Finding 1205927 (2025-001)

Material Weakness Repeat Finding
Requirement
N
Questioned Costs
-
Year
2025
Accepted
2026-04-06

AI Summary

  • Core Issue: The Agency failed to obtain prior written approval from HUD before transferring funds from the replacement reserve account.
  • Impacted Requirements: This action violates the Capital Advance Regulatory Agreement, leading to noncompliance.
  • Recommended Follow-Up: Management should communicate with HUD to address the issue and ensure future compliance by obtaining necessary approvals.

Finding Text

Finding No. 2025‐001: Special Tests and Provisions ‐ Material Weakness in internal controls over compliance and compliance finding Criteria: The Capital Advance Regulatory Agreement for the United States Housing and Urban Development (HUD) funded loan program requires that disbursements from the replacement reserve fund be made only after receiving consent in writing from HUD. Condition: The Agency did not get prior written approval from HUD when transferring funds out of the replacement reserve account. Cause: Funds were erroneously transferred to the management company to pay accrued management fees. Effect: The Agency is not in compliance with the Capital Advance Regulatory Agreement that governs the loan program. Questioned costs: $15,000 Recommendation: We recommend that management communicate with their oversight agency the required steps to remedy the noncompliance. We also recommend that going forward management obtains written prior approval from HUD before disbursing funds from the replacement reserve account. Management’s Response: See corrective action plan.

Corrective Action Plan

Special Tests and Provisions – Material Weakness in Internal Controls over Compliance (Replacement Reserve Disbursement – HUD Approval Requirement) Management Response Management acknowledges that a disbursement of $15,000 was made from the replacement reserve account without obtaining prior written approval from HUD, as required under the Capital Advance Regulatory Agreement. Management recognizes that appropriate controls were not in place to prevent disbursement of restricted reserve funds without required approval, resulting in noncompliance. Management has initiated communication with HUD to disclose the transaction and request guidance on the appropriate resolution. The organization will comply with all directives issued by HUD and will continue to follow up as necessary to ensure timely resolution. Corrective Actions Implemented / To Be Implemented • A formal control will be implemented requiring documented written HUD approval prior to any disbursement from the replacement reserve account. • All reserve disbursements will require documented HUD approval prior to processing and will be subject to Controller review to ensure compliance with HUD requirements. • Replacement reserve accounts will be formally designated as restricted funds within internal financial procedures. • A formal policy governing replacement reserve disbursements will be established. • Alternative funding sources will be used when HUD approval is not available. • Training will be provided to relevant staff on HUD requirements and reserve controls.Training Training on reserve account procedures will be conducted by May 1, 2026, with refresher training annually. Responsible Staff: Controller – Oversight of compliance Chief Executive Officer (CEO) – Final accountability Implementation Date: Corrective actions related to implementation of review controls will be implemented immediately. Resolution will follow HUD guidance.

Categories

Internal Control / Segregation of Duties Special Tests & Provisions HUD Housing Programs Material Weakness Matching / Level of Effort / Earmarking

Other Findings in this Audit

  • 1205928 2025-002
    Material Weakness Repeat

Programs in Audit

ALN Program Name Expenditures
14.181 SUPPORTIVE HOUSING FOR PERSONS WITH DISABILITIES $1.22M
14.856 LOWER INCOME HOUSING ASSISTANCE PROGRAM SECTION 8 MODERATE REHABILITATION $70,711