Audit 28311

FY End
2022-09-30
Total Expended
$1.81B
Findings
6
Programs
27
Year: 2022 Accepted: 2023-01-19

Organization Exclusion Status:

Checking exclusion status...

Findings

ID Ref Severity Repeat Requirement
36898 2022-001 Significant Deficiency - M
36899 2022-001 Significant Deficiency - M
36900 2022-002 Significant Deficiency - N
613340 2022-001 Significant Deficiency - M
613341 2022-001 Significant Deficiency - M
613342 2022-002 Significant Deficiency - N

Programs

ALN Program Spent Major Findings
14.000 Gnma Mortgage Backed Security Program $1.61B Yes 0
14.239 Home Investment Partnerships Program $44.89M Yes 1
14.188 Housing Finance Agencies (hfa) Risk Sharing $40.02M - 0
14.195 Section 8 Housing Assistance Payments Program $33.43M - 0
14.117 Mortgage Insurance_homes $24.06M - 0
14.275 Housing Trust Fund $12.64M - 0
14.258 Arra Tax Credit Assistance Program $12.56M Yes 1
21.026 Covid-19 Homeowner Assistance Fund $6.32M - 0
14.231 Covid 19 Emergency Solutions Grant Program - Cares Act $5.20M - 0
21.011 Capital Magnet Fund $4.65M - 0
81.042 Weatherization Assistance for Low-Income Persons $4.18M Yes 0
14.228 Neighborhood Stabilization Program $3.24M - 0
93.568 Low-Income Home Energy Assistance $3.09M - 0
14.241 Housing Opportunities for Persons with Aids $1.07M - 0
14.231 Emergency Solutions Grant Program $1.07M - 0
10.438 Section 538 Rural Rental Housing Guaranteed Loans $951,906 - 0
14.228 Recovery Housing Program $664,469 - 0
14.228 Covid-19 Community Development Block Grants/state's Program $435,369 - 0
14.326 Project Rental Assistance Demonstration (pra Demo) Program of Section 811 Supportive Housing for Persons with Disabilities $342,882 - 0
14.278 Veterans Home Rehabilitation Program $145,813 - 0
64.114 Veterans Housing_guaranteed and Insured Loans $140,080 - 0
14.241 Covid-19 Housing Opportunities for Persons with Aids $58,250 - 0
81.042 Weatherization Assistance for Low-Income Persons Bil $14,285 Yes 0
14.239 Covid-19 Home Arp $13,888 Yes 1
10.410 Very Low to Moderate Income Housing Loans $8,850 - 0
21.019 Covid-19 Coronavirus Relief Fund $5,181 - 0
21.027 Covid-19 Coronavirus State and Local Fiscal Recovery Funds $4,413 - 0

Contacts

Name Title Type
F3LNHFKF5UP1 Yvonne Segovia Auditee
5077672253 Gaby Miller Auditor
No contacts on file

Notes to SEFA

Title: Loan/loan guarantee outstanding balances Accounting Policies: The accompanying Schedule of Expenditures of Federal Awards (Schedule) includes the federal grant activity of the Authority and is presented on the accrual basis of accounting. Such expenditures are recognized following the cost principles contained in OMB Circular 2 CFR Part 200, Uniform Administrative Requirements, Cost Principles, and Audit Requirements for Federal Awards, as applicable for all awards with the exception of Assistance Listing 21.019, which follows criteria determined by the Department of Treasury for allowability of costs. Under these principles, certain types of expenditures are not allowable or are limited as to reimbursement. The Authoritys reporting entity is defined in Note 1 to the Authoritys financial statements. All federal financial assistance received from the federal agencies, including amounts passed through from other governmental entities and disbursed by the Authority, is included in the Schedule in accordance with the requirements of OMB Circular 2 CFR Part 200, Uniform Administrative Requirements, Cost Principles, and Audit Requirements for Federal Awards, as applicable. Because the Schedule presents only a selected portion of the operations of the Authority, it is not intended to and does not present the financial position, changes in net position, or cash flows of the Authority. De Minimis Rate Used: Y Rate Explanation: The Authority has elected to use the 10% de minimis indirect cost rate allowed under the Uniform Guidance for loans awarded after November 12, 2020. HOME INVESTMENT PARTNERSHIPS PROGRAM (14.239) - Balances outstanding at the end of the audit period were 40373467. ARRA TAX CREDIT ASSISTANCE PROGRAM (14.258) - Balances outstanding at the end of the audit period were 12405880. HOUSING TRUST FUND (14.275) - Balances outstanding at the end of the audit period were 12266839. COMMUNITY DEVELOPMENT BLOCK GRANTS/STATE'S PROGRAM AND NON-ENTITLEMENT GRANTS IN HAWAII (14.228) - Balances outstanding at the end of the audit period were 2258561. CAPITAL MAGNET FUND (21.011) - Balances outstanding at the end of the audit period were 3243354. MORTGAGE INSURANCE_HOMES (14.117) - Balances outstanding at the end of the audit period were 24062474. GNMA MORTGAGE BACKED SECURITY PROGRAM (14.000) - Balances outstanding at the end of the audit period were 1611922752. VETERANS HOUSING_GUARANTEED AND INSURED LOANS (64.114) - Balances outstanding at the end of the audit period were 140080. VERY LOW TO MODERATE INCOME HOUSING LOANS (10.410) - Balances outstanding at the end of the audit period were 5597. SECTION 538 RURAL RENTAL HOUSING GUARANTEED LOANS (10.438) - Balances outstanding at the end of the audit period were 930231. HOUSING FINANCE AGENCIES (HFA) RISK SHARING (14.188) - Balances outstanding at the end of the audit period were 38095867.
Title: MORTGAGE INSURANCE AND GUARANTEES Accounting Policies: The accompanying Schedule of Expenditures of Federal Awards (Schedule) includes the federal grant activity of the Authority and is presented on the accrual basis of accounting. Such expenditures are recognized following the cost principles contained in OMB Circular 2 CFR Part 200, Uniform Administrative Requirements, Cost Principles, and Audit Requirements for Federal Awards, as applicable for all awards with the exception of Assistance Listing 21.019, which follows criteria determined by the Department of Treasury for allowability of costs. Under these principles, certain types of expenditures are not allowable or are limited as to reimbursement. The Authoritys reporting entity is defined in Note 1 to the Authoritys financial statements. All federal financial assistance received from the federal agencies, including amounts passed through from other governmental entities and disbursed by the Authority, is included in the Schedule in accordance with the requirements of OMB Circular 2 CFR Part 200, Uniform Administrative Requirements, Cost Principles, and Audit Requirements for Federal Awards, as applicable. Because the Schedule presents only a selected portion of the operations of the Authority, it is not intended to and does not present the financial position, changes in net position, or cash flows of the Authority. De Minimis Rate Used: Y Rate Explanation: The Authority has elected to use the 10% de minimis indirect cost rate allowed under the Uniform Guidance for loans awarded after November 12, 2020. Certain mortgage loans of the Authority are insured by the Federal Housing Administration (FHA) and partially guaranteed by the Veterans Administration (VA). At September 30, 2022, the Authority recorded approximately $24,062,000 of FHA insured loans. These serviced loans are included on the accompanying Schedule.The Authority participates in the Risk Sharing loan program, under which the Department of Housing and Urban Development (HUD) provides credit enhancements for multifamily housing project loans. HUD and the Authority share in the risk of loss on the mortgage. HUD has assumed 90% of the risk in 34 loans. HUDs assumed risk approximated $39,455,000 at September 30, 2022. Of the 34 loans closed, the Authority funded 31 loans with outstanding principal of $42,329,000 at September 30, 2022. HUDs assumed risk of loss of approximately $38,096,000 related to these 31 loans is recorded in the accompanying Schedule.The Authority participates in the Section 538 Rural Rental Housing Guaranteed Loan Program, under which the Rural Housing Service (RHS), Department of Agriculture (USDA), provides credit enhancements to encourage private and public lenders to make new loans for affordable rental properties that meet program standards. The USDA has assumed 90% of the risk in the one loan closed and funded by the Authority. At September 30, 2022, the loan had an outstanding principal of $1,034,000, of which the USDA assumed risk of loss of approximately $930,000 is recorded in the accompanying Schedule.
Title: RELATIONSHIP TO THE AUTHORITYS FINANCIAL STATEMENTS Accounting Policies: The accompanying Schedule of Expenditures of Federal Awards (Schedule) includes the federal grant activity of the Authority and is presented on the accrual basis of accounting. Such expenditures are recognized following the cost principles contained in OMB Circular 2 CFR Part 200, Uniform Administrative Requirements, Cost Principles, and Audit Requirements for Federal Awards, as applicable for all awards with the exception of Assistance Listing 21.019, which follows criteria determined by the Department of Treasury for allowability of costs. Under these principles, certain types of expenditures are not allowable or are limited as to reimbursement. The Authoritys reporting entity is defined in Note 1 to the Authoritys financial statements. All federal financial assistance received from the federal agencies, including amounts passed through from other governmental entities and disbursed by the Authority, is included in the Schedule in accordance with the requirements of OMB Circular 2 CFR Part 200, Uniform Administrative Requirements, Cost Principles, and Audit Requirements for Federal Awards, as applicable. Because the Schedule presents only a selected portion of the operations of the Authority, it is not intended to and does not present the financial position, changes in net position, or cash flows of the Authority. De Minimis Rate Used: Y Rate Explanation: The Authority has elected to use the 10% de minimis indirect cost rate allowed under the Uniform Guidance for loans awarded after November 12, 2020. Federal financial assistance program expenditures as presented in the accompanying Schedule primarily represent federal financial assistance payments disbursed by the Authority during the year ended September 30, 2022 or federally insured loans as described in Note 4.

Finding Details

Federal Agency: U.S. Department of Housing and Urban Development Federal Program Name: HOME Investment Partnerships Program Assistance Listing Number: 14.239 Federal Award Identification Number and Year: M22-SG350100 & M21-SP350100 - 2022 Award Period: October 1, 2021 through September 30, 2022 Type of Finding: ? Significant Deficiency in Internal Control over Compliance ? Other Matters Criteria or specific requirement: A pass-through entity must monitor the activities of the subrecipient as necessary to ensure that the subaward is used for authorized purposes, complies with the terms and conditions of the subaward, and achieves performance goals (2 CFR sections 200.332(d) through (f)). In addition to procedures identified as necessary based upon the evaluation of subrecipient risk or specifically required by the terms and conditions of the award, subaward monitoring must include the following: ? Reviewing financial and programmatic (performance and special reports) required by the PTE. ? Following-up and ensuring that the subrecipient takes timely and appropriate action on all deficiencies pertaining to the federal award provided to the subrecipient from the PTE detected through audits, on-site reviews, and other means. ? Issuing a management decision for audit findings pertaining to the federal award provided to the subrecipient from the PTE as required by 2 CFR section 200.521. Condition: During our testing, we noted the Authority did not have adequate internal controls designed to properly monitor its? subrecipients. Questioned costs: None Context: During our testing of subrecipient monitoring, it was noted that there was not proper follow up conducted for 3 out of 8 subrecipients tested. The Authority did not follow its policies and procedures to ensure findings and questions were properly addressed by the subrecipient. The sample was a statistically valid sample. Cause: The Authority does not have a policy in place to ensure that subrecipients were responding to its monitoring reports in a timely manner. Effect: The lack of internal controls over this compliance requirement provides an opportunity for noncompliance by subrecipients of the grant. Recommendation: We recommend the Authority design controls to ensure subrecipients are responding to and addressing questions and findings within its monitoring reports. Views of responsible officials and planned corrective actions: There is no disagreement with the audit finding. The Authority uses the Tracker database to track monitoring deadlines electronically. The Tracker automatically sends reminders to all staff in the department every two weeks to follow up with pending and outstanding monitoring issues. However, some staff were not using the Tracker as intended. The Director will enforce and monitor the use of the Tracker and ensure staff follow up on the monitorings by the required deadlines. Name of the contact person responsible for corrective action: Chief Housing Officer Planned completion date for corrective action plan: November 30, 2022
Federal Agency: U.S. Department of Housing and Urban Development Federal Program Name: HOME Investment Partnerships Program Assistance Listing Number: 14.239 Federal Award Identification Number and Year: M22-SG350100 & M21-SP350100 - 2022 Award Period: October 1, 2021 through September 30, 2022 Type of Finding: ? Significant Deficiency in Internal Control over Compliance ? Other Matters Criteria or specific requirement: A pass-through entity must monitor the activities of the subrecipient as necessary to ensure that the subaward is used for authorized purposes, complies with the terms and conditions of the subaward, and achieves performance goals (2 CFR sections 200.332(d) through (f)). In addition to procedures identified as necessary based upon the evaluation of subrecipient risk or specifically required by the terms and conditions of the award, subaward monitoring must include the following: ? Reviewing financial and programmatic (performance and special reports) required by the PTE. ? Following-up and ensuring that the subrecipient takes timely and appropriate action on all deficiencies pertaining to the federal award provided to the subrecipient from the PTE detected through audits, on-site reviews, and other means. ? Issuing a management decision for audit findings pertaining to the federal award provided to the subrecipient from the PTE as required by 2 CFR section 200.521. Condition: During our testing, we noted the Authority did not have adequate internal controls designed to properly monitor its? subrecipients. Questioned costs: None Context: During our testing of subrecipient monitoring, it was noted that there was not proper follow up conducted for 3 out of 8 subrecipients tested. The Authority did not follow its policies and procedures to ensure findings and questions were properly addressed by the subrecipient. The sample was a statistically valid sample. Cause: The Authority does not have a policy in place to ensure that subrecipients were responding to its monitoring reports in a timely manner. Effect: The lack of internal controls over this compliance requirement provides an opportunity for noncompliance by subrecipients of the grant. Recommendation: We recommend the Authority design controls to ensure subrecipients are responding to and addressing questions and findings within its monitoring reports. Views of responsible officials and planned corrective actions: There is no disagreement with the audit finding. The Authority uses the Tracker database to track monitoring deadlines electronically. The Tracker automatically sends reminders to all staff in the department every two weeks to follow up with pending and outstanding monitoring issues. However, some staff were not using the Tracker as intended. The Director will enforce and monitor the use of the Tracker and ensure staff follow up on the monitorings by the required deadlines. Name of the contact person responsible for corrective action: Chief Housing Officer Planned completion date for corrective action plan: November 30, 2022
Federal Agency: U.S. Department of Housing and Urban Development Federal Program Name: ARRA Tax Credit Assistance Program (TCAP) Assistance Listing Number: 14.258 Federal Award Identification Number and Year: M-09-ES-35-0100 - 2022 Award Period: October 1, 2021 through September 30, 2022 Type of Finding: ? Significant Deficiency in Internal Control over Compliance ? Other Matters Criteria or specific requirement: A pass-through entity must monitor the activities of the subrecipient as necessary to ensure that the subaward is used for authorized purposes, complies with the terms and conditions of the subaward, and achieves performance goals (2 CFR sections 200.332(d) through (f)). In addition to procedures identified as necessary based upon the evaluation of subrecipient risk or specifically required by the terms and conditions of the award, subaward monitoring must include the following: ? Reviewing financial and programmatic (performance and special reports) required by the PTE. ? Following-up and ensuring that the subrecipient takes timely and appropriate action on all deficiencies pertaining to the federal award provided to the subrecipient from the PTE detected through audits, on-site reviews, and other means. ? Issuing a management decision for audit findings pertaining to the federal award provided to the subrecipient from the PTE as required by 2 CFR section 200.521. Criteria or specific requirement (Continued): Grantees must perform asset management functions, or contract for performance of these services at the owner?s expense, to ensure compliance with Section 42 of the IRC and with the long term viability of projects funded by TCAP (ARRA, 123 Stat. 221). Condition: During our testing, we noted the Authority did not have adequate internal controls designed to properly monitor its? subrecipients. Questioned costs: None Context: During our testing of subrecipient monitoring, it was noted that there was not proper follow up conducted for one out of five subrecipients tested. The Authority did not follow its policies and procedures to ensure findings and questions were properly addressed by the subrecipient. The sample was a statistically valid sample. Cause: The Authority does not have a policy in place to ensure that subrecipients were responding to its monitoring reports in a timely manner. Effect: The lack of internal controls over this compliance requirement provides an opportunity for noncompliance by subrecipients of the grant. Recommendation: We recommend the Authority design controls to ensure subrecipients are responding to and addressing questions and findings within its monitoring reports. Views of responsible officials and planned corrective actions: There is no disagreement with the audit finding. The Authority uses the Tracker database to track monitoring deadlines electronically. The Tracker automatically sends reminders to all staff in the department every two weeks to follow up with pending and outstanding monitoring issues. However, some staff were not using the Tracker as intended. The Director will enforce and monitor the use of the Tracker and ensure staff follow up on the monitorings by the required deadlines. Name of the contact person responsible for corrective action: Chief Housing Officer Planned completion date for corrective action plan: November 30, 2022
Federal Agency: U.S. Department of Housing and Urban Development Federal Program Name: HOME Investment Partnerships Program Assistance Listing Number: 14.239 Federal Award Identification Number and Year: M22-SG350100 & M21-SP350100 - 2022 Award Period: October 1, 2021 through September 30, 2022 Type of Finding: ? Significant Deficiency in Internal Control over Compliance ? Other Matters Criteria or specific requirement: A pass-through entity must monitor the activities of the subrecipient as necessary to ensure that the subaward is used for authorized purposes, complies with the terms and conditions of the subaward, and achieves performance goals (2 CFR sections 200.332(d) through (f)). In addition to procedures identified as necessary based upon the evaluation of subrecipient risk or specifically required by the terms and conditions of the award, subaward monitoring must include the following: ? Reviewing financial and programmatic (performance and special reports) required by the PTE. ? Following-up and ensuring that the subrecipient takes timely and appropriate action on all deficiencies pertaining to the federal award provided to the subrecipient from the PTE detected through audits, on-site reviews, and other means. ? Issuing a management decision for audit findings pertaining to the federal award provided to the subrecipient from the PTE as required by 2 CFR section 200.521. Condition: During our testing, we noted the Authority did not have adequate internal controls designed to properly monitor its? subrecipients. Questioned costs: None Context: During our testing of subrecipient monitoring, it was noted that there was not proper follow up conducted for 3 out of 8 subrecipients tested. The Authority did not follow its policies and procedures to ensure findings and questions were properly addressed by the subrecipient. The sample was a statistically valid sample. Cause: The Authority does not have a policy in place to ensure that subrecipients were responding to its monitoring reports in a timely manner. Effect: The lack of internal controls over this compliance requirement provides an opportunity for noncompliance by subrecipients of the grant. Recommendation: We recommend the Authority design controls to ensure subrecipients are responding to and addressing questions and findings within its monitoring reports. Views of responsible officials and planned corrective actions: There is no disagreement with the audit finding. The Authority uses the Tracker database to track monitoring deadlines electronically. The Tracker automatically sends reminders to all staff in the department every two weeks to follow up with pending and outstanding monitoring issues. However, some staff were not using the Tracker as intended. The Director will enforce and monitor the use of the Tracker and ensure staff follow up on the monitorings by the required deadlines. Name of the contact person responsible for corrective action: Chief Housing Officer Planned completion date for corrective action plan: November 30, 2022
Federal Agency: U.S. Department of Housing and Urban Development Federal Program Name: HOME Investment Partnerships Program Assistance Listing Number: 14.239 Federal Award Identification Number and Year: M22-SG350100 & M21-SP350100 - 2022 Award Period: October 1, 2021 through September 30, 2022 Type of Finding: ? Significant Deficiency in Internal Control over Compliance ? Other Matters Criteria or specific requirement: A pass-through entity must monitor the activities of the subrecipient as necessary to ensure that the subaward is used for authorized purposes, complies with the terms and conditions of the subaward, and achieves performance goals (2 CFR sections 200.332(d) through (f)). In addition to procedures identified as necessary based upon the evaluation of subrecipient risk or specifically required by the terms and conditions of the award, subaward monitoring must include the following: ? Reviewing financial and programmatic (performance and special reports) required by the PTE. ? Following-up and ensuring that the subrecipient takes timely and appropriate action on all deficiencies pertaining to the federal award provided to the subrecipient from the PTE detected through audits, on-site reviews, and other means. ? Issuing a management decision for audit findings pertaining to the federal award provided to the subrecipient from the PTE as required by 2 CFR section 200.521. Condition: During our testing, we noted the Authority did not have adequate internal controls designed to properly monitor its? subrecipients. Questioned costs: None Context: During our testing of subrecipient monitoring, it was noted that there was not proper follow up conducted for 3 out of 8 subrecipients tested. The Authority did not follow its policies and procedures to ensure findings and questions were properly addressed by the subrecipient. The sample was a statistically valid sample. Cause: The Authority does not have a policy in place to ensure that subrecipients were responding to its monitoring reports in a timely manner. Effect: The lack of internal controls over this compliance requirement provides an opportunity for noncompliance by subrecipients of the grant. Recommendation: We recommend the Authority design controls to ensure subrecipients are responding to and addressing questions and findings within its monitoring reports. Views of responsible officials and planned corrective actions: There is no disagreement with the audit finding. The Authority uses the Tracker database to track monitoring deadlines electronically. The Tracker automatically sends reminders to all staff in the department every two weeks to follow up with pending and outstanding monitoring issues. However, some staff were not using the Tracker as intended. The Director will enforce and monitor the use of the Tracker and ensure staff follow up on the monitorings by the required deadlines. Name of the contact person responsible for corrective action: Chief Housing Officer Planned completion date for corrective action plan: November 30, 2022
Federal Agency: U.S. Department of Housing and Urban Development Federal Program Name: ARRA Tax Credit Assistance Program (TCAP) Assistance Listing Number: 14.258 Federal Award Identification Number and Year: M-09-ES-35-0100 - 2022 Award Period: October 1, 2021 through September 30, 2022 Type of Finding: ? Significant Deficiency in Internal Control over Compliance ? Other Matters Criteria or specific requirement: A pass-through entity must monitor the activities of the subrecipient as necessary to ensure that the subaward is used for authorized purposes, complies with the terms and conditions of the subaward, and achieves performance goals (2 CFR sections 200.332(d) through (f)). In addition to procedures identified as necessary based upon the evaluation of subrecipient risk or specifically required by the terms and conditions of the award, subaward monitoring must include the following: ? Reviewing financial and programmatic (performance and special reports) required by the PTE. ? Following-up and ensuring that the subrecipient takes timely and appropriate action on all deficiencies pertaining to the federal award provided to the subrecipient from the PTE detected through audits, on-site reviews, and other means. ? Issuing a management decision for audit findings pertaining to the federal award provided to the subrecipient from the PTE as required by 2 CFR section 200.521. Criteria or specific requirement (Continued): Grantees must perform asset management functions, or contract for performance of these services at the owner?s expense, to ensure compliance with Section 42 of the IRC and with the long term viability of projects funded by TCAP (ARRA, 123 Stat. 221). Condition: During our testing, we noted the Authority did not have adequate internal controls designed to properly monitor its? subrecipients. Questioned costs: None Context: During our testing of subrecipient monitoring, it was noted that there was not proper follow up conducted for one out of five subrecipients tested. The Authority did not follow its policies and procedures to ensure findings and questions were properly addressed by the subrecipient. The sample was a statistically valid sample. Cause: The Authority does not have a policy in place to ensure that subrecipients were responding to its monitoring reports in a timely manner. Effect: The lack of internal controls over this compliance requirement provides an opportunity for noncompliance by subrecipients of the grant. Recommendation: We recommend the Authority design controls to ensure subrecipients are responding to and addressing questions and findings within its monitoring reports. Views of responsible officials and planned corrective actions: There is no disagreement with the audit finding. The Authority uses the Tracker database to track monitoring deadlines electronically. The Tracker automatically sends reminders to all staff in the department every two weeks to follow up with pending and outstanding monitoring issues. However, some staff were not using the Tracker as intended. The Director will enforce and monitor the use of the Tracker and ensure staff follow up on the monitorings by the required deadlines. Name of the contact person responsible for corrective action: Chief Housing Officer Planned completion date for corrective action plan: November 30, 2022