Office of Audit and Evaluation Director

Office of Audit and Evaluation Director

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Office of Audit Services and Management Support MEMORANDUM To: Lelia Allen, Director Housing and Community Development Department From: Beryl H. Davis, CPA, CGFM, Director Office of Audit Services and Management Support Date: September 8, 2008 Re: Follow-Up of Housing Rehabilitation Management Study (Report No. 08-05M) Attached is a summary of the status of recommendations as determined from our follow-up review of the Housing Rehabilitation Management Study (Report No. 07-01M), issued August 30, 2007. Our review procedures consisted of staff inquiries, examination of certain documents and a review of the status of the recommendations provided by the Housing and Community Development Department. Twenty-eight of the 37 recommendations in the original report were implemented, six were partially implemented and the remaining three are planned for implementation. Most of the six partially implemented recommendations are related to the Department’s efforts to develop and improve their internal operating procedures. According to the Department’s management, the operating procedures have been drafted and are in the process of being reviewed by senior management. The Housing and Community Development Department indicated that all partially implemented recommendations and two out of the three recommendations planned for implementation are expected to be fully implemented by December 2008. We commend the Housing and Community ...

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Office of Audit Services and Management Support MEMORANDUMTo: LeliaAllen, Director Housing and Community Development Department From: BerylH. Davis, CPA, CGFM, Director  Officeof Audit Services and Management SupportDate: September8, 2008 Re: Follow-Upof Housing Rehabilitation Management Study  (ReportNo. 08-05M)Attached is a summary of the status of recommendations as determined from our follow-up review of the Housing Rehabilitation Management Study (Report No. 07-01M), issued August 30, 2007. Our review procedures consisted of staff inquiries, examination of certain documents anda review of the status of the recommendations provided by the Housing and Community Development Department. Twenty-eight of the 37 recommendations in the original report were implemented, six were partially implemented and the remaining three are planned for implementation. Most of the six partially implemented recommendationsare related to the Department’s efforts to develop and improve their internal operating procedures. According to the Department’s management, the operating procedures have been drafted and are in the process of being reviewed by senior management. The Housing and Community Development Department indicated that all partially implemented recommendations and two out of the three recommendations planned for implementation are expected to be fully implemented by December 2008. We commend the Housing and Community Development Department for reengineering its work processes to significantly reduce the timeline for completing rehabilitation projects and foreliminating the waiting list’s backlog.We encourage Department management to finalize its review of the remaining operating procedures. Ion Luchin, Management Analyst II, performed this follow-up review. BHD/il Attachment c: HonorableBuddy Dyer, Mayor  MayanneDowns, City Attorney Brie Turek, Chief of Staff  ByronW. Brooks, Chief Administrative Officer  RebeccaW. Sutton, Chief Financial Officer
REPLY ANDIMPLEMENTATIONSUMMARYFOLLOW-UPREVIEW OFHOUSINGREHABILITATIONMANAGEMENTSTUDYCURRENT IMPLEMENTATION #RECOMMENDATIONSCOMMENTSRESPONSE CLIENT STATUSDATE 1. Formalizeand enhance the system forConcur Implemented4/2008 Documentsand procedures have reporting the most important projectbeen reviewed and in the information (i.e., status,process of being revised accomplishments to date). (HIGH) 2. Considersetting performance goals forConcur Implemented9/2007 Performancegoals have been each employee based on workloadestablished by each staff analysis and other information.member (MEDIUM) 3. Workwith Human Resources toConcur Plannedfor 2/2009All positions within the Housing improve present Position Descriptions.Implementation Rehabilitationsection will be (LOW) submittedfor reclassification as part of the 2009/2010 budget process 4. Regularlycommunicate departmentalConcur Implemented9/2007 Thisis accomplished at regularly goals at meetings and throughscheduled section and individual interactions with employees.department meetings (LOW) 5. Collaboratewith employees on aConcur Implemented9/2007 Staffreceives on-going training professional development policy. (LOW)and development opportunities 6. Adoptcross-training practices. (LOW)Concur Implemented9/2007 TheHousing Rehabilitation staff has adopted a cross training practice 7. DevelopOperational Procedures (i.e.,Concur withPartially 12/2008In process of formalizing internal procedures) for all critical stepsReservations Implementedstandard operating procedures of the Housing Rehab process. (HIGH)and incorporating them in City  Policiesand Procedures by 12/2008 8. Reviewall self-developed forms andConcur Partially12/2008 Formshave been reviewed and incorporate the most appropriate in theImplemented inthe process of being Operating Procedures. (MEDIUM).incorporated in the standard  operatingprocedures
REPLY ANDIMPLEMENTATIONSUMMARYFOLLOW-UPREVIEW OFHOUSINGREHABILITATIONMANAGEMENTSTUDYCURRENT IMPLEMENTATION #RECOMMENDATIONSCOMMENTSRESPONSE CLIENT STATUSDATE 9. Informemployees that all futureConcur Implemented12/2007 Staffhas been made aware of document improvement suggestionsthe procedure for changing should be presented to management fordocuments and procedures review and approval. (LOW) 10. Improvethe record sheet that isConcur Implemented4/2008 Therecord sheet was improved. included in every work file. (MEDIUM)A new accountability checksheet was developed. 11. Revisethe file system so that theConcur Implemented9/2007 Aproject tracking system was Housing Financial Specialist and thedeveloped to monitor projects Housing Rehab Specialist can eachwithout interfering with the process the file independent of themain file. Both financial other. (MEDIUM)specialist and rehab specialist  haveaccess to the tracking system 12. Documentin Operating Procedures theConcur Plannedfor 12/2008A draft of the process has been  inspectionsprocess, including theImplementation developedfor review and required documentation for a completeadditional input inspection. (HIGH) 13. Incorporatechecklists in the inspectionConcur Implemented10/2007 Aformal checklist has been  process.(HIGH) developedand incorporated in the inspection process 14. Explorethe possibility of automatingConcur Implemented10/2007 Thepossibility of automating  theinspection process through the usethe inspection process was of laptop computers. (MEDIUM)explored and found not feasible due to budget restraints. 15. ReviseOperating Procedures toConcur Partially12/2008 Formsand a process for  incorporatethe use and maintenance ofImplemented maintainingthe CR have been the Contractor’s Register. (HIGH) reviewedand in the process of being incorporated in the standard operating procedures 16. Evaluatethe performance of contractorsConcur Implemented4/2008 Allcurrent contractors are being at the close of each project and add thisevaluated at the end of each information to the contractor’s file.project (MEDIUM)
REPLY ANDIMPLEMENTATIONSUMMARYFOLLOW-UPREVIEW OFHOUSINGREHABILITATIONMANAGEMENTSTUDYCURRENT IMPLEMENTATION #RECOMMENDATIONSCOMMENTSRESPONSE CLIENT STATUSDATE 17. Documentin Operating Procedures theConcur Partially12/2008 Thisis a part of the draft of the processing of mortgages/liens includingImplemented newoperating procedures when and how adjustments to mortgages/liens should take place. (MEDIUM) 18. Developsystem to prevent backlogs andConcur withImplemented 4/2008A new process called Open the need to re-qualify applicants byReservations Enrollmenthas been restricting the processing ofimplemented. It eliminates the applications until the Housing Rehabneed to re-qualify applicants. Specialists are available to work on a new project. (HIGH) 19. Monitorand control the development ofConcur withImplemented 4/2008A project tracking system which each project through a regular projects-Reservations wasin place at the time of the in-progress review. (MEDIUM)audit study has been reviewed and revised 20. Revisethe application intake processConcur Implemented10/2007 TheOpen Enrollment Process away from “first-come first-has eliminated the “firstserved” to a-come priority system. (HIGH)first-served” process21. Sortthe applications received accordingConcur Implemented10/2007 TheOpen Enrollment Process to the urgency of the rehab problem.has beenimplemented and the (HIGH) sortingof applications will be incorporated 22. Informall applicants of the currentConcur Implemented10/2007 AnOpen Enrollment Process backlogs to avoid raising expectationshas been implemented which and making commitments that cannoteliminates expectations of be satisfied within reasonableservice by residents not enrolled timeframes. (HIGH) 23. Reorganizethe waiting list so that itConcur Implemented10/2007 AnOpen Enrollment Process only contains applications that can behas been implemented to completed within one year. (MEDIUM)address this recommendation 24. Reviewthe possibility of extending theConcur Implemented10/2007 TheOpen Enrollment Process time which clients’ qualification statushas eliminated the need to re-is considered valid from present 60 daysqualify clients to 90 days. (HIGH)
REPLY ANDIMPLEMENTATIONSUMMARYFOLLOW-UPREVIEW OFHOUSINGREHABILITATIONMANAGEMENTSTUDYCURRENT IMPLEMENTATION #RECOMMENDATIONSCOMMENTSRESPONSE CLIENT STATUSDATE 25.Improve the “completion and return ofConcur Plannedfor 12/2008In process of revising the forms application” process step by revisingImplementation application forms to make them more customer-friendly and easier to fill out. (MEDIUM) 26.Improve the “bid” process step by4/2008 TheHousing RehabilitationConcur Implemented reducing the time between the projectProgram Manager has walk-through and bid opening from 2developed a bid procedure that weeks to 7 business days. (HIGH)reduced the time from inspection to bid 27. Continueefforts to assist the client withConcur Implemented1/2008 Arelocation process is in place their responsibility to vacate the houseto assist each client vacate their in advance of construction. (MEDIUM)property 28.Improve the “contractor’s mobilization”Concur Implemented4/2008 Acooperative process was set process step by enforcing the currentwith the Permitting Department mobilization time of 5 business daysto expedite the respective and considering reducing the time to 3paperwork process. Permitting, business days for smaller projects.Surveying, Engineering, (HIGH) ArchitecturalDrawings and review continue to challenge this processtrying to isolate delays in order to expedite the process 29.Improve the “construction” process stepConcur Implemented10/2007 Currentprojects are not by enforcing current construction timedelayed. Will deduct retainage deadlines and by considering deductingwhen approved retainage from invoice payments on larger projects. (LOW) 30. Facilitatebrainstorming sessions withConcur Implemented10/2007 TheHousing Rehabilitation staff Housing Rehab staff to review eachhas facilitated several process step to determine if any furtherbrainstorming sessions to improvements can be made. (LOW)ensure that all processes have been thoroughly reviewed
REPLY ANDIMPLEMENTATIONSUMMARYFOLLOW-UPREVIEW OFHOUSINGREHABILITATIONMANAGEMENTSTUDYCURRENT IMPLEMENTATION #RECOMMENDATIONSRESPONSE CLIENTCOMMENTS STATUSDATE 31. Increasethe fieldwork activity in theConcur Implemented10/2007 TheHousing Rehabilitation workday structure by reducing time onProgram Manager has non-critical activities and setting a goaldeveloped an Inspection Field for the supervisor to increase staff timeSchedule that ensures adequate spent in the field.(HIGH)time is spent in the field 32. Improvethe data input/processing timeConcur Partially12/2008 Workingon acquiring a training by enhancing computer skills andImplemented software training on the Xactimate software. (MEDIUM) 33. Improvecommunication time byConcur Implemented10/2007 TheHousing Rehabilitation assigning the supervisor to handleProgram Manager is assigned to certain issues (e.g., customerhandle all Housing complaints after project completion,Rehabilitation issues not related quality issues with contractors, inquiriesto direct field work from elected officials and management). (MEDIUM) 34. Improvethe bid advertising process byConcur withPartially 12/2008Process has been reviewed and requiring all contractors listed onReservations Implementedin the process of being “Contractor’s Register” to receiveincorporated in the standard upcoming bid information and includeoperating procedure. Some process in Operating Procedures.limitations must be (HIGH) incorporatedto ensure that contractors don’ttake on more work than they can handle 35. Improvethe controls over the bidConcur withImplemented 10/2007The Housing Rehabilitation opening process by documenting theReservations ProgramManager and the date and time of bid opening, theGrants Accountant have individual bid amounts, and thedeveloped and implemented witnesses present at the bid opening.standard operating procedures (MEDIUM) forbid advertising and openings
REPLY ANDIMPLEMENTATIONSUMMARYFOLLOW-UPREVIEW OFHOUSINGREHABILITATIONMANAGEMENTSTUDYCURRENT IMPLEMENTATION #RECOMMENDATIONSCOMMENTSRESPONSE CLIENT STATUSDATE 36. Expandcurrent bid evaluation criteriaConcur withImplemented 4/2008The Housing Rehabilitation into areas that evaluate quality andReservations ProgramManager and the effectiveness of the contractor, usingGrants Accountant have information documented in thedeveloped. Contractor contractor evaluations. (MEDIUM)Evaluation Forms which are used in the contractor evaluation process 37. Improvecontrols over all additionalConcur withImplemented 4/2008The Change Order procedure work not included in the bidReservations hasbeen reviewed and internal specifications by requiring such work tocontrols have been strengthened be approved in advance by Housingthrough the enforcement of the management and by including detailedcontractors rules and steps for the request, review, andregulations approval process in the Operating Procedures. (HIGH)