oversight

HUD: Field Directors' Views on Recent Management Initiatives

Published by the Government Accountability Office on 1997-02-12.

Below is a raw (and likely hideous) rendition of the original report. (PDF)

                 United States General Accounting Office

GAO              Report to the Secretary of Housing and
                 Urban Development



February 1997
                 HUD
                 Field Directors’ Views
                 on Recent Management
                 Initiatives




GAO/RCED-97-34
      United States
GAO   General Accounting Office
      Washington, D.C. 20548

      Resources, Community, and
      Economic Development Division

      B-275606

      February 12, 1997

      The Honorable Andrew M. Cuomo
      The Secretary of Housing and Urban Development

      Dear Mr. Secretary:

      In 1994, we designated the Department of Housing and Urban
      Development (HUD) as a high-risk area because of four long-standing
      deficiencies that made it especially vulnerable to waste, fraud, abuse, and
      mismanagement. These deficiencies were an ineffective organizational
      structure, insufficient staff skills, inadequate information and financial
      management systems, and weak internal controls.

      Since then, we have issued two reports as part of GAO’s High Risk-Series
      that update HUD’s progress in addressing the problems that led to HUD’s
      high-risk designation. In February 1995, we reported that HUD had begun to
      (1) redesign its field structure, (2) increase its training efforts, (3) improve
      and integrate its management information systems, and (4) implement a
      new management approach that balanced risks with results.1 In
      February 1997, we reported that additional progress had been made in
      overhauling the Department’s operations.2 However, we noted that
      changes to the organizational structure were continuing; the quantity and
      quality of training still needed improvement; much work still remained to
      improve HUD’s information and financial management systems; and major,
      long-standing internal control problems persisted.

      In preparing our 1997 report, we conducted a telephone survey of 155
      directors in four of HUD’s major program areas—single-family housing,
      multifamily housing, public housing, and community planning and
      development—at HUD’s 40 largest field offices. (See app. I for a list of the
      offices and app. II for a copy of the survey and its results.) The survey
      obtained the directors’ perspectives on the corrective actions HUD has
      undertaken over the past 2 years. We are sending you this report to assist
      you in evaluating the effectiveness of the Department’s efforts to date and
      in identifying those areas needing further management attention.

      In summary, our survey showed the following:



      1
       High-Risk Series: Department of Housing and Urban Development (GAO/HR-95-11, Feb. 1995).
      2
       High-Risk Series: Department of Housing and Urban Development (GAO/HR-97-12, Feb. 1997).



      Page 1                                                GAO/RCED-97-34 HUD Telephone Survey
                 B-275606




             •   Most field directors considered HUD’s field office reorganization,
                 completed in September 1995, an overall success, but there were
                 differences of opinion among the directors and program areas concerning
                 HUD’s success in meeting certain reorganization goals.
             •   A majority of the directors said that (1) they were satisfied with the skills
                 of their staffs and that staff training had increased over the last 2 years,
                 (2) training needed to be further increased in all areas, and (3) they did not
                 have enough staff members to effectively administer their programs.
             •   The satisfaction with information and financial management systems
                 differed by program area; almost three-quarters of the community planning
                 and development and public housing directors were satisfied with their
                 systems, whereas only a third of the multifamily housing directors were
                 satisfied.
             •   Although a majority of the directors rated HUD’s overall internal control
                 system as good or excellent, a substantial number said that (1) their
                 systems were only fair or poor for certain activities, such as ensuring data
                 reliability and compliance with laws and regulations, and (2) HUD’s
                 programs have not received adequate monitoring.


                 We initially designated HUD’s organizational structure a management
Background       deficiency in 1994 because the overlapping roles of field offices and
                 headquarters reduced the organization’s effectiveness and prevented
                 management from being accountable for HUD’s programs. At the time of
                 our 1995 report, HUD was reorganizing its field office structure to clarify
                 the lines of programmatic and administrative authority, enhance
                 communications between headquarters and the field, eliminate
                 unnecessary management layers, and improve customer service. In
                 September 1995, HUD completed the field reorganization, eliminating 10
                 regional offices, transferring authority for field staff and resources to
                 Assistant Secretaries in HUD headquarters, and restructuring the
                 Department’s 81 field offices. To date, HUD has not evaluated the impact
                 that these changes have had on the Department’s effectiveness. HUD is in
                 the process of further reorganization to reduce the size of the
                 headquarters staff and redeploy and train staff. Also, HUD is currently
                 making a study of closing additional field offices.

                 HUD has historically had difficulty maintaining a workforce capable of
                 effectively delivering and monitoring its myriad of programs. In 1995, we
                 reported that the number and qualifications of HUD staff were inadequate
                 to perform essential functions—particularly in light of the Department’s
                 inadequate information systems. In 1997, we reported on HUD’s continued



                 Page 2                                     GAO/RCED-97-34 HUD Telephone Survey
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                      efforts to improve the skills of its staff, noting that in the past 2 years, HUD
                      had increased the amount of training available to staff, encouraged
                      employees to formulate individual development plans, forged partnerships
                      with colleges and universities, and begun a needs assessment process to
                      identify future training needs.

                      In 1995, we also reported that after a decade of problems, HUD’s
                      information systems continued to be poorly integrated, ineffective, and
                      generally unreliable. However, we noted that the Department was
                      committed to correcting its long-standing problems and making its
                      information resources management program more responsive to HUD’s
                      mission. In 1997, we reported that HUD had subsequently taken numerous
                      actions to create a network of flexible, integrated computer systems that
                      will enable program staff to oversee the financial and programmatic
                      integrity of their operations. However, we also noted that some major
                      financial and information systems will not be completed before the year
                      2001 and that some systems currently cannot be relied on to provide
                      timely, accurate, and reliable information and reports to management.

                      In 1995, we reported that HUD still needed to complete its efforts to
                      address internal control weaknesses.3 At that time, the Department was
                      developing a new method of integrating management controls into
                      program delivery and budget development by requiring each division to
                      annually identify and rank the risks in each of its programs and to devise a
                      strategy for abating those risks. Our 1997 High-Risk Series report noted
                      that HUD had fully implemented its management planning and control
                      program in fiscal year 1995, but serious problems remain. In addition, we,
                      HUD’s Inspector General, and independent auditors have identified a lack
                      of monitoring in certain programs as a continuing problem.


                      The majority of field directors we surveyed considered the
Directors Generally   September 1995 field office reorganization successful and believed that it
Consider the          achieved most of HUD’s intended goals. These goals included clarifying the
Reorganization a      lines of programmatic and administrative authority and accountability,
                      improving communication with HUD’s customers, empowering field
Success               managers and staff, and improving communication between headquarters
                      and the field. (See figs. 1 and 2.) Three-quarters of the directors said that,
                      overall, HUD has made excellent or good progress toward the goals of the

                      3
                       An agency’s internal control system provides the framework for accomplishing management
                      objectives, ensuring accurate financial reporting, and complying with laws and regulations. Effective
                      internal controls provide reasonable assurance that resources are effectively managed and accounted
                      for.



                      Page 3                                                   GAO/RCED-97-34 HUD Telephone Survey
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reorganization. However, the directors from community planning and
development (CPD) programs generally had more negative views: They
were almost evenly divided between those who said the reorganization’s
success was excellent or good and those who said it was only fair or poor.
(See app. II, questions 7-9, for the directors’ views on HUD’s progress
toward each goal, summarized by type of director.)

When asked to rate HUD’s success in terms of each individual goal of the
reorganization, the directors indicated that the Department has been most
successful in clarifying the lines of programmatic authority and improving
communication with HUD’s customers and least successful in clarifying the
lines of administrative authority. As noted in figure 2, opinions differed by
program area. For example, most multifamily housing directors believed
that HUD’s progress toward the goal of empowering staff was excellent or
good, whereas the majority of CPD directors said that HUD’s progress
toward that goal was only fair or poor. There was a similar variation in the
directors’ views on how successful HUD has been in improving
communication between headquarters and field offices. Again, most
multifamily housing directors said that HUD’s progress toward this goal
was excellent or good, whereas almost half of the CPD directors thought
that HUD’s progress was only fair (24 percent) or poor (24 percent).




Page 4                                     GAO/RCED-97-34 HUD Telephone Survey
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Figure 1: Directors’ Opinions on the Success of HUD’s Field Reorganization in Meeting Four Goals, Average Scores by
Type of Director

             Average rating of HUD's success
 Excellent    3




             2.5




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             Goals of the reorganization

                   Single-family directors
                   Multifamily directors
                   CPD directors
                  Public housing directors
             AAAA
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             AAAA All directors




                                                       Page 5                                                    GAO/RCED-97-34 HUD Telephone Survey
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Figure 2: Directors’ Opinions on the Success of HUD’s Field Reorganization in Meeting Three Additional Goals, and on
Overall Success, by Type of Director



        Average rating of HUD's success
Excellent   3




        2.5




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        Goals of the reorganization

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                                                  Page 6                                      GAO/RCED-97-34 HUD Telephone Survey
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                                       To gauge the effect of HUD’s reorganization and new management
                                       approach on the activities conducted in the field, we asked directors
                                       whether headquarters placed appropriate emphasis on nine specific
                                       activities. (See table 1.) A majority of the directors said that the emphasis
                                       that headquarters placed on most activities was about right, although most
                                       said that HUD does not place enough emphasis on learning technical skills
                                       (67 percent) or cross-training (59 percent).4 The only objective that was
                                       overemphasized was reaching numeric performance goals, according to a
                                       significant number of the directors. Forty percent of the directors (and
                                       64 percent of single-family housing directors) said that HUD headquarters
                                       placed too much emphasis on this objective.

Table 1: Percentage of Directors Who
Said Headquarters’ Emphasis on Some    Management                Single-                                               Public                All
Objectives Should Be Higher            objective                  family      Multifamily                CPD          housing          directors
                                       Learning                        78                60                69                69                   67
                                       technical skills
                                       Learning                        42                33                50                41                   40
                                       interpersonal
                                       skills
                                       Keeping up to                   34                17                49                29                   31
                                       date on
                                       regulations
                                       Becoming                        66                67                50                56                   59
                                       cross-trained
                                       in other job
                                       responsibilities
                                       Performing                      57                31                59                23                   42
                                       essential
                                       program
                                       monitoring
                                       Increasing                      25                17                15                14                   20
                                       customer
                                       satisfaction
                                       Improving                       33                25                21                29                   29
                                       service
                                       delivery
                                       Reducing risk                   56                22                50                46                   44
                                       of fraud and
                                       waste
                                       Reaching                          6                 3                 3                 0                   3
                                       numeric
                                       performance
                                       goals



                                       4
                                        That is, providing staff with opportunities to obtain a broader range of skills than those essential to
                                       performing their current duties.



                                       Page 7                                                      GAO/RCED-97-34 HUD Telephone Survey
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                          Most directors said they were satisfied with the skills of their staffs. Four
Directors Believed        out of five directors said they were very satisfied or generally satisfied
That Staffs’ Skills and   with their staffs’ skills, and most said that the skills of their staffs had
Training Have             improved greatly or somewhat in the past 2 years. (See app. II, questions
                          10-14, for the directors’ views on staffs’ skills and training.) As shown on
Improved, but             figure 3, for the five types of skills we asked about, they rated their staffs’
Problems Remain           technical skills highest, but they had similarly favorable views of their
                          staffs’ interpersonal skills, knowledge of new programs, knowledge of new
                          regulations, and knowledge of information systems.




                          Page 8                                      GAO/RCED-97-34 HUD Telephone Survey
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Figure 3: Directors’ Opinions on Staffs’ Skills, Average Scores by Type of Director

            Average rating of staffs' skills
 Excellent 3




            2.5




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              0                    AAAA                AAAA             AAAA            AAAA           AAAA            AAAA
                       Technical            Interpersonal     Knowledge of     Knowledge of    Knowledge of       Overall
                         skills                 skills         programs         regulations     information     satisfaction
            Skill/knowledge                                                                       systems


                  Single-family directors
                  Multifamily directors
                  CPD directors
                 Public housing directors
           AAAAA
           AAAAA
           AAAA
           AAAAA
               A All directors




                                                     Page 9                                      GAO/RCED-97-34 HUD Telephone Survey
B-275606




Nonetheless, a significant number of directors said the skills of their staffs
were weak in specific areas. The weaknesses they identified varied
somewhat by program area. For example, 40 percent of the public housing
directors rated their staffs’ interpersonal skills as only fair. More than half
of all multifamily housing directors rated their staffs’ knowledge of
information systems as fair (39 percent) or poor (17 percent). In addition,
a third of the single-family housing directors said their staffs’ knowledge of
new regulations was fair.

Most directors believed that the quality of training at HUD has improved
over the past 2 years; however, many indicated that the quality and
quantity of training need additional improvement. Overall, more than a
third of the directors said they consider the quality of HUD’s current
training only fair. The single-family housing directors were most
critical—a majority said HUD’s training was fair or poor. Moreover, while
the directors’ responses indicated that the efforts to improve HUD’s training
curriculum may have produced some benefits, most directors indicated
that their staffs need more training in information systems (88 percent),
technical job skills (73 percent), program regulations and changes
(67 percent), and interpersonal skills (52 percent).

Most directors also believed that maintaining adequate staffing levels is a
continuing problem. Seventy-seven percent said that they have fewer staff
than they need to effectively carry out essential program activities. This
opinion held across program areas, although the directors in some areas
were more likely to say that they were short-staffed. For example,
89 percent of the multifamily housing directors reported that they were
short-staffed, whereas 61 percent of the single-family housing directors
said that they had fewer staff members than they needed.

Consistent with the fact that most directors said that they had fewer staff
members than they needed, most also reported that their workloads had
increased over the last 2 years. Seventy-three percent said that the
workloads of the individuals in their areas of responsibility had increased.
Again, the responses varied somewhat by program area. Almost every CPD
director indicated that workloads had increased, whereas only half of the
single-family housing directors reported increased workloads. Overall, the
directors who reported increased workloads most frequently attributed
the increases to reductions in staff (77 percent), new regulations and
initiatives in existing programs (76 percent), the creation of new programs
(73 percent), and new Department-wide management initiatives
(71 percent). On the other hand, more than a third of the single-family



Page 10                                     GAO/RCED-97-34 HUD Telephone Survey
                       B-275606




                       housing directors reported that the elimination of some programs had
                       actually reduced their workloads to some extent.


                       Each program area uses several different systems, and each system is in
HUD Directors Had      various stages of development, integration, and implementation. The
Mixed Opinions About   directors’ overall satisfaction with HUD’s information systems varied by
Information Systems    program area. The CPD and public housing directors were most satisfied
                       with the systems in their areas of responsibility. More than 70 percent of
                       the directors from those program areas were generally satisfied. In
                       contrast, the single-family and multifamily housing directors were least
                       satisfied with their systems. (See app. II, questions 15 and 16, for the
                       directors’ views on information systems.)

                       The directors’ responses also varied by program area when they were
                       asked to rate the information systems in their areas of responsibility
                       against five specific criteria: accuracy, usefulness for monitoring,
                       usefulness for other duties, ease of reporting, and ability to share data with
                       other systems within HUD. The multifamily housing directors were
                       consistently least satisfied with their systems; the public housing directors
                       generally reported the highest levels of satisfaction. (See fig. 4.) Directors
                       in all program areas tended to be most satisfied with the accuracy of the
                       data in the reports generated by HUD’s information systems and least
                       satisfied with the ability of the systems they use to share data or to
                       interact. In fact, half of the directors, across program areas, rated the
                       ability of their systems to share data as poor, while a third of the directors
                       rated this category as fair. The ease of generating reports from their
                       information systems was also an area of concern for directors in all
                       program areas—the majority rated their systems as fair or poor in this
                       category as well.




                       Page 11                                    GAO/RCED-97-34 HUD Telephone Survey
                                                       B-275606




 Figure 4: Directors’ Opinions on Their Information Systems, Average Scores by Type of Director


        Average rating of HUD's information systems
Excellent 3




        2.5




Good     2



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Poor     0                     AAAA                AAAA                AAAA               AAAA                AAAA            AAAA
               Accuracy of            Usefulness for      Usefulness for       Ease of           Ability to share      Overall
                 reports               monitoring          other duties       reporting                data          satisfaction
        Element
              Single-family directors
              Multifamily directors
              CPD directors
              Public housing directors
       AAAA
       AAAA A
            A
       AAAA A
       AAAAA All directors




                                                       Page 12                                          GAO/RCED-97-34 HUD Telephone Survey
                       B-275606




                       Despite the fact that many directors were dissatisfied with their current
                       systems, most said those systems were at least as good or better than they
                       were 2 years ago. When asked whether or not their systems had changed
                       over the past 2 years, most directors said that the accuracy of the data had
                       improved, while about one-half said that the ease of reporting, the
                       usefulness of information systems for monitoring and other job duties, and
                       the ability to share data with other HUD systems had stayed about the
                       same. The public housing directors were consistently the most likely to
                       report that their systems had improved over the past 2 years, and the
                       single-family directors were the least likely to do so.


                       Although most directors believed HUD’s overall system of internal controls
Directors Had Mixed    was good or excellent, a significant percentage said some specific internal
Views on the           controls were only fair or poor. For example, many directors
Adequacy of Internal   characterized as fair or poor HUD’s internal controls for ensuring data
                       reliability (50 percent) and compliance with laws and regulations
Controls               (44 percent); also characterized as fair or poor were the controls for
                       ensuring that resources are protected from fraud (38 percent) and that
                       resources are used efficiently and effectively (31 percent). (See app. II,
                       question 17, for the directors’ views on internal controls.)

                       Overall, the directors in all program areas reported similar levels of
                       satisfaction with internal controls in their areas of responsibility (see fig.
                       5).5 However, their responses varied by program area and type of control.
                       The directors were most satisfied with the internal controls to ensure that
                       program goals and objectives are met. Ninety-two percent of the
                       single-family housing and 89 percent of the multifamily housing directors
                       rated these activities as good or excellent. The public housing directors
                       were somewhat less satisfied than the other directors with the internal
                       controls in place to ensure compliance with laws and regulations. The
                       multifamily directors reported the least satisfaction with the internal
                       controls to ensure that reported data are reliable—about 64 percent rated
                       those controls as fair or poor.




                       5
                        The directors’ ratings of five specific types of controls were averaged to obtain a measure of their
                       overall satisfaction.



                       Page 13                                                    GAO/RCED-97-34 HUD Telephone Survey
                                                    B-275606




Figure 5: Directors’ Views on the Effectiveness of HUD’s Internal Controls, Average Scores by Type of Director


        Average rating of HUD's internal controls
Excellent 3




        2.5




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                 Ensure data                Ensure             Protect       Use resources Meet program                   Overall
                  reliability           regulatory/legal   resources from      efficiently/ goals/objectives           effectiveness
                                          compliance            fraud          effectively
        Type/purpose of control

              Single-family directors
              Multifamily directors
              CPD directors
               Public housing directors
        AAAA A
        AAAA
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               All directors
             A



                                                    Page 14                                       GAO/RCED-97-34 HUD Telephone Survey
              B-275606




              HUD’s Department Management Control Program Handbook recognizes
              that monitoring program participants is a critical management control.
              Despite its importance, monitoring continues to be a problem area for HUD.
              Many directors said HUD’s management needs to place greater emphasis on
              activities that reduce the risk of fraud and waste (44 percent), particularly
              conducting essential program monitoring (42 percent). The vast majority
              of the directors who considered current monitoring inadequate said that
              insufficient staff was a major reason (66 percent) or minor reason
              (23 percent) that adequate monitoring is not being carried out. A smaller
              percentage of the directors also cited lack of travel funds, headquarters’
              emphasis, and staffs’ skills as reasons for inadequate monitoring.

              The directors most frequently identified the on-site monitoring of HUD’s
              clients (71 percent) and monitoring of HUD’s contractors (57 percent) as
              specific types of monitoring that should be increased. The single-family
              housing directors were least satisfied with the levels of monitoring being
              done in these areas; 83 percent reported a need to increase on-site
              monitoring, and 69 percent said that more monitoring of HUD contractors
              should be done. In addition, the multifamily housing directors (72 percent)
              and the public housing directors (51 percent) frequently said that HUD
              needs to increase its reviews of the audit reports submitted by
              independent public accountants on behalf of those who receive and spend
              HUD’s funds.



              We obtained information for this report from a telephone survey of
Scope and     directors of HUD’s major programs in the field. Our survey, conducted
Methodology   during August 1996, asked the directors for their views on HUD’s 1995 field
              office reorganization and other corrective actions the Department has
              taken in the past 2 years. It included 155 persons serving as the directors
              of single-family housing, multifamily housing, CPD, and public housing at 40
              of HUD’s largest field offices, as well as the 14 Directors of Housing who
              are located in those field offices.6 Although we have not reported their
              responses separately, the opinions of the Directors of Housing are
              included whenever we present results for all directors. (See app. II for the
              full text of our survey and the responses to it.) Our survey population does
              not represent directors from other programs or the directors from HUD’s
              smallest offices.



              6
               We ranked the offices by size using data provided by HUD’s headquarters on the number of staff
              assigned to each location; the staff assigned to the 40 offices in our survey population represent
              86 percent of HUD’s field staff.



              Page 15                                                   GAO/RCED-97-34 HUD Telephone Survey
B-275606




We surveyed directors who had been in their current position for at least 4
months and with HUD for at least 24 months. We did not survey directors
with less than 4 months of experience, who may be less familiar with the
effects of the changes that have recently occurred at HUD. Seven directors
were excluded for this reason. In addition, one eligible director declined to
participate in our survey, resulting in a 99-percent response rate. To
summarize the directors’ opinions in bar graphs, for questions with the
response categories “excellent,” “good,” “fair,” and “poor,” we assigned
values of 3, 2, 1, and 0 points, respectively, to the responses and averaged
the numerical values. For questions using a satisfaction scale, a parallel
strategy was used.7

We met with agency officials to discuss our survey results. They noted that
they had not evaluated any of the management initiatives discussed in our
report and therefore had no basis to dispute our survey results. However,
in several instances they provided observations about the directors’
responses to our survey. For example, concerning the negative tenor of
the CPD directors’ responses, the officials commented that the CPD
directors’ responses appear to be intended to send headquarters a message
rather than answer questions on the basis of the real situations in the field.
They also noted that addressing the training needs identified at the time of
our survey will not ensure that future training needs are met because the
Department is about to go through significant changes due to buyouts,
redeployments, and consolidations. The officials recognized that there are
staffing and workload imbalances, particularly in the field, and
commented that these imbalances may be contributing to the directors’
perceptions that their workloads are increasing. The officials also
conceded that reaching numeric performance goals is overemphasized by
headquarters management and noted that efforts are being made to
correct this situation.




7
 This scaling approach assumes equal intervals between response categories.



Page 16                                                 GAO/RCED-97-34 HUD Telephone Survey
B-275606




We performed our work from April 1996 through January 1997 in
accordance with generally accepted government auditing standards.

Please call me at (202) 512-7631 if you or your staff have any questions
about this report. Major contributors to this report are listed in appendix
III.

Sincerely yours,




Judy A. England-Joseph
Director, Housing and Community
  Development Issues




Page 17                                    GAO/RCED-97-34 HUD Telephone Survey
Contents



Letter                                                                                           1


Appendix I                                                                                      20

HUD’s Field Offices
Included in the
Telephone Survey
Appendix II                                                                                     21

GAO Telephone
Survey of HUD Field
Directors With
Responses
Appendix III                                                                                    40

Major Contributors to
This Report
Table                   Table 1: Percentage of Directors Who Said Headquarters’                  7
                          Emphasis on Some Objectives Should be Higher

Figures                 Figure 1: Directors’ Opinions on the Success of HUD’s Field              5
                          Reorganization in Meeting Four Goals, Average Scores by Type of
                          Director
                        Figure 2: Directors’ Opinions on the Success of HUD’s Field              6
                          Reorganization in Meeting Three Additional Goals, and on Overall
                          Success, by Type of Director
                        Figure 3: Directors’ Opinions on Staffs’ Skills, Average Scores by       9
                          Type of Director
                        Figure 4: Directors’ Opinions on Their Information Systems,             12
                          Average Scores by Type of Director
                        Figure 5: Directors’ Views on the Effectiveness of HUD’s Internal       14
                          Controls, Average Scores by Type of Director



                        Abbreviations

                        HUD       Department of Housing and Urban Development
                        CPD       community planning and development


                        Page 18                                 GAO/RCED-97-34 HUD Telephone Survey
Page 19   GAO/RCED-97-34 HUD Telephone Survey
Appendix I

HUD’s Field Offices Included in the
Telephone Survey

               1. Illinois State Office*
               2. Georgia State Office*
               3. Colorado State Office*
               4. Texas State Office*
               5. New York State Office*
               6. California State Office*
               7. Pennsylvania State Office*
               8. Washington State Office*
               9. Kansas/Missouri State Office*
               10. Massachusetts State Office*
               11. Los Angeles Area Office*
               12. Michigan State Office*
               13. Arizona State Office
               14. Jacksonville Area Office*
               15. North Carolina State Office
               16. Buffalo Area Office
               17. District of Columbia Office
               18. New Jersey State Office
               19. San Antonio Area Office
               20. Minnesota State Office
               21. Oklahoma State Office
               22. Cleveland Area Office
               23. Ohio State Office
               24. Virginia State Office
               25. Maryland State Office
               26. Indiana State Office
               27. Alabama State Office
               28. Louisiana State Office
               29. Houston Area Office
               30. Pittsburgh Area Office
               31. Wisconsin Area Office
               32. St. Louis Area Office*
               33. South Carolina State Office
               34. Caribbean Office
               35. Arkansas State Office
               36. Connecticut State Office
               37. Kentucky State Office
               38. Tennessee State Office
               39. Mississippi State Office
               40. Albany Area Office

               Note: Asterisk denotes offices that have a Director of Housing.




               Page 20                                                  GAO/RCED-97-34 HUD Telephone Survey
Appendix II

GAO Telephone Survey of HUD Field
Directors With Responses


                                                           Program area (Responses in percent)
                                 Single-family    Multifamily                        Public       Housing
Question                              housing       housing            CPD          housing       directors           Total
1. Our first series of
questions asks about
workload of individual staff
in your area of responsibility
over the last 2 years.a

a. Would you say this
workload has...?
1. Increased                               50             83             93              65             85              73
2. Decreased                               15              0              0               3              0               4
3. Stayed about the same                   35             17              7              32             15              22

                                         n=34b          n=36           n=29            n=31           n=13           n=143
b. (For those who said
increased) would you say...?
1. Increased greatly                       65             50             70              60             64              61
2. Increased somewhat                      35             50             30              40             36              39


                                         n=17           n=30           n=27            n=20           n=11           n=105
c. (For those who said
decreased) would you
say...?
1. Decreased greatly                       20              0              0               0               0             17
2. Decreased somewhat                      80              0              0             100               0             83

                                          n=5            n=0            n=0             n=1            n=0             n=6
2. Next, I’ll read a list of
changes that may have
affected the workload in
your area of responsibility
over the last 2 years. For
each one I read, please tell
me whether it has
increased, decreased, or
has not affected your and
your staff’s workload. If any
item does not apply to you,
just tell me.

a. New programs in your
area of responsibility.
1. Increased                               66             60             79              81             92              73
2. No effect                               34             37             21              19              8              27
3. Decreased                                0              3              0               0              0               1

                                         n=35           n=35           n=28            n=32           n=13           n=143
                                                                                                                (continued)




                                             Page 21                                    GAO/RCED-97-34 HUD Telephone Survey
                                                 Appendix II
                                                 GAO Telephone Survey of HUD Field
                                                 Directors With Responses




                                                                Program area (Responses in percent)
                                  Single-family       Multifamily                         Public       Housing
Question                               housing          housing              CPD         housing       directors           Total
b. New regulations and new
initiatives in your programs.
1. Increased                                83                 78              90             56             71              76
2. No effect                                 9                  8               3             31             29              14
3. Decreased                                 9                 14               7             13              0              10

                                          n=35              n=36             n=29           n=32           n=14           n=146
c. New management
initiatives such as
reinvention.
1. Increased                                69                 83              86             59             43              71
2. No effect                                26                  8               7             22             36              18
3. Decreased                                 6                  8               7             19             21              11

                                          n=35              n=36             n=28           n=32           n=14           n=145
d. Reductions in staff within
your area of responsibility.
1. Increased                                74                 83              76             75             79              77
2. No effect                                23                 11              24             25             14              20
3. Decreased                                 3                  6               0              0              7               3

                                          n=35              n=36             n=29           n=32           n=14           n=146
e. Elimination of programs
in your area of responsibility.
1. Increased                                13                  3               0              0              8               5
2. No effect                                50                 84              88             84             77              76
3. Decreased                                38                 13              13             16             15              20

                                          n=32              n=32             n=24           n=32           n=13           n=133
3. Please consider the
number of staff you need in
order to effectively carry out
the programs and activities
in your area of
responsibility. Given your
workload, do you have
more staff, less staff, or
about the right number to
carry out your activities?
  1. More                                    8                  3               0              0              0               3
  2. About the right number                 31                  8              18             26             21              21
  3. Less                                   61                 89              82             74             79              77

                                          n=36              n=37             n=33           n=35           n=14           n=155
                                                                                                                     (continued)




                                              Page 22                                        GAO/RCED-97-34 HUD Telephone Survey
                                              Appendix II
                                              GAO Telephone Survey of HUD Field
                                              Directors With Responses




                                                             Program area (Responses in percent)
                               Single-family       Multifamily                         Public       Housing
Question                            housing          housing              CPD         housing       directors           Total
4. We’d like to ask about
several types of monitoring
that might be done within
your area of responsibility.
For each one I read, please
tell me whether or not your
staff has done that type of
monitoring since October 1,
1995. Then tell me whether
the amount of that
monitoring should be
increased, decreased, or
stay the same as it is now.
a. Has your staff conducted
on-site inspections since
October 1, 1995?
1. Yes                                   89                100              91             94            100              94
2. No                                    11                  0               9              6              0               6

                                       n=36              n=37             n=33           n=35           n=14           n=155
b. Should the amount of
on-site inspections...?


1. Increase                              83                 65              66             69             71              71
2. Stay the same                         17                 32              28             29             29              27
3. Decrease                               0                  3               6              3              0               3

                                       n=36              n=37             n=32           n=35           n=14           n=154
c. Has your staff conducted
telephone inquiries since
October 1, 1995?
1. Yes                                   64                 78              88             97             71              80
2. No                                    36                 22              13              3             29              20

                                       n=36              n=37             n=32           n=34           n=14           n=153
d. Should the amount of
telephone inquiries...?


1. Increase                              44                 19              26             56             29              36
2. Stay the same                         53                 75              65             38             64              58
3. Decrease                               3                  6              10              6              7               6

                                       n=34              n=36             n=31           n=34           n=14           n=149
                                                                                                                  (continued)




                                           Page 23                                        GAO/RCED-97-34 HUD Telephone Survey
                                              Appendix II
                                              GAO Telephone Survey of HUD Field
                                              Directors With Responses




                                                             Program area (Responses in percent)
                               Single-family       Multifamily                         Public       Housing
Question                            housing          housing              CPD         housing       directors           Total
e. Has your staff reviewed
reports and records
submitted by recipients of
HUD funding, such as
grantees or lenders?
1. Yes                                   92                100             100            100            100              98
2. No                                     8                  0               0              0              0               2

                                       n=36              n=37             n=33           n=34           n=14           n=154
f. Should review of reports
and records submitted by
recipients of HUD funding,
such as grantees or
lenders...?
1. Increase                              46                 49              25             44             43              41
2. Stay the same                         51                 43              53             53             50              50
3. Decrease                               3                  8              22              3              7               9

                                       n=35              n=37             n=32           n=34           n=14           n=152
g. Has your staff reviewed
IPA reports since
October 1, 1995?
1. Yes                                   15                 95              94            100            100              78
2. No                                    85                  5               6              0              0              22

                                       n=34              n=37             n=33           n=35           n=12           n=151
h. Should reviews of IPA
reports...?

1. Increase                              23                 72              19             51             73              46
2. Stay the same                         73                 22              61             49             27              48
3. Decrease                               3                  6              19              0              0               6

                                       n=30              n=36             n=31           n=35           n=11           n=143
i. Do you use contractors in
your area of responsibility?
1. Yes                                  100                 97              79             83            100              91
2. No                                     0                  3              21             17              0               9

                                       n=36              n=36             n=33           n=35           n=14           n=154
j. Has your staff reviewed
the work done by
contractors since
October 1, 1995?
1. Yes                                  100                 94              81             79            100              91
2. No                                     0                  6              19             21              0               9

                                       n=36              n=35             n=26           n=29           n=14           n=140
                                                                                                                  (continued)




                                           Page 24                                        GAO/RCED-97-34 HUD Telephone Survey
                                                Appendix II
                                                GAO Telephone Survey of HUD Field
                                                Directors With Responses




                                                               Program area (Responses in percent)
                                 Single-family       Multifamily                         Public       Housing
Question                              housing          housing              CPD         housing       directors           Total
k. Should the amount of
contractor monitoring...?


1. Increase                                69                 49              56             46             64              57
2. Stay the same                           31                 51              40             50             36              42
3. Decrease                                 0                  0               4              4              0               1

                                         n=36              n=35             n=25           n=28           n=14           n=138
5. You’ve mentioned that
monitoring should be
increased, at least in some
areas. Let me read you a
list of reasons that the level
of this monitoring activity
may be lower now than it
should be. For each one I
read, tell me whether this is
a major reason, minor
reason, or not a reason.

a. Not enough HUD staff
available.
1. Major reason                            64                 76              55             63             75              66
2. Minor reason                            21                 21              28             20             25              23
3. Not a reason                            15                  3              17             17              0              12

                                         n=33              n=33             n=29           n=30           n=12           n=137
b. Available HUD staff do
not have the skills to do
monitoring.
1. Major reason                            24                 15               7             20             23              17
2. Minor reason                            52                 52              31             33             54              44
3. Not a reason                            24                 33              62             47             23              39

                                         n=33              n=33             n=29           n=30           n=13           n=138
c. Not enough travel funds.
1. Major reason                            30                 36              59             27             23              36
2. Minor reason                            33                 24              24             43             15              30
3. Not a reason                            36                 39              17             30             62              34

                                         n=33              n=33             n=29           n=30           n=13           n=138
d. Monitoring is not a high
enough priority at this time.
1. Major reason                            19                  6              33             14             25              19
2. Minor reason                            39                 25              26              7             33              25
3. Not a reason                            42                 69              41             79             42              56

                                         n=31              n=32             n=27           n=28           n=12           n=130
                                                                                                                    (continued)


                                             Page 25                                        GAO/RCED-97-34 HUD Telephone Survey
                                               Appendix II
                                               GAO Telephone Survey of HUD Field
                                               Directors With Responses




                                                              Program area (Responses in percent)
                                Single-family       Multifamily                         Public       Housing
Question                             housing          housing              CPD         housing       directors           Total
e. Monitoring is not
included in management’s
performance goals.
1. Major reason                           34                 16              18              3             15              18
2. Minor reason                           28                 16               7             17             23              18
3. Not a reason                           38                 69              75             80             62              64

                                        n=32              n=32             n=28           n=30           n=13           n=135
6. There are many
competing goals in every
organization, and some
things displace others in the
priority system. I would like
to know what emphasis you
feel HUD headquarters
currently places on the
activity—not just in words
but in their actions. Our
categories are low,
medium, high, and no
opinion. Then, after you
give each answer, I’ll ask
about the emphasis you as
a manager feel should be
placed on each of these
activities, whether you think
the emphasis should be
higher, lower, or about the
same amount.

a. Is headquarters’
emphasis on reaching
numeric performance
goals...?
1. Low                                     0                  0              19             23              0               9
2. Medium                                  0                 11              36             46              0              20
3. High                                  100                 89              45             31            100              70

                                        n=36              n=36             n=31           n=35           n=14           n=152
b. Do you think the
emphasis on reaching
numeric goals should be...?
1. Higher                                  6                  3               3              0              7               3
2. About the same                         31                 64              55             74             64              57
3. Lower                                  64                 33              42             26             29              40

                                        n=36              n=36             n=31           n=35           n=14           n=152
                                                                                                                   (continued)




                                            Page 26                                        GAO/RCED-97-34 HUD Telephone Survey
                                             Appendix II
                                             GAO Telephone Survey of HUD Field
                                             Directors With Responses




                                                            Program area (Responses in percent)
                              Single-family       Multifamily                         Public       Housing
Question                           housing          housing              CPD         housing       directors           Total
c. Is headquarters’
emphasis on
cross-training...?
1. Low                                  26                 33              42             47             33              36
2. Medium                               51                 44              42             41             33              44
3. High                                 23                 22              16             13             33              20

                                      n=35              n=36             n=31           n=32           n=12           n=146
d. Do you think the
emphasis on cross-training
should be...?
1. Higher                               66                 67              50             56             42              59
2. About the same                       34                 33              50             41             58              41
3. Lower                                 0                  0               0              3              0               1

                                      n=35              n=36             n=30           n=32           n=12           n=145
e. Is headquarters’
emphasis on learning new
interpersonal skills...?
1. Low                                  25                 25              21             24             23              24
2. Medium                               36                 31              42             35             23              35
3. High                                 39                 44              36             41             54              41

                                      n=36              n=36             n=33           n=34           n=13           n=152
f. Do you think the
emphasis on learning new
interpersonal skills should
be...?
1. Higher                               42                 33              50             41             23              40
2. About the same                       53                 64              47             53             62              55
3. Lower                                 6                  3               3              6             15               5

                                      n=36              n=36             n=32           n=34           n=13           n=151
g. Is headquarters’
emphasis on learning
technical skills needed for
job responsibilities...?
1. Low                                  33                 14              34             40             14              29
2. Medium                               44                 38              47             31             50              41
3. High                                 22                 49              19             29             36              31

                                      n=36              n=37             n=32           n=35           n=14           n=154
                                                                                                                 (continued)




                                          Page 27                                        GAO/RCED-97-34 HUD Telephone Survey
                                              Appendix II
                                              GAO Telephone Survey of HUD Field
                                              Directors With Responses




                                                             Program area (Responses in percent)
                               Single-family       Multifamily                         Public       Housing
Question                            housing          housing              CPD         housing       directors           Total
h. Do you think the
emphasis on learning
technical skills needed for
job responsibilities should
be...?
1. Higher                                78                 60              69             69             50              67
2. About the same                        22                 38              31             31             50              33
3. Lower                                  0                  3               0              0              0               1

                                       n=36              n=37             n=32           n=35           n=14           n=154
i. Is headquarters’
emphasis on keeping up to
date with regulations...?
1. Low                                    9                 11              33             15              8              16
2. Medium                                60                 46              39             29             31              43
3. High                                  31                 43              27             56             62              41

                                       n=35              n=37             n=33           n=34           n=13           n=152
j. Do you think the emphasis
on keeping up to date with
regulations should be...?
1. Higher                                34                 17              49             29             23              31
2. About the same                        66                 78              49             68             77              66
3. Lower                                  0                  6               3              3              0               3

                                       n=35              n=36             n=33           n=34           n=13           n=151
k. Is headquarters’
emphasis on completing
essential program
monitoring...?
1. Low                                   28                  3              41              9              7              18
2. Medium                                44                 39              38             37             43              40
3. High                                  28                 58              22             54             50              42

                                       n=36              n=36             n=32           n=35           n=14           n=153
l. Do you think the emphasis
on completing essential
program monitoring should
be...?
1. Higher                                57                 31              59             23             43              42
2. About the same                        43                 69              41             74             57              57
3. Lower                                  0                  0               0              3              0               1

                                       n=35              n=36             n=32           n=35           n=14           n=152
                                                                                                                  (continued)




                                           Page 28                                        GAO/RCED-97-34 HUD Telephone Survey
                                              Appendix II
                                              GAO Telephone Survey of HUD Field
                                              Directors With Responses




                                                             Program area (Responses in percent)
                               Single-family       Multifamily                         Public       Housing
Question                            housing          housing              CPD         housing       directors           Total
m. Is headquarters’
emphasis on increasing
customer satisfaction...?
1. Low                                    3                  0               3              6              0               3
2. Medium                                 6                  3               6              9              0               5
3. High                                  92                 97              91             86            100              92

                                       n=36              n=36             n=33           n=35           n=13           n=153
n. Do you think the
emphasis on increasing
customer satisfaction
should be...?
1. Higher                                25                 17              15             14             39              20
2. About the same                        69                 72              73             86             54              73
3. Lower                                  6                 11              12              0              8               7

                                       n=36              n=36             n=33           n=35           n=13           n=153
o. Is headquarters’
emphasis on improving
service delivery...?
1. Low                                    8                  3               3              9              0               5
2. Medium                                11                 14              24             20             15              17
3. High                                  81                 83              73             71             85              78

                                       n=36              n=36             n=33           n=35           n=13           n=153
p. Do you think the
emphasis on improving
service delivery should
be...?
1. Higher                                33                 25              21             29             46              29
2. About the same                        64                 75              79             69             54              70
3. Lower                                  3                  0               0              3              0               1

                                       n=36              n=36             n=33           n=35           n=13           n=153
q. Is headquarters’
emphasis on reducing the
risk for fraud and waste...?
1. Low                                   31                 11              27             23             21              23
2. Medium                                31                 24              46             31             14              31
3. High                                  39                 65              27             46             64              47

                                       n=36              n=37             n=33           n=35           n=14           n=155
                                                                                                                  (continued)




                                           Page 29                                        GAO/RCED-97-34 HUD Telephone Survey
                                                Appendix II
                                                GAO Telephone Survey of HUD Field
                                                Directors With Responses




                                                               Program area (Responses in percent)
                                 Single-family       Multifamily                         Public       Housing
Question                              housing          housing              CPD         housing       directors           Total
r. Do you think the
emphasis on reducing the
risk for fraud and waste
should be...?
1. Higher                                  56                 22              50             46             50              44
2. About the same                          44                 78              50             51             50              56
3. Lower                                    0                  0               0              3              0               1

                                         n=36              n=37             n=32           n=35           n=14           n=154
7. Now, we’d like to ask
some questions about the
reorganization that has
been happening at HUD
and how it has affected
your area of responsibility.
I’ll read a list of objectives
that were planned for the
reorganization over the past
3 years. For each one I
read, please tell me
whether you rate today’s
progress toward that
objective as excellent,
good, fair, or poor for your
program division at HUD. If
you don’t have an opinion
about an objective, just tell
me and we’ll go on to the
next one.
a. Establishing clear lines of
programmatic authority.
1. Excellent                               29                 60              38             31             86              44
2. Good                                    60                 27              41             40              7              39
3. Fair                                    11                  8              19             20              0              13
4. Poor                                     0                  5               3              9              7               5

                                         n=35              n=37             n=32           n=35           n=14           n=153
b. Establishing clear lines of
administrative authority.
1. Excellent                               17                 11               0             20             14              12
2. Good                                    39                 32              30             37             43              36
3. Fair                                    28                 41              39             34             29              35
4. Poor                                    17                 16              30              9             14              17

                                         n=36              n=37             n=33           n=35           n=14           n=155
                                                                                                                    (continued)




                                             Page 30                                        GAO/RCED-97-34 HUD Telephone Survey
                                                 Appendix II
                                                 GAO Telephone Survey of HUD Field
                                                 Directors With Responses




                                                                Program area (Responses in percent)
                                  Single-family       Multifamily                         Public       Housing
Question                               housing          housing              CPD         housing       directors           Total
c. Establishing clear lines of
accountability.
1. Excellent                                19                 35              22             24             50              28
2. Good                                     67                 54              44             38             36              50
3. Fair                                     11                  5              22             29              7              16
4. Poor                                      3                  5              13              9              7               7

                                          n=36              n=37             n=32           n=34           n=14           n=153
d. Empowering staff, that is,
giving your staff the
authority to make decisions
on their own.
1. Excellent                                31                 54               6             31             57              34
2. Good                                     43                 35              39             46             36              40
3. Fair                                     26                 11              27             17              0              18
4. Poor                                      0                  0              27              6              7               8

                                          n=35              n=37             n=33           n=35           n=14           n=154
e. Empowering managers,
like you, in the field offices.
1. Excellent                                42                 62               6             29             79              39
2. Good                                     47                 30              49             49             14              41
3. Fair                                     11                  8              30             23              0              16
4. Poor                                      0                  0              15              0              7               4

                                          n=36              n=37             n=33           n=35           n=14           n=155
f. Improving
communications between
the field and headquarters.
1. Excellent                                31                 38              15             26             36              29
2. Good                                     43                 46              36             37             43              41
3. Fair                                     23                 14              24             31             14              22
4. Poor                                      3                  3              24              6              7               8

                                          n=35              n=37             n=33           n=35           n=14           n=154
g. Improving
communications with HUD’s
customers.
1. Excellent                                40                 39              27             26             50              35
2. Good                                     51                 50              55             54             29              50
3. Fair                                      9                  8              18             20             14              14
4. Poor                                      0                  3               0              0              7               1

                                          n=35              n=36             n=33           n=35           n=14           n=153
                                                                                                                     (continued)




                                              Page 31                                        GAO/RCED-97-34 HUD Telephone Survey
                                                   Appendix II
                                                   GAO Telephone Survey of HUD Field
                                                   Directors With Responses




                                                                  Program area (Responses in percent)
                                    Single-family       Multifamily                         Public       Housing
Question                                 housing          housing              CPD         housing       directors           Total
8. Overall, how would you
rate HUD’s success with the
reorganization in terms of
improving your area of
responsibility?
1. Excellent                                  17                 32              10             29             54              25
2. Good                                       63                 51              42             46             31              49
3. Fair                                       20                  8              39             20              8              20
4. Poor                                        0                  8              10              6              8               6

                                            n=35              n=37             n=31           n=35           n=13           n=151
9. The reorganization has
emphasized increasing the
skills of staff. I’d like to read
a list of areas and ask you
to rate the skills of the
people who work for you.
a. Interpersonal skills
1. Excellent                                   8                 11              15             20              0              12
2. Good                                       64                 62              64             37             86              59
3. Fair                                       28                 24              21             40             14              27
4. Poor                                        0                  3               0              3              0               1

                                            n=36              n=37             n=33           n=35           n=14           n=155
b. Technical skills related to
the employee’s job
responsibilities
1. Excellent                                  33                 24              27             31             36              30
2. Good                                       61                 60              67             46             43              57
3. Fair                                        6                 14               6             20             14              12
4. Poor                                        0                  3               0              3              7               2

                                            n=36              n=37             n=33           n=35           n=14           n=155
c. Knowledge of new
programs
1. Excellent                                   9                 11              12             20             29              14
2. Good                                       69                 68              67             51             57              63
3. Fair                                       20                 22              21             26             14              21
4. Poor                                        3                  0               0              3              0               1

                                            n=35              n=37             n=33           n=35           n=14           n=154
d. Knowledge of new
regulations
1. Excellent                                   6                  8              21             17             14              13
2. Good                                       61                 75              52             54             50              60
3. Fair                                       33                 11              27             26             36              25
4. Poor                                        0                  6               0              3              0               2

                                            n=36              n=36             n=33           n=35           n=14           n=154
                                                                                                                       (continued)


                                                Page 32                                        GAO/RCED-97-34 HUD Telephone Survey
                                               Appendix II
                                               GAO Telephone Survey of HUD Field
                                               Directors With Responses




                                                              Program area (Responses in percent)
                                Single-family       Multifamily                         Public       Housing
Question                             housing          housing              CPD         housing       directors           Total
e. Knowledge of information
systems
1. Excellent                              11                  6               0             11              7               7
2. Good                                   50                 39              59             51             64              51
3. Fair                                   36                 39              22             34             21              32
4. Poor                                    3                 17              19              3              7              10

                                        n=36              n=36             n=32           n=35           n=14           n=153
10. Generally speaking,
how satisfied are you with
the current match between
your staff’s skills and the
skills needed to carry out
their duties?
1. Very satisfied                         19                 19               9             17             14              16
2. Generally satisfied                    72                 68              72             57             71              68
3. Generally dissatisfied                  8                 11              19             23             14              15
4. Neither                                 0                  3               0              3              0               1

                                        n=36              n=37             n=32           n=35           n=14           n=154
11. We are interested in
improvements you may
have seen in the skills of
your staff over the past 2
years. Have they...?
  1. Improved greatly                     20                 26               8             28             39              23
  2. Improved somewhat                    63                 66              73             53             54              62
  3. Improved very little, if
  at all                                  17                  9              19             19               8             15

                                        n=35              n=35             n=26           n=32           n=13           n=141
12. Now I have some
questions on training. First,
we want to know whether
you think the training now
available is adequate. For
each type I read, please tell
me whether the training
available in this area should
be increased, decreased,
or stay the same.

                                                                                                                   (continued)




                                            Page 33                                        GAO/RCED-97-34 HUD Telephone Survey
                                                Appendix II
                                                GAO Telephone Survey of HUD Field
                                                Directors With Responses




                                                               Program area (Responses in percent)
                                 Single-family       Multifamily                         Public       Housing
Question                              housing          housing              CPD         housing       directors           Total
a. Courses that help your
staff increase interpersonal
skills.
1. Increased                               60                 54              53             51             29              52
2. Same                                    31                 43              38             46             57              41
3. Decreased                                9                  3               9              3             14               7

                                         n=35              n=37             n=32           n=35           n=14           n=153
b. Courses that keep staff
up to date on program
regulations and changes.
1. Increased                               67                 51              79             80             43              67
2. Same                                    33                 46              21             20             57              33
3. Decreased                                0                  3               0              0              0               1

                                         n=36              n=37             n=33           n=35           n=14           n=155
c. Courses that train staff to
use information systems.
1. Increased                               78                100              91             83             85              88
2. Same                                    22                  0               9             17             15              12
3. Decreased                                0                  0               0              0              0               0

                                         n=36              n=36             n=33           n=35           n=13           n=153
d. Courses that teach staff
technical skills related to
their job responsibilities.
1. Increased                               89                 61              72             77             54              73
2. Same                                    11                 36              28             23             46              26
3. Decreased                                0                  3               0              0              0               1

                                         n=36              n=36             n=32           n=35           n=13           n=152
13. Now please think about
the quality of the training
available to you and your
staff. Overall, how do you
rate the training currently
available?
1. Excellent                                0                 18              13              6             14               9
2. Good                                    44                 53              44             58             57              50
3. Fair                                    50                 29              41             36             21              38
4. Poor                                     6                  0               3              0              7               3

                                         n=36              n=34             n=32           n=33           n=14           n=149
                                                                                                                    (continued)




                                             Page 34                                        GAO/RCED-97-34 HUD Telephone Survey
                                               Appendix II
                                               GAO Telephone Survey of HUD Field
                                               Directors With Responses




                                                              Program area (Responses in percent)
                                Single-family       Multifamily                         Public       Housing
Question                             housing          housing              CPD         housing       directors           Total
14. How does the quality of
current training at HUD
compare to the training
available 2 years ago?
1. Better                                 63                 82              52             75             92              71
2. Same                                   29                 18              35             25              8              25
3. Worse                                   9                  0              14              0              0               5

                                        n=35              n=34             n=29           n=32           n=13           n=143
15. Next, I have a few
questions about information
systems at HUD—how well
they work for you and your
staff and how they have
changed, for better or
worse, over the last 2 years.
HUD’s information systems
include computer systems
for both financial and
management information.
a. How do you rate the
accuracy of data in reports
that you and your staff get
out of HUD’s information
systems?
1. Excellent                              22                  0              25             20              7              16
2. Good                                   53                 32              59             66             21              49
3. Fair                                   14                 49              13             14             43              25
4. Poor                                   11                 19               3              0             29              10

                                        n=36              n=37             n=32           n=35           n=14           n=154
b. Compared to 2 years
ago, would you say the
accuracy of data in reports
that you and your staff get
out of HUD’s information
systems is...?
1. Better                                 39                 56              53             94             50              60
2. Same                                   44                 36              38              6             43              32
3. Worse                                  17                  8               9              0              7               9

                                        n=36              n=36             n=32           n=35           n=14           n=153
                                                                                                                   (continued)




                                            Page 35                                        GAO/RCED-97-34 HUD Telephone Survey
                                             Appendix II
                                             GAO Telephone Survey of HUD Field
                                             Directors With Responses




                                                            Program area (Responses in percent)
                              Single-family       Multifamily                         Public       Housing
Question                           housing          housing              CPD         housing       directors           Total
c. How do you rate the ease
of generating reports from
the information systems?
1. Excellent                             3                  3               6              6              0               4
2. Good                                 42                 15              31             53             36              35
3. Fair                                 33                 41              47             27             21              35
4. Poor                                 22                 41              16             15             43              25

                                      n=36              n=34             n=32           n=34           n=14           n=150
d. Compared to 2 years
ago, is the ease of
generating reports from the
information systems...?
1. Better                               33                 33              38             65             39              42
2. Same                                 44                 64              59             32             54              50
3. Worse                                22                  3               3              3              8               8

                                      n=36              n=33             n=32           n=34           n=13           n=148
e. How do you rate the
usefulness of information
from these systems for
monitoring program
activities?
1. Excellent                            11                  0              12             11              7               8
2. Good                                 58                 22              52             66             29              47
3. Fair                                 28                 53              33             17             29              33
4. Poor                                  3                 25               3              6             36              12

                                      n=36              n=36             n=33           n=35           n=14           n=154
f. Compared to 2 years ago,
is the usefulness of
information from these
systems for monitoring
program activities...?
1. Better                               33                 31              30             80             43              44
2. Same                                 56                 63              64             17             57              50
3. Worse                                11                  6               6              3              0               6

                                      n=36              n=35             n=33           n=35           n=14           n=153
                                                                                                                 (continued)




                                          Page 36                                        GAO/RCED-97-34 HUD Telephone Survey
                                               Appendix II
                                               GAO Telephone Survey of HUD Field
                                               Directors With Responses




                                                              Program area (Responses in percent)
                                Single-family       Multifamily                         Public       Housing
Question                             housing          housing              CPD         housing       directors           Total
g. How do you rate the
usefulness of the
information systems when
you and your staff need
data for job responsibilities
other than monitoring?
1. Excellent                               3                  0               3              9              0               3
2. Good                                   61                 17              47             60             29              44
3. Fair                                   28                 58              47             26             36              39
4. Poor                                    8                 25               3              6             36              13

                                        n=36              n=36             n=32           n=35           n=14           n=153
h. Compared to 2 years
ago, is the usefulness of the
information systems when
you and your staff need
data for job responsibilities
other than monitoring...?
1. Better                                 31                 44              38             80             46              48
2. Same                                   58                 53              63             17             46              47
3. Worse                                  11                  3               0              3              8               5

                                        n=36              n=36             n=32           n=35           n=13           n=152
i. How do you rate the
systems’ ability to share
data or interact?
1. Excellent                               7                  0               4              0              0               2
2. Good                                   19                 11              21             20              0              16
3. Fair                                   29                 20              32             50             27              32
4. Poor                                   45                 69              43             30             73              50

                                        n=31              n=35             n=28           n=30           n=11           n=135
j. Compared to 2 years ago,
is the systems’ ability to
share data or interact...?
1. Better                                 32                 37              39             60             30              41
2. Same                                   65                 57              54             40             60              55
3. Worse                                   3                  6               8              0             10               5

                                        n=31              n=35             n=26           n=30           n=10           n=132
                                                                                                                   (continued)




                                            Page 37                                        GAO/RCED-97-34 HUD Telephone Survey
                                                Appendix II
                                                GAO Telephone Survey of HUD Field
                                                Directors With Responses




                                                               Program area (Responses in percent)
                                 Single-family       Multifamily                         Public       Housing
Question                              housing          housing              CPD         housing       directors           Total
16. What is your overall
level of satisfaction with the
information systems in your
area of responsibility?
1. Very satisfied                           0                  0               3              3              0               1
2. Generally satisfied                     66                 36              71             74             39              59
3. Generally dissatisfied                  34                 44              19             17             39              30
4. Very dissatisfied                        0                 19               3              6             23               9
5. Neither                                  0                  0               3              0              0               0

                                         n=35              n=36             n=31           n=35           n=13           n=150
17. One past criticism of
HUD was that it lacked
adequate internal controls
to prevent waste, fraud, and
mismanagement. By
internal controls, we mean
such things as on-site
monitoring, supervisory
reviews, data verification,
and separation of financial
duties. I’ll be asking you a
set of questions about
internal controls. As I read
each one, please think
about the internal controls
currently in place in your
area of responsibility, both
for HUD’s customers and
for HUD employees.
a. How would you rate the
internal controls in place to
protect resources from
fraud?
1. Excellent                               11                  8               9             11              8              10
2. Good                                    44                 58              58             51             54              53
3. Fair                                    39                 33              24             34             31              33
4. Poor                                     6                  0               9              3              8               5

                                         n=36              n=36             n=33           n=35           n=13           n=153
                                                                                                                    (continued)




                                             Page 38                                        GAO/RCED-97-34 HUD Telephone Survey
                                               Appendix II
                                               GAO Telephone Survey of HUD Field
                                               Directors With Responses




                                                                Program area (Responses in percent)
                                Single-family        Multifamily                                 Public            Housing
Question                             housing           housing                  CPD             housing            directors                   Total
b. How would you rate the
internal controls in place to
ensure that resources are
used efficiently and
effectively?
1. Excellent                               3                    8                   7                  14                   21                     9
2. Good                                   61                   69                  55                  57                   50                    60
3. Fair                                   33                   17                  29                  23                   21                    25
4. Poor                                    3                    6                  10                   6                    7                     6

                                        n=36                n=36                n=31                n=35                 n=14                  n=152

c. How would you rate the
internal controls in place to
ensure that program goals
and objectives are met?
1. Excellent                              28                   33                  19                  14                   64                    28
2. Good                                   64                   56                  48                  69                   29                    57
3. Fair                                    6                    8                  23                  17                    7                    13
4. Poor                                    3                    3                  10                   0                    0                     3

                                        n=36                n=36                n=31                n=35                 n=14                  n=152
d. How would you rate the
internal controls in place to
ensure that reported data
are reliable?
1. Excellent                              11                    6                  10                  11                    7                     9
2. Good                                   50                   31                  37                  46                   43                    41
3. Fair                                   33                   50                  40                  34                   36                    39
4. Poor                                    6                   14                  13                   9                   14                    11

                                        n=36                n=36                n=30                n=35                 n=14                  n=151
e. How would you rate the
internal controls in place to
ensure that all parties
comply with laws and
regulations?
1. Excellent                               8                    6                   7                   3                    8                     6
2. Good                                   50                   58                  50                  40                   54                    50
3. Fair                                   39                   33                  33                  43                   31                    37
4. Poor                                    3                    3                  10                  14                    8                     7

                                        n=36                n=36                n=30                n=35                 n=13                  n=150

                                            a
                                              Throughout the survey, the directors who had held their current position for less than 2 years
                                            were asked to discuss only the changes that had occurred since they assumed that position.
                                               b
                                                “n” is the number of responses. Percentages may not add to 100 due to rounding.




                                               Page 39                                                GAO/RCED-97-34 HUD Telephone Survey
Appendix III

Major Contributors to This Report


                       Glenn Davis
Housing and            Janet Boswell
Community              Eugene Chuday
Development Issue      Woodliff Jenkins
                       Joan Mahagan
Area
                       Fran Featherston
Design, Methodology,
and Technical
Assistance Group




(385656)               Page 40            GAO/RCED-97-34 HUD Telephone Survey
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