Audit 331257

FY End
2023-06-30
Total Expended
$20.38M
Findings
2
Programs
11
Organization: Municipality of Utuado (PR)
Year: 2023 Accepted: 2024-12-06
Auditor: Torres Fred & CO

Organization Exclusion Status:

Checking exclusion status...

Findings

ID Ref Severity Repeat Requirement
513398 2023-007 Significant Deficiency - L
1089840 2023-007 Significant Deficiency - L

Contacts

Name Title Type
PWZANJ7WJZB5 Juan Galan Auditee
7878943500 Frankie Torres Fred Auditor
No contacts on file

Notes to SEFA

Title: BASIS OF PRESENTATION Accounting Policies: 1. The accompanying Schedule of Expenditures of Federal Awards is prepared from Municipality’s accounting records and is not intended to present financial position or the results of operations. 2. The Municipality in accordance with the terms records the financial transactions and conditions of the grants, which are consistent with accounting principles generally accepted in the United States of America. 3. Expenditures are recognized in the accounting period in which the liability is incurred, if measurable or when actually paid, whichever occurs first. 4. Expenditures reported on the Schedule are reported on the modified accrual basis of accounting, except for the program Disaster Grants- Public Assistance. Expenditures for Disaster Grants- Public Assistance are recognized in the period when; (a) FEMA has approved the PW and (b) eligible expenditures are incurred 4. The Municipality has selected not to use the 10% de minimis indirect cost rate allowed under the Uniform Guidance, and did not charge indirect cost to federal grants during the year ended June 30, 2023. De Minimis Rate Used: N Rate Explanation: The Municipality has elected not to use the 10-percent de minimis cost rate allowed under the Uniform Guidance. The accompanying Schedule of Expenditures of Federal Awards includes the federal grant activity of the Municipality of Utuado, Puerto Rico (Municipality) and is presented on the modified accrual basis. The information in this 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 (Uniform Guidance). Therefore, some amounts presented in this schedule may differ from amounts presented in, or used in the preparation of, the general-purpose financial statements. The reporting entity is defined in Note (1) (A) to the general-purpose combined financial statements.
Title: SUMMARY OF SIGNIFICANT ACCOUNTING POLICIES Accounting Policies: 1. The accompanying Schedule of Expenditures of Federal Awards is prepared from Municipality’s accounting records and is not intended to present financial position or the results of operations. 2. The Municipality in accordance with the terms records the financial transactions and conditions of the grants, which are consistent with accounting principles generally accepted in the United States of America. 3. Expenditures are recognized in the accounting period in which the liability is incurred, if measurable or when actually paid, whichever occurs first. 4. Expenditures reported on the Schedule are reported on the modified accrual basis of accounting, except for the program Disaster Grants- Public Assistance. Expenditures for Disaster Grants- Public Assistance are recognized in the period when; (a) FEMA has approved the PW and (b) eligible expenditures are incurred 4. The Municipality has selected not to use the 10% de minimis indirect cost rate allowed under the Uniform Guidance, and did not charge indirect cost to federal grants during the year ended June 30, 2023. De Minimis Rate Used: N Rate Explanation: The Municipality has elected not to use the 10-percent de minimis cost rate allowed under the Uniform Guidance. 1.       The accompanying Schedule of Expenditures of Federal Awards is prepared from Municipality’s accounting records and is not intended to present financial position or the results of operations. 2. The Municipality in accordance with the terms records the financial transactions and conditions of the grants, which are consistent with accounting principles generally accepted in the United States of America. 3. Expenditures are recognized in the accounting period in which the liability is incurred, if measurable or when actually paid, whichever occurs first. 4. Expenditures reported on the Schedule are reported on the modified accrual basis of accounting, except for the program Disaster Grants- Public Assistance. Expenditures for Disaster Grants- Public Assistance are recognized in the period when; (a) FEMA has approved the PW and (b) eligible expenditures are incurred 5. The Municipality has selected not to use the 10% de minimis indirect cost rate allowed under the Uniform Guidance, and did not charge indirect cost to federal grants during the year ended June 30, 2023.
Title: ASSISTANCE LISTING NUMBER Accounting Policies: 1. The accompanying Schedule of Expenditures of Federal Awards is prepared from Municipality’s accounting records and is not intended to present financial position or the results of operations. 2. The Municipality in accordance with the terms records the financial transactions and conditions of the grants, which are consistent with accounting principles generally accepted in the United States of America. 3. Expenditures are recognized in the accounting period in which the liability is incurred, if measurable or when actually paid, whichever occurs first. 4. Expenditures reported on the Schedule are reported on the modified accrual basis of accounting, except for the program Disaster Grants- Public Assistance. Expenditures for Disaster Grants- Public Assistance are recognized in the period when; (a) FEMA has approved the PW and (b) eligible expenditures are incurred 4. The Municipality has selected not to use the 10% de minimis indirect cost rate allowed under the Uniform Guidance, and did not charge indirect cost to federal grants during the year ended June 30, 2023. De Minimis Rate Used: N Rate Explanation: The Municipality has elected not to use the 10-percent de minimis cost rate allowed under the Uniform Guidance. The federal assistance listing number included in this Schedule are determined based on the program name, review of grant contract information and the Office of Management and Budget's Catalogue of Federal Domestic Assistance.
Title: PASS-THROUGH GRANTOR’S NUMBER Accounting Policies: 1. The accompanying Schedule of Expenditures of Federal Awards is prepared from Municipality’s accounting records and is not intended to present financial position or the results of operations. 2. The Municipality in accordance with the terms records the financial transactions and conditions of the grants, which are consistent with accounting principles generally accepted in the United States of America. 3. Expenditures are recognized in the accounting period in which the liability is incurred, if measurable or when actually paid, whichever occurs first. 4. Expenditures reported on the Schedule are reported on the modified accrual basis of accounting, except for the program Disaster Grants- Public Assistance. Expenditures for Disaster Grants- Public Assistance are recognized in the period when; (a) FEMA has approved the PW and (b) eligible expenditures are incurred 4. The Municipality has selected not to use the 10% de minimis indirect cost rate allowed under the Uniform Guidance, and did not charge indirect cost to federal grants during the year ended June 30, 2023. De Minimis Rate Used: N Rate Explanation: The Municipality has elected not to use the 10-percent de minimis cost rate allowed under the Uniform Guidance. State or local government redistribution of federal awards to the Municipality, treated as if they were received directly from the federal government. The Uniform Guidance requires the schedule to include the name of the pass-through entity and identifying number assigned by the pass-through entity for federal awards received as a sub recipient. Numbers identified as N/AV are not available.
Title: PASS-THROUGH TO SUB-RECIPIENTS Accounting Policies: 1. The accompanying Schedule of Expenditures of Federal Awards is prepared from Municipality’s accounting records and is not intended to present financial position or the results of operations. 2. The Municipality in accordance with the terms records the financial transactions and conditions of the grants, which are consistent with accounting principles generally accepted in the United States of America. 3. Expenditures are recognized in the accounting period in which the liability is incurred, if measurable or when actually paid, whichever occurs first. 4. Expenditures reported on the Schedule are reported on the modified accrual basis of accounting, except for the program Disaster Grants- Public Assistance. Expenditures for Disaster Grants- Public Assistance are recognized in the period when; (a) FEMA has approved the PW and (b) eligible expenditures are incurred 4. The Municipality has selected not to use the 10% de minimis indirect cost rate allowed under the Uniform Guidance, and did not charge indirect cost to federal grants during the year ended June 30, 2023. De Minimis Rate Used: N Rate Explanation: The Municipality has elected not to use the 10-percent de minimis cost rate allowed under the Uniform Guidance. The Uniform Guidance requires the Schedule to present the total amounts passed through to sub- recipients from each federal program. The Municipality did not have any sub-recipients during the year.
Title: MAJOR PROGRAMS Accounting Policies: 1. The accompanying Schedule of Expenditures of Federal Awards is prepared from Municipality’s accounting records and is not intended to present financial position or the results of operations. 2. The Municipality in accordance with the terms records the financial transactions and conditions of the grants, which are consistent with accounting principles generally accepted in the United States of America. 3. Expenditures are recognized in the accounting period in which the liability is incurred, if measurable or when actually paid, whichever occurs first. 4. Expenditures reported on the Schedule are reported on the modified accrual basis of accounting, except for the program Disaster Grants- Public Assistance. Expenditures for Disaster Grants- Public Assistance are recognized in the period when; (a) FEMA has approved the PW and (b) eligible expenditures are incurred 4. The Municipality has selected not to use the 10% de minimis indirect cost rate allowed under the Uniform Guidance, and did not charge indirect cost to federal grants during the year ended June 30, 2023. De Minimis Rate Used: N Rate Explanation: The Municipality has elected not to use the 10-percent de minimis cost rate allowed under the Uniform Guidance. Major programs are identified in the Summary of Auditor’s Results Section of the Schedule of Findings and Questioned Costs.
Title: SCHEDULE OF EXPENDITURES OF FEDERAL AWARDS RECONCILIATIONS Accounting Policies: 1. The accompanying Schedule of Expenditures of Federal Awards is prepared from Municipality’s accounting records and is not intended to present financial position or the results of operations. 2. The Municipality in accordance with the terms records the financial transactions and conditions of the grants, which are consistent with accounting principles generally accepted in the United States of America. 3. Expenditures are recognized in the accounting period in which the liability is incurred, if measurable or when actually paid, whichever occurs first. 4. Expenditures reported on the Schedule are reported on the modified accrual basis of accounting, except for the program Disaster Grants- Public Assistance. Expenditures for Disaster Grants- Public Assistance are recognized in the period when; (a) FEMA has approved the PW and (b) eligible expenditures are incurred 4. The Municipality has selected not to use the 10% de minimis indirect cost rate allowed under the Uniform Guidance, and did not charge indirect cost to federal grants during the year ended June 30, 2023. De Minimis Rate Used: N Rate Explanation: The Municipality has elected not to use the 10-percent de minimis cost rate allowed under the Uniform Guidance. SEE NOTE TO SEFA IN FINANCIAL STATEMENT
Title: COMMUNITY DISASTER LOANS Accounting Policies: 1. The accompanying Schedule of Expenditures of Federal Awards is prepared from Municipality’s accounting records and is not intended to present financial position or the results of operations. 2. The Municipality in accordance with the terms records the financial transactions and conditions of the grants, which are consistent with accounting principles generally accepted in the United States of America. 3. Expenditures are recognized in the accounting period in which the liability is incurred, if measurable or when actually paid, whichever occurs first. 4. Expenditures reported on the Schedule are reported on the modified accrual basis of accounting, except for the program Disaster Grants- Public Assistance. Expenditures for Disaster Grants- Public Assistance are recognized in the period when; (a) FEMA has approved the PW and (b) eligible expenditures are incurred 4. The Municipality has selected not to use the 10% de minimis indirect cost rate allowed under the Uniform Guidance, and did not charge indirect cost to federal grants during the year ended June 30, 2023. De Minimis Rate Used: N Rate Explanation: The Municipality has elected not to use the 10-percent de minimis cost rate allowed under the Uniform Guidance. In fiscal year 2017-2018, FEMA issued to the Municipality a five-year promissory note for a maximum amount of $5,000,000, and in fiscal year 2020-2021 FEMA issued to the Municipality a five-year promissory note for a maximum amount of $4,593,850 for financial assistance under the Community Disaster Loans (“CDL”) program, bearing interest at 2.50% annually. The program helps local governments to overcome a loss in revenues as a result of a natural disaster, in order to perform its governmental operational functions. Neither principal nor interest payments are required until maturity. The terms of the loan provide that if the Municipality has not recovered sufficiently to meet its operating budget after three full fiscal years, repayment of all or part of the loan may be cancelled. The principal balance at June 30, 2023, was $4,593,850. Federal statutes and regulations do not impose continuing compliance requirements on the outstanding balance of the loan, other than the repayment of the loan. Therefore, the outstanding balance of the loan is not included in the face of the Schedule. Program transactions during fiscal year 2022-2023 year are as follows:

Finding Details

FINDING 2023-007 FEDERAL PROGRAM COMMUNITY DEVELOPMENT BLOCK GRANT (CDBG) (ASSISTANCE LISTING NO. 14.228) DEPARTMENT OF HOUSING AND URBAN DEVELOPMENT PASS THROUGH STATE HOUSING DEPARTMENT CATEGORY INTERNAL CONTROL/COMPLIANCE- SIGNIFICANT DEFICIENCIES NONCOMPLIANCE REPORTING TOPIC SENTENCE Lack of controls over filing of quarterly financial reports. CONDITIONS As part of the evaluation of the Reporting Test we requested evidence of the filing of the Quarterly Report for the fiscal year 2022-2023. In the audit of the program, we noted the following: The quarterly reports for the following quarters had not been filed to the Puerto Rico Department of Housing: July-September 2022 October- December 2022 January-March 2023 April-June 2023 CRITERIA The delegation of funds contract signed between the Department of Housing of Puerto Rico and the Municipality establishes in its twentieth clause that the subrecipient is obliged to submit to the recipient the quarterly and annual reports for the projects developed with CDBG funds. CAUSE The Community Development Block Grant Program (CDBG) are not maintaining adequate internal controls to guarantee timely filing of quarterly reports. EFFECT The Municipality is exposed to the risk that the Puerto Rico Department of Housing halt the process of requisitioning funds from the administration line, affecting the operation of the program and the use of funds. RECOMMENDATION We recommend that the program establish internal control measures to ensure that the program's quarterly reports are submitted on time to the Puerto Rico Department of Housing. QUESTIONED COST None PRIOR YEAR Not Applicable VIEWS OF RESPONSIBLE OFFICIALS AND PLANNED CORRECTIVE ACTION We accept the finding RESPONSIBLE PERSON Mr. Jose González-Program Director 787-894-9191
FINDING 2023-007 FEDERAL PROGRAM COMMUNITY DEVELOPMENT BLOCK GRANT (CDBG) (ASSISTANCE LISTING NO. 14.228) DEPARTMENT OF HOUSING AND URBAN DEVELOPMENT PASS THROUGH STATE HOUSING DEPARTMENT CATEGORY INTERNAL CONTROL/COMPLIANCE- SIGNIFICANT DEFICIENCIES NONCOMPLIANCE REPORTING TOPIC SENTENCE Lack of controls over filing of quarterly financial reports. CONDITIONS As part of the evaluation of the Reporting Test we requested evidence of the filing of the Quarterly Report for the fiscal year 2022-2023. In the audit of the program, we noted the following: The quarterly reports for the following quarters had not been filed to the Puerto Rico Department of Housing: July-September 2022 October- December 2022 January-March 2023 April-June 2023 CRITERIA The delegation of funds contract signed between the Department of Housing of Puerto Rico and the Municipality establishes in its twentieth clause that the subrecipient is obliged to submit to the recipient the quarterly and annual reports for the projects developed with CDBG funds. CAUSE The Community Development Block Grant Program (CDBG) are not maintaining adequate internal controls to guarantee timely filing of quarterly reports. EFFECT The Municipality is exposed to the risk that the Puerto Rico Department of Housing halt the process of requisitioning funds from the administration line, affecting the operation of the program and the use of funds. RECOMMENDATION We recommend that the program establish internal control measures to ensure that the program's quarterly reports are submitted on time to the Puerto Rico Department of Housing. QUESTIONED COST None PRIOR YEAR Not Applicable VIEWS OF RESPONSIBLE OFFICIALS AND PLANNED CORRECTIVE ACTION We accept the finding RESPONSIBLE PERSON Mr. Jose González-Program Director 787-894-9191