Audit 49509

FY End
2022-06-30
Total Expended
$1.16B
Findings
2
Programs
73
Organization: City of Phoenix, Arizona (AZ)
Year: 2022 Accepted: 2023-03-27
Auditor: Forvis LLP

Organization Exclusion Status:

Checking exclusion status...

Findings

ID Ref Severity Repeat Requirement
61593 2022-001 Significant Deficiency - ABE
638035 2022-001 Significant Deficiency - ABE

Programs

ALN Program Spent Major Findings
20.507 Federal Transit_formula Grants $232.28M Yes 0
20.500 Federal Transit_capital Investment Grants $208.95M Yes 0
20.106 Airport Improvement Program $141.92M Yes 0
21.027 Coronavirus State and Local Fiscal Recovery Funds $110.26M Yes 0
14.239 Home Investment Partnerships Program $78.38M - 0
14.871 Section 8 Housing Choice Vouchers $77.31M Yes 0
21.023 Emergency Rental Assistance Program $69.21M Yes 1
14.218 Community Development Block Grants/entitlement Grants $28.50M - 0
14.231 Emergency Solutions Grant Program $8.60M - 0
14.850 Public and Indian Housing $6.68M Yes 0
14.889 Choice Neighborhoods Implementation Grants $6.15M Yes 0
17.258 Wia Adult Program $5.21M - 0
20.525 State of Good Repair Grants Program $4.70M Yes 0
17.259 Wia Youth Activities $4.28M - 0
93.568 Low-Income Home Energy Assistance $4.25M - 0
20.513 Enhanced Mobility of Seniors and Individuals with Disabilities $3.39M - 0
17.278 Wia Dislocated Worker Formula Grants $3.01M - 0
97.083 Staffing for Adequate Fire and Emergency Response (safer) $2.93M - 0
20.526 Buses and Bus Facilities Formula, Competitive, and Low Or No Emissions Programs $2.91M Yes 0
14.879 Mainstream Vouchers $1.82M Yes 0
95.001 High Intensity Drug Trafficking Areas Program $1.62M - 0
16.738 Edward Byrne Memorial Justice Assistance Grant Program $1.56M - 0
14.195 Section 8 Housing Assistance Payments Program $1.53M - 0
14.872 Public Housing Capital Fund $1.24M - 0
93.600 Head Start $1.19M - 0
20.205 Highway Planning and Construction $1.01M - 0
97.025 National Urban Search and Rescue (us&r) Response System $754,428 - 0
16.741 Dna Backlog Reduction Program $735,893 - 0
14.895 Jobs-Plus Pilot Initiative $651,423 - 0
16.734 Special Data Collections and Statistical Studies $621,088 - 0
97.047 Pre-Disaster Mitigation $567,272 - 0
16.543 Missing Children's Assistance $550,806 - 0
20.933 National Infrastructure Investments $523,084 - 0
93.569 Community Services Block Grant $493,227 - 0
14.249 Section 8 Moderate Rehabilitation Single Room Occupancy $456,560 - 0
97.044 Assistance to Firefighters Grant $375,164 - 0
93.243 Substance Abuse and Mental Health Services_projects of Regional and National Significance $357,796 - 0
93.558 Temporary Assistance for Needy Families $327,528 - 0
14.900 Lead-Based Paint Hazard Control in Privately-Owned Housing $317,318 - 0
16.034 Coronavirus Emergency Supplemental Funding Program $294,358 - 0
16.320 Services for Trafficking Victims $248,813 - 0
14.892 Choice Neighborhoods Planning Grants $236,903 - 0
14.401 Fair Housing Assistance Program_state and Local $196,648 - 0
14.896 Family Self-Sufficiency Program $191,423 - 0
93.624 Aca - State Innovation Models: Funding for Model Design and Model Testing Assistance $158,190 - 0
45.024 Promotion of the Arts_grants to Organizations and Individuals $101,074 - 0
14.866 Demolition and Revitalization of Severely Distressed Public Housing $97,896 Yes 0
16.575 Crime Victim Assistance $77,002 - 0
66.818 Brownfields Assessment and Cleanup Cooperative Agreements $75,412 - 0
14.866 Hope Vi - Css Endowment Funds* $74,819 Yes 0
16.609 Project Safe Neighborhoods $73,885 - 0
14.870 Resident Opportunity and Supportive Services - Service Coordinators $72,646 - 0
16.710 Public Safety Partnership and Community Policing Grants $71,945 - 0
16.742 Paul Coverdell Forensic Sciences Improvement Grant Program $71,613 - 0
81.042 Weatherization Assistance for Low-Income Persons $60,949 - 0
93.268 Immunization Cooperative Agreements $55,850 - 0
97.036 Disaster Grants - Public Assistance (presidentially Declared Disasters) $53,878 - 0
16.833 National Sexual Assault Kit Initiative $53,873 - 0
97.133 Preparing for Emerging Threats and Hazards $48,504 - 0
14.856 Lower Income Housing Assistance Program_section 8 Moderate Rehabilitation $46,177 - 0
14.241 Housing Opportunities for Persons with Aids $42,603 - 0
45.310 Grants to States $29,547 - 0
97.067 Homeland Security Grant Program $28,212 - 0
93.686 Ending the Hiv Epidemic: A Plan for America Ryan White Hiv/aids Program Parts A and B (b) $23,319 - 0
20.616 National Priority Safety Programs $20,571 - 0
93.045 Special Programs for the Aging_title Iii, Part C_nutrition Services $14,675 - 0
16.745 Criminal and Juvenile Justice and Mental Health Collaboration Program $13,971 - 0
17.268 H-1b Job Training Grants $8,814 - 0
20.600 State and Community Highway Safety $5,000 - 0
10.905 Plant Materials for Conservation $3,830 - 0
20.514 Public Transportation Research $3,379 - 0
93.667 Social Services Block Grant $963 - 0
93.053 Nutrition Services Incentive Program $856 - 0

Contacts

Name Title Type
XSNJVVC4K8J7 John Gamble Auditee
6024954957 Rachel Ormsby Auditor
No contacts on file

Notes to SEFA

Title: Basis of Presentation Accounting Policies: The City's summary of significant accounting policies is presented in Note 1 to the City's basic financial statements for the year ended June 30, 2022. Governmental funds and proprietary funds account for the City's federal grant activity. Amounts reported in the Schedule are recognized on the modified accrual basis when they become a demand on current available federal resources and eligibility requirements are met, or on the accrual basis at the time liabilities are incurred and all eligibility requirements are met, depending on the basis of accounting used by the respective fund. Such expenditures are recognized following the cost principles contained in the Uniform Guidance or other regulatory requirements, wherein certain types of expenditures are not allowable or are limited as to reimbursement. Negative amounts, if any, shown on the Schedule represent adjustments or credits made in the normal course of business to amounts reported as expenditures in prior years. De Minimis Rate Used: N Rate Explanation: The City has elected not to use the 10 percent de minimis indirect cost rate allowed under the Uniform Guidance. The accompanying schedule of expenditures of federal awards (Schedule) includes the federal award activity of the primary government of the City of Phoenix, Arizona (City) under programs of the federal government for the year ended June 30, 2022. The Citys reporting entity is defined in Note 1 in the Citys basic financialstatements for the year ended June 30, 2022. 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). Because the Schedule presents only a selected portion of the operations of the City, it is not intended to and does notpresent the financial position, changes in net position/fund balance or cash flows of the City. The City's basic financial statements include the operations of Valley Metro Rail, Inc., a joint use agreement of the City, which expended $343,745,464 in federal awards which are not included in the Citys schedule of expenditures of federal awards for the year ended June 30, 2022.
Title: Federal Loan Programs Accounting Policies: The City's summary of significant accounting policies is presented in Note 1 to the City's basic financial statements for the year ended June 30, 2022. Governmental funds and proprietary funds account for the City's federal grant activity. Amounts reported in the Schedule are recognized on the modified accrual basis when they become a demand on current available federal resources and eligibility requirements are met, or on the accrual basis at the time liabilities are incurred and all eligibility requirements are met, depending on the basis of accounting used by the respective fund. Such expenditures are recognized following the cost principles contained in the Uniform Guidance or other regulatory requirements, wherein certain types of expenditures are not allowable or are limited as to reimbursement. Negative amounts, if any, shown on the Schedule represent adjustments or credits made in the normal course of business to amounts reported as expenditures in prior years. De Minimis Rate Used: N Rate Explanation: The City has elected not to use the 10 percent de minimis indirect cost rate allowed under the Uniform Guidance. The City has certain revolving loan funds, which were originally financed with federal financial assistance through the Community Development Block Grants/Entitlement Grants Cluster (Assistance Listing Number 14.218) and HOME Investment Partnership Program (Assistance Listing Number 14.239). Under these loan agreements, the City has either loaned money to nonprofit corporations for the purpose of establishing and/or improving public housing units or to single families providing affordable housing. Certain loans under this program have no continuing compliance requirements other than continued loan payments, therefore, the outstanding loan balances of such loans have not been included in the Schedule and major program determination. Certain loans are subject to continuing compliance requirements and as such, these loans outstanding at the beginning of the year and loans made during the year are included in the federal expenditures presented in the Schedule. The outstanding loan balances as of June 30, 2022, are as follows: Loans Not Subject to Continuing Compliance Requirements: Assistance Listing #14.218 Community Development Block Grants/Entitlement Grants Cluster $247,626; Assistance Listing #14.239 Home Investment Partnerships Program $2,563,771. Loans Subject to Continuing Compliance Requirements: Assistance Listing #14.218 Community Development Block Grants/Entitlement Grants Cluster $28,380,774; Assistance Listing #14.239 Home Investment Partnerships Program $81,477,394.

Finding Details

Finding: Activities Allowed or Unallowed, Allowable Costs/Cost Principles, and Eligibility Federal Program: COVID-19 - Emergency Rental Assistance Program Assistance Listing No.: 21.023 Federal Agency: Department of Treasury Criteria or specific requirement: In accordance with the Consolidated Appropriations Act, 2021, sections 501(c)(2)(C)(ii) of the Act grantees should establish and adhere to reasonable policies for evaluating household applications within Treasury?s framework providing for the use of self-attestation, categorical eligibility, and fact-specific proxies in qualifying circumstances. Condition: Required eligibility determinations were found to be incomplete (including obtaining required documentation/verification). Eligibility could not be determined for select individual program recipients as the required documentation was missing for the files to determine eligibility. Cause: Internal protocols over eligibility determinations were not adhered to, to ensure that individual program recipients were eligible for the program. Effect or Potential Effect: Amounts provided to or on behalf of eligible participants are in question due to missing documentation to base eligibility determinations. As such, certain eligibility costs provided to participants have been deemed questioned costs. Questioned Costs: $56,235. Questioned costs were determined by reviewing the amounts provided to participants that have been deemed ineligible due to missing documentation to base an eligibility determination. Context: During our testing, the City made us aware of a complaint provided through the City's Integrity Line. As a result of the complaint, an internal investigation was conducted, where certain participant files were missing documentation to base an eligibility determination. Identification as a Repeat Finding: N/A Recommendation: Management should review existing procedures to ensure that required eligibility determinations are consistently made (including obtaining required documentation/verification) and verified by supervisory staff prior to program participants receiving financial assistance/benefits. Views of Responsible Officials: We agree with the finding. See separate report for planned corrective actions.
Finding: Activities Allowed or Unallowed, Allowable Costs/Cost Principles, and Eligibility Federal Program: COVID-19 - Emergency Rental Assistance Program Assistance Listing No.: 21.023 Federal Agency: Department of Treasury Criteria or specific requirement: In accordance with the Consolidated Appropriations Act, 2021, sections 501(c)(2)(C)(ii) of the Act grantees should establish and adhere to reasonable policies for evaluating household applications within Treasury?s framework providing for the use of self-attestation, categorical eligibility, and fact-specific proxies in qualifying circumstances. Condition: Required eligibility determinations were found to be incomplete (including obtaining required documentation/verification). Eligibility could not be determined for select individual program recipients as the required documentation was missing for the files to determine eligibility. Cause: Internal protocols over eligibility determinations were not adhered to, to ensure that individual program recipients were eligible for the program. Effect or Potential Effect: Amounts provided to or on behalf of eligible participants are in question due to missing documentation to base eligibility determinations. As such, certain eligibility costs provided to participants have been deemed questioned costs. Questioned Costs: $56,235. Questioned costs were determined by reviewing the amounts provided to participants that have been deemed ineligible due to missing documentation to base an eligibility determination. Context: During our testing, the City made us aware of a complaint provided through the City's Integrity Line. As a result of the complaint, an internal investigation was conducted, where certain participant files were missing documentation to base an eligibility determination. Identification as a Repeat Finding: N/A Recommendation: Management should review existing procedures to ensure that required eligibility determinations are consistently made (including obtaining required documentation/verification) and verified by supervisory staff prior to program participants receiving financial assistance/benefits. Views of Responsible Officials: We agree with the finding. See separate report for planned corrective actions.