Audit 305946

FY End
2023-06-30
Total Expended
$148.16M
Findings
2
Programs
38
Organization: City of Anaheim (CA)
Year: 2023 Accepted: 2024-05-09
Auditor: Kpmg LLP

Organization Exclusion Status:

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Findings

ID Ref Severity Repeat Requirement
396276 2023-001 Significant Deficiency - N
972718 2023-001 Significant Deficiency - N

Programs

ALN Program Spent Major Findings
14.879 Mainstream Vouchers $5.50M Yes 0
14.871 Section 8 Housing Choice Vouchers $4.13M Yes 0
14.218 Community Development Block Grants/entitlement Grants $2.79M - 0
97.083 Staffing for Adequate Fire and Emergency Response (safer) $2.01M - 0
14.218 Covid-19 Community Development Block Grants/entitlement Grants $1.83M - 0
14.231 Covid-19 Emergency Solutions Grant Program $1.27M - 0
21.023 Emergency Rental Assistance Program $1.22M - 0
97.036 Disaster Grants - Public Assistance (presidentially Declared Disasters) $1.18M - 0
21.027 Coronavirus State and Local Fiscal Recovery Funds $1.15M - 0
93.568 Low-Income Home Energy Assistance $1.09M - 0
21.023 Covid-19 Emergency Rental Assistance Program $709,683 - 0
17.258 Wia Adult Program $696,864 - 0
93.558 Temporary Assistance for Needy Families $594,332 - 0
16.922 Equitable Sharing Program $583,430 - 0
17.259 Wia Youth Activities $544,818 - 0
97.039 Hazard Mitigation Grant $410,008 - 0
17.278 Wia Dislocated Worker Formula Grants $210,479 - 0
93.499 Low Income Household Water Assistance Program $167,263 - 0
97.067 Homeland Security Grant Program $148,464 Yes 0
20.205 Highway Planning and Construction $130,616 - 0
20.608 Minimum Penalties for Repeat Offenders for Driving While Intoxicated $116,792 - 0
16.745 Criminal and Juvenile Justice and Mental Health Collaboration Program $100,000 - 0
14.896 Family Self-Sufficiency Program $94,283 - 0
20.507 Federal Transit_formula Grants $82,922 - 0
14.231 Emergency Solutions Grant Program $71,262 - 0
15.916 Outdoor Recreation_acquisition, Development and Planning $52,500 - 0
14.241 Housing Opportunities for Persons with Aids $52,462 - 0
97.042 Emergency Management Performance Grants $43,484 - 0
20.616 National Priority Safety Programs $35,073 - 0
16.734 Special Data Collections and Statistical Studies $28,900 - 0
16.034 Covid-19 Coronavirus Emergency Supplemental Funding Program $28,556 - 0
45.310 Grants to States $25,000 - 0
14.239 Home Investment Partnerships Program $17,353 Yes 0
16.710 Public Safety Partnership and Community Policing Grants $11,575 - 0
16.607 Bulletproof Vest Partnership Program $5,602 - 0
20.600 State and Community Highway Safety $3,672 - 0
20.319 High-Speed Rail Corridors and Intercity Passenger Rail Service Ð Capital Assistance Grants $3,072 - 0
16.738 Edward Byrne Memorial Justice Assistance Grant Program $2,679 - 0

Contacts

Name Title Type
J34GBL8PSNU5 Deborah Moreno Auditee
7147655195 Shana Block Auditor
No contacts on file

Notes to SEFA

Title: (1)   General Accounting Policies: The auditee's SEFA is presented using the accrual basis of accounting. Revenues from federal award programs are reported in the financial statements as operating and capital grant revenues in the government wide financial statements and intergovernmental revenues in the fund statements. The auditee includes federal awards received directly from federal agencies as well as federal awards passed through the State of California and other agencies on their SEFA. De Minimis Rate Used: N Rate Explanation: The auditee did not elect to use the 10% de minimis indirect cost rate as discussed in the Uniform Guidance Section 200.414. For the sponsored programs where the auditee claims indirect costs, the auditee’s internal indirect cost rate is used. The accompanying schedule of expenditures of federal awards (the Schedule) presents the activity of all federal award programs of the City of Anaheim, California (the City). The Schedule includes federal awards received directly from federal agencies as well as federal awards passed through the State of California and other agencies. The City’s reporting entity is defined in note 1 to the City’s financial statements.
Title: (2)   Basis of Accounting Accounting Policies: The auditee's SEFA is presented using the accrual basis of accounting. Revenues from federal award programs are reported in the financial statements as operating and capital grant revenues in the government wide financial statements and intergovernmental revenues in the fund statements. The auditee includes federal awards received directly from federal agencies as well as federal awards passed through the State of California and other agencies on their SEFA. De Minimis Rate Used: N Rate Explanation: The auditee did not elect to use the 10% de minimis indirect cost rate as discussed in the Uniform Guidance Section 200.414. For the sponsored programs where the auditee claims indirect costs, the auditee’s internal indirect cost rate is used. The Schedule is presented using the accrual basis of accounting.
Title: (3)   Relationship to Financial Statements and Federal Financial Reports Accounting Policies: The auditee's SEFA is presented using the accrual basis of accounting. Revenues from federal award programs are reported in the financial statements as operating and capital grant revenues in the government wide financial statements and intergovernmental revenues in the fund statements. The auditee includes federal awards received directly from federal agencies as well as federal awards passed through the State of California and other agencies on their SEFA. De Minimis Rate Used: N Rate Explanation: The auditee did not elect to use the 10% de minimis indirect cost rate as discussed in the Uniform Guidance Section 200.414. For the sponsored programs where the auditee claims indirect costs, the auditee’s internal indirect cost rate is used. Information reported in the Schedule agrees with the amounts reported in both the financial statements and related federal financial reports for the major federal programs. Revenues from federal award programs are reported in the financial statements as operating and capital grant revenues in the government‑wide financial statements and intergovernmental revenues in the fund statements.
Title: (4)   Community‑Based Loan Programs Accounting Policies: The auditee's SEFA is presented using the accrual basis of accounting. Revenues from federal award programs are reported in the financial statements as operating and capital grant revenues in the government wide financial statements and intergovernmental revenues in the fund statements. The auditee includes federal awards received directly from federal agencies as well as federal awards passed through the State of California and other agencies on their SEFA. De Minimis Rate Used: N Rate Explanation: The auditee did not elect to use the 10% de minimis indirect cost rate as discussed in the Uniform Guidance Section 200.414. For the sponsored programs where the auditee claims indirect costs, the auditee’s internal indirect cost rate is used. The City has loans outstanding under the Community Development Block Grants (CDBG) – Entitlement Grants Cluster, Home Investment Partnerships Program, and the Community Development Block Grant/Entitlement Grant – Neighborhood Stabilization Program that contain continuing compliance requirements. The below schedule details the amounts outstanding at June 30, 2023. The amounts included in the accompanying Schedule consist of loans advanced to eligible participants of the programs and other administrative costs for the year ended June 30, 2023. Program income of $297,035 was generated primarily from various loan programs, reported to the U.S. Department of Housing and Urban Development (HUD), and used for eligible activities. Program income is used subject to the requirements established by HUD for each grant and when expended is included in the Schedule. See the Notes to the SEFA for chart/table
Title: (5)   Community Learning Center property acquisition loan payable Accounting Policies: The auditee's SEFA is presented using the accrual basis of accounting. Revenues from federal award programs are reported in the financial statements as operating and capital grant revenues in the government wide financial statements and intergovernmental revenues in the fund statements. The auditee includes federal awards received directly from federal agencies as well as federal awards passed through the State of California and other agencies on their SEFA. De Minimis Rate Used: N Rate Explanation: The auditee did not elect to use the 10% de minimis indirect cost rate as discussed in the Uniform Guidance Section 200.414. For the sponsored programs where the auditee claims indirect costs, the auditee’s internal indirect cost rate is used. On September 1, 2017, the City entered into an Agreement with Los Altos V. LP (Seller) for the purchase and sale of the former Northgate Market site located at 718‑744 N. Anaheim Boulevard for the development of a Community Learning Center. The purchase price of the property was $4,750,000 of which $2,500,000 was paid in cash from the resources of the Community Development Block Grant with the balance of $2,250,000 payable to Seller over five years at an annual interest rate of 5.5%. Principal and interest of $42,978 are due on the first of each month commencing on March 1, 2018 until February 1, 2023. The loan was paid in full in the fiscal year ended June 30, 2023. The annual loan payment was funded from the restricted resources of the Community Development Block Grant yearly entitlement.
Title: (6)   Indirect Cost Rate Accounting Policies: The auditee's SEFA is presented using the accrual basis of accounting. Revenues from federal award programs are reported in the financial statements as operating and capital grant revenues in the government wide financial statements and intergovernmental revenues in the fund statements. The auditee includes federal awards received directly from federal agencies as well as federal awards passed through the State of California and other agencies on their SEFA. De Minimis Rate Used: N Rate Explanation: The auditee did not elect to use the 10% de minimis indirect cost rate as discussed in the Uniform Guidance Section 200.414. For the sponsored programs where the auditee claims indirect costs, the auditee’s internal indirect cost rate is used. The City did not elect to use the 10% de minimis indirect cost rate as discussed in the Uniform Guidance Section 200.414. For the sponsored programs where the City claims indirect costs, the City’s internal indirect cost rate is used.

Finding Details

Finding 2023 001 – Special Tests and Provisions – HQS Enforcement Federal Program: Housing Choice Voucher Program (HCVP) ALN Number: 14.871 Federal Agency: Department of Housing and Urban Development Federal Award Year: 2020 Grant Number: CA104VO/CA104AF Pass Through Entity: None Criteria: 24 CFR 985.3 – Indicators, HUD verification methods and ratings. (f) HQS enforcement. (1) This indicator shows whether, following each HQS inspection of a unit under contract where the unit fails to meet HQS, any cited life threatening HQS deficiencies are corrected within 24 hours from the inspection and all other cited HQS deficiencies are corrected within no more than 30 calendar days from the inspection or any PHA approved extension. In addition, if HQS deficiencies are not corrected timely, the indicator shows whether the PHA stops (abates) housing assistance payments beginning no later than the first of the month following the specified correction period or terminates the HAP contract or, for family caused defects, takes prompt and vigorous action to enforce the family obligations. (24 CFR 982.404) Title 45 US Code of Federal Regulations Part 75 (45 CFR part 75), Uniform Administrative Requirements, Cost Principles, and Audit Requirements for HHS Awards, section 75.303 also states that nonfederal entities must establish and maintain effective internal control over the federal award that provides reasonable assurance that the nonfederal entity is managing the federal award in compliance with federal statutes, regulations and the terms and conditions of the federal award. Condition and Context: During our testwork over HQS enforcement requirements, we selected a sample of 40 failed HQS inspections out of a population of 569 failed HQS inspections. We noted that for two samples the City did not stop housing assistance payments (HAP) as required per the above criteria. The City made payments of $1,972 that were not in compliance with the above requirements. Cause and Effect: The City’s controls are not operating effectively to ensure that HAP is abated beginning no later than the first of the month following the specified correction period or terminates the HAP contract or, for family caused defects, takes prompt and vigorous action to enforce the family obligations. As a result, the City was not in compliance with HAP guidelines. Questioned Costs: The City made payments of $1,972 that were not in compliance with the requirements. Isolated or Systemic: Systematic Whether the Sampling was a Statistically Valid Sample: This sample was not intended to be, and was not, a statistically valid sample. Repeat Finding: No Recommendation: We recommend that the City strengthen their processes and controls in place to comply with HQS enforcement requirements.
Finding 2023 001 – Special Tests and Provisions – HQS Enforcement Federal Program: Housing Choice Voucher Program (HCVP) ALN Number: 14.871 Federal Agency: Department of Housing and Urban Development Federal Award Year: 2020 Grant Number: CA104VO/CA104AF Pass Through Entity: None Criteria: 24 CFR 985.3 – Indicators, HUD verification methods and ratings. (f) HQS enforcement. (1) This indicator shows whether, following each HQS inspection of a unit under contract where the unit fails to meet HQS, any cited life threatening HQS deficiencies are corrected within 24 hours from the inspection and all other cited HQS deficiencies are corrected within no more than 30 calendar days from the inspection or any PHA approved extension. In addition, if HQS deficiencies are not corrected timely, the indicator shows whether the PHA stops (abates) housing assistance payments beginning no later than the first of the month following the specified correction period or terminates the HAP contract or, for family caused defects, takes prompt and vigorous action to enforce the family obligations. (24 CFR 982.404) Title 45 US Code of Federal Regulations Part 75 (45 CFR part 75), Uniform Administrative Requirements, Cost Principles, and Audit Requirements for HHS Awards, section 75.303 also states that nonfederal entities must establish and maintain effective internal control over the federal award that provides reasonable assurance that the nonfederal entity is managing the federal award in compliance with federal statutes, regulations and the terms and conditions of the federal award. Condition and Context: During our testwork over HQS enforcement requirements, we selected a sample of 40 failed HQS inspections out of a population of 569 failed HQS inspections. We noted that for two samples the City did not stop housing assistance payments (HAP) as required per the above criteria. The City made payments of $1,972 that were not in compliance with the above requirements. Cause and Effect: The City’s controls are not operating effectively to ensure that HAP is abated beginning no later than the first of the month following the specified correction period or terminates the HAP contract or, for family caused defects, takes prompt and vigorous action to enforce the family obligations. As a result, the City was not in compliance with HAP guidelines. Questioned Costs: The City made payments of $1,972 that were not in compliance with the requirements. Isolated or Systemic: Systematic Whether the Sampling was a Statistically Valid Sample: This sample was not intended to be, and was not, a statistically valid sample. Repeat Finding: No Recommendation: We recommend that the City strengthen their processes and controls in place to comply with HQS enforcement requirements.