Government Ethics:

HUD Financial Disclosure Reports Missing or Not Reviewed

GGD-90-51: Published: Feb 6, 1990. Publicly Released: Feb 6, 1990.

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Pursuant to a congressional request, GAO reviewed the Department of Housing and Urban Development's (HUD) financial disclosure system.

GAO found that HUD did not: (1) effectively collect and review financial disclosure statements from employees, experts, or consultants; (2) monitor regional compliance with confidential financial disclosure reporting requirements; (3) have formal written procedures for program implementation or sufficient management information or adequate staff to effectively manage the financial disclosure system; (4) hold its ethics official sufficiently accountable for developing an effective financial disclosure system; (5) adhere to regulations requiring its employees to file annual confidential disclosure statements by a specified date; (6) review and approve statements within 60 days of filing, as required; and (7) have procedures in place to identify and follow up on required filers.

Recommendations for Executive Action

  1. Status: Closed - Implemented

    Comments: Please call 202/512-6100 for information.

    Recommendation: The Secretary of Housing and Urban Development should ensure that the HUD financial disclosure program complies with the requirements set forth in the Ethics in Government Act and implementing regulations.

    Agency Affected: Department of Housing and Urban Development

  2. Status: Closed - Implemented

    Comments: Please call 202/512-6100 for information.

    Recommendation: The Secretary of Housing and Urban Development should ensure that there is strong day-to-day leadership, written guidance, and adequate staff resources applied to the program.

    Agency Affected: Department of Housing and Urban Development

  3. Status: Closed - Implemented

    Comments: Please call 202/512-6100 for information.

    Recommendation: The Secretary of Housing and Urban Development should ensure that the program's leadership is held accountable on a regular basis for the program's condition.

    Agency Affected: Department of Housing and Urban Development

  4. Status: Closed - Implemented

    Comments: Please call 202/512-6100 for information.

    Recommendation: The Secretary of Housing and Urban Development should require the designated agency ethics official (DAEO) to develop written procedures for distributing, collecting, reviewing, and approving public and confidential financial disclosure forms. These procedures should clearly outline the financial disclosure roles and responsibilities of the HUD Office of Personnel, regional counsels, program units, and DAEO staff.

    Agency Affected: Department of Housing and Urban Development

  5. Status: Closed - Implemented

    Comments: Please call 202/512-6100 for information.

    Recommendation: The Secretary of Housing and Urban Development should require DAEO to establish due dates for the submission of confidential financial disclosure statements that are consistent with Office of Personnel Management (OPM) regulations.

    Agency Affected: Department of Housing and Urban Development

  6. Status: Closed - Implemented

    Comments: Please call 202/512-6100 for information.

    Recommendation: The Secretary of Housing and Urban Development should require DAEO to ensure that all filed public financial disclosure statements are reviewed within 60 days of the filing date as required by the Ethics in Government Act and implementing regulations.

    Agency Affected: Department of Housing and Urban Development

  7. Status: Closed - Implemented

    Comments: Please call 202/512-6100 for information.

    Recommendation: The Secretary of Housing and Urban Development should require DAEO to develop effective systems for monitoring the collection and approval of confidential disclosure forms.

    Agency Affected: Department of Housing and Urban Development

  8. Status: Closed - Implemented

    Comments: Please call 202/512-6100 for information.

    Recommendation: The Secretary of Housing and Urban Development should require the HUD Office of Personnel to follow OPM instructions regarding financial disclosure review certification for experts and consultants.

    Agency Affected: Department of Housing and Urban Development

  9. Status: Closed - Implemented

    Comments: Please call 202/512-6100 for information.

    Recommendation: The Secretary of Housing and Urban Development should obtain the data needed for holding program leadership accountable for results.

    Agency Affected: Department of Housing and Urban Development

 

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