REPORT OF THE OFFICE OF THE INSPECTOR GENERAL
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1 OFFICE OF THE INSPECTOR GENERAL CHICAGO HOUSING AUTHORITY REPORT OF THE OFFICE OF THE INSPECTOR GENERAL 2016 FOURTH QUARTER REPORT OCTOBER 1, 2016 THROUGH DECEMBER 31, 2016 ELISSA RHEE-LEE INSPECTOR GENERAL JANUARY 13,
2 January 13, 2017 To Chairman Hooker and Members of the Finance/Audit Committee: Enclosed for your review is the 2016 Fourth Quarter Report on the activities and initiatives of the CHA Office of the Inspector General (OIG) pursuant to the mission and directives as identified in the OIG Charter. The OIG received 165 complaints during the fourth quarter. Out of the 165 complaints, the OIG opened 18 new investigations and provided investigative support to the Housing Choice Voucher (HCV) and Public Housing departments on 62 matters. The OIG has 45 open investigations in various stages, including matters that are indicted, pre-indictment grand jury work as well as pending administrative investigations. The Capital Construction Department (CCD) Change Order Audit was completed during the fourth quarter. The report and our findings were discussed in closed session during the December 6 Finance/Audit Committee meeting. The OIG identified amongst other risks, an overbilling of $511, by a prime contractor related to the fire suppression allowance. The OIG auditors and analysts contributed significant amount of resources and time on a complex criminal fraud investigation during the fourth quarter. We anticipate action from the United States Attorney s Office in On December 13, 2016, the OIG provided fraud awareness training to members of the newly elected Central Advisory Board and Local Advisory Board in Bloomington, Illinois. The significant OIG activities for 2016 and overall goals for the OIG in 2017 will be addressed in the 2016 Annual Report. The OIG will continue to maintain its organizational independence from CHA and will continue to root out as well as prevent fraud, waste and abuse in the administration of CHA programs. As always, I thank Chairman Hooker and the members of the Finance/Audit Committee for its support and commitment to the OIG s mission. Respectfully submitted, Elissa Rhee-Lee Inspector General 2
3 TABLE OF CONTENTS PAGE A. MISSION STATEMENT 4 B. INVESTIGATIONS AND PROGRAM REVIEW STANDARDS 4 C. INVESTIGATIONS AND AUDITS 4 COMPLAINTS BY METHOD 5 COMPLAINT DISPOSITION 5 SUBJECT OF INVESTIGATION 5 INVESTIGATIVE CLASSIFICATION 6 CLOSED INVESTIGATIONS 6 INDICTMENTS/CONVICTIONS 6 PENDING INVESTIGATIONS 6 PENDING AUDITS AND REVIEWS 6 INVESTIGATIONS NOT CONCLUDED WITHIN SIX MONTHS 7 D. NOTABLE INVESTIGATIVE SUPPORT 7 E. CLOSED INVESTIGATIONS SYNOPSIS 8 CLOSED CRIMINAL CASES 8 CLOSED ADMINISTRATIVE CASES 9 F. CLOSED AUDITS AND REVIEWS SYNOPSIS 9 G. NOTABLE ADVISORIES 10 H. FRAUD AWARENESS TRAININGS 11 3
4 This quarterly report provides an overview of operations of the Office of the Inspector General (OIG) during the period of 10/01/2016 through 12/31/2016. This report includes statistical and narrative summaries of OIG activities for the past quarter. A. MISSION OF THE INSPECTOR GENERAL S OFFICE The OIG is an independent oversight office whose mission is to promote economy, efficiency and integrity in the administration of programs and operation of the Chicago Housing Authority (CHA). The OIG achieves this mission through: Criminal Investigations Administrative Investigations Program Reviews Performance Audits Advisories Fraud Awareness Training From these activities, the OIG issues reports of findings and disciplinary and policy recommendations to ensure that CHA officers, the Board of Commissioners, employees and vendors are held accountable for running an efficient, cost-effective operation. Furthermore, the OIG seeks to prevent, detect, identify, expose and eliminate waste, inefficiency, misconduct, fraud and abuse of public authority in CHA s use of federal funds. B. INVESTIGATIONS AND PROGRAM REVIEW STANDARDS The OIG conducts its investigations in accordance with the AIG Principles and Standards for Office of Inspectors General, generally accepted principles, quality standards and best practices applicable to federal, state, and local offices of Inspectors General. These include both general standards and qualitative standards as outlined in the above publication. Additionally, the OIG, at all times, exercises due professional care and independent impartial judgement in conducting investigations and the issuance of reports and recommendations. The OIG conducts audits of programs in accordance with Generally Accepted Government Auditing Standards issued by the Comptroller General of the United States and Principles and Standards for the Offices of Inspector General. Those standards require that we plan and perform the audit to obtain sufficient, and appropriate evidence to provide a reasonable basis for our findings and conclusions based on our audit objectives. The adherence to these standards ensures that audits and program reviews comprise the requisite independence, planning, organizing, staff qualifications, direction and control, coordination, reporting, confidentiality and quality assurance. C. INVESTIGATIONS The OIG conducts both criminal and administrative investigations into the performance of officers, employees, contractors, functions, and/or programs, either in response to complaints, audits or upon OIG s own initiative. 4
5 The OIG received 165 complaints/matters during the fourth quarter of Out of the 165 complaints, we provided investigative support to both internal and external stakeholders for 62 matters. We initiated 18 investigations, we referred 64 complaints to other agencies or departments and we declined 21 cases. Matters can be declined for a variety of reasons such as no specific information provided, insufficient resources to address, no actionable information contained in the allegation, or not within the OIG s jurisdiction. Of the 18 matters resulting in investigations, 5 were ultimately closed during the fourth quarter. Table # 1 Complaint by Method Complaint by Method Source s 85 Hotline 55 In Person 5 Mail 6 Fax 4 Analytics 10 Total 165 Table # 2 Complaint Disposition Complaint Disposition Disposition Investigations 18 Investigative Support 62 Referrals 64 Declined 21 Total 165 Table # 3 Subject of Investigation Subject of Investigation Subject Program Participants 6 Contractors, Subcontractors, Vendor 7 Employees 1 Other 4 Total 18 5
6 Table # 4 Investigative Classification Investigative Classification Classification Administrative 3 Criminal 15 Total 18 Table # 5 Closed Investigations Closed Investigations During the Quarter Classification Administrative 2 Criminal 3 Total 5 Table # 6 Indictments/Convictions Indictments/Convictions Action Category Indictments 0 Convictions 1 Restitutions 1 Total 1 * Table # 7 Pending Investigations Pending Investigations During the Quarter Classification Administrative 6 Criminal 39 Total 45 Table # 8 Pending Audits Pending Audits Audit Name Time Frame Follow-Up CHA Emergency Contracts 03/10/2017 PH Over Income 02/17/2017 Follow-Up Security Guard Services 03/31/2017 Occupancy Rate 02/28/2017 * One OIG investigation resulted in a conviction. As part of sentencing, the subject was required to pay restitution (See Page 8 - Closed Criminal Cases for details). 6
7 INVESTIGATIONS NOT CONCLUDED WITHIN SIX MONTHS Under the Inspector General Charter, the OIG must provide quarterly statistical data on pending investigations/matters open for more than six months. Of the 45 pending matters, 22 have been open for at least six months. The following table shows the general reasons why these matters remain open. Table # 9 Investigations Not Concluded within Six Months from Initiation Reasons A. Complex investigation, generally involve difficult issues of multiple subjects and/or under review by prosecuting agency B. Indicted cases, but no criminal disposition of Investigations 16 6 C. On-hold, in order to not interfere with another on-going investigation 0 Total 22 D. NOTABLE INVESTIGATIVE SUPPORT 1. OIG Support to HCV On June 14, 2016 the OIG was alerted that a CHA voucher holder was suspected of not residing in his Chicago HCV unit. The OIG subsequently initiated an investigation into this allegation. The OIG investigation determined that the HCV participant had previously received housing benefits from the Housing Authority of the City of Los Angeles (HACLA) since August On June 5, 2014, the HCV participant ported in to the CHA. The HCV participant was approved for an exception payment standard voucher for a unit located on the near north side of Chicago, Illinois. The OIG investigation determined that the HCV participant never moved to Chicago from California. The OIG investigation was not able to determine who was residing in the Chicago HCV unit. From 6/1/2014 through 7/1/2016, the HCV participant fraudulently received housing benefits totaling $60, from the CHA. The HCV participant ported back to the HACLA in July
8 The OIG presented the case to both the Cook County State s Attorney s Office and the LA County State s Attorney s Office for criminal prosecution. However, due to various issues including venue and location of the participant, as well as the participants health issues, both Offices declined the case for prosecution. The OIG recommended that the HACLA terminate the participant from the HCV program. Yet, HACLA had not issued a new voucher to the participant, and the matter was referred back to the CHA for termination. The CHA HCV Department has since issued a termination letter to the participant. E. CLOSED INVESTIGATIONS SYNOPSIS An OIG investigation can be either administrative, criminal or both. Administrative investigations generally involve violations of CHA rules, policies or procedures and may involve waste or inefficiency. For sustained administrative investigations, the OIG prepares a summary report of the investigation and its findings. These summary reports are presented to the CEO and the impacted department to facilitate an appropriate resolution. They are available upon request to the Audit Committee. In criminal cases, once there is sufficient evidence gathered for potential prosecution, the criminal investigation will be presented to a prosecuting agency for review. If the criminal case is declined by the presenting agency, the evidence can be referred to CHA departments for appropriate administrative sanctions including termination of participant s voucher, debarment, or civil action remedies. CLOSED CRIMINAL CASES Three cases were sustained and closed. The following is a summary of these cases: Wanda Goodloe Wanda Goodloe, 41, Chicago, Illinois was indicted on April 19th, 2016 in Cook County Court for fraudulently obtaining housing benefits from the Chicago Housing Authority (CHA). Goodloe was charged with four felony counts including Theft and Continuing Financial Crimes Enterprise. The OIG investigation revealed that Goodloe was a household member on her mother s Housing Choice Voucher. Goodloe maintained a Power of Attorney for the HCV Participant (her mother) and submitted HCV applications on her mother s behalf in 2007, 2009, 2011 and In those applications, Goodloe reported no annual income for herself and submitted Zero Income affidavits. The OIG investigation determined that Goodloe failed to report her annual income of between $33,934 and $47,184 from 2005 through Goodloe has worked for the same employer since The loss to the CHA was determined to be approximately $117,000 for the years On November 22, 2016 Goodloe pled guilty to Theft of Government funds and was sentenced to 2 years probation and ordered to pay restitution to the CHA totaling $8,
9 INC The Chicago Housing Authority (CHA) Office of the Inspector General (OIG) opened an investigation based on data analytics of HCV tenants who appeared to be renting from a relative. In addition, the identified vendor address for the landlord was the same address as the HCV property. The investigation revealed that the HCV property was a two story multi-unit home and the allegation that the participant and landlord resided jointly was determined to be unfounded. The investigation confirmed, however, that the HCV participant was in fact renting a unit owned by her son and that both the HCV participant and the landlord were violating CHA policy, which prohibits renting a unit to/from a family member without prior CHA approval. The above information was provided to the HCV Department for appropriate administrative action. INC The Chicago Housing Authority (CHA) Office of the Inspector General (OIG) opened an investigation based on data analytics of HCV tenants who appeared to be renting from a relative. In addition, the identified vendor address for the landlord was the same address as the HCV property. The investigation revealed that the landlord owned and resided at a different location and the allegation that the participant and landlord resided jointly was determined to be unfounded. The investigation confirmed, however, that the HCV participant was in fact renting a unit owned by her son and that both the HCV participant and the landlord were violating CHA policy, which prohibits renting a unit to/from a family member without prior CHA approval. The above information was provided to the HCV Department for appropriate administrative action. CLOSED ADMINISTRATIVE CASES Two administrative cases were closed that were not sustained. F. CLOSED AUDITS AND REVIEWS SYNOPSIS The investigative team continues to rely heavily on the audit team for investigative support in financial frauds and forensic accounting matters. This support is critical to allow the OIG to conduct and lead large, multi-jurisdiction, complex matters. It was anticipated that the need for audit staff support on investigative matters will continue to be an integral part of OIG investigations. The OIG closed one audit during the fourth quarter, and currently has four pending audits. Below is a summary of the closed audit: 9
10 Change Order Audit The OIG conducted a performance audit of change order (C.O.) practices for construction by the CHA Capital Construction Department (CCD). Primarily, the audit assessed the risk environment and the existing controls to minimize potential for fraud, waste and abuse. The following notable observations are based on a sample of approved and closed contracts during Fiscal Year 2015: 1. CCD did not have formally approved policies and procedures for the department. There was also no centralized system for construction project related documents. 2. The C.O process was not in compliance with CHA s Procurement Manual requirement. 3. In regards to the use of a fire suppression allowance, a. There was a lack of comprehensive assessment of the general scope at the initiation of projects. b. CCD used the Fire Suppression Allowance for a task unrelated to the City of Chicago Life Safety and High-Rise Ordinance Fire Code. c. Contractors improperly charged overhead and profit costs for a total of $511,157.26, which represents 16% of the total cost of the work. 4. The roles and responsibilities of internal stakeholders were not clearly defined amongst the C.O. committee members. 5. Bonding requirements were not confirmed for the bond adjustments related to the C.O. s. Even though CHA reimbursed the General Contractor (G.C) for the cost of the bond adjustments, no supporting documentation were provided by the G.C. that verified additional bond was purchased. 6. There was an inconsistent application of the Significant Actions Policy (now corrected by the Board approved Significant Actions Policy). 7. The independent cost estimate (ICE) and the G.C. s cost proposal were not congruent. The Audit was presented to the Audit Committee on December 6 th, During the course of the audit, CCD made significant process improvements to mitigate the risks and continues to act accordingly to meet operational goals and objectives of the CHA Plan Forward. G. NOTABLE ADVISORY Advisory 8 To gain knowledge of CHA s outside third-party vendors and the risks associated with these relationships, the OIG analyzed two of CHA s existing system applications. Based on the analysis, there is an abundant amount of vendor records in Yardi that are either duplicates and/or inactive vendors. Because these are two common fraud indicators related to fictitious vendors and/or duplicate payments, it remains imperative to eliminate redundant and inconsistent records, while strengthening controls to ensure proper authorization and record accuracy. Advisory 8 was written and disseminated on November 23, 2016, which includes the analysis objectives, data source and methodology, findings, conclusions and 10
11 recommendations. The OIG is working with CHA to conduct due diligence on third-party relationships and to assist in detecting and preventing vendor-related fraud schemes. H. FRAUD AWARENESS TRAINING On December 13, 2016, the OIG provided a fraud awareness training to members of the newly elected Central Advisory Board and Local Advisory Board in Bloomington, Illinois. The OIG will continue to provide training to diverse groups of internal and external stakeholders in The OIG believes that training is pivotal in the reporting and prevention of fraud, waste and abuse of CHA funds. 11
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