Finding 496301 (2023-001)

Material Weakness
Requirement
L
Questioned Costs
-
Year
2023
Accepted
2024-09-10

AI Summary

  • Core Issue: HSI Group lacks adequate controls over financial reporting, leading to delays in filing audited statements.
  • Impacted Requirements: Compliance with reporting standards for the SEFA and timely submission of audited financial statements to the FAC.
  • Recommended Follow-Up: HSI Group should improve internal controls and procedures to ensure timely and accurate financial reporting.

Finding Text

Finding No. 2023-001: Financial Reporting (Material Weakness) Federal Agency: U.S. Department of Housing and Urban Development Federal Program Title: Section 8 Project-Based Cluster Federal Assistance Listing Number: 14.195, 14.182 Compliance Requirement: Reporting Criteria Housing and Services, Inc. and Related Entities (collectively, the "HSI Group") should maintain appropriate controls over the financial reporting process to prevent or detect material misstatements in its schedule of expenditures of federal awards ("SEFA") and timely file consolidated and combined audited financial statements to the federal audit clearinghouse ("FAC"). Condition The HSI Group did not have adequate controls over the financial reporting process and, as a result, was unable to timely file audited consolidated and combined financial statements to FAC and material adjustments to its SEFA were required. Cause HSI Group did not have sufficient controls over the financial reporting process to allow for timely filing of audited consolidated and combined financial statements to FAC and accurate SEFA preparation. Effect HSI Group did not submit its 2022 audited consolidated and combined financial statements to FAC within nine months of its fiscal year end and material adjustments were made to the SEFA for the inclusion of additional amounts and programs.The finding is a not repeat finding. Questioned costs None Recommendation HSI Group should review and enhance its internal controls, policies and procedures to ensure that the year-end close process is performed in a timely and accurate manner and includes complete and accurate reporting.

Corrective Action Plan

Views of responsible officials The late 2022 submission was ultimately the result of Management’s decision to await clarification from the mortgage lender Webster Bank. Housing and Services, Inc. and certain related entities acting as guarantors of Bedford 203 LP’s construction loan were released from their guarantor obligations upon Bedford 203 LP’s conversion to permanent financing. The request for clarification was made in mid-September 2023 and Webster Bank’s response was obtained in early October 2023, resulting in the late submission. Management acknowledges that completion of the 2023 financial statements, originally anticipated to be completed in June 2023, were delayed by Management’s efforts to enhance its understanding in the accounting for new construction during the summer of 2023. The submission was completed and resolved on November 9, 2023. Omissions in the Schedule maintained during 2023 primarily pertain to construction lending by the City of New York’s Department of Housing Preservation and Development that utilized federal funding and project-based Section 8 rental assistance. Management inadvertently only presented the construction lending in the years of expenditure. Such expenditures were duly reported upon and audited during the years of expenditures and were maintained within the financial records of Housing and Servies, Inc. and the applicable related entities but were subsequently omitted from the Schedule in the years following. Management concurs with Finding No. 2023-001 and, as of August 2024, management has enhanced its internal controls and augmented its personnel to ensure that such reporting under Title 2 U.S. Code of Federal Regulations Part 200, Uniform Administrative Requirements, Cost Principles, and Audit Requirements for Federal Awards is compliant, complete, and accurate for the 2023 Schedule and going forward.

Categories

Reporting

Other Findings in this Audit

  • 496302 2023-001
    Material Weakness
  • 496303 2023-001
    Material Weakness
  • 1072743 2023-001
    Material Weakness
  • 1072744 2023-001
    Material Weakness
  • 1072745 2023-001
    Material Weakness

Programs in Audit

ALN Program Name Expenditures
14.241 Housing Opportunities for Persons with Aids $4.28M
14.182 Section 8 New Construction and Substantial Rehabilitation $979,682
14.239 Home Investment Partnerships Program $766,710
14.267 Continuum of Care Program $408,700
14.195 Section 8 Housing Assistance Payments Program $180,803