Finding 1211181 (2024-001)

Material Weakness Repeat Finding
Requirement
L
Questioned Costs
-
Year
2024
Accepted
2026-05-01
Audit: 400373
Organization: Houston Housing Authority (TX)

AI Summary

  • Core Issue: The Authority faced a material weakness in internal controls due to inadequate financial oversight during a software transition, leading to significant adjustments in financial reporting.
  • Impacted Requirements: Compliance with generally accepted accounting principles and HUD requirements was compromised, delaying the audit process and affecting timely financial oversight.
  • Recommended Follow-Up: The Authority should enhance internal controls, improve the year-end closing process, and provide staff training to ensure accurate and timely financial reporting.

Finding Text

2024-001 Financial Reporting Material Weakness in Internal Control Material Noncompliance Condition: During our audit of the Authority’s financial statements, numerous adjustments were needed to properly report the financial statements in accordance with generally accepted accounting principles. Certain accounts had not been properly reconciled and corrective entries were not readily available. Significant audit adjustments were necessary for several audit areas and the audit was significantly delayed due to these adjustments. Context: We obtained the financial information from the Authority’s general ledger system. As part of our audit process, the financial information was compared to the unaudited submission sent to the U.S. Department of Housing and Urban Development Real Estate Assessment Center (“REAC”). While applying audit procedures, significant adjustments were identified as necessary to properly reflect the financial data in accordance with generally accepted accounting principles and to reflect the data schedule in accordance with HUD requirements. The required audit procedures were unable to be completed. Criteria: In accordance with AU-C 265, when a deficiency or a combination of deficiencies in internal control is identified, which indicates that there is a reasonable possibility that a material misstatement of the financial statements will not be prevented or detected and corrected on a timely basis, a material weakness should be reported. Cause: The Authority was unable to maintain proper oversight of its financial closing processes and recordkeeping during an accounting software conversion and staff transitions. As a result the Authority did not have access to accurate closing schedules and was not able to implement the internal controls and processes to ensure that the general ledger and the unaudited REAC submission was complete and accurate. Effect: The general ledger and the unaudited data submitted to REAC required numerous and material audit adjustments that delayed the audit, and therefore HUD could not provide proper timely financial oversight based on the unaudited REAC submission. Auditor’s Recommendations: The Authority should continue to develop and implement internal controls over both internal and external reporting, and the year-end close process to ensure reporting remains accurate and timely, with any unexpected financial data being investigated and corrected before it is reported. The Authority should consider additional staff training on development activities. Management Response: See Corrective Action Plan. Delayed Financial Reporting Material Weakness in Internal Control Material Noncompliance Moving to Work Demonstration Program AL No. 14.881 Housing Voucher Cluster Section 8 Project-Based Cluster Same as Financial Statement Audit Finding 2024-001 above Management Response: See Corrective Action Plan.

Corrective Action Plan

2024-001 Financial Reporting Material Weakness in Internal Control Material Noncompliance Condition: During our audit of the Authority’s financial statements, numerous adjustments were needed to properly report the financial statements in accordance with generally accepted accounting principles. Certain accounts had not been properly reconciled and corrective entries were not readily available. Significant audit adjustments were necessary for several audit areas and the audit was significantly delayed due to these adjustments. Auditor’s Recommendations: The Authority should continue to develop and implement internal controls over both internal and external reporting, and the year-end close process to ensure reporting remains accurate and timely, with any unexpected financial data being investigated and corrected before it is reported. The Authority should consider additional staff training on development activities. Action Taken: The Houston Housing Authority agrees with this finding and related recommendations. During this audit, as these issues arose, notes were taken, evaluation of what had happened was made so that we could make the necessary adjustments to our procedures to prevent the continuation of these issues. In addition, in the previous year we hired a firm to come in and undertake a review of the finance department. The purpose of this review was to review our existing staffing levels, workloads, experience, etc., for purposes of proposing a reorganization of the finance department to address any deficiencies. We have reviewed the recommendations from this consultant and are in the process of implementing many of the recommended changes. There have been a number of staffing changes made during the year with the intent of improving the overall performance of the finance department. We are in the process of evaluating if additional staff are needed to expand the capacity of the Finance department. In November of 2024 the Houston Housing authority converted to a new accounting system. The Yardi system was implemented and we began processing all transactions on this new system. Unfortunately, there have been a significant amount of post implementation corrections and modifications that have had to be made and continue to occur. We are still undergoing these implementation and modification processes and as a result of this we continue to have to make adjusting entries to correct errors as they are discovered. To further complicate this system conversion there were a number of changes made to the management companies that we utilize to do our primary property level accounting. They have also been converting portions of their accounting systems to Yardi. Many of the same problems that have been encountered during our system conversion have also been encountered by the management companies. It is anticipated that most of these system conversion related issues will be resolved within the 2025 calendar year. The VP Fiscal and Business Operations as well as the Director of Finance are responsible for implementing the necessary process and procedural changes to eliminate the need for this type of finding for the 2024 audit.

Categories

HUD Housing Programs Internal Control / Segregation of Duties Material Weakness Reporting

Other Findings in this Audit

  • 1211170 2024-001
    Material Weakness Repeat
  • 1211171 2024-002
    Material Weakness Repeat
  • 1211172 2024-003
    Material Weakness Repeat
  • 1211173 2024-001
    Material Weakness Repeat
  • 1211174 2024-003
    Material Weakness Repeat
  • 1211175 2024-001
    Material Weakness Repeat
  • 1211176 2024-001
    Material Weakness Repeat
  • 1211177 2024-004
    Material Weakness Repeat
  • 1211178 2024-001
    Material Weakness Repeat
  • 1211179 2024-004
    Material Weakness Repeat
  • 1211180 2024-004
    Material Weakness Repeat

Programs in Audit

ALN Program Name Expenditures
14.881 MOVING TO WORK DEMONSTRATION PROGRAM $293.77M
14.879 MAINSTREAM VOUCHERS $10.18M
14.871 SECTION 8 HOUSING CHOICE VOUCHERS $9.68M
14.267 CONTINUUM OF CARE PROGRAM $3.61M
14.231 EMERGENCY SOLUTIONS GRANT PROGRAM $3.41M
14.182 LOWER INCOME HOUSING ASSISTANCE PROGRAM_SECTION 8 NEW CONSTRUCTION/SUBSTANTIAL REHABILITATION $2.91M
14.870 Resident Opportunity & Supportive Services $830,008
14.856 LOWER INCOME HOUSING ASSISTANCE PROGRAM SECTION 8 MODERATE REHABILITATION $763,116
14.895 JOBS-PLUS PILOT INITIATIVE $387,394
14.249 SECTION 8 MODERATE REHABILITATION SINGLE ROOM OCCUPANCY $188,406
14.892 CHOICE NEIGHBORHOODS PLANNING GRANTS $150,000
14.191 MULTIFAMILY HOUSING SERVICE COORDINATORS $71,557
14.419 SECTION 3 COORDINATION AND IMPLEMENTATION $15,548