cost principles contained in the Uniform Guidance and the State Single Audit Guidelines, wherein certain types of expenditures are not allowable or are limited as to reimbursement. Expenditures for Federal Assistance Listing Number 21.019 follow criteria determined by the Department of the Treasury for allowability of costs. Accrued revenue at year-end consists of federal and state program expenditures scheduled for reimbursement to the County in the succeeding year while unearned revenue represents advances for federal and state programs that exceed recorded County expenditures. Because of subsequent program adjustments, these amounts may differ from the prior year’s ending balances. De Minimis Rate Used: N Rate Explanation: The County has not elected to charge a de minimis rate of 10% of modified total costs. Payments made directly to recipients and vendors by the State of Wisconsin under the FoodShare Wisconsin program on behalf of the County are not included in the Schedules of Expenditures of Federal and State Awards.

Finding Details

SECTION III - FEDERAL AND STATE AWARD FINDINGS AND QUESTIONED COSTS 2023 – 002 Federal Agency: U.S. Department of Treasury Federal Program Name: Coronavirus State and Local Fiscal Recovery Funds Assistance Listing Number: 21.027 Federal Award Identification Number and Year: 2023 Pass-Through Agency: N/A Pass-Through Number(s): N/A Award Period: January 1, 2023 - December 31, 2023 Type of Finding: • Significant Deficiency in Internal Control over Compliance Criteria or specific requirement: 2 CFR 200.302 requires that "The financial management system of each non-Federal entity must provide for the following: (1) Identification, in its accounts, of all Federal awards received and expended and the Federal programs under which they were received. Federal program and Federal award identification must include, as applicable, the AL title and number, Federal award identification number and year, name of the Federal agency, and name of the pass-through entity, if any." Grant claims filed by the County to the various granting agencies must be accurate, reconcile to the County general ledger system, and for cost-reimbursement grants, represent costs incurred. Internal controls should be designed and implemented to prevent and detect errors in the data reported on the grant claims. Segregation of duties is an internal control intended to prevent or decrease the occurrence of errors or intentional fraud. Segregation of duties ensures that no single employee has control over all phases of a transaction. Condition: There was no final formal review of the quarterly project & expenditure reports in comparison to the general ledger. Questioned costs: None Context: While performing audit procedures, it was noted that there was not a final formal review done of the quarterly project & expenditure reports in comparison to the general ledger. Cause: Due to the County not having a formal review process in place, the County under-reported 2023 expenditures to the U.S. Department of Treasury. Effect: The County could over- or under-report certain expenditures. Repeat Finding: No Recommendation: We recommend the County review its processes and implement controls to formally review these quarterly reports and that they are compared and reconciled to the general ledger. Views of responsible officials: There is no disagreement with the audit finding.
SECTION III - FEDERAL AND STATE AWARD FINDINGS AND QUESTIONED COSTS 2023 – 002 Federal Agency: U.S. Department of Treasury Federal Program Name: Coronavirus State and Local Fiscal Recovery Funds Assistance Listing Number: 21.027 Federal Award Identification Number and Year: 2023 Pass-Through Agency: N/A Pass-Through Number(s): N/A Award Period: January 1, 2023 - December 31, 2023 Type of Finding: • Significant Deficiency in Internal Control over Compliance Criteria or specific requirement: 2 CFR 200.302 requires that "The financial management system of each non-Federal entity must provide for the following: (1) Identification, in its accounts, of all Federal awards received and expended and the Federal programs under which they were received. Federal program and Federal award identification must include, as applicable, the AL title and number, Federal award identification number and year, name of the Federal agency, and name of the pass-through entity, if any." Grant claims filed by the County to the various granting agencies must be accurate, reconcile to the County general ledger system, and for cost-reimbursement grants, represent costs incurred. Internal controls should be designed and implemented to prevent and detect errors in the data reported on the grant claims. Segregation of duties is an internal control intended to prevent or decrease the occurrence of errors or intentional fraud. Segregation of duties ensures that no single employee has control over all phases of a transaction. Condition: There was no final formal review of the quarterly project & expenditure reports in comparison to the general ledger. Questioned costs: None Context: While performing audit procedures, it was noted that there was not a final formal review done of the quarterly project & expenditure reports in comparison to the general ledger. Cause: Due to the County not having a formal review process in place, the County under-reported 2023 expenditures to the U.S. Department of Treasury. Effect: The County could over- or under-report certain expenditures. Repeat Finding: No Recommendation: We recommend the County review its processes and implement controls to formally review these quarterly reports and that they are compared and reconciled to the general ledger. Views of responsible officials: There is no disagreement with the audit finding.
SECTION III - FEDERAL AND STATE AWARD FINDINGS AND QUESTIONED COSTS 2023 – 002 Federal Agency: U.S. Department of Treasury Federal Program Name: Coronavirus State and Local Fiscal Recovery Funds Assistance Listing Number: 21.027 Federal Award Identification Number and Year: 2023 Pass-Through Agency: N/A Pass-Through Number(s): N/A Award Period: January 1, 2023 - December 31, 2023 Type of Finding: • Significant Deficiency in Internal Control over Compliance Criteria or specific requirement: 2 CFR 200.302 requires that "The financial management system of each non-Federal entity must provide for the following: (1) Identification, in its accounts, of all Federal awards received and expended and the Federal programs under which they were received. Federal program and Federal award identification must include, as applicable, the AL title and number, Federal award identification number and year, name of the Federal agency, and name of the pass-through entity, if any." Grant claims filed by the County to the various granting agencies must be accurate, reconcile to the County general ledger system, and for cost-reimbursement grants, represent costs incurred. Internal controls should be designed and implemented to prevent and detect errors in the data reported on the grant claims. Segregation of duties is an internal control intended to prevent or decrease the occurrence of errors or intentional fraud. Segregation of duties ensures that no single employee has control over all phases of a transaction. Condition: There was no final formal review of the quarterly project & expenditure reports in comparison to the general ledger. Questioned costs: None Context: While performing audit procedures, it was noted that there was not a final formal review done of the quarterly project & expenditure reports in comparison to the general ledger. Cause: Due to the County not having a formal review process in place, the County under-reported 2023 expenditures to the U.S. Department of Treasury. Effect: The County could over- or under-report certain expenditures. Repeat Finding: No Recommendation: We recommend the County review its processes and implement controls to formally review these quarterly reports and that they are compared and reconciled to the general ledger. Views of responsible officials: There is no disagreement with the audit finding.
SECTION III - FEDERAL AND STATE AWARD FINDINGS AND QUESTIONED COSTS 2023 – 002 Federal Agency: U.S. Department of Treasury Federal Program Name: Coronavirus State and Local Fiscal Recovery Funds Assistance Listing Number: 21.027 Federal Award Identification Number and Year: 2023 Pass-Through Agency: N/A Pass-Through Number(s): N/A Award Period: January 1, 2023 - December 31, 2023 Type of Finding: • Significant Deficiency in Internal Control over Compliance Criteria or specific requirement: 2 CFR 200.302 requires that "The financial management system of each non-Federal entity must provide for the following: (1) Identification, in its accounts, of all Federal awards received and expended and the Federal programs under which they were received. Federal program and Federal award identification must include, as applicable, the AL title and number, Federal award identification number and year, name of the Federal agency, and name of the pass-through entity, if any." Grant claims filed by the County to the various granting agencies must be accurate, reconcile to the County general ledger system, and for cost-reimbursement grants, represent costs incurred. Internal controls should be designed and implemented to prevent and detect errors in the data reported on the grant claims. Segregation of duties is an internal control intended to prevent or decrease the occurrence of errors or intentional fraud. Segregation of duties ensures that no single employee has control over all phases of a transaction. Condition: There was no final formal review of the quarterly project & expenditure reports in comparison to the general ledger. Questioned costs: None Context: While performing audit procedures, it was noted that there was not a final formal review done of the quarterly project & expenditure reports in comparison to the general ledger. Cause: Due to the County not having a formal review process in place, the County under-reported 2023 expenditures to the U.S. Department of Treasury. Effect: The County could over- or under-report certain expenditures. Repeat Finding: No Recommendation: We recommend the County review its processes and implement controls to formally review these quarterly reports and that they are compared and reconciled to the general ledger. Views of responsible officials: There is no disagreement with the audit finding.