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Federal Audit Clearinghouse (FAC) New Website update and New 2013 Form SF-SAC NASACT Webinar November 21, 2013.

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Presentation on theme: "Federal Audit Clearinghouse (FAC) New Website update and New 2013 Form SF-SAC NASACT Webinar November 21, 2013."— Presentation transcript:

1 Federal Audit Clearinghouse (FAC) New Website update and New 2013 Form SF-SAC NASACT Webinar November 21, 2013

2 Speaker Paul Fite Manager Federal Audit Clearinghouse U.S. Census Bureau Opening Remarks Moderator R. Kinney Poynter Executive Director NASACT Speaker Mark Swanhart Survey Statistician Federal Audit Clearinghouse U.S. Census Bureau Speaker Shannon James Survey Statistician Federal Audit Clearinghouse U.S. Census Bureau Guest Panelist Kelly Berger-Davis Quality Assurance and Technical Specialist Center For Audit Excellence Ohio Auditor of State 2

3 Intentionally Blank 3

4 Speakers Paul V. Fite Shannon C. James Mark A. Swanhart Federal Audit Clearinghouse

5 Presentation Overview FAC Background New Website New Form PDF Requirements Key Takeaways Questions and Answers 5

6 Federal Audit Clearinghouse (FAC) Background OMB designated the US Census Bureau as the Clearinghouse in 1992 FAC collects Circular A-133 audits and SF- SAC Data Collection Forms –Approximately 45,000 submissions per year FAC disseminates audits to Federal agencies and data to the general public 6

7 NEW FAC Submission Website (IDES) Old IDES vs. New IDES New Personal Accounts New Account Home Starting a New Report New Report Home New Certifications Other Enhancements 7

8 Old IDES 8 User 1 User 2 User 3 User 4 Shared Report ID and Password Report 1

9 New IDES – Example 1 9 Report 5 Report 6 Account Login (Unique Password) Account Login (Unique Password) Report 1 Report 2 Report 3 Report 4 Account Login (Unique Password) Account Login (Unique Password)

10 New IDES – Example 2 10 Account Login Report 1 Report 2 Report 4 Report 3 Account Login Account Login

11 New Personal Accounts address log-ins –Each user must create one account using one address –Previous submissions ( ) are available in each user account matched to e- mail addresses on previous reports –Report ID/password combinations no longer required 11

12 Setting up Personal Accounts 12

13 Setting up Personal Accounts Simply fill out the required information, and you will have access to all the reports in our database matched to your address. No more report ID/password Combinations 13

14 Setting up Personal Accounts You must receive the to use the FAC IDES—Make sure your security settings allow s from 14

15 Setting up Personal Accounts Password Requirements –At least 12 characters (ex. Auditee1234!) –Must contain at least one of each: Upper case letters (A-Z) Lower case letters (a-z) Numbers (0-9) Special characters from No characters repeated more than 4 times –This password is yours alone, do not share it 15

16 Account Home 16

17 Starting a New Report Your submission must meet OMB Circular A-133 requirements 17

18 Starting a New Report Certification officials are required for the auditee and auditor. Up to 5 additional contacts can be entered for both the auditor and auditee 18 Enter the name and e- mail address of each person you want to have access to the report

19 Starting a New Report 19

20 New Report Home Account logged in at time of step completion Time and date stamp Only the designated “certifying official” can click certification buttons. No more signature codes. 20 Form Options

21 Other Enhancements No security questions and answers for resetting passwords –Enter address and FAC will send a link Better error messages –Downloadable list More validation to reduce errors –Ex: You must complete the Form before uploading the audit 21

22 Other Enhancements Improved Spreadsheet Templates –Available for all pages where data upload is possible –Download an Excel template customized for each report. –Data can be cut or copied from another data file and pasted into the Excel template 22

23 Spreadsheet Templates Fill out the template manually, or copy and paste directly from another database source. No more.csv files. Validations will prevent data submission errors 23

24 Certification Changes No signature codes Access to certification is restricted to accounts identified as a “Certifying Official” “Completed by” column to identify user that completed each step 24

25 Intentionally Blank 25

26 Managing Report Access Anyone can add/change users for reports Roles can be changed –“Auditor” and “Auditee” can edit form, upload audit, change users/roles –“Certifiers” can edit form, upload audit, change users/roles, and certify the submission 26

27 Managing Report Access Auditee Name and Fiscal Year Report Access Options: 1) Activate/ Deactivate 2) Change “Roles” 3) Add users 27

28 Managing Report Access 28

29 Report Access Reminders Each report must have at minimum: –Auditor Certifying Official –Auditee Certifying Official No more than one auditor certifying official and one auditee certifying official Changing roles after certification will revoke certifications 29

30 PDF REQUIREMENTS AY 2014 audits must be: –Unlocked –Unencrypted to allow copying and pasting –85% of pages must be text-searchable Instructions are available on the website 30

31 New 2013 Form SF-SAC

32 Form SF-SAC Background Data Collection Form (DCF) –Form SF-SAC is the Data Collection Form (DCF) for A-133 audits –2013 Form Updated Suggestions from Federal agencies, auditor community, general public. –Initial Federal Register Notice issued in MayFederal Register Notice –Final Federal Register Notice issued November 19 –Form approval on December 20 and release sometime on or after December 20 32

33 2013 Form Changes Part I – General Information –All audit firms must report their Employer Identification Number (EIN) –Secondary auditors must report their EIN on the secondary auditor contact information page –Do not use Social Security numbers –Obtain an EIN at irs.gov in minutes 33

34 2013 Form Changes Part III: Federal Programs –Identify Loan/Loan Guarantee (Yes/No) CFDAs with Loan/Loan Guarantee components and non Loan/Loan Guarantee components are to be listed on separate lines –Number of Audit Findings Standardized Audit Finding Reference Number: YYYY--#### (ex ) –Requested for AY Required for AY 2014 –Should match the SFQC and audit reports 34

35 Illustration of New Items in Part III: Federal Programs 35

36 2013 Form Changes Part III, Item 7: Federal Awards Findings Summary –Columns (a)-(c) are automatically populated based on “Number of Findings” on previous page –Each audit finding described separately –Type of compliance requirement –Type of finding Compliance Finding (Modified Opinion or Other Matters) Internal Control Finding (Material Weakness or Significant Deficiency Other –Questioned Costs (Yes/No) 36

37 New Audit Finding Details Identifies the compliance requirements that correspond to each finding Gives detail of how each finding affected each Federal award Automatically filled from “Federal Awards” Page for each Federal award with findings 37

38 Illustration of Part III, Item 7 New Standard Format for 2014 New information for Compliance, Internal Control and Other Findings New Questioned Costs 38

39 2013 Form Changes Federal Awards Findings Summary –9 valid combinations of “Compliance Findings,” “Internal Control Findings,” and “Other Findings” 39

40 Key Takeaways Use your address to create a new account You must receive s from Protect your password Watch our website for 2013 Form news Contact the FAC at 40

41 Speaker Paul Fite Manager Federal Audit Clearinghouse U.S. Census Bureau Questions? Moderator R. Kinney Poynter Executive Director NASACT Speaker Mark Swanhart Survey Statistician Federal Audit Clearinghouse U.S. Census Bureau Speaker Shannon James Survey Statistician Federal Audit Clearinghouse U.S. Census Bureau Guest Panelist Kelly Berger-Davis Quality Assurance and Technical Specialist Center For Audit Excellence Ohio Auditor of State 41

42 Intentionally Blank 42

43 FAC Contact Information


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