Audit 321412

FY End
2023-12-31
Total Expended
$37.54M
Findings
4
Programs
54
Organization: Rock County (WI)
Year: 2023 Accepted: 2024-09-26

Organization Exclusion Status:

Checking exclusion status...

Findings

ID Ref Severity Repeat Requirement
498737 2023-003 Significant Deficiency Yes L
498738 2023-004 Significant Deficiency - I
1075179 2023-003 Significant Deficiency Yes L
1075180 2023-004 Significant Deficiency - I

Programs

ALN Program Spent Major Findings
21.027 Coronavirus State and Local Fiscal Recovery Funds $4.35M Yes 2
93.563 Child Support Services $2.78M - 0
93.658 Foster Care Title IV-E $2.48M - 0
93.959 Block Grants for Prevention and Treatment of Substance Abuse $826,073 - 0
97.036 Disaster Grants - Public Assistance (presidentially Declared Disasters) $618,112 - 0
93.788 Opioid Str $591,783 - 0
16.585 Treatment Court Discretionary Grant Program $414,787 - 0
93.669 Child Abuse and Neglect State Grants $407,331 - 0
93.667 Social Services Block Grant $316,368 Yes 0
93.558 Temporary Assistance for Needy Families $277,288 - 0
93.575 Child Care and Development Block Grant $256,399 - 0
10.561 State Administrative Matching Grants for the Supplemental Nutrition Assistance Program $242,631 - 0
10.931 Agricultural Conservation Easement Program $197,000 - 0
93.958 Block Grants for Community Mental Health Services $192,768 - 0
84.181 Special Education-Grants for Infants and Families $159,377 - 0
93.645 Stephanie Tubbs Jones Child Welfare Services Program $146,041 - 0
20.513 Enhanced Mobility of Seniors and Individuals with Disabilities $138,660 - 0
93.596 Child Care Mandatory and Matching Funds of the Child Care and Development Fund $138,061 - 0
93.045 Special Programs for the Aging, Title Iii, Part C, Nutrition Services $138,014 - 0
16.738 Edward Byrne Memorial Justice Assistance Grant Program $119,412 - 0
93.421 Strengthening Public Health Systems and Services Through National Partnerships to Improve and Protect the Nation�s Health $113,269 - 0
93.354 Public Health Emergency Response: Cooperative Agreement for Emergency Response: Public Health Crisis Response $112,105 - 0
21.032 Local Assistance and Tribal Consistency Fund $100,000 - 0
97.042 Emergency Management Performance Grants $90,402 - 0
93.090 Guardianship Assistance $77,002 - 0
93.052 National Family Caregiver Support, Title Iii, Part E $66,797 - 0
93.556 Marylee Allen Promoting Safe and Stable Families Program $65,103 - 0
93.044 Special Programs for the Aging, Title Iii, Part B, Grants for Supportive Services and Senior Centers $63,762 - 0
20.600 State and Community Highway Safety $61,227 - 0
93.069 Public Health Emergency Preparedness $53,757 - 0
93.994 Maternal and Child Health Services Block Grant to the States $52,909 - 0
95.001 High Intensity Drug Trafficking Areas Program $40,997 - 0
93.426 The National Cardiovascular Health Program $37,697 - 0
93.747 Elder Abuse Prevention Interventions Program $37,509 - 0
93.053 Nutrition Services Incentive Program $36,388 - 0
93.136 Injury Prevention and Control Research and State and Community Based Programs $33,803 - 0
93.778 Medical Assistance Program $32,835 Yes 0
93.323 Epidemiology and Laboratory Capacity for Infectious Diseases (elc) $21,788 - 0
93.391 Activities to Support State, Tribal, Local and Territorial (stlt) Health Department Response to Public Health Or Healthcare Crises $21,429 - 0
10.578 Wic Grants to States (wgs) $19,390 - 0
93.988 Cooperative Agreements for Diabetes Control Programs $17,815 - 0
93.043 Special Programs for the Aging, Title Iii, Part D, Disease Prevention and Health Promotion Services $17,058 - 0
93.991 Preventive Health and Health Services Block Grant $14,796 - 0
20.616 National Priority Safety Programs $14,669 - 0
10.555 National School Lunch Program $13,846 - 0
16.606 State Criminal Alien Assistance Program $8,406 - 0
90.404 Hava Election Security Grants $8,301 - 0
10.553 School Breakfast Program $7,497 - 0
93.268 Immunization Cooperative Agreements $6,219 - 0
93.071 Medicare Enrollment Assistance Program $5,949 - 0
16.710 Public Safety Partnership and Community Policing Grants $5,899 - 0
93.767 Children's Health Insurance Program $2,055 - 0
93.324 State Health Insurance Assistance Program $1,903 - 0
93.659 Adoption Assistance $724 - 0

Contacts

Name Title Type
Z9JZC1G27GH1 Kristin Vander Kooi Auditee
6087575534 Andrea Jansen Auditor
No contacts on file

Notes to SEFA

Title: Basis of Presentation Accounting Policies: Expenditures reported on the Schedule are reported on the accrual or modified accrual basis of accounting. Such expenditures are recognized following the cost principles contained in the Uniform Guidance, wherein certain types of expenditures are not allowable or are limited as to reimbursement. Negative amounts shown on the Schedule represent adjustments or credits made in the normal course of business to amounts reported as expenditures in prior years. Pass-through entity identifying numbers are presented where available. The underlying accounting records for some grant programs are maintained on the modified accrual basis of accounting. Under the modified accrual basis, revenues are recorded when susceptible to accrual, i.e., both measurable and available. Available means collectible within the current period or soon enough thereafter to be used to pay liabilities of the current period. Expenditures are recorded when the liability is incurred. The accounting records for other grant programs are maintained on the accrual basis, i.e., when the revenue has been earned and the liability is incurred. De Minimis Rate Used: N Rate Explanation: The County of Rock has not elected to use the 10% de minimis indirect cost rate of the Uniform Guidance. The accompanying schedule of expenditures of federal and state awards (the Schedule) includes the federal and state award activity of Rock County, Wisconsin (the County) under programs of the federal and state government for the year ended December 31, 2023. The information in this Schedule is 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. Because the Schedule presents 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: GEARS/SPARC Report Dates Accounting Policies: Expenditures reported on the Schedule are reported on the accrual or modified accrual basis of accounting. Such expenditures are recognized following the cost principles contained in the Uniform Guidance, wherein certain types of expenditures are not allowable or are limited as to reimbursement. Negative amounts shown on the Schedule represent adjustments or credits made in the normal course of business to amounts reported as expenditures in prior years. Pass-through entity identifying numbers are presented where available. The underlying accounting records for some grant programs are maintained on the modified accrual basis of accounting. Under the modified accrual basis, revenues are recorded when susceptible to accrual, i.e., both measurable and available. Available means collectible within the current period or soon enough thereafter to be used to pay liabilities of the current period. Expenditures are recorded when the liability is incurred. The accounting records for other grant programs are maintained on the accrual basis, i.e., when the revenue has been earned and the liability is incurred. De Minimis Rate Used: N Rate Explanation: The County of Rock has not elected to use the 10% de minimis indirect cost rate of the Uniform Guidance. The Schedule of Expenditures of Federal and State Awards includes adjustments through the Grant Enrollment, Application and Reporting System (GEARS) reports dated June 20, 2024 and the SPARC reports for December 2023. Federal/state funding splits for awards passed through Wisconsin Department of Health Services (DHS) are based on the splits provided by DHS on February 14, 2024. Federal/state funding splits for awards passed through Wisconsin Department of Children and Families (DCF) are based on the splits provided by DCF on April 2, 2024.
Title: Pass-Through Agencies Accounting Policies: Expenditures reported on the Schedule are reported on the accrual or modified accrual basis of accounting. Such expenditures are recognized following the cost principles contained in the Uniform Guidance, wherein certain types of expenditures are not allowable or are limited as to reimbursement. Negative amounts shown on the Schedule represent adjustments or credits made in the normal course of business to amounts reported as expenditures in prior years. Pass-through entity identifying numbers are presented where available. The underlying accounting records for some grant programs are maintained on the modified accrual basis of accounting. Under the modified accrual basis, revenues are recorded when susceptible to accrual, i.e., both measurable and available. Available means collectible within the current period or soon enough thereafter to be used to pay liabilities of the current period. Expenditures are recorded when the liability is incurred. The accounting records for other grant programs are maintained on the accrual basis, i.e., when the revenue has been earned and the liability is incurred. De Minimis Rate Used: N Rate Explanation: The County of Rock has not elected to use the 10% de minimis indirect cost rate of the Uniform Guidance. The County received federal awards from the following pass-through agencies: DHS Wisconsin Department of Health Services DOT Wisconsin Department of Transportation DCF Wisconsin Department of Children and Families DOJ Wisconsin Department of Justice DPI Wisconsin Department of Public Instruction DVA Wisconsin Department of Veteran Affairs WEM Wisconsin Emergency Management WEC Wisconsin Elections Commission Janesville PD City of Janesville Police Department MKE HIDTA Milwaukee High-Intensity Drug Trafficking Areas NACCHO National Association of County and City Health Officials

Finding Details

Finding 2023-003 Program ALN: 21.027 Program Title: COVID-19 Coronavirus State and Local Fiscal Recovery Funds (SLFRF) Award Number/Year: Not applicable / 2023 Federal Agency: U.S. Department of Treasury Repeat of Finding 2022-003 Criteria: The U.S. Department of Treasury issued Compliance and Reporting Guidance on February 28, 2022, which specifies the information to be reported for each contract, grant, loan, transfer or direct payment greater than $50,000 pertaining to the State and Local Fiscal Recovery Funds (SLFRF). The required information includes identification of subrecipients, which are entities that receive a subaward from a recipient to carry out the purposes (program or project) of the SLFRF award on behalf of the recipient. Subrecipient relationships require additional monitoring and compliance steps. The direct recipient (the County) is responsible for determining if an entity is considered to be a subrecipient. Condition/Context: One of the two quarterly project expenditure reports tested reported fifteen subrecipients, which does not agree to the County’s determination of the relationship with the entity or the exclusion of subrecipient payments reported in the Schedule of Expenditures of Federal Awards for SLFRF. The sample was not statistically valid. Cause: The County did not have internal controls in place requiring an independent person with an understanding of the subrecipient terminology and classification to review the report prior to submission to the US Department of Treasury. Effect: The report was submitted with subrecipient misclassifications. Questioned Costs: None noted. Recommendation: The County should review its internal control procedures to ensure there are proper review and approval processes in place over completeness and accuracy of reports before submissions to federal agencies are completed. Management's Response: The County finance and administrative team have updated the relationship categories subsequent quarterly reports.
Finding 2023-004 Program ALN: 21.027 Program Title: COVID-19 Coronavirus State and Local Fiscal Recovery Funds (SLFRF) Award Number/Year: Not applicable / 2023 Federal Agency: U.S. Department of Treasury Criteria: Per 2 CFR Part 180, when a nonfederal entity enters into a procurement transaction with another entity for goods or services that equals or exceeds $25,000, also known as a covered transaction, the nonfederal entity must verify that the entity is not suspended or debarred. A nonfederal entity has three options for performing this verification: 1) obtaining a certification from the entity; 2) checking the System for Award Management (SAM) Exclusions (https://www.sam.gov/SAM/) or 3) adding certification language to the contract or subaward with the entity. Condition/Context: The County was not able to provide evidence that the suspension and debarment verification was completed for the three contractors selected for testing. The sample was not statistically valid. Cause: Due to turnover within the purchasing manager position, the verification was not completed. Effect: Payments could be made to an entity that is on the suspended or debarred list. Questioned Costs: None noted. Recommendation: The County should review its internal control procedures to ensure there are proper processes in place for verifying applicable procurement transactions are not entered into with a suspended or debarred entity. Management's Response: Training has been provided to the County’s Purchasing division regarding the requirement to review and record evidence that verification is completed on vendors prior to contracting.
Finding 2023-003 Program ALN: 21.027 Program Title: COVID-19 Coronavirus State and Local Fiscal Recovery Funds (SLFRF) Award Number/Year: Not applicable / 2023 Federal Agency: U.S. Department of Treasury Repeat of Finding 2022-003 Criteria: The U.S. Department of Treasury issued Compliance and Reporting Guidance on February 28, 2022, which specifies the information to be reported for each contract, grant, loan, transfer or direct payment greater than $50,000 pertaining to the State and Local Fiscal Recovery Funds (SLFRF). The required information includes identification of subrecipients, which are entities that receive a subaward from a recipient to carry out the purposes (program or project) of the SLFRF award on behalf of the recipient. Subrecipient relationships require additional monitoring and compliance steps. The direct recipient (the County) is responsible for determining if an entity is considered to be a subrecipient. Condition/Context: One of the two quarterly project expenditure reports tested reported fifteen subrecipients, which does not agree to the County’s determination of the relationship with the entity or the exclusion of subrecipient payments reported in the Schedule of Expenditures of Federal Awards for SLFRF. The sample was not statistically valid. Cause: The County did not have internal controls in place requiring an independent person with an understanding of the subrecipient terminology and classification to review the report prior to submission to the US Department of Treasury. Effect: The report was submitted with subrecipient misclassifications. Questioned Costs: None noted. Recommendation: The County should review its internal control procedures to ensure there are proper review and approval processes in place over completeness and accuracy of reports before submissions to federal agencies are completed. Management's Response: The County finance and administrative team have updated the relationship categories subsequent quarterly reports.
Finding 2023-004 Program ALN: 21.027 Program Title: COVID-19 Coronavirus State and Local Fiscal Recovery Funds (SLFRF) Award Number/Year: Not applicable / 2023 Federal Agency: U.S. Department of Treasury Criteria: Per 2 CFR Part 180, when a nonfederal entity enters into a procurement transaction with another entity for goods or services that equals or exceeds $25,000, also known as a covered transaction, the nonfederal entity must verify that the entity is not suspended or debarred. A nonfederal entity has three options for performing this verification: 1) obtaining a certification from the entity; 2) checking the System for Award Management (SAM) Exclusions (https://www.sam.gov/SAM/) or 3) adding certification language to the contract or subaward with the entity. Condition/Context: The County was not able to provide evidence that the suspension and debarment verification was completed for the three contractors selected for testing. The sample was not statistically valid. Cause: Due to turnover within the purchasing manager position, the verification was not completed. Effect: Payments could be made to an entity that is on the suspended or debarred list. Questioned Costs: None noted. Recommendation: The County should review its internal control procedures to ensure there are proper processes in place for verifying applicable procurement transactions are not entered into with a suspended or debarred entity. Management's Response: Training has been provided to the County’s Purchasing division regarding the requirement to review and record evidence that verification is completed on vendors prior to contracting.