Audit 298127

FY End
2023-06-30
Total Expended
$61.56M
Findings
2
Programs
31
Year: 2023 Accepted: 2024-03-26

Organization Exclusion Status:

Checking exclusion status...

Findings

ID Ref Severity Repeat Requirement
385031 2023-001 Significant Deficiency - E
961473 2023-001 Significant Deficiency - E

Programs

ALN Program Spent Major Findings
14.871 Section 8 Housing Choice Vouchers $8.41M Yes 1
97.036 Disaster Grants - Public Assistance (presidentially Declared Disasters) $4.44M - 0
93.356 Head Start Disaster Recovery $4.19M - 0
14.218 Community Development Block Grants/entitlement Grants $2.15M - 0
93.600 Head Start $1.37M - 0
14.228 Community Development Block Grants/state's Program and Non-Entitlement Grants in Hawaii $1.23M - 0
20.507 Federal Transit_formula Grants $885,399 - 0
93.575 Child Care and Development Block Grant $736,088 - 0
10.558 Child and Adult Care Food Program $627,475 Yes 0
84.287 Twenty-First Century Community Learning Centers $573,893 - 0
11.307 Economic Adjustment Assistance $537,576 - 0
14.239 Home Investment Partnerships Program $384,623 - 0
66.458 Capitalization Grants for Clean Water State Revolving Funds $307,574 - 0
21.027 Coronavirus State and Local Fiscal Recovery Funds $220,139 Yes 0
14.879 Mainstream Vouchers $213,101 Yes 0
14.231 Emergency Solutions Grant Program $165,432 - 0
20.505 Metropolitan Transportation Planning and State and Non-Metropolitan Planning and Research $133,040 - 0
16.575 Crime Victim Assistance $102,852 - 0
84.002 Adult Education - Basic Grants to States $88,853 - 0
94.006 Americorps $80,743 - 0
97.067 Homeland Security Grant Program $66,181 - 0
93.558 Temporary Assistance for Needy Families $64,053 - 0
93.045 Special Programs for the Aging_title Iii, Part C_nutrition Services $52,192 - 0
16.835 Body Worn Camera Policy and Implementation $39,377 - 0
20.527 Public Transportation Emergency Relief Program $14,174 - 0
20.600 State and Community Highway Safety $13,802 - 0
93.053 Nutrition Services Incentive Program $13,258 - 0
20.616 National Priority Safety Programs $11,559 - 0
93.671 Family Violence Prevention and Services/domestic Violence Shelter and Supportive Services $10,136 - 0
16.034 Coronavirus Emergency Supplemental Funding Program $1,107 - 0
93.044 Special Programs for the Aging_title Iii, Part B_grants for Supportive Services and Senior Centers $460 - 0

Contacts

Name Title Type
L46HH5KH8CA1 Angie Frias Auditee
7877448833 Jose Ernesto Diaz Martinez Auditor
No contacts on file

Notes to SEFA

Title: REPORTING ENTITY Accounting Policies: A. Expenditures reported on the Schedule are reported on the 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. B. Negative amounts, if any, shown on the Schedule represent adjustments or credits made in the normal course of business to amounts reported as expenditures in prior years. C. Pass-through entity identifying numbers are presented where available De Minimis Rate Used: N Rate Explanation: The Municipality has elected not to use the 10 percent de minimis indirect cost rate, instead a 5% or 6% of approved budget for the Head Start Program was granted. No charges to indirect costs were made and no indirect costs were received during this fiscal year. The Autonomous Municipality of Caguas of the Commonwealth of Puerto Rico (Municipality) was founded in 1775 and operates as a governmental unit of the Commonwealth of Puerto Rico under the Law No. 81 of August 30, 1991, known as the “Autonomous Municipalities Laws of the Commonwealth of Puerto Rico”. It is governed by a Mayor and a 16-member Municipal Legislature elected for a four-year term
Title: BASIS OF PRESENTATION Accounting Policies: A. Expenditures reported on the Schedule are reported on the 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. B. Negative amounts, if any, shown on the Schedule represent adjustments or credits made in the normal course of business to amounts reported as expenditures in prior years. C. Pass-through entity identifying numbers are presented where available De Minimis Rate Used: N Rate Explanation: The Municipality has elected not to use the 10 percent de minimis indirect cost rate, instead a 5% or 6% of approved budget for the Head Start Program was granted. No charges to indirect costs were made and no indirect costs were received during this fiscal year. The accompanying Schedule of Expenditures of Federal Awards (Schedule) includes the federal award activities of the Autonomous Municipality of Caguas of the Commonwealth of Puerto Rico (Municipality) under programs of the Federal government for the fiscal year ended June 30, 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 Guidance). Because the Schedule presents only a selected portion of the operations of the Municipality, it is not intended to and does not present the financial position, changes in net position, or cash flows of the Municipality.
Title: SUMMARY OF SIGNIFICANT ACCOUNTING POLICIES Accounting Policies: A. Expenditures reported on the Schedule are reported on the 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. B. Negative amounts, if any, shown on the Schedule represent adjustments or credits made in the normal course of business to amounts reported as expenditures in prior years. C. Pass-through entity identifying numbers are presented where available De Minimis Rate Used: N Rate Explanation: The Municipality has elected not to use the 10 percent de minimis indirect cost rate, instead a 5% or 6% of approved budget for the Head Start Program was granted. No charges to indirect costs were made and no indirect costs were received during this fiscal year. A.       Expenditures reported on the Schedule are reported on the 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. B.       Negative amounts, if any, shown on the Schedule represent adjustments or credits made in the normal course of business to amounts reported as expenditures in prior years. C.      Pass-through entity identifying numbers are presented where available. D.      The Municipality has elected not to use the 10 percent de minimis indirect cost rate, instead a 5% or 6% of approved budget for the Head Start Program was granted. No charges to indirect costs were made and no indirect costs were received during this fiscal year.
Title: SCHEDULE NOT IN AGREEMENT WITH OTHER FEDERAL AWARD REPORTING Accounting Policies: A. Expenditures reported on the Schedule are reported on the 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. B. Negative amounts, if any, shown on the Schedule represent adjustments or credits made in the normal course of business to amounts reported as expenditures in prior years. C. Pass-through entity identifying numbers are presented where available De Minimis Rate Used: N Rate Explanation: The Municipality has elected not to use the 10 percent de minimis indirect cost rate, instead a 5% or 6% of approved budget for the Head Start Program was granted. No charges to indirect costs were made and no indirect costs were received during this fiscal year. The information included in the Schedule may not fully agree with other Federal award reports submitted directly to federal granting agencies
Title: ASSISTANCE LISTING NUMBER Accounting Policies: A. Expenditures reported on the Schedule are reported on the 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. B. Negative amounts, if any, shown on the Schedule represent adjustments or credits made in the normal course of business to amounts reported as expenditures in prior years. C. Pass-through entity identifying numbers are presented where available De Minimis Rate Used: N Rate Explanation: The Municipality has elected not to use the 10 percent de minimis indirect cost rate, instead a 5% or 6% of approved budget for the Head Start Program was granted. No charges to indirect costs were made and no indirect costs were received during this fiscal year. The Assistance Listing Number, formerly known as the Catalog of Federal Domestic Assistance (CFDA) Number, is a five-digit number assigned in the awarding document for all Federal assistance award mechanisms, including Federal grants and cooperative agreements.
Title: RELATIONSHIP TO STATEMENT OF REVENUES, EXPENDITURES AND CHANGES IN FUND BALANCE – GOVERNMENTAL FUND Accounting Policies: A. Expenditures reported on the Schedule are reported on the 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. B. Negative amounts, if any, shown on the Schedule represent adjustments or credits made in the normal course of business to amounts reported as expenditures in prior years. C. Pass-through entity identifying numbers are presented where available De Minimis Rate Used: N Rate Explanation: The Municipality has elected not to use the 10 percent de minimis indirect cost rate, instead a 5% or 6% of approved budget for the Head Start Program was granted. No charges to indirect costs were made and no indirect costs were received during this fiscal year. Expenditures of federal awards are reported in the Municipality’s Statement of Revenues, Expenditures and Changes in Fund Balances – Governmental Fund as follows: General Fund - $66,181, Capital Projects Fund – $3,980,687, Health and Human Services Fund – $23,400,025, Social and Welfare Activities Fund – $19,389,272 and Other Governmental Funds $14,664,558. The amount of $537,576 was included as expenditure in the SEFA, under the program Economic Adjustment Assistance (11.307) that are not expenditure. In accordance with program regulation, the amount of expenditure to be reported in the SEFA, should consider the principal loan balance outstanding at year end ($398,701), plus any cash balance available for loan purposes ($131,727), and finally, any administrative expenditures incurred during the fiscal year, which was $13,148. The Municipality receives FEMA reimbursement funds from the Central Recovery and Reconstruction Office of Puerto Rico (COR3). COR3 is a division of the Puerto Rico Public Private Authority created through Executive Order 2017-65 to manage all efforts for the recovery of the Commonwealth of Puerto Rico (Commonwealth) after the passage of Hurricanes Irma and María. COR3 was authorized by the Governor to receive all disaster recovery grants of FEMA. The Municipality received grants under the Community Development Block Grants/State’s Program and Non-Entitlement Grants in Hawaii – CDBG-DR, from the Puerto Rico Housing Department (PRHD). In accordance with the program regulation, these funds are the matching portion for allowable costs incurred for projects approved by the PRHD, related to the Disaster Grants – Public Assistance (Presidentially Declared Disasters) expenditures.

Finding Details

FINDING REFERENCE NUMBER:2023-001 FEDERAL PROGRAM:(ALN 14.871) SECTOIN 8 HOUSING CHOICE VOUCHERS PROGRAM U.S. DEPARTMENT OF HOUSING AND URBAN DEVELOPMENT AWARD NUMBER RQ007 COMPLIANCE REQUIREMENT ELIGIBILITY TYPE OF FINDING NONCOMPLIANCE AND SIGNIFICANT DEFICIENCY CRITERIA 24 CFR Section 982.551 (b) (1) establishes that the family must supply any information that the PHA or HUD determines is necessary in the administration of the program, including submission of required evidence of citizenship or eligible immigration status (as provided by 24 CFR part 5). “Information” includes any requested certification, release, or other documentation. In 24 CFR Section 982.553 (c) establishes the evidence of criminal activity. The PHA may terminate assistance for criminal activity by a household member as authorized in this section if the PHA determines, based on a preponderance of the evidence, that the household member has engaged in the activity, regardless of whether the household member has been arrested or convicted for such activity. In addition, the Municipal Administrative Plan establishes that the family is responsible for a breach of the HQS that is caused by any of the following: (a) the family fails to pay for any utilities that the owner is not required to pay for, but is necessary in the administration of the program, including submission of required evidence of citizenship or eligible which are to be paid by the tenant. And for the verification requirements for individual items, they must receive from a third party a letter from school to know that the children are attending school STATEMENT OF CONDITION During our audit procedures over eligibility, from our sample selected, we noted that in 4 instances, the participant didn't provide evidence of the utilities. According to the participants' contracts, the rent to the owner does not include utilities such as water and electricity, therefore the participants must provide evidence to the Municipality that they are paying the bills. In addition, one participant didn't provide the Negative Certificate of Penal Record to validate criminal record and the School Certification to validate that the children are attending school. QUESTIONED COSTS Not Applicable PERSPECTIVE INFORMATION This deficiency is a systemic problem, they have a monitor position that was created to review the HCV program for compliance with HUD requirements and make the Caguas PHA aware of any program problems, deficiency, fraud, abuse, and/or omissions, to maintain program integrity, but at this time, no person has been hired for this position affecting the effectiveness of the monitoring internal controls. The sample selected were 90 participant files. STATEMENT OF CAUSE The Municipality did not review the required information for the reexamination process prior to the approval of the contract. POSSIBLE ASSERTED EFFECT The Municipality can be providing assistance to a participant that is not complying with the program requirements, such as not paying utilities, which according to the Administrative Plan is a violation of the contract IDENTIFICATION OF REPEAT FINDING This is not a repeated Finding RECOMMENDATIONS We recommend management verify the required information for the participants in order to assure compliance with this requirement.
FINDING REFERENCE NUMBER:2023-001 FEDERAL PROGRAM:(ALN 14.871) SECTOIN 8 HOUSING CHOICE VOUCHERS PROGRAM U.S. DEPARTMENT OF HOUSING AND URBAN DEVELOPMENT AWARD NUMBER RQ007 COMPLIANCE REQUIREMENT ELIGIBILITY TYPE OF FINDING NONCOMPLIANCE AND SIGNIFICANT DEFICIENCY CRITERIA 24 CFR Section 982.551 (b) (1) establishes that the family must supply any information that the PHA or HUD determines is necessary in the administration of the program, including submission of required evidence of citizenship or eligible immigration status (as provided by 24 CFR part 5). “Information” includes any requested certification, release, or other documentation. In 24 CFR Section 982.553 (c) establishes the evidence of criminal activity. The PHA may terminate assistance for criminal activity by a household member as authorized in this section if the PHA determines, based on a preponderance of the evidence, that the household member has engaged in the activity, regardless of whether the household member has been arrested or convicted for such activity. In addition, the Municipal Administrative Plan establishes that the family is responsible for a breach of the HQS that is caused by any of the following: (a) the family fails to pay for any utilities that the owner is not required to pay for, but is necessary in the administration of the program, including submission of required evidence of citizenship or eligible which are to be paid by the tenant. And for the verification requirements for individual items, they must receive from a third party a letter from school to know that the children are attending school STATEMENT OF CONDITION During our audit procedures over eligibility, from our sample selected, we noted that in 4 instances, the participant didn't provide evidence of the utilities. According to the participants' contracts, the rent to the owner does not include utilities such as water and electricity, therefore the participants must provide evidence to the Municipality that they are paying the bills. In addition, one participant didn't provide the Negative Certificate of Penal Record to validate criminal record and the School Certification to validate that the children are attending school. QUESTIONED COSTS Not Applicable PERSPECTIVE INFORMATION This deficiency is a systemic problem, they have a monitor position that was created to review the HCV program for compliance with HUD requirements and make the Caguas PHA aware of any program problems, deficiency, fraud, abuse, and/or omissions, to maintain program integrity, but at this time, no person has been hired for this position affecting the effectiveness of the monitoring internal controls. The sample selected were 90 participant files. STATEMENT OF CAUSE The Municipality did not review the required information for the reexamination process prior to the approval of the contract. POSSIBLE ASSERTED EFFECT The Municipality can be providing assistance to a participant that is not complying with the program requirements, such as not paying utilities, which according to the Administrative Plan is a violation of the contract IDENTIFICATION OF REPEAT FINDING This is not a repeated Finding RECOMMENDATIONS We recommend management verify the required information for the participants in order to assure compliance with this requirement.