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DavidW5 (North Carolina)
Posts: 565
Posted:
In 2007 our HOA ran a budget surplus of $102,000. This was due to the developer controlled board unnecessarily raising the monthly assessment, poor budgeting, failure to carry out maintenance and repairs, and lower than expected snow removal expenses. These excess funds have been allowed to remaine in the operating account. The HOA checking account now has a balance of over $300,000! This, of course, greatly exceeds the FDIC insurance limit.

First question: Has the management agent failed in their fiduciary duty by allowing those funds in the checking account exceeding the FDIC insurance limit to be at risk? The FDIC is expecting a significant number of bank failures this year. The management agent has also allowed several CD's holding replacement reserve funds to accumulate interest which raises their principal over $100,000.

Second question: What should happen with the surplus funds from 2007? Can they properly remain in the operating account? If they are not placed in the replacement reserve fund, do they create a tax liability for the HOA?

On a slightly different topic: Here in Virginia a developer controlled board can choose to pay the assessments on the unsold lots or pay any year end deficit. Our developer chose the option to pay any deficit. In 2006 the HOA ran a deficit of $40,000. Despite being billed for that amount by the Management Agent, the developer still has not paid the deficit. Is the HOA entitled to interest on that unpaid amount? How can we force payment by the developer? The developer controls the board and therefore, directs the actions of the HOA attorney so that avenue is not available. Any suggestions?

Dave
SusanW1 (Michigan)
Posts: 5,202
Posted:
Your Board needs to go over the concept of a not-for-profit.

Having said that, how did this get SO overboard? (Unless you haven't told us your operating budget is 2 million dollars, in which case an end of year $300,000 balance is not that much)
DavidW5 (North Carolina)
Posts: 565
Posted:
Our annual operating budget IS around $2M per year. Assessment income is currently running at around $170K per month.

I am not on the board so I can't answer as to how this got so overboard other than to say that the board consists solely of employees of the developer who can't seem to be bothered by something as silly as fiscal responsibility!
GlenL (Ohio)
Posts: 5,491
Posted:
What do your documents and/or state law say about surpluses? Our CC&R's called for surplus to be returned to the HO as reduced assessments then Ohio changed the law to allow the surpluses to be placed into reserves.

Studies show that 5 out of 4 people have problems with fractions
SusanW1 (Michigan)
Posts: 5,202
Posted:
It is not unusual to keep 6 months operational funds in reserve. (NOTE: I did not say Reserve Fund - that's a different thing) For your budget, $2 - $300,000 would not be out of line to keep in the checking account.

RogerB (Colorado)
Posts: 5,067
Posted:
David, your Board is doing a bad job of financial management and possibly of promptly doing maintenance and repairs.

Q1. According to my bank an amount over $100,000 may or may not exceed the FDIC insurance limit. I was advised that it is $100,000 per signee. Nevertheless it is ridiculus to not have most of those funds in a higher interest bearing account. The Managing Agent should not be controlling association funds; that is the responsibility of the Board through their Treasurer. The Board needs to structure CD's to be laddered with amounts that never exceed $100,000.

Q2. Some or all of the surplus funds can be moved into a reserve account unless the controlling docs state otherwise. There will probably be no tax consequences (so long as the HOA is using and still qualifies to use form 1120-H).

So long as the Developer controls the Board it will be difficult to enforce payment by the Developer. The homeowners could join together and bring a suit agains the Developer but I would not recommend doing so.

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