Audit 401918

FY End
2025-09-30
Total Expended
$1.44M
Findings
2
Programs
2
Organization: Dima Vi INC (DE)
Year: 2025 Accepted: 2026-05-21

Organization Exclusion Status:

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Findings

ID Ref Severity Repeat Requirement
1215371 2025-001 Material Weakness Yes N
1215372 2025-002 Material Weakness Yes N

Programs

ALN Program Spent Major Findings
14.181 SUPPORTIVE HOUSING FOR PERSONS WITH DISABILITIES $1.38M Yes 2
14.195 PROJECT-BASED RENTAL ASSISTANCE (PBRA) $58,975 Yes 0

Contacts

Name Title Type
KYD5KJAJM556 Rick Tull Auditee
3026299543 Edna Kpota Auditor
No contacts on file

Notes to SEFA

The accompanying Schedule of Expenditures of Federal Awards (the Schedule) includes the federal award activity of DIMA VI, Inc., a Delaware nonprofit corporation, under programs of the federal government for the year ended September 30, 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 VI, Inc. executed obligations with the U.S. Department of Housing and Urban Development (HUD), totaling $1,377,400 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 $1,000,000. This capital advance is subject to annual audit requirements under the Uniform Guidance because it has ongoing compliance requirements, even though proceeds were received and expended in prior years in connection with the Project's construction or rehabilitation.
HUD awarded DIMA VI, Inc. a capital advance of $1,506,600 under Section 811 of the National Affordable Housing Act for acquisition and rehabilitation of the Project. A modification agreement was entered into on March 16,1998, which modified the maximum commitment to $1,377,400. The capital advance is deemed a contingent liability since no interest or principal payments are payable or due. The advance 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 balance becomes due, including interest accrued at 6.625% per annum. DIMA VI, Inc. must continue to operate the project under HUD guidelines until July 1, 2037, 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 accompanying financial statements. Because repayment is not expected to occur if the requirements are satisfied, no interest is imputed on the noninterest-bearing advance. The HUD capital advance is a forgivable government grant contingent on continued program compliance, not a conventional borrowing arrangement. ASC 835-30 exempts transactions where interest rates are prescribed by governmental agencies, and the substance of this advance is a conditional grant. The liability will remain until the conditions for forgiveness have been substantially met.
The Project receives rental assistance under a Section 8 Housing Assistance Payments (HAP) contract with the U.S. Department of Housing and Urban Development (HUD). Under the contract, eligible tenants pay a portion of the contract rent based on their adjusted income, and HUD pays the difference between the tenant portion and the contract rent. The Project earned rental assistance of $58,975 (47% of total revenue) during 2025.

Finding Details

Finding 2025-001: Lack of Formalized Compliance Monitoring and Documented Management Oversight Criteria: The Consolidated Audit Guide for Audits of HUD Programs and the Uniform Guidance require that entities maintain effective internal controls over compliance with applicable program requirements. This includes documented policies and procedures for monitoring compliance, routine supervisory review of compliance-related activities, and sufficient evidence that oversight is occurring. Condition: The organization has not established a formalized compliance monitoring process. We were unable to identify documented evidence of routine supervisory review of compliance-related activities. Compliance processes and monitoring remain informal and are frequently undocumented. Cause: The organization's compliance functions historically relied on the institutional knowledge and experience of long-tenured staff rather than on functioning internal controls. In recent years, the management agent has experienced significant personnel turnover, exacerbating this deficiency. Effect: Without documented compliance monitoring, errors or instances of noncompliance could occur and remain undetected. These circumstances also limit the Project’s ability to demonstrate compliance to external parties. Failure to maintain and demonstrate compliance could result in noncompliance with the Project’s HUD capital advance and housing assistance payments contract. Recommendations: Management should establish a documented compliance monitoring process, including defined roles and responsibilities, routine supervisory review with documentary evidence, and a periodic compliance checklist addressing the key requirements of the entity's major HUD programs. Views of Responsible Officials: We concur with this finding. We are working to formalize our compliance procedures and document supervisory review activities going forward.
Finding 2025-002: Noncompliance with Replacement Reserve Deposit Requirements Criteria: The Project's regulatory agreement and 24 CFR 891.405 require that the owner make monthly deposits to the replacement reserve account in the amount specified by HUD. All deposits must be made timely to ensure adequate funds are available for significant repairs or replacements and to maintain compliance with program requirements. Condition: During our testing to determine whether required monthly deposits were made, we identified two required monthly deposits of $500 each that were not made timely during the year ended September 30, 2025. The deposits were caught up subsequent to year-end. Cause: Management did not have a formal process for tracking and monitoring required monthly deposits to the replacement reserve. This is consistent with the overall lack of formalized compliance monitoring identified in Finding 2025-001. Effect: The Project did not comply with the requirement to deposit monthly an amount as required by HUD into the replacement reserve fund. Failure to make timely deposits could impair the Project's ability to fund extraordinary maintenance and repair and replacement of capital items, and could constitute noncompliance with the terms of the Project's regulatory agreement and HUD capital advance. Questioned Costs: None. Recommendations: Management should implement a deposit tracking process to monitor required monthly contributions to the replacement reserve, ensure deposits are made on schedule, and flag any shortfalls for immediate follow-up. Supervisory review of replacement reserve activity should occur monthly to confirm that all required deposits have been made. Views of Responsible Officials: We concur with this finding. The deposits have been made and the account is fully funded. We will implement procedures to ensure replacement reserve deposits are tracked and made timely going forward.