Audit 362823

FY End
2025-02-28
Total Expended
$893,245
Findings
4
Programs
2
Organization: Dima Ix, Inc. (DE)
Year: 2025 Accepted: 2025-07-23

Organization Exclusion Status:

Checking exclusion status...

Findings

ID Ref Severity Repeat Requirement
571804 2025-001 Significant Deficiency - ABCEN
571805 2025-002 - - N
1148246 2025-001 Significant Deficiency - ABCEN
1148247 2025-002 - - N

Programs

ALN Program Spent Major Findings
14.181 Supportive Housing for Persons with Disabilities $864,700 Yes 2
14.195 Project-Based Rental Assistance (pbra) $28,545 - 0

Contacts

Name Title Type
LKZ4PAKV8W75 Edward M. McNally, Esq. Auditee
3024270787 Richard Tull Auditor
No contacts on file

Notes to SEFA

Title: NOTE 1 - BASIS OF PRESENTATION AND SUMMARY OF SIGNIFICANT ACCOUNTING POLICIES: Accounting Policies: The accompanying Schedule of Expenditures of Federal Awards (the Schedule) includes the federal award activity of DIMA IX, Inc., under programs of the federal government for the year ended February 28, 2025. The information in this Schedule is presented in accordance with the requirements of Title 2 U.S. Code of Federal Regulations (CFR) Part 200, Uniform Administrative Requirements, Cost Principles, and Audit Requirements for Federal Awards (Uniform Guidance). Because the Schedule presents only a selected portion of the operations of the Project, it is not intended to and does not present the Project’s financial position, changes in net assets, or cash flows. Expenditures reported on the Schedule are reported on the 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. Management did not elect to use the 15% de minimis indirect cost rate as allowed under the Uniform Guidance. DIMA IX, Inc. executed obligations with the U.S. Department of Housing and Urban Development (HUD), totaling $864,700 at permanent closing. HUD requires annual audits performed in accordance with the cost principles contained in the Uniform Guidance since the capital advance amount exceeds the federal expenditure threshold of $750,000. This loan is subject to annual audit requirements under the Uniform Guidance because it has ongoing compliance requirements, even though loan proceeds were received and expended in prior years in connection with the Project's construction or rehabilitation. De Minimis Rate Used: N Rate Explanation: Management did not elect to use the 15% de minimis indirect cost rate as allowed under the Uniform Guidance. The accompanying Schedule of Expenditures of Federal Awards (the Schedule) includes the federal award activity of DIMA IX, Inc., under programs of the federal government for the year ended February 28, 2025. The information in this Schedule is presented in accordance with the requirements of Title 2 U.S. Code of Federal Regulations (CFR) Part 200, Uniform Administrative Requirements, Cost Principles, and Audit Requirements for Federal Awards (Uniform Guidance). Because the Schedule presents only a selected portion of the operations of the Project, it is not intended to and does not present the Project’s financial position, changes in net assets, or cash flows. Expenditures reported on the Schedule are reported on the 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. Management did not elect to use the 15% de minimis indirect cost rate as allowed under the Uniform Guidance. DIMA IX, Inc. executed obligations with the U.S. Department of Housing and Urban Development (HUD), totaling $864,700 at permanent closing. HUD requires annual audits performed in accordance with the cost principles contained in the Uniform Guidance since the capital advance amount exceeds the federal expenditure threshold of $750,000. This loan is subject to annual audit requirements under the Uniform Guidance because it has ongoing compliance requirements, even though loan proceeds were received and expended in prior years in connection with the Project's construction or rehabilitation.
Title: NOTE 2 - CAPITAL ADVANCE - HUD: Accounting Policies: The accompanying Schedule of Expenditures of Federal Awards (the Schedule) includes the federal award activity of DIMA IX, Inc., under programs of the federal government for the year ended February 28, 2025. The information in this Schedule is presented in accordance with the requirements of Title 2 U.S. Code of Federal Regulations (CFR) Part 200, Uniform Administrative Requirements, Cost Principles, and Audit Requirements for Federal Awards (Uniform Guidance). Because the Schedule presents only a selected portion of the operations of the Project, it is not intended to and does not present the Project’s financial position, changes in net assets, or cash flows. Expenditures reported on the Schedule are reported on the 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. Management did not elect to use the 15% de minimis indirect cost rate as allowed under the Uniform Guidance. DIMA IX, Inc. executed obligations with the U.S. Department of Housing and Urban Development (HUD), totaling $864,700 at permanent closing. HUD requires annual audits performed in accordance with the cost principles contained in the Uniform Guidance since the capital advance amount exceeds the federal expenditure threshold of $750,000. This loan is subject to annual audit requirements under the Uniform Guidance because it has ongoing compliance requirements, even though loan proceeds were received and expended in prior years in connection with the Project's construction or rehabilitation. De Minimis Rate Used: N Rate Explanation: Management did not elect to use the 15% de minimis indirect cost rate as allowed under the Uniform Guidance. HUD awarded DIMA IX, Inc. a mortgage of $864,700 under Section 811 of the National Affordable Housing Act for acquisition and rehabilitation of the Project. A mortgage modification agreement was entered into on May 16, 2002, which modified the maximum mortgage commitment to $864,700. The mortgage is deemed a contingent liability since no interest or principal payments are payable or due. The mortgage note does not become due unless HUD operating and filing requirements, as defined under Section 811 of the National Affordable Housing Act, are not met, in which case the entire mortgage balance becomes due, including interest accrued at 7.25% per annum. DIMA IX, Inc. must continue to operate the project under HUD guidelines until May 15, 2042, before the note will be forgiven. Although the capital advance is fully forgivable if certain compliance requirements are met, the Project accounts for this obligation as debt in the financial statements. Because repayment is not expected to occur if the requirements are satisfied, no interest is imputed on the noninterest-bearing advance. The liability remains on the books until the conditions for forgiveness have been substantially met.
Title: NOTE 3 - RENTAL ASSISTANCE - HUD: Accounting Policies: The accompanying Schedule of Expenditures of Federal Awards (the Schedule) includes the federal award activity of DIMA IX, Inc., under programs of the federal government for the year ended February 28, 2025. The information in this Schedule is presented in accordance with the requirements of Title 2 U.S. Code of Federal Regulations (CFR) Part 200, Uniform Administrative Requirements, Cost Principles, and Audit Requirements for Federal Awards (Uniform Guidance). Because the Schedule presents only a selected portion of the operations of the Project, it is not intended to and does not present the Project’s financial position, changes in net assets, or cash flows. Expenditures reported on the Schedule are reported on the 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. Management did not elect to use the 15% de minimis indirect cost rate as allowed under the Uniform Guidance. DIMA IX, Inc. executed obligations with the U.S. Department of Housing and Urban Development (HUD), totaling $864,700 at permanent closing. HUD requires annual audits performed in accordance with the cost principles contained in the Uniform Guidance since the capital advance amount exceeds the federal expenditure threshold of $750,000. This loan is subject to annual audit requirements under the Uniform Guidance because it has ongoing compliance requirements, even though loan proceeds were received and expended in prior years in connection with the Project's construction or rehabilitation. De Minimis Rate Used: N Rate Explanation: Management did not elect to use the 15% de minimis indirect cost rate as allowed under the Uniform Guidance. Subsidy revenue for eligible tenants is provided under a Section 8 housing assistance payment contract. This contract requires tenants to contribute a portion of the contract rent based on formulas prescribed by HUD. The difference from the calculated tenant rent and the contract rent is paid by HUD. The Project earned HUD Section 8 housing assistance payments of $28,545 in 2025.

Finding Details

Criteria: Accurate financial reporting and compliance with the Uniform Guidance require a strong internal control system, including proper segregation of duties and consistent management oversight. Condition: The Senior Director of Housing & Facilities is responsible for the custody of assets and for authorizing and recording transactions, with no regular oversight occurring. While an independent contractor assists with annual closing, there is no documented review process during the rest of the year. Effect: Reliance on a single individual for critical functions, without systematic reviews, undermines the reliability of financial reporting. Errors and irregularities may go undetected, thereby increasing the risk of material misstatement and noncompliance with federal requirements. This control environment also contributed to the noncompliance described in Finding 2025-002. Cause: Staffing constraints and an informal approach to internal controls have resulted in one individual performing incompatible functions. Management oversight once documented by weekly meetings between the Senior Director of Housing & Facilities and the CEO are no longer occurring. Recommendations: Management should strongly consider reallocating routine accounting tasks, such as preparing deposits and reconciling bank statements, to different staff members. It is also advisable to reinstate documented, periodic management reviews of both financial and compliance-related data. These regularly scheduled reviews will help detect errors, strengthen accountability, and support adherence to the requirements of the Uniform Guidance. Management Comments: We concur with this finding and recognize the need for a more robust control environment. We plan to reevaluate staff responsibilities, expand the documentation of oversight procedures, and implement structured, recurring reviews of financial transactions and compliance-related data to ensure compliance with Uniform Guidance requirements.
Criteria: The Project is required to make monthly deposits to the replacement reserve in the amount specified by HUD. These deposits must be made timely and consistently to ensure funds are available for future capital needs and to remain in compliance with the Project’s regulatory agreement and other applicable HUD program requirements. Condition: During the year, only nine of the twelve required monthly deposits to the replacement reserve were made. As a result, the reserve was underfunded in the amount of $663. Effect: Failure to make the required deposits constitutes noncompliance with HUD requirements. Additionally, in the absence of effective internal controls to monitor and confirm compliance on an ongoing basis, similar issues may go undetected in the future. Cause: The missed deposits appear to have resulted from a lack of monitoring and formal oversight, consistent with the internal control deficiency described in Finding 2025-001. Recommendations: We recommend that management implement a monthly compliance checklist to monitor HUD requirements, including replacement reserve deposits. Responsibility for verifying and documenting compliance should be clearly assigned. Periodic supervisory reviews should be conducted, documented, and retained to ensure programmatic requirements are consistently met. Management Comments: We concur with this finding. The missed deposits were an oversight in part due to employee turnover, and we have since reimbursed the replacement reserve. Moving forward, we will adopt a monthly compliance checklist and assign staff to verify that all regulatory requirements, including reserve deposits, are completed timely and documented.
Criteria: Accurate financial reporting and compliance with the Uniform Guidance require a strong internal control system, including proper segregation of duties and consistent management oversight. Condition: The Senior Director of Housing & Facilities is responsible for the custody of assets and for authorizing and recording transactions, with no regular oversight occurring. While an independent contractor assists with annual closing, there is no documented review process during the rest of the year. Effect: Reliance on a single individual for critical functions, without systematic reviews, undermines the reliability of financial reporting. Errors and irregularities may go undetected, thereby increasing the risk of material misstatement and noncompliance with federal requirements. This control environment also contributed to the noncompliance described in Finding 2025-002. Cause: Staffing constraints and an informal approach to internal controls have resulted in one individual performing incompatible functions. Management oversight once documented by weekly meetings between the Senior Director of Housing & Facilities and the CEO are no longer occurring. Recommendations: Management should strongly consider reallocating routine accounting tasks, such as preparing deposits and reconciling bank statements, to different staff members. It is also advisable to reinstate documented, periodic management reviews of both financial and compliance-related data. These regularly scheduled reviews will help detect errors, strengthen accountability, and support adherence to the requirements of the Uniform Guidance. Management Comments: We concur with this finding and recognize the need for a more robust control environment. We plan to reevaluate staff responsibilities, expand the documentation of oversight procedures, and implement structured, recurring reviews of financial transactions and compliance-related data to ensure compliance with Uniform Guidance requirements.
Criteria: The Project is required to make monthly deposits to the replacement reserve in the amount specified by HUD. These deposits must be made timely and consistently to ensure funds are available for future capital needs and to remain in compliance with the Project’s regulatory agreement and other applicable HUD program requirements. Condition: During the year, only nine of the twelve required monthly deposits to the replacement reserve were made. As a result, the reserve was underfunded in the amount of $663. Effect: Failure to make the required deposits constitutes noncompliance with HUD requirements. Additionally, in the absence of effective internal controls to monitor and confirm compliance on an ongoing basis, similar issues may go undetected in the future. Cause: The missed deposits appear to have resulted from a lack of monitoring and formal oversight, consistent with the internal control deficiency described in Finding 2025-001. Recommendations: We recommend that management implement a monthly compliance checklist to monitor HUD requirements, including replacement reserve deposits. Responsibility for verifying and documenting compliance should be clearly assigned. Periodic supervisory reviews should be conducted, documented, and retained to ensure programmatic requirements are consistently met. Management Comments: We concur with this finding. The missed deposits were an oversight in part due to employee turnover, and we have since reimbursed the replacement reserve. Moving forward, we will adopt a monthly compliance checklist and assign staff to verify that all regulatory requirements, including reserve deposits, are completed timely and documented.