Audit 304048

FY End
2020-12-31
Total Expended
$35.00M
Findings
2
Programs
1
Year: 2020 Accepted: 2024-04-19

Organization Exclusion Status:

Checking exclusion status...

Findings

ID Ref Severity Repeat Requirement
393849 2020-001 Significant Deficiency - L
970291 2020-001 Significant Deficiency - L

Programs

ALN Program Spent Major Findings
21.019 Coronavirus Relief Fund $35.00M Yes 1

Contacts

Name Title Type
E7J4V89LZWE7 Birdie Guillory Auditee
7138452400 Godwin Okoye Auditor
No contacts on file

Notes to SEFA

Title: 1. The Organization and Purpose Accounting Policies: In accordance with U.S. generally accepted accounting principles, the entity accounts for all federal award programs on an accrual basis of accounting. Accordingly, expenditures reported on the Schedule are reported on the accrual basis of accounting. Such expenditures are recognized following the cost principles contained in the federal Uniform Guidance, wherein certain types of expenditures are not allowable or are limited by the award contract. Federal grant funds are considered earned to the extent of qualifying expenditures made under the provisions of the grants. When such funds are advanced to the entity, the funds are recorded as refundable advances until earned. Otherwise, federal grant funds are received on a cost reimbursement basis from the federal program pass-through entities. De Minimis Rate Used: N Rate Explanation: No indirect costs were charged to the program. Houston Business Development, Inc. (“HBDi”) received federal funds to grant assistance to small businesses in the greater Houston area, who qualified for assistance due to an interruption of business operations as a result of Covid-19 pandemic, such as stay-at-home orders and other adverse economic impacts of Covid-19.
Title: 2. Basis of Presentation Accounting Policies: In accordance with U.S. generally accepted accounting principles, the entity accounts for all federal award programs on an accrual basis of accounting. Accordingly, expenditures reported on the Schedule are reported on the accrual basis of accounting. Such expenditures are recognized following the cost principles contained in the federal Uniform Guidance, wherein certain types of expenditures are not allowable or are limited by the award contract. Federal grant funds are considered earned to the extent of qualifying expenditures made under the provisions of the grants. When such funds are advanced to the entity, the funds are recorded as refundable advances until earned. Otherwise, federal grant funds are received on a cost reimbursement basis from the federal program pass-through entities. De Minimis Rate Used: N Rate Explanation: No indirect costs were charged to the program. The accompanying schedule of expenditures of federal awards (the “Schedule”) includes the federal award activities of HBDi under programs of the federal government for the 6-month period ended December 31, 2020. The information in the 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 (“federal Uniform Guidance”). Because the Schedule presents only a selected portion of HBDi’s operations, it is not intended to and does not present the financial position, changes in net assets, or cash flows of HBDi.
Title: 3. Summary Significant Accounting Policies Accounting Policies: In accordance with U.S. generally accepted accounting principles, the entity accounts for all federal award programs on an accrual basis of accounting. Accordingly, expenditures reported on the Schedule are reported on the accrual basis of accounting. Such expenditures are recognized following the cost principles contained in the federal Uniform Guidance, wherein certain types of expenditures are not allowable or are limited by the award contract. Federal grant funds are considered earned to the extent of qualifying expenditures made under the provisions of the grants. When such funds are advanced to the entity, the funds are recorded as refundable advances until earned. Otherwise, federal grant funds are received on a cost reimbursement basis from the federal program pass-through entities. De Minimis Rate Used: N Rate Explanation: No indirect costs were charged to the program. In accordance with U.S. generally accepted accounting principles, HBDi accounts for all federal award programs on an accrual basis of accounting. Accordingly, expenditures reported on the Schedule are reported on the accrual basis of accounting. Such expenditures are recognized following the cost principles contained in the federal Uniform Guidance, wherein certain types of expenditures are not allowable or are limited by the award contract. Federal grant funds are considered earned to the extent of qualifying expenditures made under the provisions of the grants. When such funds are advanced to HBDi, they are recorded as refundable advances until earned. Otherwise, federal grant funds are received on a cost reimbursement basis from the federal program pass-through entities.
Title: 4. Indirect Costs Accounting Policies: In accordance with U.S. generally accepted accounting principles, the entity accounts for all federal award programs on an accrual basis of accounting. Accordingly, expenditures reported on the Schedule are reported on the accrual basis of accounting. Such expenditures are recognized following the cost principles contained in the federal Uniform Guidance, wherein certain types of expenditures are not allowable or are limited by the award contract. Federal grant funds are considered earned to the extent of qualifying expenditures made under the provisions of the grants. When such funds are advanced to the entity, the funds are recorded as refundable advances until earned. Otherwise, federal grant funds are received on a cost reimbursement basis from the federal program pass-through entities. De Minimis Rate Used: N Rate Explanation: No indirect costs were charged to the program. HBDi did not elect to use the 10% de minimis cost rate.
Title: 5. Program Income Accounting Policies: In accordance with U.S. generally accepted accounting principles, the entity accounts for all federal award programs on an accrual basis of accounting. Accordingly, expenditures reported on the Schedule are reported on the accrual basis of accounting. Such expenditures are recognized following the cost principles contained in the federal Uniform Guidance, wherein certain types of expenditures are not allowable or are limited by the award contract. Federal grant funds are considered earned to the extent of qualifying expenditures made under the provisions of the grants. When such funds are advanced to the entity, the funds are recorded as refundable advances until earned. Otherwise, federal grant funds are received on a cost reimbursement basis from the federal program pass-through entities. De Minimis Rate Used: N Rate Explanation: No indirect costs were charged to the program. HBDi did not generate program income. Accordingly, no program income was used to reduce the amount of federal funds expended in providing the programs.
Title: 6. Relationship of the Schedule to Financial Reports Submitted to Grant Awarding Agencies Accounting Policies: In accordance with U.S. generally accepted accounting principles, the entity accounts for all federal award programs on an accrual basis of accounting. Accordingly, expenditures reported on the Schedule are reported on the accrual basis of accounting. Such expenditures are recognized following the cost principles contained in the federal Uniform Guidance, wherein certain types of expenditures are not allowable or are limited by the award contract. Federal grant funds are considered earned to the extent of qualifying expenditures made under the provisions of the grants. When such funds are advanced to the entity, the funds are recorded as refundable advances until earned. Otherwise, federal grant funds are received on a cost reimbursement basis from the federal program pass-through entities. De Minimis Rate Used: N Rate Explanation: No indirect costs were charged to the program. Expenditures included on the Schedule may differ from amounts reflected in the financial reports submitted to the grant awarding or pass-through entities because of the following reasons: 1. Program administration fees received by HBDi from the grant awarding agency may not have been included in the program financial reports submitted to the awarding agency evens though included as part of program expenses on the Schedule. 2. Differences may exist between grant periods and HBDi’s accounting period.
Title: 7. Contingencies Accounting Policies: In accordance with U.S. generally accepted accounting principles, the entity accounts for all federal award programs on an accrual basis of accounting. Accordingly, expenditures reported on the Schedule are reported on the accrual basis of accounting. Such expenditures are recognized following the cost principles contained in the federal Uniform Guidance, wherein certain types of expenditures are not allowable or are limited by the award contract. Federal grant funds are considered earned to the extent of qualifying expenditures made under the provisions of the grants. When such funds are advanced to the entity, the funds are recorded as refundable advances until earned. Otherwise, federal grant funds are received on a cost reimbursement basis from the federal program pass-through entities. De Minimis Rate Used: N Rate Explanation: No indirect costs were charged to the program. Federal grants require the fulfillment of certain conditions set forth in grant agreements, and may be regularly monitored and reviewed by grantors, both during and after the programs. Failure to satisfy the requirements of contract agreements could result in disallowed costs and return of funds to grantors.

Finding Details

CRITERIA: Section §200.512 of the Uniform Guidance, Report Submission, requires that the audit must be completed and the data collection form and audit reporting package be submitted to the Federal Audit Clearinghouse within the earlier of 30 calendar days after receipt of the auditor’s report(s), or nine months after the end of the audit fiscal period. CONDITION: Entity’s data collection form and audit reporting package for the six-month reporting fiscal period ended December 31, 2020, were not submitted in a timely manner to the Federal Audit Clearinghouse. The Uniform Guidance required that the submittal be made by or before March 31, 2022 (inclusive of the six months extension beyond the original due date of September 30, 2021, granted by the OMB to accommodate business disruptions caused by Covid-19 pandemic.) CAUSE: It appears the organization experienced extended disruptions in its fiscal department due to the Covid-19 pandemic and other health challenges, resulting in the late completion of financial records and readiness for audit activities. EFFECT: Non-compliance with a compliance requirement of the Uniform Guidance that is considered relevant for timely review of the organization’s performance of the federal program. RECOMMENDATION: Establish processes and controls, including planning in advance for skilled personnel or alternative actions, bearing in mind audit reporting and compliance deadlines, in order to enhance the overall operational efficiency in the accounting and financial reporting functions as well as ensure compliance with the financial and audit report submission due dates.
CRITERIA: Section §200.512 of the Uniform Guidance, Report Submission, requires that the audit must be completed and the data collection form and audit reporting package be submitted to the Federal Audit Clearinghouse within the earlier of 30 calendar days after receipt of the auditor’s report(s), or nine months after the end of the audit fiscal period. CONDITION: Entity’s data collection form and audit reporting package for the six-month reporting fiscal period ended December 31, 2020, were not submitted in a timely manner to the Federal Audit Clearinghouse. The Uniform Guidance required that the submittal be made by or before March 31, 2022 (inclusive of the six months extension beyond the original due date of September 30, 2021, granted by the OMB to accommodate business disruptions caused by Covid-19 pandemic.) CAUSE: It appears the organization experienced extended disruptions in its fiscal department due to the Covid-19 pandemic and other health challenges, resulting in the late completion of financial records and readiness for audit activities. EFFECT: Non-compliance with a compliance requirement of the Uniform Guidance that is considered relevant for timely review of the organization’s performance of the federal program. RECOMMENDATION: Establish processes and controls, including planning in advance for skilled personnel or alternative actions, bearing in mind audit reporting and compliance deadlines, in order to enhance the overall operational efficiency in the accounting and financial reporting functions as well as ensure compliance with the financial and audit report submission due dates.