Audit 47382

FY End
2022-06-30
Total Expended
$220.74M
Findings
2
Programs
9
Year: 2022 Accepted: 2023-03-29
Auditor: Crowe Pr Psc

Organization Exclusion Status:

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Findings

ID Ref Severity Repeat Requirement
45205 2022-002 Significant Deficiency - G
621647 2022-002 Significant Deficiency - G

Contacts

Name Title Type
LLHHFKQLNAL4 Luis K Santiago Auditee
7877218787 Jose Penabaz Auditor
No contacts on file

Notes to SEFA

Title: Basis of Presentation Accounting Policies: Expenditures reported on the Schedule are reported using the accrual basis of accounting. The financialtransactions are recorded by the Authority in accordance with the terms and conditions of the grants, which areconsistent with accounting principles generally accepted in the United States of America. Such expenditures arerecognized following the cost principles contained in the Uniform Guidance, wherein certain types ofexpenditures are not allowable or are limited as to reimbursement. De Minimis Rate Used: N Rate Explanation: The auditee did not use the de minimis cost rate. The accompanying Schedule of Expenditures of Federal Awards (the Schedule") includes the federal awardexpenditures of the Puerto Rico Highways and Transportation Authority (the Authority") for the year ended June30, 2022. The information in the Schedule is presented in accordance with the requirements of Title 2 U.S. Codeof Federal Regulations Part 200, Uniform Administrative Requirements, Cost Principles and Audit Requirementsfor Federal Awards (Uniform Guidance). The Schedule presents only a selected portion of the financial activitiesof the Authority. Therefore, it is not intended to, and does not present the net deficit, changes in net deficit, orcash flows of the Authority.
Title: Federal Assitance Listing Number Accounting Policies: Expenditures reported on the Schedule are reported using the accrual basis of accounting. The financialtransactions are recorded by the Authority in accordance with the terms and conditions of the grants, which areconsistent with accounting principles generally accepted in the United States of America. Such expenditures arerecognized following the cost principles contained in the Uniform Guidance, wherein certain types ofexpenditures are not allowable or are limited as to reimbursement. De Minimis Rate Used: N Rate Explanation: The auditee did not use the de minimis cost rate. The Assistance Listing numbers included in this Schedule are determined based on the program name, review ofgrant contract information and the Office of Management and Budgets Catalogue of Federal DomesticAssistance. Pass-through entity identifying numbers are presented where available and applicable.
Title: Relationship to the Financial Statements Accounting Policies: Expenditures reported on the Schedule are reported using the accrual basis of accounting. The financialtransactions are recorded by the Authority in accordance with the terms and conditions of the grants, which areconsistent with accounting principles generally accepted in the United States of America. Such expenditures arerecognized following the cost principles contained in the Uniform Guidance, wherein certain types ofexpenditures are not allowable or are limited as to reimbursement. De Minimis Rate Used: N Rate Explanation: The auditee did not use the de minimis cost rate. Federal awards revenues and expenses are reported in the Authoritys statement of revenues, expenses, andchanges in net deficit in accordance with standards issued by the Government Accounting Standards Board(GASB) No. 34. Because the Schedule presents only federal activities of the Authority, it is not intended to anddoes not present the financial deficit, assets, liabilities, net deficit, revenues, expenses, changes in net deficit, andcash flows of the Authority, as a whole.
Title: Cluster Programs Accounting Policies: Expenditures reported on the Schedule are reported using the accrual basis of accounting. The financialtransactions are recorded by the Authority in accordance with the terms and conditions of the grants, which areconsistent with accounting principles generally accepted in the United States of America. Such expenditures arerecognized following the cost principles contained in the Uniform Guidance, wherein certain types ofexpenditures are not allowable or are limited as to reimbursement. De Minimis Rate Used: N Rate Explanation: The auditee did not use the de minimis cost rate. The Uniform Guidance defines a cluster of programs as a group of closely related programs that share commoncompliance requirements. According to this definition, the Federal Transit Cluster, the Transit Services ProgramsCluster, and the Highway Planning and Construction Cluster were deemed to be cluster programs.
Title: Contingencies Accounting Policies: Expenditures reported on the Schedule are reported using the accrual basis of accounting. The financialtransactions are recorded by the Authority in accordance with the terms and conditions of the grants, which areconsistent with accounting principles generally accepted in the United States of America. Such expenditures arerecognized following the cost principles contained in the Uniform Guidance, wherein certain types ofexpenditures are not allowable or are limited as to reimbursement. De Minimis Rate Used: N Rate Explanation: The auditee did not use the de minimis cost rate. The Authority receives funds under various federal award programs and such awards are to be expended inaccordance with the provisions of each award. Compliance with the awards is subject to audit by variousgovernment agencies, which may impose sanctions in the event of non-compliance. Management believes that ithas complied with all aspects of award provisions and the results of adjustments, if any, relating to such auditswould not have a material impact on the programs nor the accompanying Schedule.
Title: Subsequent Events Accounting Policies: Expenditures reported on the Schedule are reported using the accrual basis of accounting. The financialtransactions are recorded by the Authority in accordance with the terms and conditions of the grants, which areconsistent with accounting principles generally accepted in the United States of America. Such expenditures arerecognized following the cost principles contained in the Uniform Guidance, wherein certain types ofexpenditures are not allowable or are limited as to reimbursement. De Minimis Rate Used: N Rate Explanation: The auditee did not use the de minimis cost rate. On January 11, 2023, the Authority entered into an agreement with the Puerto Rico Department of Housing(PRDH) as a subgrantee of Community Development Block Grant - Mitigation Program (CDBG-MIT) to providefinancial assistance in areas impacted by recent disasters. The funds awarded to the Authority constitute aSubaward of the PRDH. The use of such funds must be in accordance with requirements imposed by federalstatutes, regulations, and the terms and conditions of the PRDH's Federal Award. The total appropriated fundsamounted to approximately $540 million. As of the date of issuance of the financial statements, none of the fundshave been disbursed under the agreement.

Finding Details

Condition From a sample of sixteen federal construction projects examined, we noticed that for three projects, the toll credit usage reported in the Authority?s Toll Credits Report differed from the amounts reported in the Federal-Aid Project Agreements as approved by FHWA. Criteria In accordance with the signed Memorandum of Understanding (MOU) between the Authority and FHWA (signed on February 25, 2016), the Authority shall implement modifications to its processes for approving, tracking, and reconciling toll credits as identified by the FHWA and submit a report (i.e., Toll Credits Report) and a certification to FHWA ascertaining that it has implemented these modifications. FHWA shall accurately identify the amount of toll credits available for use by the Authority and identify the modifications that the Authority must make to its processes for approving, tracking, and reconciling toll credit usage, as applicable. Cause A deficiency in internal control related to the approval, tracking, and reconciling of toll credits usage, probably caused by employee turnover during FY 2022. Effect Non-compliance with the toll credits matching requirement per the MOU requirements. In addition, the Authority could inadvertently use toll credits for a federal project that may lack toll credits balances. Questioned Costs None Recommendation The Authority's management should strengthen its internal control structure over the approval, tracking, and reconciliation process of toll credits usage to ascertain compliance with the MOU requirements. This should include, among other, assigning the reconciliation process to an employee with the technical knowledge to understand toll credits management. Furthermore, we recommend management should strengthen its review and approval process over the toll credits report to timely identify any errors and/or discrepancies.
Condition From a sample of sixteen federal construction projects examined, we noticed that for three projects, the toll credit usage reported in the Authority?s Toll Credits Report differed from the amounts reported in the Federal-Aid Project Agreements as approved by FHWA. Criteria In accordance with the signed Memorandum of Understanding (MOU) between the Authority and FHWA (signed on February 25, 2016), the Authority shall implement modifications to its processes for approving, tracking, and reconciling toll credits as identified by the FHWA and submit a report (i.e., Toll Credits Report) and a certification to FHWA ascertaining that it has implemented these modifications. FHWA shall accurately identify the amount of toll credits available for use by the Authority and identify the modifications that the Authority must make to its processes for approving, tracking, and reconciling toll credit usage, as applicable. Cause A deficiency in internal control related to the approval, tracking, and reconciling of toll credits usage, probably caused by employee turnover during FY 2022. Effect Non-compliance with the toll credits matching requirement per the MOU requirements. In addition, the Authority could inadvertently use toll credits for a federal project that may lack toll credits balances. Questioned Costs None Recommendation The Authority's management should strengthen its internal control structure over the approval, tracking, and reconciliation process of toll credits usage to ascertain compliance with the MOU requirements. This should include, among other, assigning the reconciliation process to an employee with the technical knowledge to understand toll credits management. Furthermore, we recommend management should strengthen its review and approval process over the toll credits report to timely identify any errors and/or discrepancies.