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Department of Housing and Urban Development

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Open Recommendations (78 total)

Homelessness: Better HUD Oversight of Data Collection Could Improve Estimates of Homeless Population

GAO-20-433
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1 Open Recommendations
1 Priority
Agency Affected Recommendation Status
Department of Housing and Urban Development
Priority Rec.
HUD's Office of Special Needs Assistance Programs should assess and enhance the usefulness of its assistance to CoCs' data collection efforts. (Recommendation 3)
Open – Partially Addressed
In March 2023, HUD officials told us they were developing an outreach strategy to work with CoCs on PIT count methodologies. The intent of this outreach strategy is to talk to CoCs about their methodologies, answer questions, and determine if additional guidance or assistance is needed. As of February 2024, officials told us they still intend to assess their outreach efforts but their ability to fully implement this effort is currently limited. Meanwhile, HUD provided evidence it has developed a random sample of CoCs to provide one-on-one outreach and assistance on PIT count data and methodology submissions. HUD also provided evidence of consultations between the Office of Special Needs and Assistance Programs with CoCs seeking additional guidance or clarification of PIT count methodologies, as well as exceptions to use alternative data source in a CoC's PIT count data submission. We will continue to monitor HUD's progress in implementing this recommendation.

Freedom of Information Act: Actions Needed to Improve Agency Compliance with Proactive Disclosure Requirements

GAO-21-254
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1 Open Recommendations
Agency Affected Recommendation Status
Department of Housing and Urban Development The HUD Chief FOIA Officer should comply with proactive disclosure requirements, including identifying and electronically posting all records that have been released in response to a FOIA request and requested three or more times. (Recommendation 3)
Open – Partially Addressed
HUD concurred with the recommendation and planned for its headquarters office to work with field offices to develop a universal process for identifying and posting records. In January 2023, HUD issued its Proactive Disclosure Policy. In May 2023, HUD issued HUD Procedures for Compliance with Proactive Disclosure Obligations, which describes the actions necessary to implement the Proactive Disclosure Policy, including requirements for identifying and posting records that have been released in response to a FOIA request and requested three or more times. As of June 2023, HUD had posted some of these records to its "Proactive Disclosures and Frequently Requested Materials" webpage (https://www.hud.gov/program_offices/administration/foia/frequentrequestedmaterials). We will continue to monitor HUD's implementation of this recommendation by reviewing its postings to this webpage as well as the HUD FOIA Reading Room (https://www.hud.gov/program_offices/administration/foia/readingroom).

Freedom of Information Act: Actions Needed to Improve Agency Compliance with Proactive Disclosure Requirements

GAO-21-254
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1 Open Recommendations
Agency Affected Recommendation Status
Department of Housing and Urban Development The HUD Chief FOIA Officer should track the number of proactive disclosures and report this information in its Annual FOIA Report. (Recommendation 5)
Open – Partially Addressed
HUD concurred with the recommendation and is working to incorporate the identification of recurring requests and other potential records for proactive disclosure in its tracking system. In fiscal year 2020, HUD reported 4 proactive disclosures in its FOIA Annual Report. In January 2023, HUD issued its Proactive Disclosure Policy. In May 2023, HUD issued HUD Procedures for Compliance with Proactive Disclosure Obligations, which describes the actions necessary to implement the Proactive Disclosure Policy, including tracking and reporting on proactive disclosures, as required. When HUD's next Annual FOIA Report is published in March 2024, we will review the reported proactive disclosure data to assess whether HUD is tracking and reporting the information as required.

Disaster Recovery: HUD Should Take Additional Action to Assess Community Development Block Grant Fraud Risks

GAO-21-177
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1 Open Recommendations
Agency Affected Recommendation Status
Department of Housing and Urban Development In comprehensively assessing fraud risks to CDBG-DR, the Assistant Secretary for Community Planning and Development should involve relevant stakeholders in the assessment process, including CDBG-DR grantees (states, territories, and local governments) that design and implement fraud controls. (Recommendation 2)
Open – Partially Addressed
In February 2024, HUD provided evidence that it gathered input from relevant CDBG-DR stakeholders through a Request for Information (RFI) for HUD's CDBG-DR Rules, Waivers, and Alternative Requirements (87 FR 77864) and that the agency received a total of 87 comments during the comment period, which are publicly available. HUD also stated that it conducted risk-based monitoring of grantee activities to ensure compliance with CDBG-DR requirements. HUD completed its fiscal year 2023 risk-based monitoring of grantees and provided plans to conduct monitoring and technical assistance for fiscal year 2024. HUD also stated that it gathered input from relevant CDBG-DR stakeholders through the same RFI process noted above on the following including: 1) techniques or requirements HUD could employ to enhance grantee capacity to comprehensively assess the likelihood of potential fraud risks; 2) technical assistance to assist grantees in preventing and identifying potential contractor fraud; and 3) topics not specified in the RFI, which might include likelihood of fraud if it is an area of interest to a commenter. While HUD has taken steps to gather input from stakeholders related to fraud risks, the agency has not yet incorporated them in a comprehensive fraud risk assessment specific to CDBG-DR.

Disaster Recovery: HUD Should Take Additional Action to Assess Community Development Block Grant Fraud Risks

GAO-21-177
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1 Open Recommendations
Agency Affected Recommendation Status
Department of Housing and Urban Development The Assistant Secretary for Community Planning and Development should comprehensively assess fraud risks to CDBG-DR, including identifying inherent fraud risks affecting it, assessing the likelihood and impact of inherent fraud risks, determining fraud risk tolerance, and examining the suitability of existing fraud controls. The assessment should also consider CDBG-DR's risk environment and be informed by the fraud risks identified in this report. (Recommendation 1)
Open – Partially Addressed
In February 2024, HUD provided evidence that it completed its Front End Risk Assessment (FERA) in September 2023 using a template provided by the Office of the Chief Financial Officer. The template included questions related to fraud and requires the program to assess fraud culture, identify fraud risks, assign a likelihood of occurrence, assign an impact of occurrence, rank risks, and identify mitigation steps. While HUD has taken some steps to assess agency-wide fraud through its FERA, the September 2023 FERA does not comprehensively assess fraud risks specific to CDBG-DR, including identifying inherent fraud risks affecting it, assessing the likelihood and impact of inherent fraud risks, determining fraud risk tolerance, and examining the suitability of existing fraud controls. Further, HUD's completed FERA notes that HUD should conduct a comprehensive fraud risk assessment of CDBG-DR and pilot fraud risk management initiatives with grantees as part of HUD's broader fraud risk management effort led by the Office of the Chief Financial Officer. HUD also stated that it completed its annual Risk Profile in March 2023. While HUD has taken some steps to assess agency-wide fraud by adding a fraud category to the annual Risk Profile, the March 2023 Risk Profile does not comprehensively assess fraud risks specific to CDBG-DR. We will continue to monitor HUD's efforts to implement this recommendation and provide status updates accordingly.

Economic Development: Opportunities Exist for Further Collaboration among EDA, HUD, and USDA

GAO-21-579
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1 Open Recommendations
Agency Affected Recommendation Status
Department of Housing and Urban Development The Principal Deputy Assistant Secretary for Community Planning and Development at HUD should, in collaboration with EDA, monitor progress toward achieving outcomes of the two agencies' interagency agreement on community and economic development planning. (Recommendation 4)
Open – Partially Addressed
This recommendation is an action identified in GAO's 2023 annual Duplication and Cost Savings report. HUD generally agreed with the recommendation. As of March 2024, HUD has partially implemented this recommendation. Since we made this recommendation, community and economic development planning and coordination across federal, state and local agencies have become a part of larger efforts outlined in legislation passed 2021 (American Rescue Plan Act and Infrastructure Investment and Jobs Act). Officials from EDA and HUD stated that they revisited the 2016 interagency agreement in our report between HUD and EDA and stated it was limited to a specific task, which is complete. More specifics on the efforts can be found in the recommendation status updates for recommendations 1 and 3. For this recommendation on monitoring outcomes, both agencies agreed with the intent of the recommendation to further explore policies and actions that can further advance outcome driven collaboration and enhanced resource coordination among federal economic development programs. In addition, HUD plans to work with EDA to document information related to monitoring progress. For interagency current priority efforts, HUD stated it plans to document these existing collaborations and potential new areas of collaboration. With the creation of the new networks and collaborations between EDA and HUD and also USDA, it will be important for HUD to continue to consider how to incorporate leading practices in collaboration as they navigate the implementation of their programs for the current priorities, including clearly defining outcomes and ensuring accountability. We will continue to follow how HUD monitors the progress of its interagency efforts.

Homelessness: HUD Should Help Communities Better Leverage Data to Estimate Homelessness

GAO-22-104445
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1 Open Recommendations
Agency Affected Recommendation Status
Department of Housing and Urban Development HUD's Deputy Assistant Secretary for Special Needs should provide additional tools and information about how CoCs can use Homeless Management Information System and other administrative data to help improve the accuracy of their unsheltered Point-in-Time count. (Recommendation 1)
Open – Partially Addressed
As of February 2024, HUD has begun to take steps to address this recommendation. For example, in preparation for the 2024 unsheltered PIT count, HUD officials provided CoCs informal guidance on how to use administrative data to improve the accuracy of their PIT counts. HUD officials noted that a larger initiative is underway, pending budgetary resources, to develop more formal guidance. To fully implement this recommendation, HUD should develop more formal guidance or information and distribute it widely to all CoCs.

Environmental Justice: Federal Efforts Need Better Planning, Coordination, and Methods to Assess Progress

GAO-19-543
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1 Open Recommendations
Agency Affected Recommendation Status
Department of Housing and Urban Development The Secretary of Housing and Urban Development should issue a progress report on its environmental justice efforts each year. (Recommendation 16)
Open – Partially Addressed
In April 2023, the Council on Environmental Quality (CEQ), Office of Management and Budget (OMB), and the U.S. Digital Service published the first phase of a publicly available Environmental Justice (EJ) Scorecard, as directed by the February 2021 Executive Order 14008, "Tackling the Climate Crisis at Home and Abroad." Additionally, in April 2023, the White House issued Executive Order 14096, "Revitalizing Our Nation's Commitment to Environmental Justice for All." Executive Order 14096 builds on the foundational 1998 environmental justice Executive Order 12898 as well as Executive Order 14008. Executive Order 14096 directs agencies to develop an EJ strategic plan and submit to CEQ and make public an EJ assessment that evaluates the plan's effectiveness within two years, based on additional guidance to be provided by CEQ. This EJ assessment would fulfill the Executive Order 12898 requirement for agencies to submit annual EJ progress reports, and be included among other items in the EJ Scorecard. As of May 2023, the department is developing an updated EJ strategic plan and has published baseline information on the EJ Scorecard. We will continue to review the department's baseline information, actions, and provide updated information.

Housing Finance System: Future Reforms Should Consider Past Plans and Vulnerabilities Highlighted by Pandemic

GAO-22-104284
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1 Open Recommendations
Agency Affected Recommendation Status
Department of Housing and Urban Development The Secretary of HUD, as part of developing future housing finance reform plans, should consider recommendations from the 2019 plans that could help address system vulnerabilities and ensure future plans address all GAO framework elements. (Recommendation 2)
Open – Partially Addressed
HUD accepted our recommendation. In its comments on our report, HUD said it would consider recommendations and input from a range of sources, including the 2019 reform plans and GAO's framework, in developing plans to support its strategic objective of creating a more accessible and inclusive housing finance system. HUD's fiscal year 2022-2026 strategic plan, issued in March 2022, includes certain strategies that are consistent with elements of HUD's 2019 reform plan and GAO's framework. HUD also commented that future housing finance plans would consider the 2019 plans, GAO's framework, and the policies and priorities of the administration, but that it was uncertain whether or when the administration would introduce broader housing finance reform strategies. As of April 2024, the administration had not introduced such strategies. We will update the status of the recommendation as information on the administration's housing finance reform efforts becomes available.

Community Development: Federal Revitalization Programs Are Being Implemented, but Data on the Use of Tax Benefits Are Limited

GAO-04-306
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1 Open Recommendations
Agency Affected Recommendation Status
Department of Housing and Urban Development To facilitate the administration, audit, and evaluation of the EZ/EC and RC programs, HUD, USDA, and IRS should collaborate to (1) identify the data needed to assess the use of the tax benefits and the various means of collecting such data; (2) determine the cost-effectiveness of collecting these data, including the potential impact on taxpayers and other program participants; (3) document the findings of their analysis; and, if necessary, (4) seek the authority to collect the data, if a cost- effective means is available.
Open – Partially Addressed
In response to GAO's recommendation, officials from HUD, USDA, and IRS met to identify data needed to assess the use of the tax benefits and identified three means of collecting such data. These methods include (1) using existing data to extrapolate an estimate of the use of some tax benefits; however, such data would be limited to the national level; (2) changing tax return forms to indicate the Empowerment Zone or Renewal Community in which each benefit is claimed; and (3) surveying businesses located in Empowerment Zones and Renewal Communities about tax benefit use. They also discussed the cost-effectiveness of each of the data collection options. The IRS Director of Research, Analysis, and Statistics, sent a letter to GAO that documented these discussions and indicated that the agencies were unable to agree on a cost effective method of collecting the data. GAO has been told that none of the agencies plan to seek the authority to collect the data at this time.
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