Audit 51738

FY End
2022-12-31
Total Expended
$132.26M
Findings
4
Programs
56
Organization: County of Dane (WI)
Year: 2022 Accepted: 2023-09-18

Organization Exclusion Status:

Checking exclusion status...

Findings

ID Ref Severity Repeat Requirement
43926 2022-002 Significant Deficiency - CL
43927 2022-005 Significant Deficiency - AB
620368 2022-002 Significant Deficiency - CL
620369 2022-005 Significant Deficiency - AB

Programs

ALN Program Spent Major Findings
21.023 Emergency Rental Assistance Program $22.55M Yes 0
93.778 Medical Assistance Program $14.33M - 0
20.106 Airport Improvement Program $7.07M Yes 0
93.563 Child Support Enforcement $6.83M Yes 2
21.027 Coronavirus State and Local Fiscal Recovery Funds $5.16M Yes 0
93.658 Foster Care_title IV-E $4.23M - 0
10.561 State Administrative Matching Grants for the Supplemental Nutrition Assistance Program $3.95M - 0
93.667 Social Services Block Grant $1.52M - 0
93.575 Child Care and Development Block Grant $1.51M - 0
93.558 Temporary Assistance for Needy Families $1.47M - 0
93.959 Block Grants for Prevention and Treatment of Substance Abuse $1.23M - 0
14.267 Continuum of Care Program $1.14M - 0
93.045 Special Programs for the Aging_title Iii, Part C_nutrition Services $620,946 - 0
93.958 Block Grants for Community Mental Health Services $497,602 - 0
84.181 Special Education-Grants for Infants and Families $399,812 - 0
93.044 Special Programs for the Aging_title Iii, Part B_grants for Supportive Services and Senior Centers $387,548 - 0
97.042 Emergency Management Performance Grants $373,492 - 0
93.659 Adoption Assistance $362,398 - 0
93.090 Guardianship Assistance $330,687 - 0
93.645 Stephanie Tubbs Jones Child Welfare Services Program $294,256 - 0
94.006 Americorps $287,339 - 0
93.052 National Family Caregiver Support, Title Iii, Part E $282,455 - 0
14.239 Home Investment Partnerships Program $256,401 - 0
93.788 Opioid Str $222,585 - 0
93.053 Nutrition Services Incentive Program $168,557 - 0
93.498 Provider Relief Fund $165,884 - 0
95.001 High Intensity Drug Trafficking Areas Program $150,000 - 0
14.218 Community Development Block Grants/entitlement Grants $131,760 - 0
20.616 National Priority Safety Programs $125,715 - 0
16.593 Residential Substance Abuse Treatment for State Prisoners $113,398 - 0
20.513 Enhanced Mobility of Seniors and Individuals with Disabilities $98,617 - 0
93.556 Promoting Safe and Stable Families $95,172 - 0
16.588 Violence Against Women Formula Grants $90,105 - 0
81.086 Conservation Research and Development $84,941 - 0
16.575 Crime Victim Assistance $82,144 - 0
93.767 Children's Health Insurance Program $76,368 - 0
20.600 State and Community Highway Safety $71,642 - 0
16.838 Comprehensive Opioid Abuse Site-Based Program $53,677 - 0
21.032 Latcf Arp Grant $50,000 - 0
93.324 State Health Insurance Assistance Program $39,716 - 0
93.674 John H. Chafee Foster Care Program for Successful Transition to Adulthood $39,136 - 0
16.554 National Criminal History Improvement Program (nchip) $37,704 - 0
97.039 Hazard Mitigation Grant $31,454 - 0
93.071 Medicare Enrollment Assistance Program $28,657 - 0
97.036 Disaster Grants - Public Assistance (presidentially Declared Disasters) $24,959 - 0
93.043 Special Programs for the Aging_title Iii, Part D_disease Prevention and Health Promotion Services $17,537 - 0
16.609 Project Safe Neighborhoods $16,911 - 0
93.242 Mental Health Research Grants $15,000 - 0
21.016 Equitable Sharing $10,894 - 0
15.631 Partners for Fish and Wildlife $10,050 - 0
97.067 Homeland Security Grant Program $9,894 - 0
16.710 Public Safety Partnership and Community Policing Grants $6,780 - 0
16.738 Edward Byrne Memorial Justice Assistance Grant Program $6,675 - 0
10.069 Conservation Reserve Program $3,388 - 0
93.747 Elder Abuse Prevention Interventions Program $950 - 0
10.GSA_MIGRATION Building Sustainable Relationships $800 - 0

Contacts

Name Title Type
M7DYJMKQ9MH7 Charles Hicklin Auditee
6082664109 Amanda Blomberg 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 and other applicable regulations, 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 Dane has not elected to use the 10 percent 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 grant activity of the County of Dane under programs of the federal and state government for the year ended December 31, 2022. 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 of Dane, it is not intended to and does not present the financial position, changes in net position or cash flows of the County of Dane.
Title: CARS/SPARC Reporting 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 and other applicable regulations, 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 Dane has not elected to use the 10 percent de minimis indirect cost rate of the Uniform Guidance. The Schedule of Expenditures of Federal and State Awards includes adjustments through the Community Aids Reporting System (CARS) reports dated March 23, 2023 and the SPARC reports for December 2022. Federal/state funding splits for awards passed through Wisconsin Department of Health Services (DHS) are based on the splits provided by DHS on February 15, 2023. Federal/state funding splits for awards passed through Wisconsin Department of Children and Families (DCF) are based on the splits provided by DCF on January 27, 2023.
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 and other applicable regulations, 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 Dane has not elected to use the 10 percent de minimis indirect cost rate of the Uniform Guidance. The County of Dane received federal awards from the following pass-through agencies:City of Madison - City of Madison, Wisconsin, UW Madison - University of Wisconsin-Madison, University of MN - University of Minnesota, Green County - Green County, Wisconsin, DHS - Wisconsin Department of Health Services, DCF - Wisconsin Department of Children and Families, DOA - Wisconsin Department of Administration, DOT - Wisconsin Department of Transportation, DMA - Wisconsin Department of Military Affairs, DOJ -Wisconsin Department of Justice

Finding Details

Finding 2022-002 Assistance Listing and 93.563, 437.7502, 435.000377, 435.000561/435.000681, State ID Numbers: 435.000471/435.000877, and 437.3410 Program Titles: Child Support Enforcement, CS State GPR/PR Funding Allocation, Children's COP, Basic County Allocation/State/County Match, CLTS Autism GPR/CLTS Waiver CWA Admin GPR, and JJ Community Intervention Program Award Numbers / Year: See State ID Numbers / 2022 Pass-Through Entity: Wisconsin Department of Children and Families Criteria: The Uniform Guidance and State Single Audit Guidelines require that local entities receiving federal and state awards establish and maintain internal control designed to reasonably ensure compliance with laws, regulations, and program compliance requirements. The Uniform Guidance and State Single Audit Guidelines further require auditors to obtain an understanding of the local entity's internal control over federal and state programs. To minimize the risk of errors, internal controls should be in place for all program compliance requirements, including the preparation and submission reports, which should be reviewed and approved by a responsible party other than the original preparer. Condition/Context: We selected three monthly submissions of CARS and SPARC reports across multiple programs received by the Wisconsin Department of Human Services and the Wisconsin Department of Children and Families. All three of the CARS and SPARC reports tested were not reviewed by an independent person before submission for reimbursement. Our sample was not statistically valid. Cause: The County did not have internal control procedures in place requiring an independent person to review the reports before submission to ensure the reports were accurately and timely submitted. Effect: Reports submitted could contain errors. Questioned Costs: None noted. Recommendation: The County should review its internal control procedures to ensure there are proper review and approval processes over completeness and accuracy of reports in place before submissions to state agencies are completed. Management's Response: A review process will be implemented with September 2023 reports.
Finding 2022-005 Assistance Listing and State ID Numbers: 93.563 and 437.7502 Program Titles: Child Support Enforcement and CS State GPR/PR Funding Allocation Award Number / Year: 437.7502 / 2022 Pass-Through Entity: Wisconsin Department of Children and Families Criteria: 2 CFR section 200.430(i)(1)(viii)(C) requires the system of internal controls to include processes to conduct after-the-fact reviews of interim charges made to federal awards based on budget estimates used to charge salaries and wages. All necessary adjustments must be made such that the final amount charged to the federal award is accurate, allowable, and properly allocated. Condition/Context: One of the thirty-seven payroll transactions tested was more than actual costs incurred due to incorrect payroll information being used to calculate the payroll expense. Our sample was not statistically valid. Cause: The payroll cost allocation spreadsheet was not properly reviewed against the payroll system. Effect: Payroll costs were overcharged to the award. Questioned Costs: Questioned costs of $269 related to excess payroll charges are reported in accordance with the thresholds of the Wisconsin State Single Audit Guidelines and relate to expenditures funded by both federal and state sources, specifically 93.563 Child Support Enforcement and 437.7502 CS State GPR/PR Funding Allocation. Recommendation: The County should review its internal control procedures to ensure there are proper review and approval processes over payroll information used to calculate amounts claimed for grant reimbursement. Management's Response: The reimbursement reports prepared by the Clerk of Courts will be reviewed by a person other than the preparer to ensure accuracy. The review will be completed before the reimbursement request is submitted to Child Support.
Finding 2022-002 Assistance Listing and 93.563, 437.7502, 435.000377, 435.000561/435.000681, State ID Numbers: 435.000471/435.000877, and 437.3410 Program Titles: Child Support Enforcement, CS State GPR/PR Funding Allocation, Children's COP, Basic County Allocation/State/County Match, CLTS Autism GPR/CLTS Waiver CWA Admin GPR, and JJ Community Intervention Program Award Numbers / Year: See State ID Numbers / 2022 Pass-Through Entity: Wisconsin Department of Children and Families Criteria: The Uniform Guidance and State Single Audit Guidelines require that local entities receiving federal and state awards establish and maintain internal control designed to reasonably ensure compliance with laws, regulations, and program compliance requirements. The Uniform Guidance and State Single Audit Guidelines further require auditors to obtain an understanding of the local entity's internal control over federal and state programs. To minimize the risk of errors, internal controls should be in place for all program compliance requirements, including the preparation and submission reports, which should be reviewed and approved by a responsible party other than the original preparer. Condition/Context: We selected three monthly submissions of CARS and SPARC reports across multiple programs received by the Wisconsin Department of Human Services and the Wisconsin Department of Children and Families. All three of the CARS and SPARC reports tested were not reviewed by an independent person before submission for reimbursement. Our sample was not statistically valid. Cause: The County did not have internal control procedures in place requiring an independent person to review the reports before submission to ensure the reports were accurately and timely submitted. Effect: Reports submitted could contain errors. Questioned Costs: None noted. Recommendation: The County should review its internal control procedures to ensure there are proper review and approval processes over completeness and accuracy of reports in place before submissions to state agencies are completed. Management's Response: A review process will be implemented with September 2023 reports.
Finding 2022-005 Assistance Listing and State ID Numbers: 93.563 and 437.7502 Program Titles: Child Support Enforcement and CS State GPR/PR Funding Allocation Award Number / Year: 437.7502 / 2022 Pass-Through Entity: Wisconsin Department of Children and Families Criteria: 2 CFR section 200.430(i)(1)(viii)(C) requires the system of internal controls to include processes to conduct after-the-fact reviews of interim charges made to federal awards based on budget estimates used to charge salaries and wages. All necessary adjustments must be made such that the final amount charged to the federal award is accurate, allowable, and properly allocated. Condition/Context: One of the thirty-seven payroll transactions tested was more than actual costs incurred due to incorrect payroll information being used to calculate the payroll expense. Our sample was not statistically valid. Cause: The payroll cost allocation spreadsheet was not properly reviewed against the payroll system. Effect: Payroll costs were overcharged to the award. Questioned Costs: Questioned costs of $269 related to excess payroll charges are reported in accordance with the thresholds of the Wisconsin State Single Audit Guidelines and relate to expenditures funded by both federal and state sources, specifically 93.563 Child Support Enforcement and 437.7502 CS State GPR/PR Funding Allocation. Recommendation: The County should review its internal control procedures to ensure there are proper review and approval processes over payroll information used to calculate amounts claimed for grant reimbursement. Management's Response: The reimbursement reports prepared by the Clerk of Courts will be reviewed by a person other than the preparer to ensure accuracy. The review will be completed before the reimbursement request is submitted to Child Support.