Finding 1163557 (2024-008)

Material Weakness Repeat Finding
Requirement
L
Questioned Costs
-
Year
2024
Accepted
2025-12-05
Audit: 373245
Organization: Unified Community Services (WI)

AI Summary

  • Core Issue: Lack of independent review for reports submitted under the Foster Care program, risking errors in compliance.
  • Impacted Requirements: Internal controls mandated by the Uniform Guidance and State Single Audit Guidelines were not followed, specifically regarding report review processes.
  • Recommended Follow-Up: Ensure that an employee other than the report preparer reviews all submissions for accuracy before they are sent to grantors.

Finding Text

Finding 2024-008 Repeat Finding 2023-009 AL No.: 93.658 Program Title: Foster Care - Title IV-E Federal Agency: U.S. Department of Health and Human Services Pass-Through Agencies: Wisconsin Department of Children and Families Award Number/Year 3413, 3561, 3681, 3645 / 2024 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 of monthly reports, which should be reviewed and approved by a responsible party other than the original preparer. Condition/Context: There were 13 reports for submission for the County. Three reports were selected for testing. There was no documentation of a review control by someone independent of the preparer for all three reports tested. Our sample was not statistically valid. Cause: The County did not have procedures in place requiring an independent person to review the reports before submission. Questioned Costs: None noted. Effect: Reports that contain errors could be submitted. Recommendation: We recommend that an employee other than the preparer review all reports before they are submitted to grantors. Management's Response: The Finance Department continues to work on the development of the Grant Manager module of Tyler MUNIS. In 2025 it was reviewed with the Department Heads as to their responsibility to review each filing for completeness and accuracy before filing.

Corrective Action Plan

Finding 2024-008 Repeat Finding 2023-009 ALNo.: Program Title: Federal Agency: Pass-Through Agencies: Award Number/Year 93.658 Foster Care - Title IV-E U.S. Department of Health and Human Services Wisconsin Department of Children and Families 3413,3561,3681,3645/2024 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 of monthly reports, which should be reviewed and approved by a responsible party other than the original preparer. Condition/Context: There were 13 reports for submission for the County. Three reports were selected for testing. There was no documentation of a review control by someone independent of the preparer for all three reports tested. Our sample was not statistically valid. Cause: The County did not have procedures in place requiring an independent person to review the reports before submission. Questioned Costs: None noted. Effect: Reports that contain errors could be submitted. Recommendation: We recommend that an employee other than the preparer review all reports before they are submitted to grantors. Corrective Action Planned: Angela Runde and Cody Blindert continued to work on the development of the Grant Manager module of Tyler MUNIS. In 2025 it was reviewed with the Department Heads, Kessa Klaas, CeCe Fink, Lori Reid and Jessica Munson as to their responsibility to review each filing for completeness and accuracy before filing. Cece Fink has designated that one person pull the information and compile the report. The workflow will route the report to Cece Fink for review and then to Patrick Montgomery for final review and approval. Anticipated Completion Date 3/1/2026.

Categories

Student Financial Aid Internal Control / Segregation of Duties

Other Findings in this Audit

  • 1163556 2024-003
    Material Weakness Repeat
  • 1163558 2024-004
    Material Weakness Repeat
  • 1163559 2024-004
    Material Weakness Repeat

Programs in Audit

ALN Program Name Expenditures
21.027 CORONAVIRUS STATE AND LOCAL FISCAL RECOVERY FUNDS $5.19M
93.658 FOSTER CARE TITLE IV-E $517,183
93.563 CHILD SUPPORT SERVICES $458,150
93.788 OPIOID STR $232,958
10.557 WIC SPECIAL SUPPLEMENTAL NUTRITION PROGRAM FOR WOMEN, INFANTS, AND CHILDREN $177,403
93.959 BLOCK GRANTS FOR PREVENTION AND TREATMENT OF SUBSTANCE ABUSE $152,230
93.045 SPECIAL PROGRAMS FOR THE AGING, TITLE III, PART C, NUTRITION SERVICES $150,434
97.047 BRIC: BUILDING RESILIENT INFRASTRUCTURE AND COMMUNITIES $96,596
93.778 MEDICAL ASSISTANCE PROGRAM $90,318
93.667 SOCIAL SERVICES BLOCK GRANT $79,030
84.181 SPECIAL EDUCATION-GRANTS FOR INFANTS AND FAMILIES $71,365
93.958 BLOCK GRANTS FOR COMMUNITY MENTAL HEALTH SERVICES $71,321
93.575 CHILD CARE AND DEVELOPMENT BLOCK GRANT $58,840
93.069 PUBLIC HEALTH EMERGENCY PREPAREDNESS $54,830
93.044 SPECIAL PROGRAMS FOR THE AGING, TITLE III, PART B, GRANTS FOR SUPPORTIVE SERVICES AND SENIOR CENTERS $54,590
93.556 MARYLEE ALLEN PROMOTING SAFE AND STABLE FAMILIES PROGRAM $45,399
93.052 NATIONAL FAMILY CAREGIVER SUPPORT, TITLE III, PART E $32,568
20.509 FORMULA GRANTS FOR RURAL AREAS AND TRIBAL TRANSIT PROGRAM $32,239
93.645 STEPHANIE TUBBS JONES CHILD WELFARE SERVICES PROGRAM $23,798
93.994 MATERNAL AND CHILD HEALTH SERVICES BLOCK GRANT TO THE STATES $21,202
93.268 IMMUNIZATION COOPERATIVE AGREEMENTS $19,055
93.991 PREVENTIVE HEALTH AND HEALTH SERVICES BLOCK GRANT $17,632
93.747 ELDER ABUSE PREVENTION INTERVENTIONS PROGRAM $14,184
20.600 STATE AND COMMUNITY HIGHWAY SAFETY $11,367
93.090 GUARDIANSHIP ASSISTANCE $9,860
66.032 STATE AND TRIBAL INDOOR RADON GRANTS $8,276
10.561 STATE ADMINISTRATIVE MATCHING GRANTS FOR THE SUPPLEMENTAL NUTRITION ASSISTANCE PROGRAM $7,608
16.710 PUBLIC SAFETY PARTNERSHIP AND COMMUNITY POLICING GRANTS $7,131
93.558 TEMPORARY ASSISTANCE FOR NEEDY FAMILIES $2,257
93.043 SPECIAL PROGRAMS FOR THE AGING, TITLE III, PART D, DISEASE PREVENTION AND HEALTH PROMOTION SERVICES $1,570
93.767 CHILDREN'S HEALTH INSURANCE PROGRAM $132