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    Subject Term: "Performance measurement"

    148 publications with a total of 435 open recommendations including 35 priority recommendations
    Director: Nancy Kingsbury
    Phone: (202) 512-2700

    1 open recommendations
    Recommendation: To help ensure that federal agencies obtain the evidence needed to address the most important questions to improve program implementation and performance, the Director of the Office of Management and Budget should direct each of the 24 Chief Financial Officer Act agencies to prepare an annual agency-wide evaluation plan that describes the (1) key questions for each significant evaluation study that the agency plans to begin in the next fiscal year, and (2) congressional committees; federal, state and local program partners; researchers; and other stakeholders that were consulted in preparing their plan. (Recommendation 1)

    Agency: Executive Office of the President: Office of Management and Budget
    Status: Open

    Comments: When we confirm what actions the agency has taken in response to this recommendation, we will provide updated information.
    Director: J. Christopher Mihm
    Phone: (202) 512-6806

    4 open recommendations
    Recommendation: The Director of OMB should revise and publicly issue OMB guidance--through an update to its Circular No. A-11, a memorandum, or other means--to provide time frames and associated milestones for implementing the federal program inventory. (Recommendation 2)

    Agency: Executive Office of the President: Office of Management and Budget
    Status: Open

    Comments: When we confirm what actions the agency has taken in response to this recommendation, we will provide updated information.
    Recommendation: The Director of OMB should consider--as OMB determines its strategy for resumed implementation of the federal program inventory--using a systematic approach, such as the information architecture framework, to help ensure that GPRAMA requirements and our past recommendations for the inventory are addressed. (Recommendation 3)

    Agency: Executive Office of the President: Office of Management and Budget
    Status: Open

    Comments: When we confirm what actions the agency has taken in response to this recommendation, we will provide updated information.
    Recommendation: The Director of OMB should work with the Performance Improvement Council to identify and share among agencies practices for expanding the use of data-driven performance reviews beyond agency priority goals, such as for other performance goals and at lower levels within agencies, that have led to performance improvements. (Recommendation 4)

    Agency: Executive Office of the President: Office of Management and Budget
    Status: Open

    Comments: When we confirm what actions the agency has taken in response to this recommendation, we will provide updated information.
    Recommendation: The Director of OMB should update Performance.gov to explain that quarterly reporting on the fiscal year 2014 through 2017 cross-agency priority goals and fiscal year 2016 and 2017 agency priority goals (APGs) was suspended, and provide the location of final progress updates for these goals. (Recommendation 1)

    Agency: Executive Office of the President: Office of Management and Budget
    Status: Open

    Comments: When we confirm what actions the agency has taken in response to this recommendation, we will provide updated information.
    Director: Timothy J. DiNapoli
    Phone: (202) 512-4841

    7 open recommendations
    Recommendation: To enhance management attention to closing out contracts, the Secretary of Defense should develop a means for department-wide oversight into components' progress in meeting their goals on closing contracts and the status of contracts eligible for closeout. (Recommendation 1)

    Agency: Department of Defense
    Status: Open

    Comments: When we confirm what actions the agency has taken in response to this recommendation, we will provide updated information.
    Recommendation: To enhance management attention to closing out contracts, the Secretary of Health and Human Services should develop a means for department-wide oversight into components' progress in meeting their goals on closing contracts and the status of contracts eligible for closeout. (Recommendation 2)

    Agency: Department of Health and Human Services
    Status: Open

    Comments: When we confirm what actions the agency has taken in response to this recommendation, we will provide updated information.
    Recommendation: To enhance management attention to closing out contracts, the Secretary of Homeland Security should develop a means, either at the agency or the component level, to track where the contracts are in the closeout process, and establish goals and performance measures for closing contracts. (Recommendation 3)

    Agency: Department of Homeland Security
    Status: Open

    Comments: When we confirm what actions the agency has taken in response to this recommendation, we will provide updated information.
    Recommendation: To enhance management attention to closing out contracts, the Attorney General should direct the Senior Procurement Executive to ensure the development of a means to track data on the number and type of contracts eligible for closeout and where the contracts are in the closeout process, as well as a means to assess--at the agency or component level--progress by establishing goals and performance measures for closing contracts. (Recommendation 4)

    Agency: Department of Justice
    Status: Open

    Comments: When we confirm what actions the agency has taken in response to this recommendation, we will provide updated information.
    Recommendation: To enhance management attention to closing out contracts, the Secretary of State should develop a means at the agency level to track data on the entirety of the number and type of contracts eligible for closeout, where the contracts are in the closeout process, and establish goals and performance measures for closing contracts. (Recommendation 5)

    Agency: Department of State
    Status: Open

    Comments: When we confirm what actions the agency has taken in response to this recommendation, we will provide updated information.
    Recommendation: To manage its incurred cost inventory, the Director, DCAA should assess and implement options for reducing the length of time to begin incurred cost audit work and establish related performance measures. (Recommendation 6)

    Agency: Department of Defense: Defense Contract Audit Agency
    Status: Open

    Comments: When we confirm what actions the agency has taken in response to this recommendation, we will provide updated information.
    Recommendation: To manage its incurred cost inventory, the Director, DCAA should comprehensively assess the use and effect of multi-year audits on both DCAA and contractors and establish related performance measures. (Recommendation 7)

    Agency: Department of Defense: Defense Contract Audit Agency
    Status: Open

    Comments: When we confirm what actions the agency has taken in response to this recommendation, we will provide updated information.
    Director: Asif A. Khan
    Phone: (202) 512-9869

    2 open recommendations
    Recommendation: The DHS Under Secretary for Management should develop and implement effective processes and improve guidance to reasonably assure that future AAs fully follow AOA process best practices and reflect the four characteristics of a reliable, high-quality AOA process. (Recommendation 1)

    Agency: Department of Homeland Security
    Status: Open

    Comments: When we confirm what actions the agency has taken in response to this recommendation, we will provide updated information.
    Recommendation: The DHS Under Secretary for Management should improve the Risk Management Planning Handbook and other relevant guidance for managing risks associated with financial management system modernization projects to fully incorporate risk management best practices, including (1) defining thresholds to facilitate review of performance metrics to determine when risks become unacceptable; (2) identifying and analyzing risks to include periodically reconsidering risk sources, documenting risks specifically related to the lack of sufficient, reliable cost and schedule information needed to help properly manage and oversee the project, and timely disposition of IV&V contractor-identified risks; (3) developing risk mitigation plans with specific risk-handling activities, the costs and benefits of implementing them, and contingency plans for selected critical risks; and (4) implementing risk mitigation plans to include establishing periods of performance for risk-handling activities and defining time intervals for updating and certifying the accuracy and completeness of information on risks in DHS's risk register. (Recommendation 2)

    Agency: Department of Homeland Security
    Status: Open

    Comments: When we confirm what actions the agency has taken in response to this recommendation, we will provide updated information.
    Director: Mark Goldstein
    Phone: (202) 512-2834

    2 open recommendations
    Recommendation: The Chairman of the FCC should establish quantifiable goals and related measures--performance indicators, targets, and timeframes--for its enforcement program and annually publish the results to demonstrate the performance of this program and improve transparency regarding FCC's enforcement priorities. (Recommendation 1)

    Agency: Federal Communications Commission
    Status: Open

    Comments: When we confirm what actions the agency has taken in response to this recommendation, we will provide updated information.
    Recommendation: The Chairman of the FCC should establish, and make publically available, a communications strategy outlining the agency's enforcement program for external stakeholders, to improve engagement with the telecommunications community on the purposes, objectives, and processes the Enforcement Bureau employs to achieve its mission. (Recommendation 2)

    Agency: Federal Communications Commission
    Status: Open

    Comments: When we confirm what actions the agency has taken in response to this recommendation, we will provide updated information.
    Director: David A. Powner
    Phone: (202) 512-9286

    6 open recommendations
    Recommendation: The Secretary of Health and Human Services should direct the Administrator of the Centers for Medicare & Medicaid Services to take steps to ensure that state-based marketplace annual sustainability plans, to the extent possible, have complete 5-year budget forecasts. (Recommendation 1)

    Agency: Department of Health and Human Services
    Status: Open

    Comments: When we confirm what actions the agency has taken in response to this recommendation, we will provide updated information.
    Recommendation: The Secretary of Health and Human Services should direct the Administrator of the Centers for Medicare & Medicaid Services to take steps to ensure that all state-based marketplaces provide required annual financial audit reports which are in accordance with generally accepted government auditing standards. (Recommendation 2)

    Agency: Department of Health and Human Services
    Status: Open

    Comments: When we confirm what actions the agency has taken in response to this recommendation, we will provide updated information.
    Recommendation: The Secretary of Health and Human Services should direct the Administrator of the Centers for Medicare & Medicaid Services to take steps to ensure that marketplace IT self-sustainability risk assessments are based on fully defined measurable terms, a clear categorization process, and a defined response to high risks. (Recommendation 3)

    Agency: Department of Health and Human Services
    Status: Open

    Comments: When we confirm what actions the agency has taken in response to this recommendation, we will provide updated information.
    Recommendation: The Secretary of Health and Human Services should direct the Administrator of the Centers for Medicare & Medicaid Services to take steps to ensure that states develop, update, and follow performance measurement plans that allow the states to continuously identify and assess the most important IT metrics for their state marketplaces. (Recommendation 4)

    Agency: Department of Health and Human Services
    Status: Open

    Comments: When we confirm what actions the agency has taken in response to this recommendation, we will provide updated information.
    Recommendation: The Secretary of Health and Human Services should direct the Administrator of the Centers for Medicare & Medicaid Services to take steps to conduct operational analysis reviews and systematically monitor the performance of states' marketplace IT systems using key performance indicators. (Recommendation 5)

    Agency: Department of Health and Human Services
    Status: Open

    Comments: When we confirm what actions the agency has taken in response to this recommendation, we will provide updated information.
    Recommendation: The Secretary of Health and Human Services should direct the Administrator of the Centers for Medicare & Medicaid Services to take steps to ensure that metrics collected from states to monitor marketplaces' operational performance link to performance goals and include baselines and targets to monitor progress. (Recommendation 6)

    Agency: Department of Health and Human Services
    Status: Open

    Comments: When we confirm what actions the agency has taken in response to this recommendation, we will provide updated information.
    Director: Andrew Von Ah
    Phone: (213) 830-1011

    4 open recommendations
    Recommendation: To help ensure that each service can provide information to decision makers as they assess the value of the military bands relative to resource demands for other priorities, the Secretaries of the Army, Navy, and Air Force, and the Commandant of the Marine Corps should direct the Chief of Army Music, Commanding Officer of the U.S. Navy Band, Chief of the Air Force Bands Division, and Director of Marine Corps Communications, respectively, each to develop and implement measurable objectives and performance measures for their respective services' bands. At a minimum, these measures should include the important attributes for successful performance measures of demonstrating linkage to the program's mission, establishing a baseline, and having measurable targets to demonstrate program performance.

    Agency: Department of Defense: Department of the Air Force
    Status: Open

    Comments: When we confirm what actions the agency has taken in response to this recommendation, we will provide updated information.
    Recommendation: To help ensure that each service can provide information to decision makers as they assess the value of the military bands relative to resource demands for other priorities, the Secretaries of the Army, Navy, and Air Force, and the Commandant of the Marine Corps should direct the Chief of Army Music, Commanding Officer of the U.S. Navy Band, Chief of the Air Force Bands Division, and Director of Marine Corps Communications, respectively, each to develop and implement measurable objectives and performance measures for their respective services' bands. At a minimum, these measures should include the important attributes for successful performance measures of demonstrating linkage to the program's mission, establishing a baseline, and having measurable targets to demonstrate program performance.

    Agency: Department of Defense: United States Marine Corps
    Status: Open

    Comments: When we confirm what actions the agency has taken in response to this recommendation, we will provide updated information.
    Recommendation: To help ensure that each service can provide information to decision makers as they assess the value of the military bands relative to resource demands for other priorities, the Secretaries of the Army, Navy, and Air Force, and the Commandant of the Marine Corps should direct the Chief of Army Music, Commanding Officer of the U.S. Navy Band, Chief of the Air Force Bands Division, and Director of Marine Corps Communications, respectively, each to develop and implement measurable objectives and performance measures for their respective services' bands. At a minimum, these measures should include the important attributes for successful performance measures of demonstrating linkage to the program's mission, establishing a baseline, and having measurable targets to demonstrate program performance.

    Agency: Department of Defense: Department of the Navy
    Status: Open

    Comments: When we confirm what actions the agency has taken in response to this recommendation, we will provide updated information.
    Recommendation: To help ensure that each service can provide information to decision makers as they assess the value of the military bands relative to resource demands for other priorities, the Secretaries of the Army, Navy, and Air Force, and the Commandant of the Marine Corps should direct the Chief of Army Music, Commanding Officer of the U.S. Navy Band, Chief of the Air Force Bands Division, and Director of Marine Corps Communications, respectively, each to develop and implement measurable objectives and performance measures for their respective services' bands. At a minimum, these measures should include the important attributes for successful performance measures of demonstrating linkage to the program's mission, establishing a baseline, and having measurable targets to demonstrate program performance.

    Agency: Department of Defense: Department of the Army
    Status: Open

    Comments: When we confirm what actions the agency has taken in response to this recommendation, we will provide updated information.
    Director: Lori Rectanus
    Phone: (202) 512-2834

    3 open recommendations
    Recommendation: To manage the mail program more effectively, the Secretary of Veterans Affairs should develop and document a plan to source contracts for mailing equipment in a more strategic manner. Such strategic contract sourcing should enable facilities to obtain equipment to track mail volume and expenditure data more consistently and to maximize cost savings.

    Agency: Department of Veterans Affairs
    Status: Open

    Comments: When we confirm what actions the agency has taken in response to this recommendation, we will provide updated information.
    Recommendation: To manage the mail program more effectively, the Secretary of Veterans Affairs should update VA Directive 6340 to incorporate agency-wide goals and performance measures for mail operations.

    Agency: Department of Veterans Affairs
    Status: Open

    Comments: When we confirm what actions the agency has taken in response to this recommendation, we will provide updated information.
    Recommendation: To manage the mail program more effectively, the Secretary of Veterans Affairs should determine and document the authority and responsibilities of the agency and administration-level mail managers to enable them to improve management and oversight of mail operations.

    Agency: Department of Veterans Affairs
    Status: Open

    Comments: When we confirm what actions the agency has taken in response to this recommendation, we will provide updated information.
    Director: Rebecca Gambler
    Phone: (202) 512-8777

    6 open recommendations
    Recommendation: To better assess whether RSCs are meeting USRAP objectives, the Assistant Secretary of State for Population, Refugees, and Migration should develop outcome-based indicators, as required by State policy.

    Agency: Department of State: Bureau of Population, Refugees and Migration
    Status: Open

    Comments: When we confirm what actions the agency has taken in response to this recommendation, we will provide updated information.
    Recommendation: To better assess whether RSCs are meeting USRAP objectives, the Assistant Secretary of State for Population, Refugees, and Migration should monitor RSC performance against such indicators on a regular basis.

    Agency: Department of State: Bureau of Population, Refugees and Migration
    Status: Open

    Comments: When we confirm what actions the agency has taken in response to this recommendation, we will provide updated information.
    Recommendation: To better ensure that USCIS officers effectively adjudicate applications for refugee status, the Director of USCIS should develop and implement a plan to deploy officers with national security expertise on circuit rides.

    Agency: Department of Homeland Security: United States Citizenship and Immigration Services
    Status: Open

    Comments: When we confirm what actions the agency has taken in response to this recommendation, we will provide updated information.
    Recommendation: To better ensure that USCIS officers effectively adjudicate applications for refugee status, the Director of USCIS should conduct regular quality assurance assessments of refugee application adjudications across USCIS's Refugee Affairs Division and International Operations Division.

    Agency: Department of Homeland Security: United States Citizenship and Immigration Services
    Status: Open

    Comments: USCIS provided documentation that U.S. Citizenship and Immigration Services (USCIS) officials conducted a quality assurance assessment of refugee adjudications in July 2017 and has plans to conduct an additional quality assurance assessment in January or February 2018. To fully address this recommendation, USCIS should demonstrate a continued commitment to conducting regular quality assurance assessments of refugee application adjudications.
    Recommendation: To provide reasonable assurance that USRAP applicant fraud prevention and detection controls are adequate and effectively implemented, the Secretaries of Homeland Security and State should conduct regular joint assessments of applicant fraud risk across USRAP.

    Agency: Department of Homeland Security
    Status: Open

    Comments: When we confirm what actions the agency has taken in response to this recommendation, we will provide updated information.
    Recommendation: To provide reasonable assurance that USRAP applicant fraud prevention and detection controls are adequate and effectively implemented, the Secretaries of Homeland Security and State should conduct regular joint assessments of applicant fraud risk across USRAP.

    Agency: Department of State
    Status: Open

    Comments: When we confirm what actions the agency has taken in response to this recommendation, we will provide updated information.
    Director: Lori Rectanus
    Phone: (202) 512-2834

    7 open recommendations
    Recommendation: The Secretary of the Interior should direct the Director of the National Park Service to direct the U.S. Park Police to ensure that performance measures linked to program goals are included as part of its updated strategic plan and direct it to develop a timeline for completion of this plan.

    Agency: Department of the Interior
    Status: Open

    Comments: Interior concurred with this recommendation and said it would take steps to implement it. When we confirm what actions Interior has taken in response to this recommendation, we will provide updated information.
    Recommendation: The Secretary of the Interior should direct the Director of the National Park Service to direct the U.S. Park Police to seek additional input from federal entities with expertise regarding ways to enhance testing of its physical security program.

    Agency: Department of the Interior
    Status: Open

    Comments: Interior concurred with this recommendation and said it would take steps to implement it. When we confirm what actions Interior has taken in response to this recommendation, we will provide updated information.
    Recommendation: The Secretary of the Smithsonian Institution should direct the Office of Protection Services to develop program goals and ensure that performance measures linked to those goals are included as part of the strategic plan for security and develop a timeline for completion of this plan.

    Agency: Smithsonian Institution
    Status: Open

    Comments: The Smithsonian concurred with this recommendation and said it would take steps to implement it. When we confirm what actions the Smithsonian has taken in response to this recommendation, we will provide updated information.
    Recommendation: The Secretary of the Smithsonian Institution should direct the Office of Protection Services to seek additional input from federal entities with expertise regarding ways to enhance testing of the physical security program.

    Agency: Smithsonian Institution
    Status: Open

    Comments: The Smithsonian concurred with this recommendation and said it would take steps to implement it. When we confirm what actions the Smithsonian has taken in response to this recommendation, we will provide updated information.
    Recommendation: The Director of the National Gallery of Art should direct the Office of Protection Services to develop a process for documenting risk management decisions.

    Agency: National Gallery of Art
    Status: Open

    Comments: The National Gallery concurred with this recommendation and said it would take steps to implement it. When we confirm what actions the National Gallery has taken in response to this recommendation, we will provide updated information.
    Recommendation: The Director of the National Gallery of Art should direct the Office of Protection Services to ensure that program goals and performance measures linked to those goals are included as part of the master security plan and develop a timeline for completion of this plan.

    Agency: National Gallery of Art
    Status: Open

    Comments: The National Gallery concurred with this recommendation and said it would take steps to implement it. When we confirm what actions the National Gallery has taken in response to this recommendation, we will provide updated information.
    Recommendation: The Director of the National Gallery of Art should direct the Office of Protection Services to seek additional input from federal entities with expertise regarding ways to enhance testing of the physical security program.

    Agency: National Gallery of Art
    Status: Open

    Comments: The National Gallery concurred with this recommendation and said it would take steps to implement it. When we confirm what actions the National Gallery has taken in response to this recommendation, we will provide updated information.
    Director: Susan Fleming
    Phone: (202) 512-2834

    1 open recommendations
    Recommendation: To better position DOT and FHWA to effectively guide the transformation of federal surface transportation programs to a more performance-oriented approach, and to help states and MPOs overcome anticipated challenges, the Secretary of Transportation should direct the Administrator of FHWA to take the following two actions: 1. Develop a formal TPM implementation plan to include overarching implementation goals, specific actions FHWA plans to take to help states and MPOs successfully implement TPM, and corresponding timelines. 2. Publicly communicate this plan and approach to build a shared understanding of the goals and purpose of the transformation with its grantees.

    Agency: Department of Transportation
    Status: Open

    Comments: When we confirm what actions the agency has taken in response to this recommendation, we will provide updated information.
    Director: Brenda S. Farrell
    Phone: (202) 512-3604

    1 open recommendations
    Recommendation: To improve the management of the Armed Forces Sports Program and better determine whether the program is achieving its desired results, the Secretary of Defense should direct the Under Secretary of Defense for Personnel and Readiness to develop and implement performance measures for the Armed Forces Sports Program that measure the desired outcomes for the program and, at a minimum, demonstrate linkage to the program's goals or mission, have a measurable target, and include a baseline that can be used to demonstrate program performance.

    Agency: Department of Defense
    Status: Open

    Comments: As of July 2017, DOD acknowledged the issuance of our final report and concurred with this recommendation. We will provide an update when we confirm the actions DOD takes to develop and implement performance measures for the Armed Forces Sports Program.
    Director: Melissa Emrey-Arras
    Phone: (617) 788-0534

    6 open recommendations
    Recommendation: The Secretary of the Interior should direct the Assistant Secretary-Indian Affairs to develop and take corrective actions, in consultation with Interior's Designated Agency Safety and Health Official, to address BIA safety program weaknesses identified in prior Interior evaluations.

    Agency: Department of the Interior
    Status: Open

    Comments: Interior agreed with this recommendation. The agency stated that the Designated Agency Safety and Health Official (DASHO) is working with the Indian Affairs' safety office and BIA regional leadership to discuss the current state of BIA's safety program and develop a corrective action plan to address identified safety program weaknesses.
    Recommendation: The Secretary of the Interior should direct the Assistant Secretary-Indian Affairs to assign responsibility to a specific office or official to develop and implement a plan to assess employees' safety training needs and monitor employees' compliance with Indian Affairs' safety training requirements.

    Agency: Department of the Interior
    Status: Open

    Comments: Interior agreed with this recommendation. Interior indicated that Indian Affairs is developing a safety training plan, which will establish program responsibilities and compliance requirements for safety training across BIA, among other areas. Interior also noted that line offices will track the implementation of the training plan and individuals' compliance with training requirements.
    Recommendation: The Secretary of the Interior should direct the Assistant Secretary-Indian Affairs to ensure that BIA's employee performance standards on inspections are consistently incorporated into the appraisal plans of all BIA personnel with safety program responsibilities.

    Agency: Department of the Interior
    Status: Open

    Comments: Interior agreed with this recommendation. Interior commented that the appraisal plans of BIA regional directors had been updated to include BIA's new performance standards on inspections, which we noted in our report. The agency also stated that Indian Affairs' work in addressing this recommendation was primarily completed. However, Interior did not provide evidence that the appraisal plans of all BIA staff with safety program responsibilities included all of the bureau's new performance standards on safety inspections. We continue to believe that it is important that BIA's employee performance standards on inspections are consistently incorporated in all BIA employee appraisal plans.
    Recommendation: The Secretary of the Interior should direct the Assistant Secretary-Indian Affairs to develop a performance standard on inspection report quality and establish a process to routinely monitor the quality of inspection reports. Monitoring could include, but not be limited to, the following areas: accuracy of risk levels and abatement timeframes assigned to deficiencies and clarity of language to describe safety hazards and recommended corrections.

    Agency: Department of the Interior
    Status: Open

    Comments: Interior agreed with this recommendation. The agency noted that Indian Affairs is developing written policies and procedures for safety inspections at BIE schools, which it says will address issues with report clarity and accuracy, among other areas. However, Interior did not provide us with information about whether it will establish a performance standard for report quality and a process for monitoring inspection quality, which are the two key actions we recommended. We maintain that these steps are needed to ensure that BIE schools receive thorough and accurate safety inspection reports.
    Recommendation: The Secretary of the Interior should direct the Assistant Secretary-Indian Affairs to require safety inspectors to document when inspection reports are sent to schools and establish a process to routinely monitor the timeliness of reports against Indian Affairs' required 30-day timeframe.

    Agency: Department of the Interior
    Status: Open

    Comments: Interior agreed with this recommendation. Interior stated that Indian Affairs will require inspectors to certify and report the dates on which inspectors send reports to schools. The agency also noted that Indian Affairs' safety office will monitor the timeliness of inspection reports sent to schools and report the results of its monitoring to Indian Affairs' senior leadership.
    Recommendation: The Secretary of the Interior should direct the Assistant Secretary-Indian Affairs to use information gathered from monitoring the timeliness of school safety inspection reports to assess the performance of employees with safety program responsibilities and hold them accountable.

    Agency: Department of the Interior
    Status: Open

    Comments: Interior agreed with this recommendation. Interior stated that supervisors will ensure that responsible employees are held accountable for complying with its performance standards on safety inspections. We continue to believe it is important that Indian Affairs use information from monitoring inspection report timeliness to assess employee performance.
    Director: Rebecca Gambler
    Phone: (202) 512-8777

    5 open recommendations
    Recommendation: To help ensure that efforts to address smuggling through cross-border tunnels, ultralight aircraft, panga boats, and recreational vessels are effective and that managers and stakeholders have the information needed to make decisions, the Secretary of Homeland Security should direct the Commissioner of CBP to assess and document how the alternative technological solutions being considered will fully meet operational needs related to ultralight aircraft.

    Agency: Department of Homeland Security
    Status: Open

    Comments: DHS concurred with this recommendation and stated that it plans to assess and document requirements related to ultralight aircraft threats and how technological solutions will address these requirements as part of U.S. Customs and Border Protection Air and Marine Operations air domain awareness efforts. DHS plans to complete these efforts by July 2018.
    Recommendation: To help ensure that efforts to address smuggling through cross-border tunnels, ultralight aircraft, panga boats, and recreational vessels are effective and that managers and stakeholders have the information needed to make decisions, the Secretary of Homeland Security should direct the Commissioner of CBP and the Director of ICE to jointly establish and monitor performance measures and targets related to cross-border tunnels.

    Agency: Department of Homeland Security
    Status: Open

    Comments: DHS concurred with this recommendation and stated that U.S. Customs and Border Protection and U.S. Immigration and Customs Enforcement will review available information and develop performance measures and targets as deemed appropriate by February 2018.
    Recommendation: To help ensure that efforts to address smuggling through cross-border tunnels, ultralight aircraft, panga boats, and recreational vessels are effective and that managers and stakeholders have the information needed to make decisions, the Secretary of Homeland Security should direct the Commissioner of CBP to establish and monitor performance targets related to ultralight aircraft.

    Agency: Department of Homeland Security
    Status: Open

    Comments: DHS concurred and stated that within U.S. Customs and Border Protection, Air and Marine Operations and the U.S. Border Patrol are developing a joint performance measure and targets for interdicting ultralight aircraft. DHS plans to complete these efforts by October 2017.
    Recommendation: To help ensure that efforts to address smuggling through cross-border tunnels, ultralight aircraft, panga boats, and recreational vessels are effective and that managers and stakeholders have the information needed to make decisions, the Secretary of Homeland Security should direct the U.S. Customs and Border Protection (CBP)-U.S. Immigration and Customs Enforcement (ICE) tunnel committee to convene and establish standard operating procedures for addressing cross-border tunnels, including procedures for sharing information.

    Agency: Department of Homeland Security
    Status: Open

    Comments: DHS did not concur with this recommendation. However, CBP and ICE agreed that strengthening operational procedures may be beneficial and stated that they will jointly review procedures and discuss revising and/or consolidating the procedures. We continue to believe that the recommendation is valid and will monitor DHS's efforts to address it.
    Recommendation: To help ensure that efforts to address smuggling through cross-border tunnels, ultralight aircraft, panga boats, and recreational vessels are effective and that managers and stakeholders have the information needed to make decisions, the Secretary of Homeland Security should direct the Commandant of the Coast Guard, Commissioner of CBP, and the Director of ICE to establish and monitor Regional Coordinating Mechanisms performance measures and targets related to panga boat and recreational vessel smuggling.

    Agency: Department of Homeland Security
    Status: Open

    Comments: DHS did not concur with this recommendation. DHS stated that that it believes that by establishing common terminology to address our first recommendation, the RECOMs will have more reliable, usable analyses to inform their maritime interdiction efforts. However, DHS did not believe that performance measures and targets related to smuggling by panga boats would provide the most useful strategic assessment of operations to prevent all illicit trafficking, regardless of area of operations or mode of transportation. DHS also cited the recent creation of the DHS Office of Policy, Strategy, and Plans that is to work with U.S. Coast Guard, U.S. Customs and Border Protection, U.S. Immigration and Customs Enforcement, and other components and offices to better evaluate the effectiveness of all operations that work to prevent the illegal entry of goods and people into the country, as appropriate. We continue to believe that the recommendation is valid and will monitor DHS's efforts to address it.
    Director: Jacqueline M. Nowicki
    Phone: (617) 788-0580

    4 open recommendations
    Recommendation: The Secretary of Education should direct the Office of Academic Improvement to expand its performance measures for the 21st Century program to address all program objectives. Specifically, Education should establish performance measures related to key behavioral, including student attendance and disciplinary incidents, and socio-emotional outcomes.

    Agency: Department of Education
    Status: Open

    Comments: Education neither agreed nor disagreed with our recommendations; rather, it generally noted that it will keep our recommendations in mind as it continues to implement changes in the program as a result of ESSA. Specifically, the department stated that it is in the process of re-examining whether additional or revised measures should be developed to align more significantly with the program's statutory objectives under ESSA. Education also expressed concern about collecting data on student attendance and disciplinary measures, noting that it will require effective collaboration between states, districts, and other eligible entities. However, we note that about half of states already collect data on at least one of these two measures; and that research has shown that 21st Century programs more often have positive effects on student attendance and reducing disciplinary incidents than on improving students' academic outcomes. Given these effects, we continue to believe that it is critical for Education to measure student attendance and disciplinary incidents to obtain more complete, accurate information on this program's effect on student outcomes.
    Recommendation: The Secretary of Education should direct the Office of Academic Improvement to conduct federal-level data checks on the accuracy of 21st Century program data submitted by states. Such checks could test for logical relationships between fields. Education should also publicly disclose and address any data limitations it identifies, as appropriate.

    Agency: Department of Education
    Status: Open

    Comments: Education neither agreed nor disagreed with this recommendation. Education commented that it plans to build in additional data checks into the data system beyond its current checks on the data's completeness. Specifically, Education anticipates that new technology enhancements in the data system will be designed to flag for inconsistencies in data reporting. For example, the system may send a "flag" that participation data is significantly lower or higher than previously reported participation data. Further, Education indicated that it will consider whether auditors performing audits under the Single Audit Act can be asked and guided to do more checks on the accuracy and reliability of 21st Century program data.
    Recommendation: The Secretary of Education should direct the Office of Academic Improvement to provide written, non-regulatory guidance to states on developing and conducting high-quality 21st Century state evaluations to help address the difficulties states face in measuring program performance and effectiveness.

    Agency: Department of Education
    Status: Open

    Comments: Education neither agreed nor disagreed with this recommendation. Education outlined several steps it has taken to assist states in the past. For example, Education said that it provided six states with individualized technical assistance on strategies related to developing statewide evaluations and measures. Education also noted that, to date, it has conducted two webinars on state evaluations and is in the process of including presentations from those webinars on its online learning portal so that states will have easy access to the information. In addition, Education stated that it included presentations on evaluation strategies in the past during its Summer Institute. Education also said it would consider whether additional guidance for all states was needed. While these are important steps, we do not believe they are sufficient. We continue to believe that Education should prepare written guidance to assist all states in developing and conducting high-quality program evaluations.
    Recommendation: The Secretary of Education should direct the Office of Academic Improvement to use the information it collects from its monitoring visits and ongoing interactions with states to share effective practices across states for sustaining their 21st Century programs once program funding ends. This information could be shared using existing mechanisms such as Education's meetings with 21st Century state coordinators.

    Agency: Department of Education
    Status: Open

    Comments: Education neither agreed nor disagreed with this recommendation. Education noted that it hosts meetings twice a year for 21st Century state coordinators where strategies related to program sustainability are shared with states. These meetings covered topics such as reducing the amounts of 21st Century grant awards by a percentage each year. However, these meetings have not focused on topics on program sustainability for several years. We continue to believe that Education should take the lead in sharing information with states to help them address their sustainability challenges by sharing information on state policies and practices that have shown some success.
    Director: Mark Goldstein
    Phone: (202) 512-2834

    5 open recommendations
    Recommendation: To improve RUS's management of the Infrastructure Program, Broadband Program, and Community Connect by more closely following leading practices for broadband loan- and grant-program management, the Secretary of Agriculture should direct RUS to develop and document clear goals and performance measures linked to those goals, for each program.

    Agency: Department of Agriculture
    Status: Open

    Comments: When we confirm what actions the agency has taken in response to this recommendation, we will provide updated information.
    Recommendation: To improve RUS's management of the Infrastructure Program, Broadband Program, and Community Connect by more closely following leading practices for broadband loan- and grant-program management, the Secretary of Agriculture should direct RUS to establish and implement procedures to conduct a risk assessment of each program, including an examination of risk at both the programmatic and portfolio level for each program.

    Agency: Department of Agriculture
    Status: Open

    Comments: When we confirm what actions the agency has taken in response to this recommendation, we will provide updated information.
    Recommendation: To improve RUS's management of the Infrastructure Program, Broadband Program, and Community Connect by more closely following leading practices for broadband loan- and grant-program management, the Secretary of Agriculture should direct RUS to establish and implement procedures to conduct periodic evaluations of completed grant projects to determine the outcomes associated with these projects, and analyze the information gained to assess if any programmatic changes are needed to improve the Community Connect program.

    Agency: Department of Agriculture
    Status: Open

    Comments: When we confirm what actions the agency has taken in response to this recommendation, we will provide updated information.
    Recommendation: To improve RUS's management of the Infrastructure Program, Broadband Program, and Community Connect by more closely following leading practices for broadband loan- and grant-program management, the Secretary of Agriculture should direct RUS to establish a timeline for implementing a centralized internal system for staff to obtain relevant and timely program data for use in managing and monitoring loans and grant awards.

    Agency: Department of Agriculture
    Status: Open

    Comments: When we confirm what actions the agency has taken in response to this recommendation, we will provide updated information.
    Recommendation: To improve RUS's management of the Infrastructure Program, Broadband Program, and Community Connect by more closely following leading practices for broadband loan- and grant-program management, the Secretary of Agriculture should direct RUS to develop, update, and maintain complete written policies and procedures for RUS's programs as a way to retain and communicate organizational knowledge internally among agency staff. RUS should determine the critical documentation that should be created or updated, including considering documentation such as loan-application review guidance and employee manuals for each of the three programs.

    Agency: Department of Agriculture
    Status: Open

    Comments: When we confirm what actions the agency has taken in response to this recommendation, we will provide updated information.
    Director: William Shear
    Phone: (202) 512-8678

    2 open recommendations
    Recommendation: To provide reasonable assurance that DOD's Pilot Mentor-Protege Program meets its mission, the Director, DOD's Office of Small Business Programs, should conduct periodic reviews of the processes DOD components follow to approve agreements and take oversight actions, as appropriate.

    Agency: Department of Defense: Office of Small Business Programs
    Status: Open

    Comments: When we confirm what actions the agency has taken in response to this recommendation, we will provide updated information.
    Recommendation: To provide reasonable assurance that DOD's Pilot Mentor-Protege Program meets its mission, the Director, DOD's Office of Small Business Programs, should complete actions to develop performance goals and related measures that are consistent with the program's stated purpose.

    Agency: Department of Defense: Office of Small Business Programs
    Status: Open

    Comments: When we confirm what actions the agency has taken in response to this recommendation, we will provide updated information.
    Director: John Neumann
    Phone: (202) 512-3841

    1 open recommendations
    Recommendation: To enhance interagency collaboration in the Manufacturing USA program, the Secretary of Commerce should direct the Director of the National Institute of Standards and Technology to work with all non-sponsoring agencies whose missions contribute to or are affected by advanced manufacturing to revise the Manufacturing USA governance system to ensure the roles and responsibilities for how these agencies could contribute to the Manufacturing USA program are fully identified.

    Agency: Department of Commerce
    Status: Open

    Comments: The Department of Commerce responded to the recommendation with three actions. (1) Labor, DHS, and HHS were invited to participate in the Manufacturing USA program resulting in Labor, Biomedical Advanced Research and Development Authority, and FDA agreeing to participate and naming representatives to the Manufacturing USA Interagency Working Team.(2) Labor was invited to present at and participate in the Spring 2017 Manufacturing USA Network meeting resulting in Labor participating in the meeting, presenting its apprenticeship programs, and continuing participation in the Manufacturing Education and Workforce Development team regular meetings. (3) The Manufacturing USA Interagency Working Team has begun discussions on expanding the Manufacturing USA network governance document to include activities, roles, and responsibilities of non-institute sponsoring agencies. Final program policy decisions will be made once the new Administration's agency leadership is in place. Completion is expected by Fall 2017.
    Director: Carol C. Harris
    Phone: (202) 512-4456

    3 open recommendations
    Recommendation: To help improve the management of DOD's MAIS programs, the Secretary of Defense should direct the Secretary of the Army to direct the program manager for Global Combat Support System-Army Increment 1 to establish standard operating procedures for managing risks that include guidance for establishing thresholds and bounds for key risk areas.

    Agency: Department of Defense
    Status: Open

    Comments: When we confirm what actions the agency has taken in response to this recommendation, we will provide updated information.
    Recommendation: To help improve the management of DOD's MAIS programs, the Secretary of Defense should direct the Secretary of the Air Force to direct the program manager for Air and Space Operations Center-Weapon System Increment 10.2 to develop an overall risk mitigation plan to guide the implementation of individual risk mitigation and contingency plan activities.

    Agency: Department of Defense
    Status: Open

    Comments: When we confirm what actions the agency has taken in response to this recommendation, we will provide updated information.
    Recommendation: To help improve the management of DOD's MAIS programs, the Secretary of Defense should direct the Secretary of the Air Force to direct the program manager for Joint Space Operations Center, Mission System Increment 2 to appoint a chief developmental tester to oversee systems testing and integration activities.

    Agency: Department of Defense
    Status: Open

    Comments: When we confirm what actions the agency has taken in response to this recommendation, we will provide updated information.
    Director: Zina Merritt
    Phone: (202) 512-5257

    2 open recommendations
    Recommendation: The Secretary of Defense should direct the Assistant Secretary of Defense for Logistics and Materiel Readiness, in collaboration with the Director, Defense Logistics Agency; the Secretaries of the Army, Navy, and Air Force; the Commandant of the Marine Corps; the Commander of the United States Transportation Command; and the Chairman of the Joint Chiefs of Staff, to use the key attributes of successful performance measures--including clarity, measurable target, objectivity, reliability, baseline and trend data, and linkage--in refining the performance measures in subsequent updates to the Strategy to improve DOD's efforts to monitor asset visibility initiatives.

    Agency: Department of Defense
    Status: Open

    Comments: DOD, in its comments on the draft report, partially concurred. DOD stated that it recognizes the need for performance measures to ensure the success of an asset visibility improvement effort but noted that the level of complexity and granularity of the metrics we suggest may not be suitable for all initiatives. DOD also stated that the purpose of the Strategy is to create a framework whereby the components can work collaboratively to coordinate and integrate department-wide efforts to improve asset visibility, not to provide complete direction on how to define, implement, and oversee these initiatives. Additionally, DOD stated that the next edition of the Strategy will encourage the adoption of our six key attributes for asset visibility initiatives to the extent appropriate, but will not mandate their use. As discussed in our report, use of the key attributes in measuring the performance of asset visibility initiatives would help DOD to better assess department-wide progress against the goals in its Strategy and clarify what additional steps need to be taken to enable decision makers to exercise effective oversight. Encouraging adoption of the key attributes, as DOD plans to do, is a positive step, but we continue to believe that DOD needs to use these key attributes to refine its performance measures to monitor the initiatives in the future.
    Recommendation: The Secretary of Defense should direct the Assistant Secretary of Defense for Logistics and Materiel Readiness, in collaboration with the Director, Defense Logistics Agency; the Secretaries of the Army, Navy, and Air Force; the Commandant of the Marine Corps; the Commander of the United States Transportation Command; and the Chairman of the Joint Chiefs of Staff, to incorporate into after-action reports information relating to performance measures for the asset visibility initiatives when evaluating and closing these initiatives to ensure that implemented initiatives will achieve the goals and objectives in the Strategies.

    Agency: Department of Defense
    Status: Open

    Comments: DOD, in its comments on the draft report, partially concurred. DOD stated that it is important to capture and review performance data prior to a component closing an asset visibility initiative, but that the Strategy after-action report is not intended to be used to evaluate the success of an asset visibility initiative or to determine if an initiative has met its intended objectives. According to DOD, documentation and information to support the evaluation of initiatives is defined by and executed in accordance with component-level policy and procedures. DOD agreed to update its Strategy to clarify the purpose and use of the after-action reports and to ensure that the Strategy specifies roles and responsibilities for evaluating and closing initiatives. DOD?s response, however, did not state whether and how these updates to the Strategy would result in more consistent incorporation of information relating to performance measures when closing initiatives in the future. As we noted previously in this report, according to the 2015 Strategy, the after-action report for closed initiatives should include information on the objectives met, problems or gaps resolved, and measures of success obtained. We believe our recommendation is consistent with this guidance. Without incorporating this information, DOD does not have assurance that closed initiatives have been fully assessed and have resulted in achieving the goals and objectives of the Strategies. Therefore, we continue to believe that full implementation of our recommendation is needed.
    Director: Carolyn Yocom
    Phone: (202) 512-7114

    2 open recommendations
    Recommendation: To help ensure that its efforts to increase patients' electronic access to health information are successful, the Secretary of HHS should direct ONC to develop performance measures to assess outcomes of key efforts related to patients' electronic access to longitudinal health information. Such actions may include, for example, determining whether the number of providers that participate in these initiatives have higher rates of patient access to electronic health information.

    Agency: Department of Health and Human Services
    Status: Open

    Comments: When we confirm what actions the agency has taken in response to this recommendation, we will provide updated information.
    Recommendation: To help ensure that its efforts to increase patients' electronic access to health information are successful, the Secretary of HHS should direct ONC to use the information these performance measures provide to make program adjustments, as appropriate. Such actions may include, for example, assessing the status of program operations or identifying areas that need improvement in order to help achieve program goals related to increasing patients' ability to access their health information electronically.

    Agency: Department of Health and Human Services
    Status: Open

    Comments: When we confirm what actions the agency has taken in response to this recommendation, we will provide updated information.
    Director: John Neumann
    Phone: (202) 512-3841

    6 open recommendations
    Recommendation: The Secretary of Health and Human Services should direct the Commissioner of FDA to develop a process, which may include time frames, to establish appropriate durations of use on labels of all medically important antibiotics used in food animals.

    Agency: Department of Health and Human Services
    Status: Open

    Comments: HHS neither agreed nor disagreed with this recommendation, and as of July 2017, we await action from FDA.
    Recommendation: The Secretary of Health and Human Services should direct the Commissioner of FDA to establish steps to increase veterinary oversight of medically important antibiotics administered in routes other than feed and water, such as injections and tablets.

    Agency: Department of Health and Human Services
    Status: Open

    Comments: HHS neither agreed nor disagreed with this recommendation, and as of July 2017, we await action from FDA.
    Recommendation: The Secretary of Health and Human Services should direct the Commissioner of FDA to develop performance measures and targets for actions to manage the use of antibiotics such as revising the veterinary feed directive and developing guidance documents on judicious use.

    Agency: Department of Health and Human Services
    Status: Open

    Comments: HHS neither agreed nor disagreed with this recommendation, and as of July 2017, we await action from FDA.
    Recommendation: The Secretary of Agriculture should direct the Administrator of APHIS to develop performance measures and targets for collecting farm-specific data on antibiotic use in food animals.

    Agency: Department of Agriculture
    Status: Open

    Comments: USDA agreed with this recommendation. In July 2017, the Animal and Plant Health Inspection Service stated that it will develop performance measures and targets for collecting farm-specific data on antibiotic use in farm animals and antibiotic resistant bacteria by September 30, 2017.
    Recommendation: The Secretary of Agriculture should direct the Administrator of APHIS to develop performance measures and targets for collecting farm-specific data on antibiotic-resistant bacteria in food animals.

    Agency: Department of Agriculture
    Status: Open

    Comments: USDA agreed with this recommendation. In July 2017, the Animal and Plant Health Inspection Service stated that it will develop performance measures and targets for laboratory monitoring for antibiotic resistance of pathogens by September 30, 2017.
    Recommendation: The Secretary of Agriculture should direct the Administrator of APHIS and the Administrator of the Food Safety and Inspection Service to work with the Director of CDC to develop a framework for deciding when on-farm investigations are warranted during outbreaks.

    Agency: Department of Agriculture
    Status: Open

    Comments: USDA agreed with this recommendation. In July 2017, USDA's Animal and Plant Health Inspection Service agreed to work with USDA's Food Safety and Inspection Service and HHS' Centers for Disease Control and Prevention to develop an additional decision matrix by December 31, 2017 for use to determine when on-farm antimicrobial resistance investigative activities are warranted.
    Director: Cary B. Russell
    Phone: (202) 512-5431

    2 open recommendations
    Recommendation: To better ensure quality financial execution information is available to guide the Joint Exercise Program, the Secretary of Defense should direct the Office of the Assistant Secretary of Defense for Readiness to direct the combatant commanders to take steps to comply with current Execution Management System guidance to upload supporting documentation that is reconcilable to funds executed from the Combatant Commanders Exercise Engagement and Training Transformation account.

    Agency: Department of Defense
    Status: Open

    Comments: When we confirm what actions the agency has taken in response to this recommendation, we will provide updated information.
    Recommendation: To better ensure quality financial execution information is available to guide the Joint Exercise Program, the Secretary of Defense should direct the Office of the Assistant Secretary of Defense for Readiness to, as the department implements financial improvement plans in accordance with the Financial Improvement and Audit Readiness guidance, include specific internal control steps and procedures to address and ensure the completeness and accuracy of information captured for the Joint Exercise Program's Combatant Commanders Exercise Engagement and Training Transformation account.

    Agency: Department of Defense
    Status: Open

    Comments: When we confirm what actions the agency has taken in response to this recommendation, we will provide updated information.
    Director: Shelby S. Oakley
    Phone: (202) 512-3841

    2 open recommendations
    Recommendation: The NNSA Administrator should direct the DNN R&D program to track and document the transitioned and deployed technologies that result from its research and technology development projects, to the extent practicable.

    Agency: Department of Energy: National Nuclear Security Administration
    Status: Open

    Comments: When we confirm what actions the agency has taken, we will update.
    Recommendation: The NNSA Administrator should direct the DNN R&D and NPAC programs to document, using a common template or other means, their assessment that compares the final results of each project against the baseline targets established in each project's initial project plan.

    Agency: Department of Energy: National Nuclear Security Administration
    Status: Open

    Comments: When we confirm what actions the agency has taken, we will update.
    Director: Rebecca Gambler
    Phone: (202) 512-8777

    1 open recommendations
    Recommendation: To better ensure the effectiveness of CBP's predeparture programs, the Commissioner of U.S. Customs and Border Protection should develop and implement a system of performance measures and baselines to evaluate the effectiveness of CBP's predeparture programs and assess whether the programs are achieving their stated goals.

    Agency: Department of Homeland Security: United States Customs and Border Protection
    Status: Open

    Comments: U.S. Customs and Border Protection's (CBP) Office of Field Operations (OFO) reported that it established a working group comprised of designated program officials from CBP's Admissibility and Passenger Programs; National Targeting Center; Planning, Program Analysis, and Evaluation; and, Preclearance offices to develop and implement a system of performance measures and baselines to evaluate the effectiveness of CBP's predeparture programs. As of July 2017, CBP reported that the working group had developed three performance measures for its predeparture programs. According to OFO officials, fiscal year 2018 will be the first complete year that each of these measures is calculated using a standardized and repeatable methodology and will thus be used as a baseline year. The baselines developed during fiscal year 2018 will then be used in future assessments of program effectiveness. To fully address this recommendation to develop and implement performance measures and baselines for evaluating its predeparture programs, GAO will review documentation from CBP, when available, on the fiscal year 2018 baselines and CBP's planned evaluation of fiscal year 2019 data against those baselines.
    Director: Rebecca Gambler
    Phone: (202) 512-8777

    6 open recommendations
    Recommendation: To better inform on the effectiveness of CDS implementation and border security efforts, the Chief of Border Patrol should strengthen the methodology for calculating recidivism such as by using an alien's apprehension history beyond one fiscal year and excluding aliens for whom there is no record of removal and who may remain in the United States.

    Agency: Department of Homeland Security: United States Customs and Border Protection: Office of the Commissioner: U.S. Border Patrol
    Status: Open

    Comments: When we confirm what actions the agency has taken in response to this recommendation, we will provide updated information.
    Recommendation: To better inform on the effectiveness of CDS implementation and border security efforts, the Chief of Border Patrol should collect information on reasons agents do not apply the CDS guides' Most Effective and Efficient consequences to assess the extent that agents' application of these consequences can be increased and modify development of CDS guides, as appropriate.

    Agency: Department of Homeland Security: United States Customs and Border Protection: Office of the Commissioner: U.S. Border Patrol
    Status: Open

    Comments: When we confirm what actions the agency has taken in response to this recommendation, we will provide updated information.
    Recommendation: To better inform on the effectiveness of CDS implementation and border security efforts, the Chief of Border Patrol should revise CDS guidance to ensure consistent and accurate methodologies for estimating Border Patrol costs across consequences and to factor in, where appropriate and available, the relative costs of any federal partner resources necessary to implement each consequence.

    Agency: Department of Homeland Security: United States Customs and Border Protection: Office of the Commissioner: U.S. Border Patrol
    Status: Open

    Comments: When we confirm what actions the agency has taken in response to this recommendation, we will provide updated information.
    Recommendation: To better inform on the effectiveness of CDS implementation and border security efforts, the Chief of Border Patrol should ensure that sector management is monitoring progress in meeting their performance targets and communicating performance results to Border Patrol headquarters management.

    Agency: Department of Homeland Security: United States Customs and Border Protection: Office of the Commissioner: U.S. Border Patrol
    Status: Open

    Comments: When we confirm what actions the agency has taken in response to this recommendation, we will provide updated information.
    Recommendation: To better inform on the effectiveness of CDS implementation and border security efforts, the Chief of Border Patrol should provide consistent guidance for alien classification and take steps to ensure CDS Project Management Office and sector management conduct data integrity activities necessary to strengthen control over the classification of aliens.

    Agency: Department of Homeland Security: United States Customs and Border Protection: Office of the Commissioner: U.S. Border Patrol
    Status: Open

    Comments: When we confirm what actions the agency has taken in response to this recommendation, we will provide updated information.
    Recommendation: The Secretary of Homeland Security should direct the Assistant Secretary of Immigration and Customs Enforcement and Commissioner of Customs and Border Protection to collaborate on sharing immigration enforcement and removal data to help Border Patrol account for the removal status of apprehended aliens in its recidivism rate measure.

    Agency: Department of Homeland Security
    Status: Open

    Comments: When we confirm what actions the agency has taken in response to this recommendation, we will provide updated information.
    Director: Carolyn L. Yocom
    Phone: (202) 512-7114

    3 open recommendations
    Recommendation: To improve oversight of states' payment structures for MLTSS, the Administrator of CMS should require all states to collect and report on progress toward achieving MLTSS program goals, such as whether the program enhances the provision of community-based care.

    Agency: Department of Health and Human Services: Centers for Medicare and Medicaid Services
    Status: Open

    Comments: When we confirm what actions the agency has taken in response to this recommendation, we will provide updated information.
    Recommendation: To improve oversight of states' payment structures for MLTSS, the Administrator of CMS should establish criteria for what situations would warrant exceptions to the federal standards that the data used to set rates be no older than the three most recent and complete years.

    Agency: Department of Health and Human Services: Centers for Medicare and Medicaid Services
    Status: Open

    Comments: When we confirm what actions the agency has taken in response to this recommendation, we will provide updated information.
    Recommendation: To improve oversight of states' payment structures for MLTSS, the Administrator of CMS should provide states with guidance that includes minimum standards for encounter data validation procedures.

    Agency: Department of Health and Human Services: Centers for Medicare and Medicaid Services
    Status: Open

    Comments: When we confirm what actions the agency has taken in response to this recommendation, we will provide updated information.
    Director: Marcia Crosse
    Phone: (202) 512-7114

    2 open recommendations
    including 1 priority recommendation
    Recommendation: To help ensure that FDA's foreign offices are able to fully meet their mission of helping to ensure the safety of imported products, as the agency continues to test performance measures and evaluate its Office of International Programs (OIP) strategic workforce plan, the Commissioner of FDA should assess the effectiveness of the foreign offices' contributions by systematically tracking information to measure whether the offices' activities specifically contribute to drug safety-related outcomes, such as inspections, import alerts, and warning letters.

    Agency: Department of Health and Human Services: Food and Drug Administration
    Status: Open
    Priority recommendation

    Comments: HHS concurred with this recommendation and stated that FDA plans to conduct internal annual reviews of its foreign offices' performances and track their contributions by type of commodity. We will assess these actions once they have been completed.
    Recommendation: To help ensure that FDA's foreign offices are able to fully meet their mission of helping to ensure the safety of imported products, as the agency continues to test performance measures and evaluate its OIP strategic workforce plan, the Commissioner of FDA should establish goals to achieve the appropriate staffing level for its foreign offices, which would include separating foreign office vacancies from the OIP-wide vacancy rate, and setting goals by position type.

    Agency: Department of Health and Human Services: Food and Drug Administration
    Status: Open

    Comments: HHS concurred with this recommendation. HHS said that the strategic workforce plan for FDA's foreign offices will be updated to reflect the disaggregation of performance measures that track foreign office vacancy rates and targets by position type. We will assess these actions once they have been completed.
    Director: Kathleen M. King
    Phone: (202) 512-7114

    1 open recommendations
    Recommendation: To improve the efficiency and effectiveness of the agency's enrollment screening process, the Administrator of CMS should establish objectives and performance measures for assessing progress toward achieving its goals.

    Agency: Department of Health and Human Services: Centers for Medicare and Medicaid Services
    Status: Open

    Comments: As of August 2017, the Department of Health and Human Services (HHS) considers this recommendation still open. HHS noted that the Centers for Medicare & Medicaid Services is planning to implement this recommendation in early 2018. GAO will continue to monitor the agency's progress and will update the status of the recommendation when we receive additional information.
    Director: Brian J. Lepore
    Phone: (202) 512-4523

    3 open recommendations
    Recommendation: As DOD assesses potential cost savings under the Defense Resale Business Optimization Board or through other cost savings initiatives identified, the Secretary of Defense should direct the Director and Chief Executive Officer of the Defense Commissary Agency, the Director and Chief Executive Officer of the Army and Air Force Exchange Service, the Chief Executive Officer of the Navy Exchange Service Command, and the Marine Corps Exchange to provide information to Congress that includes data, assumptions, and methodology supporting DOD's conclusion for not achieving budget neutrality.

    Agency: Department of Defense
    Status: Open

    Comments: When we confirm what actions the agency has taken in response to this recommendation, we will provide updated information.
    Recommendation: As DOD assesses potential cost savings under the Defense Resale Business Optimization Board or through other cost savings initiatives identified, the Secretary of Defense should direct the Director and Chief Executive Officer of the Defense Commissary Agency, the Director and Chief Executive Officer of the Army and Air Force Exchange Service, the Chief Executive Officer of the Navy Exchange Service Command, and the Marine Corps Exchange to develop a plan with assumptions, a methodology, cost estimates, and specific time frames for achieving alternative reductions to appropriations, to support DOD's efforts to ensure that DOD's cost savings target is feasible and accurate.

    Agency: Department of Defense
    Status: Open

    Comments: When we confirm what actions the agency has taken in response to this recommendation, we will provide updated information.
    Recommendation: As DOD conducts pilot programs, the Secretary of Defense should direct the Director and Chief Executive Officer of the Defense Commissary Agency, the Director and Chief Executive Officer of the Army and Air Force Exchange Service, the Chief Executive Officer of the Navy Exchange Service Command, and the Marine Corps Exchange to identify specific metrics to determine whether DOD has fulfilled the mandated requirement to maintain high levels of customer satisfaction, the provision of high-quality products, and the sustainment of patron savings.

    Agency: Department of Defense
    Status: Open

    Comments: When we confirm what actions the agency has taken in response to this recommendation, we will provide updated information.
    Director: Susan Fleming
    Phone: (202) 512-2834

    3 open recommendations
    Recommendation: To determine whether CSA interventions influence motor carrier safety performance, the Secretary of Transportation should direct the FMCSA Administrator to identify and implement, as appropriate, methods to evaluate the effectiveness of individual intervention types or common intervention patterns to obtain more complete, appropriate, and accurate information on the effectiveness of interventions in improving motor carrier safety performance. In identifying and implementing appropriate methods, FMCSA should incorporate accepted practices for designing program effectiveness evaluations, including practices that would enable FMCSA to more confidently attribute changes in carriers' safety behavior to CSA interventions.

    Agency: Department of Transportation
    Status: Open

    Comments: When we confirm what actions the agency has taken in response to this recommendation, we will provide updated information.
    Recommendation: To understand the efficiency of CSA interventions the Secretary of Transportation should direct the FMCSA Administrator to update FMCSA's cost estimates to determine the resources currently used to conduct individual intervention types and ensure FMCSA has cost information that is representative of all states.

    Agency: Department of Transportation
    Status: Open

    Comments: When we confirm what actions the agency has taken in response to this recommendation, we will provide updated information.
    Recommendation: To enable FMCSA management to monitor the agency's progress in achieving its effectiveness and efficiency outcomes for CSA interventions and balance priorities, the Secretary of Transportation should direct the FMCSA Administrator to establish and use performance measures to regularly monitor progress toward both FMCSA's effectiveness outcome and its efficiency outcome.

    Agency: Department of Transportation
    Status: Open

    Comments: When we confirm what actions the agency has taken in response to this recommendation, we will provide updated information.
    Director: Timothy J. DiNapoli
    Phone: (202) 512-4841

    5 open recommendations
    including 4 priority recommendations
    Recommendation: To better promote federal agency accountability for implementing the FSSI and category management initiatives, the Administrator of Federal Procurement Policy should ensure that transition plans are submitted and monitored as required by FSSI guidance and guidance governing specific category management initiatives.

    Agency: Executive Office of the President: Office of Management and Budget: Office of Federal Procurement Policy
    Status: Open
    Priority recommendation

    Comments: In October 2016, Office of Management and Budget (OMB) staff agreed that agency transitions plans should be submitted and monitored in accordance with guidance, as GAO recommended in October 2016. OMB staff indicated that all FSSIs are now being evaluated against best in class criteria as part of the migration to a category management approach to federal procurement. Further, OMB staff stated that OMB will issue additional policy or guidance as necessary. GAO believes these actions, if implemented, would meet the intent of the recommendation. As of August 1, 2017, OMB staff indicated they are continuing efforts to implement this recommendation. Given that transition plans were also required under FSSI guidance but were not submitted or monitored, it will be important for OMB to ensure that agencies follow through on submitting required plans going forward.
    Recommendation: To better promote federal agency accountability for implementing the FSSI and category management initiatives, the Administrator of Federal Procurement Policy should update the Leadership Council charter to establish an expectation that Leadership Council agencies develop agency-specific targets for use of the solutions approved.

    Agency: Executive Office of the President: Office of Management and Budget: Office of Federal Procurement Policy
    Status: Open
    Priority recommendation

    Comments: In October 2016, OMB staff agreed with the need for agency-specific targets for use of FSSI and category management initiatives as GAO recommended. OMB staff recommended, however, that this be accomplished through the Category Management governance and reporting procedures and processes that will be instituted in upcoming guidance, rather than an update to the Leadership Council charter. In October 2016, OMB issued a draft circular on category management establishing that spend under management will be the principal measure OMB will use to assess agency adoption of category management. OMB staff indicated that they plan to evaluate at least annually agencies' spend under management results, which includes agency adoption of best in class solutions, and then review with agency leaders progress toward meeting goals. As of August 1, 2017, OMB staff indicated they are continuing efforts to implement this recommendation. Given the low agency usage of the FSSIs, without such actions, and ensuring these targets and measures are set, OMB, and specifically the Office of Federal Procurement Policy, will lack the means to monitor progress and hold large procurement agencies accountable for using existing FSSIs or best in class solutions identified under subsequent category management efforts.
    Recommendation: To better promote federal agency accountability for implementing the FSSI and category management initiatives, the Administrator of Federal Procurement Policy should revise the 2015 category management guidance to establish a process for setting targets and performance measures for each Leadership Council agency's adoption of proposed FSSIs and category management solutions and ensure agency specific targets and measures are set.

    Agency: Executive Office of the President: Office of Management and Budget: Office of Federal Procurement Policy
    Status: Open
    Priority recommendation

    Comments: In October 2016, Office of Management and Budget (OMB) staff agreed that Leadership Council agency progress towards implementing category management should be tracked and measured as we recommended. OMB staff reported that guidance is in draft form in which agency progress will be measured using the Spend Under Management (SUM) model which provides an assessment of category management maturity for each of the ten government-wide categories as evaluated against five attributes: leadership, strategy, data, tools, and metrics. OMB will assess agency progress no less than annually and will engage agency leaders in regularly reviewing progress toward their goals. In addition, OMB will track agency spend through best in class contracts and these data will likely be used as an internal category metric and shared with the agencies. Taken together, these actions are responsive to GAO?s recommendations. As of August 1, 2017, OMB staff indicated they are continuing efforts to implement this recommendation. Given the low use of the FSSIs, OMB should continue to carefully monitor category management implementations as it moves forward and ensure that OFPP uses the planned targets and measures to hold agencies accountable for individual results. In short, greater accountability can lead to increased savings.
    Recommendation: To better promote federal agency accountability for implementing the FSSI and category management initiatives, the Administrator of Federal Procurement Policy should report on agency specific targets and metrics as part of the category management Cross-Agency Priority goal.

    Agency: Executive Office of the President: Office of Management and Budget: Office of Federal Procurement Policy
    Status: Open
    Priority recommendation

    Comments: In October 2016, Office of Management and Budget (OMB) staff agreed that agency specific targets and metrics should be reported as GAO recommended in October 2016. OMB staff indicated that results achieved relative to the Category Management Cross Agency Priority (CAP) goal targets will continue to be reported on a quarterly basis on Peformance.gov but that they will likely not include agency specific targets and metrics. Rather, OMB staff indicated that agency spending through best in class solutions will be tracked and used as an internal category metric and that OMB will engage agency leaders in regularly reviewing progress toward their goals and assess agencies no less than annually. GAO believes these actions, if implemented, would meet the intent of the recommendation. As of August 1, 2017, OMB staff indicated they are continuing efforts to implement this recommendation. Given the low agency usage of the FSSIs, OMB needs to monitor progress and hold large procurement agencies accountable for using existing FSSIs or best in class solutions identified under subsequent category management efforts.
    Recommendation: To improve the management of current FSSIs, the GSA FSSI program management office should provide oversight and support to the Information Retrieval FSSI to better align their practices with current strategic sourcing guidance related to collecting and using transactional data to calculate savings.

    Agency: General Services Administration
    Status: Open

    Comments: In response to our recommendation, GSA conducted a gap analysis of the Information Retrieval FSSI and its compliance with FSSI standards and provided the Library of Congress with FSSI best practice tools and resources related to collecting transactional data and calculating savings. According to GSA, the Library of Congress intends to address gaps to support the goal of implementation in the next Information Retrieval award in 2018. GSA will monitor progress, and provide feedback and assistance.
    Director: Brenda S. Farrell
    Phone: (202) 512-3604

    1 open recommendations
    Recommendation: To improve the management of DOD's credentialing program and better determine whether the program is achieving its desired results, the Secretary of Defense should direct the Under Secretary of Defense for Personnel and Readiness to develop and implement program performance measures that include key attributes, such as a baseline and goals, that can be used to assess performance.

    Agency: Department of Defense
    Status: Open

    Comments: DOD did not concur with our recommendation to develop and implement performance measures for its credentialing program. As of August 23, 2017, the department still has yet to develop performance measures for the program.
    Director: Beryl H. Davis
    Phone: (202) 512-2623

    9 open recommendations
    including 4 priority recommendations
    Recommendation: To provide agencies access to SSA's more complete set of death data, Congress should consider amending the Social Security Act to explicitly allow SSA to share its full death file with Treasury for use through the DNP working system.

    Agency: Congress
    Status: Open

    Comments: When we confirm what actions have been taken we will update. As of August 3, 2017, no updated information has been provided.
    Recommendation: To reasonably assure that additional relevant databases are identified and evaluated for inclusion in the DNP working system, the Director of OMB should develop, document, and communicate a formal process that user agencies can use to identify, suggest, and receive feedback on additional databases to be evaluated for inclusion in the DNP working system.

    Agency: Executive Office of the President: Office of Management and Budget
    Status: Open

    Comments: We provided a draft of this report to OMB and Treasury and other agencies we reviewed for comment. In its written comments, OMB agreed with this recommendation and cited plans to implement it. As of August 3, 2017, no updated information has been provided by the OMB. We will continue to monitor the status of this recommendation.
    Recommendation: To reasonably assure that the DNP working system is used effectively and consistently, the Director of OMB should develop guidance that clarifies whether the use of DNP's payment integration functionality is required and--if required--the circumstances and process in which agencies may obtain an exemption from this requirement.

    Agency: Executive Office of the President: Office of Management and Budget
    Status: Open
    Priority recommendation

    Comments: We provided a draft of this report to OMB and Treasury and other agencies we reviewed for comment. In its written comments, OMB agreed with this recommendation and cited plans to implement it. As of August 3, 2017, no updated information has been provided by the OMB. We will continue to monitor the status of this recommendation.
    Recommendation: To reasonably assure that agencies use the DNP working system effectively, the Director of OMB should develop a strategy--and communicate its strategy through guidance--for how agencies should use the DNP working system to complement existing data matching processes and whether and how agencies should consider using the DNP working system to streamline existing data matching. Such guidance may cover how agencies should demonstrate that their data matching processes meet the requirements in the Improper Payments Elimination and Recovery Improvement Act of 2012, whether agencies can decide on their own which specific databases to use, and how agencies should use the functionalities available through the DNP working system.

    Agency: Executive Office of the President: Office of Management and Budget
    Status: Open
    Priority recommendation

    Comments: We provided a draft of this report to OMB and Treasury and other agencies we reviewed for comment. In its written comments, OMB stated that it generally agreed with the concept of developing a strategy for how agencies should use the Do Not Pay (DNP) working system to complement existing data matching processes and would explore the concept further. As of August 3, 2017, no updated information has been provided by the OMB. We will continue to monitor the status of this recommendation.
    Recommendation: To reasonably assure that agencies develop consistent policies and procedures to verify DNP matches, the Director of OMB should provide additional guidance that outlines when and how agencies should verify DNP matches against a secondary source and provide individuals an opportunity to contest before taking adverse actions as a result of DNP matches.

    Agency: Executive Office of the President: Office of Management and Budget
    Status: Open
    Priority recommendation

    Comments: We provided a draft of this report to OMB and Treasury and other agencies we reviewed for comment. In its written comments, OMB stated that it agreed with the of consistent policies and procedures and will work with agencies so that their policies and procedures for verifying Do Not Pay (DNP) matches are developed consistently. As of August 3, 2017, no updated information has been provided by the OMB. We will continue to monitor the status of this recommendation.
    Recommendation: To better monitor agency use of the DNP working system once a strategy has been developed, the Director of OMB should develop and implement monitoring mechanisms--such as goals, benchmarks, and performance measures--to evaluate agency use of the DNP working system.

    Agency: Executive Office of the President: Office of Management and Budget
    Status: Open
    Priority recommendation

    Comments: We provided a draft of this report to OMB and Treasury and other agencies we reviewed for comment. In its written comments, OMB stated that it agreed with the concept of monitoring mechanisms and will continue to work with agencies to reduce improper payments and encourage agencies to establish goals to improve payment accuracy that will be monitored and evaluated by OMB. As of August 3, 2017, no updated information has been provided by the OMB. We will continue to monitor the status of this recommendation.
    Recommendation: To reasonably assure that agency-reported information on use of the DNP working system is reliable, the Director of OMB should develop a process for comparing agency reporting on the use of the DNP working system to available sources, such as OMB guidance and DNP working system adjudication reports.

    Agency: Executive Office of the President: Office of Management and Budget
    Status: Open

    Comments: We provided a draft of this report to OMB and Treasury and other agencies we reviewed for comment. In its written comments, OMB stated that it agreed with the concept of ensuring that data are reliable and will consider the feasibility of a process to compare agency submissions to available sources to reasonably assure that agency-reported information on use of the Do Not Pay (DNP) working system is reliable. As of August 3, 2017, no updated information has been provided by the OMB. We will continue to monitor the status of this recommendation.
    Recommendation: To reasonably assure that agency-reported information on use of the DNP working system is complete, the Director of OMB should revise its guidance to clarify whether agencies should report on their uses of all of the functionalities of the DNP working system in their agency financial reports.

    Agency: Executive Office of the President: Office of Management and Budget
    Status: Open

    Comments: We provided a draft of this report to OMB and Treasury and other agencies we reviewed for comment. In its written comments, OMB stated that it agreed with ensuring the completeness of data and will continue to work with agencies and the Chief Financial Officer community to ensure that agency-reported information on the use of the Do Not Pay (DNP) working system is complete. As of August 3, 2017, no updated information has been provided by the OMB. We will continue to monitor the status of this recommendation.
    Recommendation: The Secretary of the Treasury should modify the DNP working system to track adjudication of matches obtained through all functionalities.

    Agency: Department of the Treasury
    Status: Open

    Comments: In a memo dated April 13, 2017, the Department of Treasury (Treasury) stated that it is in the process of evaluating potential solutions to capture information on the impact of Portal functionalities (online single search, continuous monitoring, and batch matching), and has developed a plan with timeframes to assess the technical feasibility as well as user willingness to provide information. However, Treasury stated that it cannot be certain that this evaluation will identify viable solutions, and therefore cannot commit to making any modifications to the working system. Treasury explained, for instance, it may not be possible to design an effective and user-friendly strategy to capture agency decisions to remove an excluded party identified in a continuous monitoring file from a list of approved vendors. Further, Treasury explained that even if it can capture those decisions, it may be even more difficult to assign a dollar value to that decision as there would be no payment pending in this example. Nevertheless, Treasury stated that it is committed to thoroughly evaluating whether a solution is possible, and--if a solution proves feasibly--its goal is to complete a development plan for the implementation of any identified solutions by September 30, 2018.
    Director: Cary Russell
    Phone: (202) 512-5431

    3 open recommendations
    Recommendation: To ensure that annual training plans are aligned with the Air Force's stated goals to ensure that its forces can successfully achieve missions across a broad range of current and emerging threats, the Secretary of Defense should direct the Secretary of the Air Force to comprehensively reassess the assumptions underlying its annual training requirements--including, but not limited to, the total annual training requirements by aircraft, the criteria for designating aircrews as experienced or inexperienced, and the mix between live and simulator training--and make any appropriate adjustments in future training plans.

    Agency: Department of Defense
    Status: Open

    Comments: The Air Force has taken steps to address this recommendation. As of August 2017, Air Force officials identified a recently completed study, as well as an ongoing study, intended to reassess the assumptions underlying its annual training requirements for fighter aircrews. For example, Air Force officials stated a study was completed in August 2017 reassessing the criteria for designating aircrews as experienced or inexperienced for 4th generation fighter aircraft. In addition, Air Force officials stated that there is an ongoing study to define the optimum mix of annual training requirements for fighter aircrews. These officials stated that an initial briefing of the study results will be provided to Air Force senior leaders in September 2017. Completion of these studies and the corresponding adjustments to annual training requirements should help the Air Force ensure that their training plans are aligned to achieve a range of missions for current and emerging threats as recommended by GAO in its September 2016 report.
    Recommendation: To improve the Air Force's ability to consistently monitor training results and better position it to allocate resources to address factors that limit the effectiveness of training, the Secretary of Defense should direct the Secretary of the Air Force to establish desired learning objectives and training support elements needed to accomplish the training expectations in its annual Ready Aircrew Program tasking memorandums, and develop a process to collect data to assess the effectiveness of annual training against these features.

    Agency: Department of Defense
    Status: Open

    Comments: As of August 2017, no executive action has been taken. When we confirm what actions the agency has taken in response to this recommendation, we will provide updated information.
    Recommendation: To improve the Air Force's ability to develop the capabilities needed to meet its virtual training needs, the Secretary of Defense should direct the Secretary of the Air Force to continue to refine its planning for virtual training to incorporate the desirable characteristics of a comprehensive strategy, including developing a risk-based investment strategy that identifies and prioritizes capability needs and includes a time line for addressing them.

    Agency: Department of Defense
    Status: Open

    Comments: The Air Force has taken steps to address this recommendation. As of August 2017, Air Force officials stated that the service is in the process of updating its Air Force Operational Training Infrastructure 2035 Flight Plan. This plan will be accompanied by an infrastructure funding strategy and classified supplement. These officials stated that among these three documents the Air Force will incorporate all of the desirable characteristics of a comprehensive strategy. Air Force officials estimate that these documents will be finalized in the fall of 2017. Completion of these documents should help the Air Force incorporate the desirable characteristics of a comprehensive strategy and better enable the Air Force to acquire virtual training devices based on sound requirements and priorities, as recommended by GAO in its September 2016.
    Director: Currie, Christopher P
    Phone: (202) 512-8777

    3 open recommendations
    Recommendation: To better assess the impact of the fire grants program, the Secretary of Homeland Security should direct the FEMA Administrator to establish measurable performance targets linked to AFG and SAFER program goals, such as the desired percentage of awardees who used grants to achieve compliance with equipment standards.

    Agency: Department of Homeland Security
    Status: Open

    Comments: According to officials, FEMA's Grant Programs Directorate is reviewing the current set of program metrics to determine the feasibility of establishing performance targets. FEMA plans to include approved targets in its annual report to Congress that will be issued for fiscal year 2016; the report was undergoing internal review for approval and release as of November 2016. Pending issuance of the report with measurable performance targets linked to AFG and SAFER program goals, this recommendation will remain open.
    Recommendation: To enhance FEMA's efforts to assess and integrate the fire grant programs' contributions to national preparedness, the Secretary of Homeland Security should direct the FEMA Administrator to use the National Preparedness Goal's definition of critical infrastructure as the basis of collecting information from applicants and using the National Critical Infrastructure Prioritization Program list to measure fire grant programs' performance in addressing national priorities.

    Agency: Department of Homeland Security
    Status: Open

    Comments: According to officials, FEMA's Grant Programs Directorate plans to incorporate the National Preparedness Goal definition of national critical infrastructure into fire grant performance measures in FEMA's fiscal year 2017 Annual Report to Congress. Specifically, they said FEMA plans to conduct an assessment of data from AFG program application and awards in order to verify recipients are reporting infrastructure that aligns with the National Preparedness Goal definition of critical infrastructure. In addition, FEMA plans to meet as needed with the National Programs and Protection Directorate's Office of Critical Infrastructure Analysis to determine how the Critical Infrastructure Prioritization Program list can be used in the application process. Pending completion of these efforts, this recommendation will remain open.
    Recommendation: To enhance FEMA's efforts to incorporate new National Fire Operations Reporting System (NFORS) and Fire Community Assessment Response Evaluation System (FireCARES) data elements into fire grants program management activities, the Secretary of Homeland Security should direct the FEMA Administrator to develop a project management plan for identifying relevant data elements in the new NFORS and FireCARES systems and determining how they can be used to improve fire grant applications and awards processes and the performance assessment system.

    Agency: Department of Homeland Security
    Status: Open

    Comments: According to officials, FEMA's Grant Programs Directorate intends to develop a plan to assess the data collected to determine feasibility for integration of NFORS and FireCARES data into the AFG programs. The plan will incorporate ways to improve the applications, awards processes, and tracking of performance. This plan should be completed by March 2017, and FEMA will continue to collaborate with stakeholders for the improvement of the AFG application, awards processes, and performance management. According to FEMA, the estimated completion of this effort is September 2017.
    Director: Mark Goldstein
    Phone: (202) 512-2834

    1 open recommendations
    Recommendation: The Secretary of the Department of Transportation should direct the FHWA Administrator to develop an efficiency measure or measures that demonstrate the linkage between the federal funding of bridges and the desired performance outcomes, such as maintained or improved bridge conditions, and report the resulting information to Congress.

    Agency: Department of Transportation
    Status: Open

    Comments: In October 2016, the U.S. Department of Transportation's Federal Highway Administration (FHWA) reported to GAO that FHWA will review bridge project information and cost data that is currently being collected and review Office of Management and Budget's guidance and other examples for developing meaningful performance measures and measures that were proposed in prior FHWA proposed rulemaking efforts. Following those reviews, FHWA reported that an applicable efficiency measure will be developed that links federal funding and condition of bridges. FHWA reported that this review and evaluation will be completed by January 31, 2018 and once the efficiency measure is implemented it will be reported and incorporated in one of FHWA's existing reports to Congress.
    Director: David Trimble
    Phone: (202) 512-3841

    1 open recommendations
    Recommendation: To help ensure that NNSA can better inform long-term planning and management decision making as well as to ensure that the Enhanced Surveillance Program complements NNSA's other efforts to assess the nuclear weapons stockpile, the NNSA Administrator should develop a long-term strategy for the Enhanced Surveillance Program that incorporates outcome-oriented strategic goals, addresses management challenges and identifies resources needed to achieve these goals, and develops and uses performance measures to track progress in achieving these goals.

    Agency: Department of Energy: National Nuclear Security Administration
    Status: Open

    Comments: Fiscal year 2018 budget submission data indicates some new activities but not yet mention a strategy change.
    Director: James McTigue
    Phone: (202) 512-9110

    5 open recommendations
    Recommendation: To ensure that Field Collection program case selection processes support IRS's and the Collection program's mission, including applying tax laws with integrity and fairness to all, the Commissioner of Internal Revenue should develop, document, and communicate Field Collection program and case selection objectives, including the role of fairness, in clear and measurable terms sufficient for use in internal control.

    Agency: Department of the Treasury: Internal Revenue Service
    Status: Open

    Comments: IRS agreed with the recommendation and described actions it will take to address it, to include that the Small Business/Self-Employed Division (SB/SE) will develop fiscal year 2017 program objectives that align with the mission of SB/SE and that the Collection program will develop and document specific Field Collection and case selection activities that will support SB/SE objectives. However, it is not clear how these efforts will be fully responsive our recommendation to establish Field Collection (not division-level) program and case selection objectives sufficient for use in internal control. IRS said it planned to complete actions on this recommendation by July 2017. We will update the status of IRS's implementation of the recommendation after we complete review of any documents IRS provides on actions taken.
    Recommendation: To ensure that Field Collection program case selection processes support IRS's and the Collection program's mission, including applying tax laws with integrity and fairness to all, the Commissioner of Internal Revenue should develop, document, and implement performance measures clearly linked to the Field Collection program and case selection objectives.

    Agency: Department of the Treasury: Internal Revenue Service
    Status: Open

    Comments: IRS agreed with the recommendation and outlined planned actions to address it. However, since it is not clear that IRS's planned actions to implement our first recommendation will result in Field Collection program and case selection objectives sufficient for internal control purposes, IRS's ability to address the related recommendation to establish performance measures may be limited. IRS said it planned to complete actions on this recommendation by August 2017. We will update the status of IRS's implementation of the recommendation after we complete review of any documents IRS provides on actions taken.
    Recommendation: To ensure that Field Collection program case selection processes support IRS's and the Collection program's mission, including applying tax laws with integrity and fairness to all, the Commissioner of Internal Revenue should incorporate program and case selection objectives into existing risk management systems or use other approaches to identify and analyze potential risks to achieving those objectives so that Field Collection can establish risk tolerances and appropriate control procedures to address risks.

    Agency: Department of the Treasury: Internal Revenue Service
    Status: Open

    Comments: IRS agreed with the recommendation and outlined planned actions to address it. However, since it is not clear that IRS's planned actions to implement our first recommendation will result in Field Collection program and case selection objectives sufficient for internal control purposes, IRS's ability to address the related recommendation to assess program risks may be limited. IRS said it planned to complete actions on this recommendation by July 2017. We will update the status of IRS's implementation of the recommendation after we complete review of any documents IRS provides on actions taken.
    Recommendation: To ensure that Field Collection program case selection processes support IRS's and the Collection program's mission, including applying tax laws with integrity and fairness to all, the Commissioner of Internal Revenue should develop, document, and communicate control procedures guidance for group managers to exercise professional judgment in the Field Collection program case selection process to achieve fairness and other program and collection case selection objectives.

    Agency: Department of the Treasury: Internal Revenue Service
    Status: Open

    Comments: IRS agreed with the recommendation and described actions it will take to address it, to include review of current procedures and guidance and making changes, if necessary. IRS said it planned to complete actions on this recommendation by July 2017. We will update the status of IRS's implementation of the recommendation after we complete review of any documents IRS provides on actions taken.
    Recommendation: To ensure that Field Collection program case selection processes support IRS's and the Collection program's mission, including applying tax laws with integrity and fairness to all, the Commissioner of Internal Revenue should develop, document, and implement procedures to periodically monitor and assess the design and operational effectiveness of both automated and manual control procedures for collection case selection to assure their continued effectiveness in achieving program objectives.

    Agency: Department of the Treasury: Internal Revenue Service
    Status: Open

    Comments: IRS agreed with the recommendation and outlined planned actions to address it. However, since it is not clear that IRS's planned actions to implement our first recommendation will result in Field Collection program and case selection objectives sufficient for internal control purposes, IRS's ability to address the related recommendation to monitor control procedures may be limited. IRS said it planned to complete actions on this recommendation by July 2017. We will update the status of implementation of the recommendation after we complete review of documents IRS provides on the actions taken.
    Director: J. Christopher Mihm
    Phone: (202) 512-6806

    3 open recommendations
    Recommendation: The Director of the Office of Management and Budget, in consultation with the Performance Improvement Council and General Services Administration, should ensure the information presented on Performance.gov consistently complies with GPRAMA public reporting requirements for the website's content.

    Agency: Executive Office of the President: Office of Management and Budget
    Status: Open

    Comments: In July 2017, OMB staff stated that they will be partnering with a vendor to redesign Performance.gov, and plan to launch the new site in February 2018 with the fiscal year 2019 budget. Staff confirmed they will ensure that the redesigned Performance.gov site will include content that meets public reporting requirements. They stated they anticipate releasing updated agency reporting guidance in the fall of 2017 to help ensure agencies are prepared to report required data.
    Recommendation: The Director of the Office of Management and Budget, in consultation with the Performance Improvement Council and General Services Administration, should analyze and, where appropriate, implement usability test results to improve Performance.gov.

    Agency: Executive Office of the President: Office of Management and Budget
    Status: Open

    Comments: In July 2017, OMB staff stated that they will be partnering with a vendor to redesign Performance.gov, and plan to launch the new site in February 2018 with the fiscal year 2019 budget. Staff confirmed they will ensure that the redesigned Performance.gov site will include content that meets public reporting requirements. They stated they anticipate releasing updated agency reporting guidance in the fall of 2017 to help ensure agencies are prepared to report required data. In addition, OMB and PIC staff noted that the new vendor for Performance.gov (who had not been selected at that time) will help develop a strategic plan for the site that incorporates results from usability studies, and a stakeholder outreach plan that encompasses diverse groups including Congress, federal agency managers and staff, and other interested groups.
    Recommendation: The Director of the Office of Management and Budget, in consultation with the Performance Improvement Council and General Services Administration, should develop a strategic plan for the future of Performance.gov. Among other things, this plan should include: (A) the goals, objectives, and resources needed to consistently meet Digitalgov.gov and GPRAMA requirements; (B) a customer outreach plan that considers how (1) OMB informs users of changes in Performance.gov, (2) OMB uses social media as a method of communication, and (3) users access Performance.gov so that OMB could, as appropriate, deploy mobile applications to communicate effectively; and (C) a strategy to manage and archive the content and data on Performance.gov in accordance with National Archives and Records Administration guidance.

    Agency: Executive Office of the President: Office of Management and Budget
    Status: Open

    Comments: In July 2017, OMB staff stated that they will be partnering with a vendor to redesign Performance.gov, and plan to launch the new site in February 2018 with the fiscal year 2019 budget. Staff confirmed they will ensure that the redesigned Performance.gov site will include content that meets public reporting requirements. They stated they anticipate releasing updated agency reporting guidance in the fall of 2017 to help ensure agencies are prepared to report required data. In addition, OMB and PIC staff noted that the new vendor for Performance.gov (who had not been selected at that time) will help develop a strategic plan for the site that incorporates results from usability studies, and a stakeholder outreach plan that encompasses diverse groups including Congress, federal agency managers and staff, and other interested groups.
    Director: David A. Powner
    Phone: (202) 512-9286

    5 open recommendations
    Recommendation: To effectively measure 18F's performance, the Administrator of GSA should direct the Commissioner for the Technology Transformation Service to ensure that goals and associated performance measures are outcome-oriented and that performance measures have targets, including (1) performance measures and targets tied to fully recovering program costs; and (2) goals, performance measures, and targets for how the program will achieve its mission after September 2016.

    Agency: General Services Administration
    Status: Open

    Comments: The General Services Administration (GSA) agreed with, and has begun to take steps to implement, this recommendation. Specifically, GSA developed a quarterly performance report for fiscal year 2017 that includes an outcome-oriented goal for 18F as well as associated performance measures and targets. According to a Technology Transformation Service official, GSA plans to expand its quarterly performance report for fiscal year 2018 to reflect additional 18F goals and performance measures, including measures tied to fully recovering program costs. We will continue to evaluate GSA's progress in implementing this recommendation.
    Recommendation: To effectively measure 18F's performance, the Administrator of GSA should direct the Commissioner for the Technology Transformation Service to assess actual results for each performance measure.

    Agency: General Services Administration
    Status: Open

    Comments: The General Services Administration (GSA) agreed with, and has begun to take steps to implement, this recommendation. Specifically, GSA developed a quarterly performance report for fiscal year 2017 that includes an outcome-oriented goal for 18F as well as associated performance measures with targets. Additionally, GSA has assessed actual results of the performance measures for the first two quarters of fiscal year 2017. According to a Technology Transformation Service official, GSA plans to expand its quarterly performance report for fiscal year 2018 to include additional 18F goals and performance measures. We will continue to evaluate GSA's progress in implementing this recommendation.
    Recommendation: To effectively measure performance, prioritize USDS's resources, and ensure that CIOs play an integral role in agency digital service teams, the Director of the Office of Management and Budget should direct the Federal Chief Information Officer to ensure that all goals and associated performance measures are outcome-oriented and that performance measures have targets.

    Agency: Executive Office of the President: Office of Management and Budget
    Status: Open

    Comments: The Office of Management and Budget (OMB) generally agreed with, and has begun to take steps to implement, this recommendation. Specifically, in its December 2016 report to Congress, OMB developed three goals for U.S. Digital Service (USDS): (1) rethink how the federal government builds and buys digital services; (2) expand the use of common, platforms, services, and tools; and (3) bring top technical talent into public service. In addition, OMB established performance measures with targets for its third goal and for each of the program's major projects. However, OMB has not established performance measures for the first two USDS goals. Further, the program's third goal is not outcome-oriented. We will continue to evaluate OMB's progress in implementing this recommendation.
    Recommendation: To effectively measure performance, prioritize USDS's resources, and ensure that CIOs play an integral role in agency digital service teams, the Director of the Office of Management and Budget should direct the Federal Chief Information Officer to assess actual results for each performance measure.

    Agency: Executive Office of the President: Office of Management and Budget
    Status: Open

    Comments: The Office of Management and Budget (OMB) generally agreed with, and has begun to take steps to implement, this recommendation. Specifically, in its December 2016 report to Congress, OMB assessed the results of performance measures for one of the U.S. Digital Service (USDS) program's goals--bring top technical talent into public service--and for each of the program's major projects. However, OMB has not established performance measures for the other two USDS goals--rethink how the federal government builds and buys digital services; and expand the use of common, platforms, services, and tools. We will continue to evaluate OMB's progress in implementing this recommendation.
    Recommendation: To effectively measure performance, prioritize USDS's resources, and ensure that CIOs play an integral role in agency digital service teams, the Director of the Office of Management and Budget should direct the Federal Chief Information Officer to update USDS policy to clearly define the responsibilities and authorities governing the relationships between CIOs and the digital service teams and require existing agency digital service teams to address this policy. In doing so, the Federal Chief Information Officer should ensure that this policy is aligned with relevant federal law and OMB guidance on CIO responsibilities and authorities.

    Agency: Executive Office of the President: Office of Management and Budget
    Status: Open

    Comments: The Office of Management and Budget (OMB) generally agreed with, and has begun to take steps to implement, this recommendation. In particular, OMB updated its digital service team policy to require that teams appropriately inform their chief information officers (CIO) regarding U.S. Digital Service (USDS) projects. However, the policy does not describe the responsibilities or authorities governing the relationships between CIOs and digital service teams. We will continue to evaluate OMB's progress in implementing this recommendation.
    Director: Kimberly Gianopoulos
    Phone: (202) 512-8612

    3 open recommendations
    Recommendation: To improve CERC's performance monitoring, the Secretary of Energy should ensure that for CERC's second phase the program creates targets and tracks progress against those targets in order to measure program performance.

    Agency: Department of Energy
    Status: Open

    Comments: DOE concurred with GAO's recommendation and has taken steps to implement it since our report. For example, DOE created a standardized reporting template with performance measures for CERC partners to complete on a quarterly basis. DOE officials informed GAO that they are working to develop targets for those performance measures. We will continue to monitor DOE's progress in implementing this recommendation.
    Recommendation: To improve the agency's performance monitoring, the Director of the U.S. Trade and Development Agency should develop and make public annual targets for the agency's performance measures.

    Agency: U.S. Trade and Development Agency
    Status: Open

    Comments: USTDA concurred with GAO's recommendation and has taken steps to implement it since our report. For example, USTDA revised its fiscal year 2016 through 2018 strategic plan to include an annual performance target for one of its two performance measures: the value of exports generated for every program dollar. We will continue to monitor USTDA's progress in developing an annual performance target for its performance measure on procurements awarded to small U.S. businesses.
    Recommendation: To improve the East Asia Program's performance monitoring, the Director of the U.S. Trade and Development Agency should ensure that the East Asia Program sets targets for its performance measures and tracks progress against those measures.

    Agency: U.S. Trade and Development Agency
    Status: Open

    Comments: USTDA concurred with GAO's recommendation. As of October 2016, USTDA had planned to review its internal goals for the East Asia Program, and other regional programs, and to begin to track progress against those goals. We will continue to monitor USTDA's progress in implementing this recommendation.
    Director: J. Christopher Mihm
    Phone: (202) 512-6806

    13 open recommendations
    Recommendation: To improve the public reporting of major management challenges and to ensure performance information is useful, transparent, and complete, the Secretary of Agriculture should describe the Department of Agriculture's (USDA) major management challenges and include performance goals, performance measures, milestones and an agency official responsible for resolving each of its major management challenges as part of USDA's agency performance plan.

    Agency: Department of Agriculture
    Status: Open

    Comments: As of August 2017, USDA had not taken any actions to implement our recommendation. When the 2019 annual performance plan is issued, we will update the status of this recommendation.
    Recommendation: To improve the public reporting of major management challenges and to ensure performance information is useful, transparent, and complete, the Secretary of Commerce should describe the Department of Commerce's major management challenges and include performance goals, performance measures, milestones and an agency official responsible for resolving each of its major management challenges as part of the Department of Commerce's agency performance plan.

    Agency: Department of Commerce
    Status: Open

    Comments: According to the Department of Commerce' action plan to address GAO's recommendations, it will begin including a description of the Department's major management challenges, as well as related performance goals, performance milestones and an agency official responsible for resolving each of its major management challenges, in the Department's annual performance plan reporting, starting with the report to be issued concurrent with final fiscal year 2018 Congressional Budget Justifications (CBJ). As of August 2017, Commerce has not taken action to implement our recommendation. Our review of the Department of Commerce's 2018 CBJ found that it did not include recommended information. When the 2019 CBJ is issued, we will update the status of this recommendation.
    Recommendation: To improve the public reporting of major management challenges and to ensure performance information is useful, transparent, and complete, the Secretary of Defense should include planned actions for each of the Department of Defense's (DOD) major management challenges and ensure that required information about its major management challenges, currently in DOD's Agency Strategic Plan for Fiscal Years 2015-2018, be included in its agency performance plan so that progress toward resolving each of its major management challenges is transparent and reported annually.

    Agency: Department of Defense
    Status: Open

    Comments: As of August 2017, the Department of Defense had not taken any actions to implement our recommendation. When the 2019 annual performance plan is issued, we will update the status of this recommendation.
    Recommendation: To improve the public reporting of major management challenges and to ensure performance information is useful, transparent, and complete, the Secretary of Energy should describe the Department of Energy's major management challenges and include performance goals, performance measures, milestones and an agency official responsible for resolving each of its major management challenges as part of the Department of Energy's agency performance plan.

    Agency: Department of Energy
    Status: Open

    Comments: As of August 2017, the Department of Energy had not taken any actions to implement our recommendation. When the 2019 annual performance plan is issued, we will update the status of this recommendation.
    Recommendation: To improve the public reporting of major management challenges and to ensure performance information is useful, transparent, and complete, the Attorney General should describe the Department of Justice's major management challenges and include performance goals, performance measures, milestones, planned actions and an agency official responsible for resolving each of its major management challenges as part of the Department of Justice's agency performance plan.

    Agency: Department of Justice
    Status: Open

    Comments: According to the Department of Justice's action plan to address GAO's recommendations, it will report the Office of Inspector General Top Management Challenges in both the Annual Financial Report (AFR) and the Annual Performance Report(APR)/Annual Performance Plan(APP). For the APR/APP, the Department of Justice will also include the appropriate performance goals, performance measures, milestones, planned actions addressing the challenges and the name(s) of agency official(s) responsible for resolving each of its major management challenges. As of August 2017, however, the Department of Justice had not taken any actions to implement our recommendation. When the 2019 annual performance plan is issued, we will update the status of this recommendation.
    Recommendation: To improve the public reporting of major management challenges and to ensure performance information is useful, transparent, and complete, the Secretary of Labor should describe the Department of Labor's major management challenges and include performance goals, performance measures, milestones, planned actions, and an agency official responsible for resolving each of its major management challenges as part of the Department of Labor's agency performance plan.

    Agency: Department of Labor
    Status: Open

    Comments: According to the Department of Labor's action plan to address GAO's recommendations, it will comply with the updated Circular A-11 guidance to report on major management challenges in its next Annual Performance Report (APR), published with the FY 2018 Congressional Budget Justification. In its most recent APR, the Department of Labor took steps to implement this recommendation by including planned actions and an agency official responsible for each of the three issues it identified as a major management challenge. Further action is needed to establish performance goals, performance measures, and milestones. When the Fiscal Year 2017 APR is issued, we will update the status of this recommendation.
    Recommendation: To improve the public reporting of major management challenges and to ensure performance information is useful, transparent, and complete, the Secretary of Transportation should describe the Department of Transportation's major management challenges and include performance goals, performance measures, milestones, planned actions and an agency official responsible for resolving major management challenges as part of the Department of Transportation's agency performance plan.

    Agency: Department of Transportation
    Status: Open

    Comments: As of August 2017, the Department of Transportation had not taken any actions to implement our recommendation. When the 2019 annual performance plan is issued, we will update the status of this recommendation.
    Recommendation: To improve the public reporting of major management challenges and to ensure performance information is useful, transparent, and complete, the Secretary of the Treasury should include performance goals, performance measures, milestones, and an agency official responsible for resolving major management challenges as part of the Department of the Treasury's agency performance plan.

    Agency: Department of the Treasury
    Status: Open

    Comments: As of August 2017, Treasury had not taken any actions to implement our recommendation. When the 2019 annual performance plan is issued, we will update the status of this recommendation.
    Recommendation: To improve the public reporting of major management challenges and to ensure performance information is useful, transparent, and complete, the Administrator of the Environmental Protection Agency (EPA) should include performance goals, performance measures, milestones, planned actions and an agency official responsible for resolving each of its major management challenges as part of EPA's agency performance plan.

    Agency: Environmental Protection Agency
    Status: Open

    Comments: In its Fiscal Year 2018 APP, EPA took steps to implement this recommendation by clearly identifying its major management challenges and including planned actions for resolving them. Further action is needed to establish performance goals, performance measures, milestones, and identify an agency official responsible for resolving the challenge. When the 2019 annual performance plan is issued, we will update the status of this recommendation.
    Recommendation: To improve the public reporting of major management challenges and to ensure performance information is useful, transparent, and complete, the Administrator of the General Services Administration (GSA) should describe GSA's major management challenges and include performance goals, performance measures, milestones and an agency official responsible for resolving each of its major management challenges as part of GSA's agency performance plan.

    Agency: General Services Administration
    Status: Open

    Comments: In its Fiscal Year 2018 APP, GSA took steps to implement this recommendation by clearly identifying three major management challenges and including planned actions, performance measures, milestones, and an agency official responsible for resolving them. Further action is needed to establish performance goals. When the 2019 annual performance plan is issued, we will update the status of this recommendation.
    Recommendation: To improve the public reporting of major management challenges and to ensure performance information is useful, transparent, and complete, the Secretary of Health and Human Services (HHS) should include performance goals, milestones and an agency official responsible for resolving each of HHS's major management challenges as part of HHS's agency performance plan.

    Agency: Department of Health and Human Services
    Status: Open

    Comments: According to its website, for fiscal year 2018, HHS is meeting its performance reporting requirements as designated in the GPRA Modernization Act of 2010 and OMB Circular A-11 through the program performance information provided in the FY 2018 HHS Budget Justifications to Congress. As of August 2017, however, HHS has not taken action to implement our recommendation. Our review of HHS' 2018 Congressional Budget Justification found that it did not include recommended information. When the 2019 CBJ is issued, we will update the status of this recommendation.
    Recommendation: To improve the public reporting of major management challenges and to ensure performance information is useful, transparent, and complete, the Secretary of the Interior should describe the Department of Interior's major management challenges and include performance goals, performance measures, planned actions, milestones and an agency official responsible for resolving each of its major management challenges as part of the Department of the Interior's agency performance plan.

    Agency: Department of the Interior
    Status: Open

    Comments: As of August 2017, the Department of Interior had not taken any actions to implement our recommendation. It is unclear in the APP what Interior considers to be its major management challenges and, if there are such issues, which performance information aligns with resolving those issues. When the 2019 annual performance plan is issued, we will update the status of this recommendation.
    Recommendation: To improve the public reporting of major management challenges and to ensure performance information is useful, transparent, and complete, the Director of the National Science Foundation (NSF) should describe NSF's major management challenges and identify performance goals, performance measures, milestones, and an agency official responsible for resolving each of its major management challenges as part of NSF's agency performance plan.

    Agency: National Science Foundation
    Status: Open

    Comments: In its Fiscal Year 2018 APP, NSF took steps to implement this recommendation by clearly identifying its major management challenges and including planned actions for resolving them. Further action is needed to establish performance goals, performance measures, milestones, and identify an agency official responsible for resolving the challenge. When the 2019 annual performance plan is issued, we will update the status of this recommendation.
    Director: Jennifer Grover
    Phone: (202) 512-7141

    2 open recommendations
    Recommendation: To better ensure that FAMS uses its resources to cover the highest-risk flights, in addition to considering risk when determining how to divide FAMS's international flight coverage resources among international destinations, the Director of FAMS should incorporate risk into FAMS's method for initially setting its annual target numbers of average daily international and domestic flights to cover.

    Agency: Department of Homeland Security: Transportation Security Administration: Office of Law Enforcement - Federal Air Marshal Service
    Status: Open

    Comments: In May 2016, we found that FAMS officials considered risk when selecting specific domestic and international flights to cover, but they did not consider risk when deciding how to initially divide their annual resources between domestic and international flights. Rather, each year FAMS considered two variables--travel budget and number of air marshals--to identify the most efficient way to divide the agency's resources between domestic and international flights. As a result, we recommended that FAMS incorporate risk into FAMS's method for initially setting its annual target numbers of average daily international and domestic flights to cover. In March 2017, TSA officials reported that FAMS was continuing to identify ways to refine the methodology FAMS uses to allocate resources between international and domestic flights. Specifically, TSA officials noted that FAMS was considering ways to incorporate information on the travel patterns of known or suspected terrorists, trends in TSA PreCheck passenger data, airport screening capabilities, and other factors. FAMS officials also reported that, as part of this effort, they were reviewing their International Concept of Operations. It is unclear how these steps will address the recommendation. To fully address this recommendation, FAMS should incorporate risk into its method for initially setting its annual target numbers of average daily international and domestic flights to cover.
    Recommendation: To better ensure that FAMS uses its resources to cover the highest-risk flights, the Director of FAMS should conduct and document a risk assessment--systematically collecting information on and assigning value to current risks--to further support FAMS's domestic resource allocation decisions, including the identification of high-priority geographic areas.

    Agency: Department of Homeland Security: Transportation Security Administration: Office of Law Enforcement - Federal Air Marshal Service
    Status: Open

    Comments: In May 2016, we reported that FAMS's choice of domestic geographic focus areas and resource allocation levels were based on professional judgment, not risk assessment. With regard to the geographic focus areas, for example, FAMS officials explained that they did not conduct a risk assessment to inform this decision, but rather selected these areas in consultation with 30 subject matter experts from various offices within TSA based on their intuitive, qualitative perceptions of threats, vulnerabilities, potential impacts, history, and the demographics of the areas. Without fully incorporating risk when determining such priorities, FAMS cannot reasonably ensure it is targeting its resources to the highest-risk flights. As a result, we recommended that FAMS conduct and document a risk assessment--systematically collecting information on and assigning value to current risks--to further support FAMS's domestic resource allocation decisions, including the identification of high-priority geographic areas. In March 2017, TSA officials explained that they were continuing to develop their "risk-by-flight" initiative--a long-term effort to develop a method of assigning each domestic flight a relative risk score to assist in identifying high-risk flights. At the time of our report in 2016, FAMS officials estimated that the risk-by-flight tool would probably be ready for use within 7 to 10 years. In March 2017, TSA officials stated that they had developed a prototype Risk-Based Resource Deployment Decision Aid, which they refer to as R2D2. TSA officials further reported that the DHS Science and Technology Directorate had contracted for the development of a risk engine--based on the R2D2 data--to assign risk values to all U.S.-carrier domestic and international flights. TSA officials reported that this contract runs through early 2018. To fully address this recommendation, FAMS should conduct and document a risk assessment to further support FAMS's domestic resource allocation decisions, including the identification of high-priority geographic areas.
    Director: Susan A. Fleming
    Phone: (202) 512-2834

    3 open recommendations
    Recommendation: To strengthen FRA's grants management practices, the Secretary of Transportation should direct the FRA Administrator to enhance the process outlined in the Grants Manual to monitor project performance for future grants to include: (1) performance measures directly linked to project goals, and (2) fully incorporating timely and actionable information on grantee performance into FRA's review process to help determine whether current efforts are in line with the overall project goals.

    Agency: Department of Transportation
    Status: Open

    Comments: DOT agreed with this recommendation and stated that FRA will enhance the grants management manual content linking performance measures to project goals, and incorporating timely and actionable information on grant performance into monitoring and oversight activities. DOT stated FRA would complete these actions by June 30, 2017.
    Recommendation: To strengthen FRA's grants management practices, the Secretary of Transportation should direct the FRA Administrator to develop and provide written guidance to grantees to include FRA's expectations on the type of information grantees should provide, such as guidance specific to deliverables and milestones for each grant project.

    Agency: Department of Transportation
    Status: Open

    Comments: DOT agreed with this recommendation and stated that FRA will identify gaps in existing guidance and develop and disseminate revised guidance to grantees. DOT stated FRA would complete these actions by December 31, 2017.
    Recommendation: To strengthen FRA's grants management practices, the Secretary of Transportation should direct the FRA Administrator to analyze training needs and formalize a training plan for grantees and agency staff, which could include training on grant-specific procedures and policies.

    Agency: Department of Transportation
    Status: Open

    Comments: DOT agreed with this recommendation and FRA developed a revised formal training plan in March 2017. As of May 2017, we are reviewing this plan.
    Director: J. Christopher Mihm
    Phone: (202) 512-6806

    1 open recommendations
    Recommendation: To improve the transparency of public reporting on CAP goal progress, the Director of OMB should, working with the PIC, report on Performance.gov the actions that CAP goal teams are taking, or plan to take, to develop performance measures and quarterly targets.

    Agency: Executive Office of the President: Office of Management and Budget
    Status: Open

    Comments: We reviewed selected CAP goals quarterly performance information on the Performance.Gov website as of Q4 of FY 2016, which updates the status of the CAP goals through September 2016. Some of the selected CAP goals have updated and new performance measures, but it was not clear the extent to which CAP goal teams included information on the actions they are taking to develop such measures, consistent with our recommendation. We contacted OMB in June 2017 on the current status of this recommendation. We will provide an update to its status once OMB responds to our request.
    Director: Andrew Von Ah
    Phone: (213) 830-1011

    3 open recommendations
    Recommendation: The Secretary of Defense should direct the Under Secretary of Defense for Personnel and Readiness, in consultation with officials from the military service components and the JAMRS office, to develop a formal process for coordination on crosscutting issues to facilitate better leveraging of resources. As part of this process, DOD could review existing advertising programs to identify opportunities to reduce unnecessary duplication, overlap, and fragmentation and obtain potential efficiencies.

    Agency: Department of Defense
    Status: Open

    Comments: As of August 2017, a DOD official from the office of Under Secretary of Defense for Personnel and Readiness stated that a working group drafted an Instruction on DOD advertising and marketing and this instruction will be signed within the next 30 days. The instruction requires that the relevant departmentwide office will meet quarterly with the military service marketing representatives to discuss best practices and to look for efficiencies. Further, the official stated that the Army has directed the Army National Guard to work through Army Marketing and Research Group regarding their marketing efforts, which consolidates all Army marketing efforts within one office. The Air force is also in discussion to determine how best to consolidate the marketing efforts of its Guard and Reserve components with the Active Duty to gain efficiencies. We will monitor the issuance of the instruction and the efforts of the Air Force to consolidate activities.
    Recommendation: The Secretary of Defense should direct the Secretaries of the Departments of the Army, the Navy, and the Air Force to ensure that each military service component fully measure advertising performance. This should include both the identification of measurable goals in future versions of the service components' advertising plans and assurance that the service components have access to the necessary performance data to determine the effectiveness of their advertising activities for lead generation activities.

    Agency: Department of Defense
    Status: Open

    Comments: As of August 2017, a DOD official from the office of Under Secretary of Defense for Personnel and Readiness stated that a working group drafted an Instruction on DOD advertising and marketing and this instruction will be signed within the next 30 days. The instruction requires that the relevant department-level office will meet quarterly with the military service marketing representatives to discuss best practices and to look for efficiencies. Upon issuance of the instruction, we will assess the direction provided to the services in the instruction regarding performance measurement.
    Recommendation: The Secretary of Defense should direct the Under Secretary of Defense for Personnel and Readiness to ensure, as the department undertakes its effort to issue a department-wide policy for advertising, that this policy (1) clearly defines DOD's role in overseeing the advertising activities of military service components; (2) clarifies issues related to sports-related advertising; and (3) outlines procedures that should guide the components' advertising activities for other types of advertising, such as music concerts, other event advertising, and digital advertising.

    Agency: Department of Defense
    Status: Open

    Comments: As of August 2017, a DOD official from the office of Under Secretary of Defense for Personnel and Readiness stated that a work group session was held in October 2016 and based on the outcome of that work group, DOD has drafted an Instruction on DOD advertising and marketing. That instruction is currently in the "Pre-Signature" phase as a priority instruction which means it should be signed and published within the next 30 days. We will continue to monitor the issuance of this instruction.
    Director: Randall B. Williamson
    Phone: (202) 512-7114

    1 open recommendations
    including 1 priority recommendation
    Recommendation: To help provide reasonable assurance that VHA achieves its long-term goal of modernizing its claims processing system, the Secretary of Veterans Affairs should direct the Under Secretary for Health to ensure that the agency develops a sound written plan that includes the following elements: (1) a detailed schedule for when VHA intends to complete development and implementation of each major aspect of its new claims processing system; (2) the estimated costs for implementing each major aspect of the system; and (3) the performance goals, measures, and interim milestones that VHA will use to evaluate progress, hold staff accountable for achieving desired results, and report to stakeholders the agency's progress in modernizing its claims processing system.

    Agency: Department of Veterans Affairs
    Status: Open
    Priority recommendation

    Comments: As of June 2017, VHA's Office of Community Care is in the process of consolidating VA's community care programs, and as part of this process it plans to transition to a third party administrator for the purposes of claims processing. While an active procurement is underway, VHA still needs to develop a written plan to fully implement this recommendation. VHA's written plan must include details about the schedule, cost estimates, performance goals, and interim milestones associated with transitioning to a third party administrator for the purposes of processing claims for VA community care.
    Director: Heather Krause
    Phone: (202) 512-6806

    5 open recommendations
    Recommendation: To help enhance efforts to expand shared services and improve the management of the Administrative Services Franchise Fund (ASFF), the Secretary of Transportation should direct the FAA Administrator to make pricing information, such as ranges of prices, for the ASFF's lines of business publicly available, as appropriate, to help potential customers and agency decision makers understand prices and different choices of services.

    Agency: Department of Transportation
    Status: Open

    Comments: FAA concurred with the recommendation. According to FAA, representatives from FAA's Administrative Services Franchise Fund are serving on the Office of Management and Budget's Shared Services Governance Board--a decision-making body for government-wide shared services initiatives. The Board is working with the General Services Administration's Unified Shared Services Management office on the standardization of publicly available pricing information for the FAA fund and other funds across the government and the forum in which to publish such information. FAA expects to provide an update on how it is addressing this recommendation by November 30, 2017.
    Recommendation: To help enhance efforts to expand shared services and improve the management of the ASFF, the Secretary of Transportation should direct the FAA Administrator to make the ASFF's strategic goals and performance metrics publicly available to help potential customers and agency decision makers understand how the fund is performing on the services provided.

    Agency: Department of Transportation
    Status: Open

    Comments: FAA concurred with the recommendation. According to FAA, representatives from FAA's Administrative Services Franchise Fund are serving on the Office of Management and Budget's Shared Services Governance Board--a decision-making body for government-wide shared services initiatives. The Board is working with the General Services Administration's Unified Shared Services Management office on the standardization of performance metrics for shared service providers (including the FAA fund) and the forum on which to publically share such information. FAA expects to provide an update on how it is addressing this recommendation by November 30, 2017.
    Recommendation: To help enhance efforts to expand shared services and improve the management of the Treasury Franchise Fund (TFF), the Secretary of the Treasury should make pricing information, such as ranges of prices, for the Administrative Resource Center Information Technology Services and Shared Services Programs (SSP) lines of business publicly available, as appropriate, to help potential customers and agency decision makers understand prices and different choices of services.

    Agency: Department of the Treasury
    Status: Open

    Comments: Treasury concurred with the recommendation. In March 2017, GAO contacted Treasury for a status update on how the recommendation is being addressed. We will update the status when the update is received.
    Recommendation: To help enhance efforts to expand shared services and improve the management of the TFF, the Secretary of the Treasury should develop a more complete set of performance metrics for the TFF's SSP line of business to help managers of the SSP line of business, current and potential customers, and agency decision makers monitor and oversee how the fund is performing on the services provided.

    Agency: Department of the Treasury
    Status: Open

    Comments: Treasury concurred with the recommendation. In March 2017, GAO contacted Treasury for a status update on how the recommendation is being addressed. We will update the status when the update is received.
    Recommendation: To help enhance efforts to expand shared services and improve the management of the TFF, the Secretary of the Treasury should develop an operating reserve policy that documents all existing review processes that relate to management of the TFF's operating reserves. These documented policies should include information on how fund managers are to assess the operating reserves, including guidelines to evaluate, use, and maintain the operating reserves over time.

    Agency: Department of the Treasury
    Status: Open

    Comments: Treasury concurred with the recommendation. In March 2017, GAO contacted Treasury for a status update on how the recommendation is being addressed. We will update the status when the update is received.
    Director: John Pendleton
    Phone: (202) 512-3489

    1 open recommendations
    Recommendation: To facilitate implementation of the commission's recommendations and provide managers with information to gauge progress and identify areas that may need attention, the Secretary of the Air Force in coordination with the Chief of Staff of the Air Force should direct the Assistant Vice Chief of Staff of the Air Force to develop complete implementation plans that include performance measures for all 36 commission recommendations that remain open.

    Agency: Department of Defense: Department of the Air Force
    Status: Open

    Comments: In its agency comments, the Air Force concurred with our recommendation and estimated that it would develop performance measures by March 2017. When we confirm what actions the Air Force has taken in response to this recommendation, we will provide updated information.
    Director: Brenda S. Farrell
    Phone: (202) 512-3604

    7 open recommendations
    Recommendation: The Secretary of Defense should direct the Under Secretary of Defense for Personnel and Readiness to collect and monitor deployed civilians' perceptions related to mental health care.

    Agency: Department of Defense
    Status: Open

    Comments: When we confirm what actions the agency has taken in response to this recommendation, we will provide updated information.
    Recommendation: The Secretary of Defense should direct the Under Secretary of Defense for Personnel and Readiness to leverage recommendations made by the RAND Corporation in its 2014 report on mental health stigma in the military to update and clarify policies as needed to remove stigmatizing provisions, such as career restrictions that may be too limiting for individuals who have received mental health care.

    Agency: Department of Defense
    Status: Open

    Comments: When we confirm what actions the agency has taken in response to this recommendation, we will provide updated information.
    Recommendation: The Secretary of Defense should direct the Under Secretary of Defense for Personnel and Readiness to establish a clear, consistent definition of those barriers to care generally understood by DOD as "mental health care stigma," to include explanations of its causes or contributing risk factors and ways that stigma is apparent in behaviors and policies.

    Agency: Department of Defense
    Status: Open

    Comments: When we confirm what actions the agency has taken in response to this recommendation, we will provide updated information.
    Recommendation: The Secretary of Defense should direct the Under Secretary of Defense for Personnel and Readiness to establish goals for efforts to address barriers to care generally understood by DOD as "stigma reduction efforts," and performance measures that link to these goals.

    Agency: Department of Defense
    Status: Open

    Comments: When we confirm what actions the agency has taken in response to this recommendation, we will provide updated information.
    Recommendation: The Secretary of Defense should direct the Under Secretary of Defense for Personnel and Readiness to develop a method to collect and analyze information on barriers to seeking mental health care, including stigma, so that reliable data may be gathered and used to measure the effectiveness of stigma reduction efforts over time.

    Agency: Department of Defense
    Status: Open

    Comments: When we confirm what actions the agency has taken in response to this recommendation, we will provide updated information.
    Recommendation: The Secretary of Defense should direct the Under Secretary of Defense for Personnel and Readiness to designate an entity to coordinate efforts to reduce mental health care stigma, among other barriers to care.

    Agency: Department of Defense
    Status: Open

    Comments: When we confirm what actions the agency has taken in response to this recommendation, we will provide updated information.
    Recommendation: The Secretary of Defense should direct the Under Secretary of Defense for Intelligence to reissue consolidated guidance, incorporating subsequent updates for the denial or suspension of access to classified information and for assignment to sensitive duties based solely on information about mental health care.

    Agency: Department of Defense
    Status: Open

    Comments: When we confirm what actions the agency has taken in response to this recommendation, we will provide updated information.
    Director: Andrew Von Ah
    Phone: (213) 830-1011

    4 open recommendations
    Recommendation: To ensure the quality of the risk assessments used to inform its future QHSR processes, the Secretary of Homeland Security should direct the Assistant Secretary for Policy to ensure future QHSR risk assessment methodologies reflect key elements of successful risk assessment methodologies, such as being: (1) Documented, which includes documenting how risk information was integrated to arrive at the assessment results, (2) Reproducible, which includes producing comparable, repeatable results, and (3) Defensible, which includes communicating any implications of uncertainty to users of the risk results.

    Agency: Department of Homeland Security
    Status: Open

    Comments: As of June 2016, the Office of Policy's Office of Strategy, Plans, Analysis and Risks completed initial meetings in April 2016 with government and non-government subject matter experts to refine risk analyses for the upcoming 2018 QHSR. Representatives from the department's component and headquarters staff are to take part in the Department's Risk Modeling and Analysis Steering Committee by reviewing, documenting and approving proposed new methodologies planned to help identify and prioritize threats and hazards. This effort is intended to lead to a documented, reproducible, and defensible assessment, according to the DHS officials. This recommendation will remain open until we verify that the risk analysis contains these elements.
    Recommendation: To enable the use of risk information in supporting resource allocation decisions, guiding investments, and highlighting the measures that offer the greatest return on investment, the Secretary of Homeland Security should direct the Assistant Secretary for Policy to refine its risk assessment methodology so that in future QHSRs it can compare and prioritize homeland security risks and risk mitigation strategies.

    Agency: Department of Homeland Security
    Status: Open

    Comments: As of June 2016, the Office of Policy's Office of Strategy, Plans, Analysis, and Risk, with support from the RAND Corporation, has proposed a methodology to assess threats, hazards, and vulnerabilities impacting U.S. homeland security. In addition, the department's Risk Modeling and Analysis Executive Steering Committee is to review and approve the proposed methodology. The methodology is intended to enable the Department of Homeland Security to compare and prioritize homeland security risks and risk mitigation strategies, according to DHS officials. The recommendation will remain open until we verify that the methodology allows such comparisons.
    Recommendation: To ensure proper management of the QHSR stakeholder consultation process, the Secretary of Homeland Security should direct the Assistant Secretary for Policy to identify and implement stakeholder meeting processes to ensure that communication is interactive when project planning for the next QHSR.

    Agency: Department of Homeland Security
    Status: Open

    Comments: As of June 2016, the Office of Policy's Office of Strategy, Plans, Analysis, and Risk finalized a draft stakeholder outreach plan to include use of the Office of Management and Budget's Max electronic collaboration website to engage with federal, state, and local stakeholders. The OMB-MAX website is available to government and non-government offices and allows the posting of documents, articles, and links, as well as facilitating collaborative editing of documents and participant interaction threads, according to DHS officials. In addition, the Office of Policy's Office of Strategy, Plans, Analysis, and Risk is exploring the use of different tools to facilitate more interactive stakeholder engagement. For example, DHS's Office of Partnerships and Engagement is to facilitate additional engagement with external subject matter experts, arrange interagency coordination, and organize review and approval with parties of the homeland security enterprise in order to coordinate and approve the development of the 2018 QHSR. This recommendation will remain open until we verify that interactive communication approaches are implemented.
    Recommendation: To ensure proper management of the internal QHSR stakeholder consultation process, the Secretary of Homeland Security should direct the Assistant Secretary for Policy to clarify component detailee roles and responsibilities when project planning for the next QHSR.

    Agency: Department of Homeland Security
    Status: Open

    Comments: As of June 2016, the Office of Policy's Office of Strategy, Plans, Analysis, and Risk (SPAR) drafted a memorandum for the Deputy Secretary to solicit Component subject matter experts. The memorandum specifies component detailee roles and responsibilities, to include serving in an advisory, consultation, and coordination role, according to DHS officials. SPAR is to lead an integrated group of analysts and strategic planners that are to be supported and augmented by the subject matter experts. The experts and detailees are to serve as members of study teams analyzing key threats, trends, and strategy and policy alternatives associated with issues and challenges relating to DHS's mission and objectives. A second memorandum requesting additional detailee support is to be issued in November 2016, prior to the formal review phase of the new QHSR which is to begin in January 2017. This recommendation will remain open until we verify that clarified detailee roles and responsibilities are finalized and implemented.
    Director: Dave Wise
    Phone: (202) 512-2834

    2 open recommendations
    including 1 priority recommendation
    Recommendation: To improve the quality and transparency of data entered into FRPP as GSA transitions the database to a platform that would enable greater government-wide use, the Administrator of GSA, in consultation with OMB and federal agencies, should (1) assess the reliability of FRPP data by determining how individual agencies collect and report FRPP data for each FRPP field, including any supplemental guidance used by agencies to comply with government-wide FRPP data definitions as part of the annual certification of FRPP data; (2) analyze the differences in collecting and reporting practices used by these agencies; and (3) identify and make available to FRPP users the limitations of using FRPP data, in the context of how the data are intended to be used in real property decision making and to measure real property performance across agencies and update federal guidance to address limitations, as needed.

    Agency: General Services Administration
    Status: Open
    Priority recommendation

    Comments: GSA partially agreed with the recommendation noting that it has limited resources to fully analyze and map the data relative to FRPP data definitions, and that it is the responsibility of individual agencies to ensure reliability of the data and compliance with FRPP definitions. As of October 2016, GSA has taken some action to implement this recommendation. GSA told us it has made progress by conducting an in-depth survey in June 2106 focusing on several data elements including: replacement value, status, owned and otherwise management operating costs, repair needs, utilization, and lease costs. The survey asked agencies questions regarding the processes/resources used to source and compile these data elements from agency IT systems as well as internal agency guidance. GSA received responses from 24 agencies and stated it plans to complete its initial analysis of the survey in the fall of 2016 and indicate limitations of these data elements. GSA plans to conduct a series of working group meetings with agencies to conduct an in depth review of the survey results and to develop a set of recommendations for the Federal Real Property Council. GSA said these recommendations may include, but are not limited to, altering data dictionary definitions, sharing best or common practices for reporting these data elements, and sharing the limitations on the use of these data elements. Based on the working group outcomes and input from the Federal Real Property Council and OMB, GSA plans to produce a white paper on these topics by the latter part of 2017.
    Recommendation: To enhance the usefulness of the National Strategy for managing federal real property government-wide, the Director of OMB should expand the National Strategy to further address long-standing real property management challenges by: (1) expanding the scope to include maintenance and repair needs; (2) articulating planned actions and identifying alternative approaches, including alternative-funding mechanisms, to address underlying causes of the real property problems; (3) ensuring that performance measures at the agency level inform the overall progress of the National Strategy; and (4) determining the government-wide costs, benefits, and risks by leveraging agencies' long-term capital plans and identifying approaches to optimally manage that risk.

    Agency: Executive Office of the President: Office of Management and Budget
    Status: Open

    Comments: When we confirm the actions that OMB has taken in response to this recommendation, we will provide updated information.
    Director: Lori Rectanus
    Phone: (202) 512-2834

    3 open recommendations
    Recommendation: To help FPS enhance its strategic human capital planning efforts, the Secretary of Homeland Security should direct the Under Secretary of NPPD to work with the Director of FPS to identify time frames for developing human capital performance measures with targets that are explicitly aligned to FPS's stated human capital goals.

    Agency: Department of Homeland Security
    Status: Open

    Comments: FPS stated that NPPD is working with FPS to develop a recruitment and retention strategy that will include performance measures. This strategy will be complete by December 31, 2016. However, NPPD and FPS have not yet identified timeframes for developing performance measures for other human capital areas identified in FPS's human capital plan, such as leadership and knowledge management and building a results-oriented performance culture. Furthermore, because the recruitment and retention strategy is still under development, it is unclear whether the performance measures will have targets that are explicitly aligned to FPS's stated human capital goals. FPS plans to finalize all actions associated with this recommendation by March 2017.
    Recommendation: To help FPS enhance its strategic human capital planning efforts, the Secretary of Homeland Security should direct the Under Secretary of NPPD to work with the Director of FPS to establish a plan and time frames for updating FPS's staffing model regularly and for unexpected changes in operating conditions.

    Agency: Department of Homeland Security
    Status: Open

    Comments: FPS stated that it has conducted a review and gap analysis of its existing staffing model to identify additional features it needs to incorporate into the model. FPS also began to develop a data collection plan that will, among other things, identify data needed and how FPS will validate the data. The results of the gap analysis and data collection plan will be used to establish a plan, with timeframes, for updating the staffing model regularly and when unexpected changes in operating conditions occur. FPS plans to finalize all actions associated with this recommendation by March 2017.
    Recommendation: To help FPS enhance its strategic human capital planning efforts, the Secretary of Homeland Security should direct the Under Secretary of NPPD to work with the Director of FPS to develop and document guidance on the process FPS will use to ensure the quality of its staffing model data, such as guidance on how to collect data, validate assumptions, and perform sensitivity analyses to assess the assumptions.

    Agency: Department of Homeland Security
    Status: Open

    Comments: FPS is in the process of developing documentation that will govern the process it will use to collect data and ensure data quality. FPS plans to finalize all actions associated with this recommendation by March 2017.
    Director: Steve D. Morris
    Phone: (202) 512-3841

    6 open recommendations
    Recommendation: To strengthen USDA's ability to better manage and monitor the progress of the Blueprint, including efforts to streamline and improve administrative services, the Secretary of Agriculture should direct the Assistant Secretary for Administration to develop a complete list identifying all of the Blueprint efforts under way and document key information needed to monitor their progress, such as status of implementation, time frames for completion, and related performance measures.

    Agency: Department of Agriculture
    Status: Open

    Comments: As of March 2017, we have requested an update from the coordinator for USDA's Blueprint for Stronger Service on USDA's actions, if any, to implement this recommendation.
    Recommendation: To strengthen USDA's ability to better manage and monitor the progress of the Blueprint, including efforts to streamline and improve administrative services, the Secretary of Agriculture should direct the Assistant Secretary for Administration to reexamine the adequacy of the staff and budget resources committed to the day-to-day management of the Blueprint, and further leverage existing departmental resources as needed.

    Agency: Department of Agriculture
    Status: Open

    Comments: As of March 2017, we have requested an update from the coordinator for USDA's Blueprint for Stronger Service on USDA's actions, if any, to implement this recommendation.
    Recommendation: To improve USDA's efforts to identify and track the benefits of the Blueprint, the Secretary of Agriculture should direct the Assistant Secretary for Administration to document the methodologies used to calculate any savings claimed for the Blueprint effort to ensure any such estimate is based on quality information.

    Agency: Department of Agriculture
    Status: Open

    Comments: As of March 2017, we have requested an update from the coordinator for USDA's Blueprint for Stronger Service on USDA's actions, if any, to implement this recommendation.
    Recommendation: To improve USDA's efforts to identify and track the benefits of the Blueprint, the Secretary of Agriculture should direct the Chief Financial Officer to develop a cost-effective method, using existing data systems, to collect and track USDA's spending on administrative services to identify baseline spending and target areas for future cost savings.

    Agency: Department of Agriculture
    Status: Open

    Comments: As of March 2017, we have requested an update from the coordinator for USDA's Blueprint for Stronger Service on USDA's actions, if any, to implement this recommendation.
    Recommendation: To improve USDA's efforts to identify and track the benefits of the Blueprint, the Secretary of Agriculture should direct the Assistant Secretary for Administration to systematically identify and track nonfinancial benefits from USDA's Blueprint efforts to better gauge the Blueprint's progress and more fully report its results.

    Agency: Department of Agriculture
    Status: Open

    Comments: As of March 2017, we have requested an update from the coordinator for USDA's Blueprint for Stronger Service on USDA's actions, if any, to implement this recommendation.
    Recommendation: To enhance USDA's efforts to share lessons learned from the Blueprint, the Secretary of Agriculture should direct the Assistant Secretary for Administration to maintain and promote existing web-based collaboration tools, including keeping information in these tools current, for agencies and staff offices to report their experiences and lessons learned from their Blueprint efforts to help strengthen internal information sharing and inform future efforts.

    Agency: Department of Agriculture
    Status: Open

    Comments: As of March 2017, we have requested an update from the coordinator for USDA's Blueprint for Stronger Service on USDA's actions, if any, to implement this recommendation.
    Director: Cindy Brown Barnes
    Phone: (202) 512-7215

    1 open recommendations
    Recommendation: The Chairman of the National Mediation Board should develop and implement written policies and processes to reflect the agency's current procurement environment.

    Agency: National Mediation Board
    Status: Open

    Comments: In April 2016, NMB indicated it was reviewing its procurement policies and would develop and implement new policies that reflect the outsourced procurement environment in which the agency is now operating. It anticipated that the drafting of these new policies would be completed in fiscal year 2017. In February 2017, GAO began another review of NMB. The status of this recommendation will be updated at the conclusion of that review, estimated for 2018.
    Director: Jessica Farb
    Phone: (202) 512-6991

    2 open recommendations
    Recommendation: To enhance U.S. agencies' performance monitoring of counter-firearms trafficking activities, the Director of the Bureau of Alcohol, Tobacco, Firearms and Explosives should establish and document performance targets for the bureau's key counter-firearms trafficking activities in Belize, Guatemala, and Mexico, as appropriate.

    Agency: Department of Justice: Bureau of Alcohol, Tobacco, Firearms and Explosives
    Status: Open

    Comments: ATF concurred with this recommendation and stated that it plans to implement it. According to ATF officials, ATF has engaged in an overview of performance measures in Mexico and, when applicable, in Guatemala and Belize, and planned to implement a more structured annual system of performance targeting and evaluation for operations in these jurisdictions in fiscal year 2017. As of October 2017, we are continuing to follow up with ATF on its efforts to implement the new performance evaluation system.
    Recommendation: To enhance U.S. agencies' performance monitoring of counter-firearms trafficking activities, the Secretary of State should work with other U.S. agencies and implementers to help ensure that quarterly progress reports identify key challenges and plans to address them.

    Agency: Department of State
    Status: Open

    Comments: The Department of State concurred with this recommendation and stated that it planned to work with other agencies to implement it. State officials noted that the International Narcotics and Law Enforcement Affairs Bureau's quarterly reporting template for interagency partners currently contains a segment entitled "Problems or Challenges and Corrective Action Plan/Risk Identification Mitigation" in which the interagency partner is expected to detail any problems or challenges in implementing any of the program components and activities. State officials stated they will continue to remind interagency partners of this requirement and assist with correct completion of the reporting templates.
    Director: Debra Draper
    Phone: (202) 512-7114

    1 open recommendations
    Recommendation: The Secretary of Defense should direct the Secretary of the Army to implement processes to review and monitor the Army military treatment facility prescribing practices for medications discouraged under the PTSD guideline and address identified deviations.

    Agency: Department of Defense
    Status: Open

    Comments: We requested an update on the status of this recommendation. As of June 21, 2016, we are waiting for a response from DOD.
    Director: Valerie Melvin
    Phone: (202) 512-6304

    2 open recommendations
    Recommendation: To help ensure that FDA's IT strategic planning activities are successful in supporting the agency's mission, goals, and objectives, the Commissioner of FDA should require the CIO to establish schedules and milestones for completing a version of an IT strategic plan that incorporates elements to align the plan's strategies with agency-wide priorities; includes results-oriented goals and performance measures that support the agency's mission, along with targets for measuring the extent to which outcomes of IT initiatives support FDA's ability to achieve agency-wide goals and objectives; identifies key IT initiatives that support the agency's goals; and describes interdependencies among the initiatives.

    Agency: Department of Health and Human Services: Food and Drug Administration
    Status: Open

    Comments: FDA concurred with the recommendation and stated that the agency plans to implement it. We contacted the agency in March 2017 and have requested documents regarding FDA's actions to address the recommendation. We are waiting to receive the documents. We will update the status of the agency's actions after we receive and evaluate their response.
    Recommendation: To help ensure that FDA's IT strategic planning activities are successful in supporting the agency's mission, goals, and objectives, the Commissioner of FDA should require the CIO to implement the plan to ensure that expected outcomes of the agency's key IT initiatives are achieved.

    Agency: Department of Health and Human Services: Food and Drug Administration
    Status: Open

    Comments: FDA concurred with the recommendation and stated that the agency plans to implement it. We contacted the agency in March 2017 and have requested documents regarding FDA's actions to address the recommendation. We are waiting to receive the documents. We will update the status of the agency's actions after we receive and evaluate their response.
    Director: James R. McTigue, Jr.
    Phone: (202) 512-9110

    7 open recommendations
    Recommendation: To help ensure SB/SE's audit selection program meets its mission and selects returns fairly, the Commissioner of Internal Revenue should clearly define and document the key term "fairness" for return selection activities.

    Agency: Department of the Treasury: Internal Revenue Service
    Status: Open

    Comments: IRS agreed to incorporate a definition of fairness into the Internal Revenue Manual (IRM), which serves as a single point of reference for guidance to IRS examiners. In February 2016, the Deputy Commissioner of Services and Enforcement (S&E) reiterated IRS's definition of fairness in the examination process to S&E employees. In January 2017, IRS issued interim guidance on fairness in examination case selection. IRS officials said that this guidance is considered "final" until the IRM is updated, no later than January 2019. In February 2017, IRS issued an article on its IRWeb and a message from the Deputy Commissioner S&E on defining fairness in the exam process. We are awaiting resolution of how this definition will be used in three other recommendations on communicating examples as well as developing both a related objective and measure.
    Recommendation: To help ensure SB/SE's audit selection program meets its mission and selects returns fairly, the Commissioner of Internal Revenue should clearly communicate examples of fair selections to staff to better assure consistent understanding.

    Agency: Department of the Treasury: Internal Revenue Service
    Status: Open

    Comments: IRS agreed to communicate examples of fairness to managers and examiners involved in selecting tax returns for examination. In March 2017, the Director of IRS Small Business/Self Employed (SB/SE) Examination-Headquarters issued a memo to SB/SE examination directors that included examples illustrating the fairness definition in return selection. The examples were to be shared with directors, management, and examiners involved in return selection. To close this recommendation, we are waiting for resolution of how the fairness definition will be implemented through related recommendations on developing program objectives and measures assessing fairness in return selection.
    Recommendation: To help ensure SB/SE's audit selection program meets its mission and selects returns fairly, the Commissioner of Internal Revenue should develop, document, and implement program-level objective(s) to evaluate whether the return selection process is meeting its mission of applying the tax law with integrity and fairness to all.

    Agency: Department of the Treasury: Internal Revenue Service
    Status: Open

    Comments: IRS agreed to review its current objectives for the SB/SE examination program and found that an additional program-level objective to evaluate fairness in the return selection was necessary. The new objective is "Ensure examinations are initiated based on indicators of noncomplicance. In addition, ensure a review of the decisions to survey a return (i.e., not initiate an examination) are based on upon factors outlined in the Internal Revenue Manual (IRM) and approved by an appropriate level of management." In March 2017, IRS issued interim guidance communicating the new objective, which was sent to Examination Directors. The guidance and objective were also posted on the IRweb, which is available to all IRS employees. IRS officials said that the interim guidance is considered final until it can be incorporated into the IRM, which should be done within 2 years of when the interim guidance is issued. We are awaiting IRS's response to a related recommendation on developing a measure for this selection objective before deciding to close this recommendation.
    Recommendation: To help ensure that SB/SE's audit selection objective(s) on fairness are used and met, the Commissioner of Internal Revenue should develop, document, and implement related performance measures that would allow SB/SE to determine how well the selection of returns for audit meets the new objective(s).

    Agency: Department of the Treasury: Internal Revenue Service
    Status: Open

    Comments: IRS agreed to develop, document, and implement additional performance measures if new objectives related to fair return selection were implemented. In March 2017, IRS developed a new objective on fair return selection. In April 2017, IRS officials said that they were working on performance measures related to the new objective on fair return selection. They plan to meet with GAO in 1-2 months to obtain our feedback on the measures.
    Recommendation: To help ensure that SB/SE's audit selection objective(s) on fairness are used and met, the Commissioner of Internal Revenue should incorporate the new objective(s) for fair return selection into the SB/SE risk management system to help identify and analyze potential risks to fair selections.

    Agency: Department of the Treasury: Internal Revenue Service
    Status: Open

    Comments: IRS agreed to consider any new objectives related to fair return selection within SB/SE's current risk management process framework. In March and April 2017, SB/SE developed a tool (RAFT) to include the fair selection objective (and related activities) into its risk register, which is monitored quarterly. IRS provided documentation from the Exam Risk Council meeting that they have discussed and assessed these risks. IRS is still working on documentation to show they are addressing our recommendations and the associated risks. IRS officials said the documentation is due in August 2017.
    Recommendation: The Commissioner of Internal Revenue should develop and implement consistent documentation requirements to clarify the reasons for selecting a return for audit and who reviewed and approved the selection decision.

    Agency: Department of the Treasury: Internal Revenue Service
    Status: Open

    Comments: IRS agreed to evaluate the need to improve its documentation of return selection decisions and the review and approval process. In March 2017, various IRS functions completed templates showing the current status of return selection documentation requirements. As a result, they found that they could improve the consistency and clarity in documentation, approval and review requirements across workstreams by clearly defining procedures and ensuring they are formally documented in the IRM. The Director of Exam Case Selection issued a memo directing that documentation requirements be made consistent in the IRM. IRS officials said that revised documentation requirements are due in August 2017, with IRM incorporation at a later date.
    Recommendation: The Commissioner of Internal Revenue should develop, document, and implement monitoring procedures to ensure that decisions made and coding used to select returns for audit are appropriate.

    Agency: Department of the Treasury: Internal Revenue Service
    Status: Open

    Comments: IRS agreed to review its current procedures for monitoring return selection decisions and coding used to select returns. In April 2017, IRS officials provided documentation showing they had reviewed campus examination selection dollar thresholds and campus source code definitions. They found that improvements could be made in clarifying source code definitions and reviewing dollar thresholds used to categorize and select, respectively, returns for examination. IRS has issued an IRM procedural update to implement these changes. During our meeting with IRS, we clarified that our recommendation covered monitoring selection decisions more broadly, which IRS acknowledged. Officials said that additional documentation on monitoring selection decisions will be due by August 2017.
    Director: Kathleen M. King
    Phone: (202) 512-7114

    1 open recommendations
    Recommendation: To ensure that HHS workforce efforts meet national needs, the Secretary of Health and Human Services should develop a comprehensive and coordinated planning approach to guide HHS's health care workforce development programs--including education, training, and payment programs--that (1) includes performance measures to more clearly determine the extent to which these programs are meeting the department's strategic goal of strengthening health care; (2) identifies and communicates to stakeholders any gaps between existing programs and future health care workforce needs identified in the Health Resources and Services Administration's workforce projection reports; (3) identifies actions needed to address identified gaps; and (4) identifies and communicates to Congress the legislative authority, if any, the Department needs to implement the identified actions.

    Agency: Department of Health and Human Services
    Status: Open

    Comments: In December 2016, HHS indicated that the agency had not yet taken steps to implement a comprehensive workforce planning effort. Officials said that for the FY2018 cycle, HHS had planned to expand its group developing legislative proposals to include budget issues and gaps that warrant attention. While it did not do so during that cycle, officials indicated that they would recommend this broader approach to workforce planning for future budget and legislative cycles.
    Director: Brenda S. Farrell
    Phone: (202) 512-3604

    4 open recommendations
    Recommendation: To improve DOD's management of initiatives directed at increasing the recruitment and accessions of women into the officer corps, the Secretary of Defense should direct the Under Secretary of Defense, Personnel and Readiness, in collaboration with the service Secretaries, to develop an oversight framework that includes or incorporates (consistent with applicable law): (1) Service-wide program goals for initiatives directed at female officers' recruitment, such as goals related to the composition of the applicant pool; (2) Performance measures linked to program goals; and (3) Resource allocations linked to program goals.

    Agency: Department of Defense
    Status: Open

    Comments: In providing comments on this report, the agency concurred with this recommendation but has not yet taken any actions necessary to implement it.
    Recommendation: To improve DOD's management of initiatives directed at increasing the recruitment and accessions of women into the officer corps, the Secretary of Defense should direct the Under Secretary of Defense, Personnel and Readiness, in collaboration with the service Secretaries, to conduct evaluations for key recruitment initiatives to help ensure these initiatives are achieving their intended purpose.

    Agency: Department of Defense
    Status: Open

    Comments: In providing comments on this report, the agency concurred with this recommendation but has not yet taken any actions necessary to implement it.
    Recommendation: To improve the Coast Guard's management of initiatives to increase the recruitment and accessions of women into the officer corps, the Commandant of the Coast Guard should develop an oversight framework that includes or incorporates (consistent with applicable law): (1) Service-wide program goals for initiatives directed at female officers' recruitment, such as goals related to the composition of the applicant pool; (2) Performance measures linked to program goals; and (3) Resource allocations linked to program goals.

    Agency: Department of Homeland Security: United States Coast Guard
    Status: Open

    Comments: In providing comments on this report, the agency concurred with this recommendation but has not yet taken any actions necessary to implement it.
    Recommendation: To improve the Coast Guard's management of initiatives to increase the recruitment and accessions of women into the officer corps, the Commandant of the Coast Guard should conduct evaluations for key recruitment initiatives to help ensure these initiatives are achieving their intended purpose.

    Agency: Department of Homeland Security: United States Coast Guard
    Status: Open

    Comments: In providing comments on this report, the agency concurred with this recommendation but has not yet taken any actions necessary to implement it.
    Director: Andrew Sherrill
    Phone: (202) 512-7215

    1 open recommendations
    Recommendation: To increase accountability for program performance, the Secretary of VA should establish measures to report on program outcomes for Post-9/11 GI Bill OJT and apprenticeship programs, including considering relevant data sources and seeking legislative authority to gain access to data, if necessary.

    Agency: Department of Veterans Affairs
    Status: Open

    Comments: The Department of Veterans Affairs (VA) agrees that program performance metrics should be developed to report on program outcomes. In March 2016, VBA officials said that VBA's Education Service is working with DoD, ED, and the Consumer Financial Protection Bureau to determine the feasibility of collecting and publishing post-graduation data to include data for OJT and apprenticeship programs. The target completion date was June 1, 2016.
    Director: Brenda S. Farrell
    Phone: (202) 512-3604

    5 open recommendations
    Recommendation: To improve the effectiveness of DOD's strategy for preventing sexual assault in the military, as part of the department's next biennial update to the 2014-16 sexual-assault prevention strategy, the Secretary of Defense should direct the Under Secretary of Defense for Personnel and Readiness, in conjunction with the Secretaries of the military departments, to link sexual-assault prevention activities with desired outcomes.

    Agency: Department of Defense
    Status: Open

    Comments: DOD action in progress. DOD is conducting assessments at large installations that reflect a cross-section of each of the service's cultures and result in the development of the 2017-2021 DOD Sexual Assault Prevention Plan of Action. According to department officials, the plan will link risks and protective factors.
    Recommendation: To improve the effectiveness of DOD's strategy for preventing sexual assault in the military, as part of the department's next biennial update to the 2014-16 sexual-assault prevention strategy, the Secretary of Defense should direct the Under Secretary of Defense for Personnel and Readiness, in conjunction with the Secretaries of the military departments, to identify risk and protective factors for all of its domains, including the military community and its leaders.

    Agency: Department of Defense
    Status: Open

    Comments: DOD action in progress. DOD is conducting assessments at large installations that reflect a cross-section of each of the service's cultures and will inform the development of the 2017-2021 DOD Sexual Assault Prevention Plan of Action. According to department officials, the plan will identify risk and protective factors for all domains, including military community and leaders.
    Recommendation: To help ensure widespread adoption and implementation of DOD's sexual-assault prevention strategy and to fulfill its role as a framework that can assist leaders and planners in the development of appropriate tasks, the Secretary of Defense should direct the Under Secretary of Defense for Personnel and Readiness, in conjunction with the Secretaries of the military departments, to communicate and disseminate DOD's prevention strategy and its purpose to the appropriate levels of program personnel as well as their roles and responsibilities for its implementation.

    Agency: Department of Defense
    Status: Open

    Comments: DOD action in progress. According to DOD officials, DOD's 2017-2021 Sexual Assault Prevention Plan of Action will include a comprehensive communications roll-out plan to ensure every level of DOD understands its role in prevention.
    Recommendation: To help improve DOD's ability to measure the effectiveness of the department's efforts in preventing sexual assault in the military, the Secretary of Defense should direct the Under Secretary of Defense for Personnel and Readiness, in collaboration with the Secretaries of the military departments, to fully develop the department's performance measures for the prevention of sexual assault so that the measures include all key attributes of successful performance measures.

    Agency: Department of Defense
    Status: Open

    Comments: DOD action in progress. DOD is conducting a feasibility assessment to identify metrics that will detect impacts of prevention efforts and show progress on reducing risk and prevalence of sexual assault. The results will be included in the 2017-2021 DOD Sexual Assault Prevention Plan of Action.
    Recommendation: To help ensure widespread adoption and implementation of DOD's sexual-assault prevention strategy and to fulfill its role as a framework that can assist leaders and planners in the development of appropriate tasks, the Secretary of Defense should direct the Under Secretary of Defense for Personnel and Readiness, in conjunction with the Secretaries of the military departments, to ensure the military services' Sexual Assault Prevention and Response policies are aligned with the department's prevention strategy.

    Agency: Department of Defense
    Status: Open

    Comments: DOD action in progress. As part of its development of the department's 2017-2021 Sexual Assault Prevention Plan of Action, DOD is working to align military service sexual assault prevention policies with the department's overarching sexual assault prevention strategy.
    Director: John Pendleton
    Phone: (202) 512-3489

    1 open recommendations
    Recommendation: To ensure that resources are being efficiently applied to meet the National Guard counterdrug program's objectives, the Secretary of Defense should direct the National Guard Bureau in consultation with the Deputy Assistant Secretary of Defense for Counternarcotics and Global Threats to subsequently collect and use performance information to help inform funding distribution decisions to state programs and to conduct oversight of the training offered by the counterdrug schools.

    Agency: Department of Defense
    Status: Open

    Comments: The National Guard counterdrug program has plans to implement performance information into its fiscal year 2017 annual assessments of the state programs and counterdrug schools. The fiscal year 2017 annual assessments are scheduled to be complete by December 2017. The recommendation will remain open until performance information has been included in the annual assessments.
    Director: Debra A. Draper
    Phone: (202) 512-7114

    1 open recommendations
    Recommendation: To be able to identify and address problems that may occur and thus help ensure a smooth transition, the Secretary of Defense should require the Defense Health Agency ensure that planning documents for the expansion include specific requirements to continuously monitor affected beneficiaries, including whether (1) covered medications are available and filled in a timely and accurate manner through mail order and across MTF pharmacies; and (2) beneficiaries are satisfied with the transition to mail order and MTF pharmacies.

    Agency: Department of Defense
    Status: Open

    Comments: As of April 2016, DOD has not provided information that it plans to separately track through mail order and military treatment facilities the availability, timeliness, and accuracy of prescriptions filled by beneficiaries affected by the expansion of the TRICARE pharmacy pilot. Similarly, DOD has not provided information that it plans to separately track through mail order and military treatment facilities the satisfaction of beneficiaries affected by the expansion of the TRICARE pharmacy pilot.
    Director: Lori Rectanus
    Phone: (202) 512-2834

    1 open recommendations
    Recommendation: To assist in determining whether to require USPS and PRC to report on delivery performance for rural and non-rural areas, Congress should direct USPS to provide cost estimates related to providing this information.

    Agency: Congress
    Status: Open

    Comments: As of May 2017, Congress has not taken any action to direct USPS to provide cost estimates related to reporting on delivery performance for rural and non-rural areas
    Director: Brenda S. Farrell
    Phone: (202) 512-3604

    3 open recommendations
    including 3 priority recommendations
    Recommendation: To provide decision makers with appropriate and more complete information on the continuing implementation, management, and oversight of the DHA, the Secretary of Defense should direct the Assistant Secretary of Defense (Health Affairs) to develop a comprehensive requirements assessment process that accounts for needed future skills through the consideration of potential organizational changes and helps ensure appropriate consideration of workforce composition through the determination of the final status of military personnel within the DHA.

    Agency: Department of Defense
    Status: Open
    Priority recommendation

    Comments: As of April 2017, DOD has taken some steps to implement this action. According to an April 2017 letter from the Acting Principal Deputy Assistant Secretary of Defense (Health Affairs), DOD has established processes and procedures to create an overall personnel management process which are documented in a draft Administrative Instruction estimated to be finalized and published by July 31, 2017.
    Recommendation: To provide decision makers with appropriate and more complete information on the continuing implementation, management, and oversight of the DHA, the Secretary of Defense should direct the Assistant Secretary of Defense (Health Affairs) to develop a plan for reassessing and revalidating personnel requirements as the missions and needs of the DHA evolve over time.

    Agency: Department of Defense
    Status: Open
    Priority recommendation

    Comments: As of April 2017, DOD has taken some steps to implement this action. According to an April 2017 letter from the Acting Principal Deputy Assistant Secretary of Defense (Health Affairs), DOD has established processes and procedures to create an overall personnel management process which are documented in a draft Administrative Instruction estimated to be finalized and published by July 31, 2017.
    Recommendation: To provide decision makers with appropriate and more complete information on the continuing implementation, management, and oversight of the DHA, the Secretary of Defense should direct the Assistant Secretary of Defense (Health Affairs) to determine the future of the Public Health and Medical Education and Training shared services by either identifying common functions to consolidate to achieve cost savings or by developing a justification for the transfer of these functions from the military services to the DHA that is not premised on cost savings.

    Agency: Department of Defense
    Status: Open
    Priority recommendation

    Comments: As of April 2017, DOD has taken some steps to implement this action. According to an April 2017 letter from the Acting Principal Deputy Assistant Secretary of Defense (Health Affairs), DOD has changed the designation of its Public Health function from a shared service to a division. This change recognizes the distinction that we previously highlighted between a shared service, or the consolidation of functions previously performed by the military services, and a transfer of functions from the military services to the DHA. The letter states that DOD is in the process of assessing business case analyses for various efficiency efforts, with one proposal estimated to save $613 million over three years. DOD has not taken similar action with regard to its Medical Education and Training shared service. As we previously reported in our prior update, while DOD cites future cost savings in its modeling and simulation and online learning product lines, we reported in 2014 that these initiatives overlap with the DHA's Contracting and Procurement and Information Technology shared services. For example, while cost savings for Modeling and Simulation are allocated to the Medical Education and Training Directorate, implementation costs are to be incurred by the Contracting and Procurement shared service. This recommendation will remain open until DOD either identifies common functions to consolidate within Medical Education and Training to achieve cost savings or develops a justification for the transfer of these functions from the military services to the DHA that is not premised on cost savings.
    Director: J. Alfredo Gómez
    Phone: (202) 512-3841

    3 open recommendations
    Recommendation: The EPA Administrator should direct OGD to develop a timetable with milestones and identify and allocate resources for adopting electronic records management for all 10 regional offices.

    Agency: Environmental Protection Agency
    Status: Open

    Comments: Implementation efforts ongoing. According to EPA officials, the Office of Grants and Debarment established an agency-wide electronic grants record workgroup in FY 16 Q1. The workgroup identified the contents of the electronic grant file, technical options and evaluation criteria. OGD has initiated an alternatives analysis and expects to present the results of that analysis to the Grants Management Council in FY 17 Q1. Once the GMC selects the technical approach, the Agency will identify available funding for implementation through the budget process.
    Recommendation: The EPA Administrator should direct OGD to implement plans for adopting an up-to-date and comprehensive IT system by 2017 that will provide accurate and timely data on agencywide compliance with grants management directives.

    Agency: Environmental Protection Agency
    Status: Open

    Comments: Implementation efforts ongoing. According to EPA officials, OGD is already underway with a multi-modular project to upgrade the agency's grants management IT system (IGMS). Module 2 of 3 is on schedule for deployment in FY17 Q1. The final Module is on schedule for deployment, in early FY18. OGD will incorporate in the project performance tracking of priority directives in accordance with the policy framework of the new Grants Management Plan.
    Recommendation: Until the new IT system is implemented, the EPA Administrator should direct OGD to develop ways to more effectively use existing web-based tools to better monitor agencywide compliance with grants management directives.

    Agency: Environmental Protection Agency
    Status: Open

    Comments: Implementation efforts ongoing. According to EPA officials, OGD has already developed the capability to provide managers cumulative annual baseline monitoring data. Further capabilities of web-based tools, namely the replacement of OGD's primary tool Quik Reports, are on schedule for deployment in FY17 Q1. This effort combined with updates to the Grants Datamart will provide valuable long term enhancements for the Agency's grant reporting needs.
    Director: David C. Trimble
    Phone: (202) 512-3841

    2 open recommendations
    Recommendation: To improve transparency in future NNSA budget materials so that they are more useful for congressional decision makers, the Administrator of NNSA should, in instances where NNSA's internal cost estimates for a life extension program suggest that additional funding may be needed beyond what is included in the 5-year budget estimates to align with the program's plan, identify the amount of the shortfall in its budget materials and, what, if any, effect the shortfall may have on the program's cost and schedule or the risk of achieving program objectives.

    Agency: Department of Energy: National Nuclear Security Administration
    Status: Open

    Comments: In commenting on the report, the National Nuclear Security Administration (NNSA) agreed with this recommendation and outlined planned actions to incorporate the recommendation into the agency's fiscal year 2017 budget materials. However, the level of additional transparency for life extension programs in NNSA's fiscal year 2017 budget materials appears mixed. GAO will conduct additional follow-up with NNSA in 2017 following release of the fiscal year 2018 Stockpile Stewardship and Management Plan to clarify and assess prospects for further transparency with respect to funding shortfalls for life extension programs.
    Recommendation: To improve transparency in future NNSA budget materials so that they are more useful for congressional decision makers, the Administrator of NNSA should, in instances where budget estimates do not achieve DOE benchmarks for maintenance and recapitalization investment over the 5-year budget estimates, identify in the budget materials the amount of the shortfall and the effects, if any, on the deferred maintenance backlog.

    Agency: Department of Energy: National Nuclear Security Administration
    Status: Open

    Comments: In commenting on the report, the National Nuclear Security Administration (NNSA) agreed with this recommendation and outlined planned actions to incorporate the recommendation into the agency's fiscal year 2017 budget materials. However, the fiscal year 2017 NNSA budget materials do not support the benchmarked levels of funding needed to address maintenance and recapitalization, and there was no apparent discussion of the shortfall and likely effects on the deferred maintenance backlog in those materials. GAO will follow up on this recommendation in 2017 and 2018 to assess adequacy of funding in NNSA's fiscal year 2018 and 2019 budget materials and any applicable explanations of shortfalls.
    Director: Gerald Dillingham
    Phone: (202) 512-2834

    2 open recommendations
    Recommendation: To implement a more effective international strategy for achieving NextGen interoperability with other nations, the Secretary of Transportation should direct the FAA Administrator to conduct a risk assessment to identify potential threats and vulnerabilities to NextGen interoperability and establish timeframes for periodically re-evaluating these risks.

    Agency: Department of Transportation
    Status: Open

    Comments: When we confirm what actions the agency has taken in response to this recommendation, we will provide updated information.
    Recommendation: To implement a more effective international strategy for achieving NextGen interoperability with other nations, the Secretary of Transportation should direct the FAA Administrator to identify and document actions FAA will undertake to mitigate these risks, using information from the risk assessment as a basis for making management decisions about how to allocate resources for these activities.

    Agency: Department of Transportation
    Status: Open

    Comments: When we confirm what actions the agency has taken in response to this recommendation, we will provide updated information.
    Director: Kimberly Gianopoulos
    Phone: (202)512-8612

    1 open recommendations
    Recommendation: To strengthen agency performance measurement related to deterring child smuggling, the Secretary of Homeland Security should instruct DHS's U.S. Immigration and Customs Enforcement to establish annual performance targets associated with the performance measures it has established for its Transnational Criminal Investigative Units.

    Agency: Department of Homeland Security
    Status: Open

    Comments: In its comments on the report in July 2015, the Department of Homeland Security stated that it concurred with this recommendation, and that it would work with host nation partners to establish goals to measure these units' investigative activities and capacity development. In September 2015, DHS noted that it planned to use law enforcement data to measure TCIU success rates and inform efforts going forward. GAO has followed up with DHS--most recently in June 2017--on the status of its efforts to establish performance targets, but has not yet received a response.
    Director: Maurer, Diana C
    Phone: (202) 512-9627

    2 open recommendations
    including 2 priority recommendations
    Recommendation: To ensure that the Department of Justice effectively measures its efforts to address incarceration challenges, the Attorney General should explore additional data collection opportunities and modify its Smart on Crime indicators to incorporate key elements of successful performance measurement systems.

    Agency: Department of Justice
    Status: Open
    Priority recommendation

    Comments: In August 2015, DOJ reported that it has taken steps to obtain new, more granular data elements that it hoped to incorporate into its indicators. However, DOJ also stated that it did not believe that measureable targets were appropriate for its Smart on Crime indicators because prosecutors need to make case by case decisions without regard to targets or concerns for any other incentive. As of October 2016, DOJ had not provided any updates on its progress addressing this recommendation to enhance performance measurement. Until DOJ provides this information, we cannot determine whether its efforts resulted in indicators that incorporate key elements of successful performance measurement systems. In March, 2017, DOJ noted that, due to a change in administration, the consequences of the Smart on Crime initiative are uncertain, and did not provide any further updates on its progress addressing our recommendation.
    Recommendation: To ensure that the Department of Justice effectively measures its efforts to address incarceration challenges, the Attorney General should direct the Office of the Pardon Attorney, in conjunction with the Office of the Deputy Attorney General, to (1) track how long it takes, on average, for commutation of sentence petitions to clear each step in the review process under DOJ's control, and (2) identify and address, to the extent possible, any processes that may contribute to unnecessary delays.

    Agency: Department of Justice
    Status: Open
    Priority recommendation

    Comments: In August 2015, DOJ reported that tracking the steps of its review would not provide meaningful data because the Department prioritizes those cases for review that appear likely to meet the Clemency Initiative factors announced in April 2014. Nevertheless, DOJ stated that it agreed that identifying and addressing unnecessary delays in the review process is important, and that it has been regularly working to identify and address such delays. As of October 2016, DOJ had not provided any updates on its progress addressing this recommendation to better track and address any unnecessary delays. Until it does so, we cannot determine whether it is meeting the key goal of the new Clemency Initiative--to expeditiously identify and review especially meritorious petitions. In March 2017, DOJ noted that due to the accelerated clemency review process implemented in 2015, it currently has no standard process to evaluate, and did not provide any further updates on its progress in addressing our recommendation.
    Director: Anne-Marie Fennell
    Phone: (202) 512-3841

    4 open recommendations
    Recommendation: To help make an informed decision, the Commission should seek input from states on its proposal to draft updated guidance on class III minimum internal control standards and withdraw its 2006 regulations.

    Agency: National Indian Gaming Commission
    Status: Open

    Comments: As of December 2016, GAO is awaiting action by the agency to implement this recommendation.
    Recommendation: To improve its ability to assess the effectiveness of its training and technical assistance efforts, the Commission should review and revise, as needed, its performance measures to include additional outcome-oriented measures.

    Agency: National Indian Gaming Commission
    Status: Open

    Comments: As of December 2016, GAO is awaiting action by the agency to implement this recommendation.
    Recommendation: To help ensure letters of concern are more consistently prepared and responses tracked, the Commission should develop documented procedures and guidance to clearly identify letters of concern as such and to specify the type of information to be contained in them, such as time periods for a response.

    Agency: National Indian Gaming Commission
    Status: Open

    Comments: As of December 2016, GAO is awaiting action by the agency to implement this recommendation.
    Recommendation: To help ensure letters of concern are more consistently prepared and responses tracked, the Commission should develop documented procedures and guidance to maintain and track tribes' responses to the Commission on potential compliance issues.

    Agency: National Indian Gaming Commission
    Status: Open

    Comments: As of December 2016, GAO is awaiting action by the agency to implement this recommendation.
    Director: Mark Goldstein
    Phone: (202) 512-2834

    1 open recommendations
    Recommendation: To more clearly communicate what NTIA hopes to achieve with its ongoing broadband adoption efforts and to demonstrate the agency's progress, the Secretary of Commerce should include in NTIA's annual performance plan a quantifiable outcome-based performance goal and a related performance indicator for the agency's broadband adoption efforts consistent with the strategic plan.

    Agency: Department of Commerce
    Status: Open

    Comments: In responding to the recommendation in a draft of the report, the Department of Commerce stated that it agrees that outcome-based performance tools are important in evaluating the success of an agency program. However, it also stated that an outcome-based measure would not be an accurate measure of NTIA's performance because the agency's ongoing efforts to provide technical assistance to communities to support broadband adoption efforts are advisory and do not provide funding to communities. In August 2016, an NTIA official reiterated this position. We will continue to monitor NTIA's activities in this area, in case its broadband adoption efforts change.
    Director: Maurer, Diana C
    Phone: (202) 512-9627

    2 open recommendations
    Recommendation: To ensure the timely expenditure of VOCA grant funds and thereby limit the carryover of unexpended grant balances, minimize the need for multiple grant extensions, and strengthen OJJDP's capacity to collect and assess grantee performance information, the Assistant Attorney General for OJP should work with the Administrator of OJJDP to conduct a study to examine whether any of its administrative processes contribute to unnecessary delays in grantees' ability to expend VOCA funds within the established 12-month project period and make modifications to these processes as appropriate.

    Agency: Department of Justice: Office of Justice Programs: Office of the Assistant Attorney General
    Status: Open

    Comments: In April 2015, we found that OJJDP had several administrative review and approval processes in place that had contributed to delays in grantees' ability to begin spending their award funds. For instance, grantees could not access their funds until OJJDP had completed its internal review of grantees' budgets--a step that had taken more than 2 months, on average, after the grantees' project period had begun. We recommended that OJP examine its processes and, if appropriate, make modifications to prevent unnecessary delays in grantees' ability to expend VOCA funds within the established project period. In March 2017, OJP reported that its Office of Audit, Assessment and Management (OAAM), worked with OJJDP to complete an assessment to determine the impact of administrative processes on VOCA awards. Focusing on VOCA grants awarded in fiscal years 2010 through 2015, OAAM assessed a number of factors, including (1) the average timeframe for approval of budget reviews; (2) the average timeframe for approval of conference cost requests, and (3) the number of no-cost extensions granted. OJP reported that OAAM continues to work with OJJDP to review documentation to support implementation of process improvements to address the issues the assessment identified. OAAM anticipates issuing a report by March 31, 2017 to OJP's Acting Assistant Attorney General to summarize the results of the assessment and provide updates on the process improvements OJJDP has begun to implement. Examining the delays associated with its administrative review processes and making modifications as necessary will help OJP ensure the effective administration and timely use of grant funds.
    Recommendation: To ensure the timely expenditure of VOCA grant funds and thereby limit the carryover of unexpended grant balances, minimize the need for multiple grant extensions, and strengthen OJJDP's capacity to collect and assess grantee performance information, the Assistant Attorney General for OJP should work with the Administrator of OJJDP to, considering the results of this study, examine whether the current 12-month project period is realistic in light of any administrative processes that cause delay but cannot be modified and extend the project period if necessary.

    Agency: Department of Justice: Office of Justice Programs: Office of the Assistant Attorney General
    Status: Open

    Comments: In April 2015, we found that VOCA grant activities were not being completed within the time parameters OJJDP established for the grant program, and that this may affect the ability of grantees to complete their grant goals and objectives. Specifically, we found that for the 28 VOCA grants that OJJDP awarded from fiscal years 2010 through 2013, grantees had expended less than 20 percent, on average, of each grant they received during the original 12-month project period. In particular, we found that OJJDP's processes for reviewing grantees' budgets and conference planning requests were contributing to delays in grantees' ability to begin spending their funds. We recommended that OJP examine whether 12 months is an appropriate project period length to ensure that VOCA grantees are well positioned to fully expend their grant funds. In March 2017, OJP reported that its Office of Audit, Assessment and Management (OAAM), worked with OJJDP to complete an assessment to determine the impact of administrative processes on VOCA awards. Focusing on VOCA grants awarded in fiscal years 2010 through 2015, OAAM assessed a number of factors, including (1) the average timeframe for approval of budget reviews; (2) the average timeframe for approval of conference cost requests, and (3) the number of no-cost extensions granted. OJP reported that OAAM continues to work with OJJDP to review documentation to support implementation of process improvements to address the issues the assessment identified. OAAM anticipates issuing a report by March 31, 2017 to OJP's Acting Assistant Attorney General to summarize the results of the assessment and provide updates on the process improvements OJJDP has begun to implement. Once OJJDP examines its administrative delays, makes any necessary changes, and reviews the original project period length, OJP will be better positioned to ensure that grantees have an appropriate period in which to expend VOCA grant awards.
    Director: Mark Goldstein
    Phone: (202) 512-2834

    3 open recommendations
    Recommendation: To improve performance management of the Telecommunications Relay Service, the Chairman of the Federal Communications Commission should develop specific performance goals and measures for the TRS program. FCC should establish goals that would guide its efforts on major program dimensions--for example, consider goals and performance measures related to, but not limited to, service quality or competition among providers.

    Agency: Federal Communications Commission
    Status: Open

    Comments: On May 12, 2017, FCC's Liaison reported to us that FCC is working towards implementing these recommendations, but FCC does not have any specific achievements or documentation to report at this time. GAO will continue to monitor and update the status of this rec.
    Recommendation: To improve performance management of the Telecommunications Relay Service, following the establishment of TRS's performance goals, the Chairman of the Federal Communications Commission should conduct a robust risk assessment that can help FCC design a comprehensive internal-control system.

    Agency: Federal Communications Commission
    Status: Open

    Comments: On May 12, 2017, FCC's Liaison reported to us that FCC is working towards implementing these recommendations, but FCC does not have any specific achievements or documentation to report at this time. GAO will continue to monitor and update the status of this rec.
    Recommendation: To improve performance management of the Telecommunications Relay Service, the Chairman of the Federal Communications Commission should improve FCC's communication of TRS rules and procedures to the community of individuals who are deaf, hard of hearing, or have speech disabilities and the companies providing TRS services through the creation and dissemination of a handbook, program manual, or other consolidation of TRS rules and procedures.

    Agency: Federal Communications Commission
    Status: Open

    Comments: On May 12, 2017, FCC's Liaison reported to us that FCC is working towards implementing these recommendations, but FCC does not have any specific achievements or documentation to report at this time. GAO will continue to monitor and update the status of this rec.
    Director: Mak, Marie A
    Phone: (202) 512-4841

    1 open recommendations
    Recommendation: In order for NASA to fully implement the NASA Authorization Act of 2008 and for CASIS to fulfill its responsibility as outlined in the cooperative agreement, the NASA Administrator should direct the Associate Administrator for the Human Exploration and Operations Mission Directorate to fully staff the ISS National Laboratory Advisory Committee.

    Agency: National Aeronautics and Space Administration
    Status: Open

    Comments: NASA does not plan to staff the International Space Station National Laboratory Advisory Committee (INLAC) at this time. Officials stated that they continue to believe that the Center for the Advancement of Science in Space (CASIS) Board of Directors meets the intent of the INLAC charter by providing oversight of CASIS implementation of utilization of the ISS as a national laboratory. NASA remains concerned about staffing another oversight group that may create conflicts with the existing CASIS Board of Directors. NASA is also exploring with CASIS opportunities to open portions of board meetings to the general public and interested parties in order to foster additional transparency and a broad and free exchange of ideas. In response to this recommendation, the Associate Administrator for the Human Exploration and Operations Mission Directorate indicated that NASA was seeking relief from the statutory requirement to staff the INLAC.
    Director: Mark Goldstein
    Phone: (202) 512-2834

    2 open recommendations
    Recommendation: To help FCC determine whether its efforts to provide consumers with broadband performance information are effective and meeting consumers' needs, and whether additional efforts--such as a standardized label suggested by FCC's transparency working group--could benefit consumers, FCC should conduct or commission research on the effectiveness of FCC's efforts to provide consumers with broadband performance information and make the results of this research publicly available.

    Agency: Federal Communications Commission
    Status: Open

    Comments: In written comments provided on the draft report, FCC indicated that it concurred with this recommendation. However, as of August 2017, FCC has not taken steps to address this recommendation.
    Recommendation: To help FCC determine whether its efforts to provide consumers with broadband performance information are effective and meeting consumers' needs, and whether additional efforts--such as a standardized label suggested by FCC's transparency working group--could benefit consumers, FCC should establish performance goals and measures under the agency's relevant strategic objectives that allow it to monitor and report on the impact and effectiveness of its efforts.

    Agency: Federal Communications Commission
    Status: Open

    Comments: FCC noted that its fiscal year 2015-2018 strategic plan has strategic objectives related to providing consumers with broadband performance information; however, these objectives lack performance goals that define desired outcomes for FCC's efforts to provide consumers with broadband performance information as well as performance measures to monitor the effectiveness of FCC's efforts.
    Director: Mark L. Goldstein
    Phone: (202) 512-2834

    1 open recommendations
    Recommendation: The FCC should conduct a program evaluation to determine the extent to which the Lifeline program is efficiently and effectively reaching its performance goals of ensuring the availability of voice service for low-income Americans while minimizing the contribution burden on consumers and businesses.

    Agency: Federal Communications Commission
    Status: Open

    Comments: In a 2016 Lifeline modernization order, which FCC adopted March 31, 2016, FCC instructed the Universal Service Administrative Company (USAC) to hire an outside, independent third-party evaluator to complete a program evaluation of the modernized Lifeline program. FCC noted that the program evaluation would enable FCC and the public to have better information about the operation and effectiveness of the Lifeline program. Such an evaluation will likely address our recommendation. FCC's order stipulated that USAC must submit the evaluation's findings to FCC by December 2020. We will update the status of this recommendation after we receive additional information from FCC.
    Director: Jennifer A. Grover
    Phone: (202) 512-7141

    7 open recommendations
    including 4 priority recommendations
    Recommendation: To ensure that the NSCs can be operated and maintained in the most demanding environments based on mission and maintenance requirements prior to implementation of the CRC, the Coast Guard should, as expeditiously as possible under its capacity limits and fiscal constraints, fulfill the staffing requirements recommended in the 2011 manpower requirements analysis, including ensuring that while implementing the interim 210 Plan, the NSCs operate with sufficient numbers of crew members who possess the recommended mix of skills and abilities.

    Agency: Department of Homeland Security: United States Coast Guard
    Status: Open

    Comments: In August 2015, the Coast Guard stated that funding to fulfill the staffing requirements recommended in the 2011 manpower requirements analysis for the National Security Cutter is under review and is expected to be determined by February 2016. On January 24, 2017, the Coast Guard noted that it expects the crew increase to be reflected in the FY 2017 Appropriation.
    Recommendation: To improve the Coast Guard's ability to make informed decisions about the overall feasibility of its goal to achieve 230 DAFHP using the CRC, and to ensure the effectiveness of the scheduled CRC feasibility test, the Coast Guard's CRC plan, scheduled to be completed by December 2017, should specify mitigation actions to effectively address the risk factors identified in this report, including determining the appropriate number of NSC crew and shoreside-based support personnel with the right mix of skills and abilities and having them in place when the Coast Guard tests the CRC.

    Agency: Department of Homeland Security: United States Coast Guard
    Status: Open
    Priority recommendation

    Comments: In July 2015, the Coast Guard provided documentation of a manpower requirements analysis and manpower requirements determination, which specify the number of shoreside-based support personnel, such as engineering and maintenance, that are needed to support 4 National Security Cutters (NSC) based in Alameda, CA (i.e., three of the four NSCs using the crew rotational concept). In March 2016, the Coast Guard stated that it would request resources, as appropriate, to ensure that these personnel are in place prior to testing and expects to close this recommendation by November 2017. On January 24, 2017, the Coast Guard noted that it is continuing to develop the final test plan.
    Recommendation: To improve the Coast Guard's ability to make informed decisions about the overall feasibility of its goal to achieve 230 DAFHP using the CRC, and to ensure the effectiveness of the scheduled CRC feasibility test, the Coast Guard's CRC plan, scheduled to be completed by December 2017, should specify mitigation actions to effectively address the risk factors identified in this report, including addressing the misalignment of the crewing concept to be used in the planned CRC test, as compared to the NSC homeporting plan, so that the CRC test is conducted in an operationally realistic environment and that the test results can be used to determine the optimal schedules for rotating crews and performing maintenance.

    Agency: Department of Homeland Security: United States Coast Guard
    Status: Open
    Priority recommendation

    Comments: In March 2016, the Coast Guard stated it continues to analyze and develop various testing plans and will submit a final plan to increase the NSCs' days away from homeport to Congress by December 2017. On January 24, 2017, the Coast Guard noted that it continues to analyze and develop various testing plans to reach 225 DAFHP onboard NSCs. The test will be performed by Coast Guard Pacific Area during normal operations over an extended period to ensure it is operationally realistic; lessons learned will be used to inform future crewing models. The Coast Guard will submit a final test plan to Congress prior to the deadline set forth by the 2012 Coast Guard Authorization Bill (end of 2017).
    Recommendation: To improve the Coast Guard's ability to make informed decisions about the overall feasibility of its goal to achieve 230 DAFHP using the CRC, and to ensure the effectiveness of the scheduled CRC feasibility test, the Coast Guard's CRC plan, scheduled to be completed by December 2017, should specify mitigation actions to effectively address the risk factors identified in this report, including addressing the potential impacts of wide variations between alternative CRC deployment schedules.

    Agency: Department of Homeland Security: United States Coast Guard
    Status: Open
    Priority recommendation

    Comments: In March 2016, the Coast Guard stated it continues to analyze and develop various testing plans and will submit a final plan to increase the NSCs' days away from homeport to Congress by December 2017. On January 24, 2017, the Coast Guard noted that it continues to analyze and develop various testing plans to reach 225 DAFHP onboard NSCs. The test will be performed by Coast Guard Pacific Area during normal operations over an extended period to ensure it is operationally realistic; lessons learned will be used to inform future crewing models. The Coast Guard will submit a final test plan to Congress prior to the deadline (end of 2017) set forth by the 2012 Coast Guard Authorization Bill.
    Recommendation: To improve the Coast Guard's ability to make informed decisions about the overall feasibility of its goal to achieve 230 DAFHP using the CRC, and to ensure the effectiveness of the scheduled CRC feasibility test, the Coast Guard's CRC plan, scheduled to be completed by December 2017, should specify mitigation actions to effectively address the risk factors identified in this report, including expanding the Coast Guard's training infrastructure capacity to provide crew members with the necessary training for off-cycle rotating NSC crew members under the CRC.

    Agency: Department of Homeland Security: United States Coast Guard
    Status: Open
    Priority recommendation

    Comments: In March 2016, the Coast Guard stated it continues to analyze and develop various testing plans and will submit a final plan to increase the NSCs' days away from homeport to Congress by December 2017. On January 24, 2017, the Coast Guard noted that it continues to analyze and develop various testing plans to reach 225 DAFHP onboard NSCs. The test will be performed by Coast Guard Pacific Area during normal operations over an extended period to ensure it is operationally realistic; lessons learned will be used to inform future crewing models. The Coast Guard will submit a final test plan to Congress prior to the deadline set forth by the 2012 Coast Guard Authorization Bill (the end of 2017).
    Recommendation: To ensure that the Coast Guard is making progress in a timely manner to address and effectively mitigate the risk factors identified above, the Coast Guard should develop interim milestones for the various actions to be taken on each of the risk factors as the Coast Guard completes the CRC Plan.

    Agency: Department of Homeland Security: United States Coast Guard
    Status: Open

    Comments: In March 2016, the Coast Guard stated it continues to analyze and develop various testing plans and will submit a final plan to increase the NSCs' days away from homeport to Congress by December 2017. On January 24, 2017, the Coast Guard noted that the analysis is ongoing, and will be addressed in the test plan submitted to Congress in accordance with the 2012 Coast Guard Authorization Bill (end of 2017).
    Recommendation: Finally, to ensure that the Coast Guard is making progress in developing alternative measures that provide more accurate indicators of operational performance in a timely manner, the Coast Guard should establish time frames and interim milestones for developing and implementing these alternative measures for use prior to CRC testing. These measures could then be used for both the NSCs, as well as for other cutters, such as the Offshore Patrol Cutter, that currently use or plan to use the traditional DAFHP performance measure.

    Agency: Department of Homeland Security: United States Coast Guard
    Status: Open

    Comments: In August 2015, the Coast Guard stated that its analysis of alternative measures for use prior to testing the NSCs to use the crew rotational concept was ongoing and did not provide a date for completion. On January 24, 2017, the Coast Guard noted that, in the process of analyzing an alternative to DAFHP, it found that while its enterprise data management system collects the necessary data; the system didn't have an efficient way of aggregating the data for analysis. The first step to develop an appropriate enterprise measure is to improve the data management system through a software change. Once the change is complete, the system will be evaluated and tested to ensure that an aggregated report of discrete Coast Guard Cutter activity is accurate and reliable. The change will include the functionality to separate underway from in-port activity. After examining the results from the software change, the Coast Guard will evaluate an alternative to DAFHP. However, all analyses to date indicate DAFHP remains an important measure for personnel operations tempo and cutter scheduling and will not be eliminated as an available measure. The Coast Guard updated the estimated completion date for this recommendation to July 2018.
    Director: Mike Sullivan
    Phone: (202) 512-4841

    6 open recommendations
    Recommendation: To improve DOD's ability to collect and maintain reliable data on its acquisitions, the Secretary of Defense should direct the Under Secretary of Defense for Acquisition, Technology, and Logistics, in consultation with DOD components, to establish guidelines on what constitutes a "current" ACAT II or III program for reporting purposes; the types of programs, if any, that do not require ACAT designations; and whether the rules for identifying current MDAPs would be appropriate for ACAT II and III programs.

    Agency: Department of Defense
    Status: Open

    Comments: In September 2015, the Office of the Assistant Secretary of Defense for Acquisition requested that DOD components review existing policies and determine whether they needed to be altered or supplemented to facilitate data collection and reporting on ACAT II and III programs. In November 2016, the Office of the Under Secretary of Defense for Acquisition, Technology, and Logistics stated that, based on the results of these reviews, it does not plans to take any action to implement this recommendation. However, a planned DOD IG review in fiscal year 2018 could lead to further action on this recommendation.
    Recommendation: To improve DOD's ability to collect and maintain reliable data on its acquisitions, the Secretary of Defense should direct the Under Secretary of Defense for Acquisition, Technology, and Logistics, in consultation with DOD components, to determine what metrics should be used and what data should be collected on ACAT II and III programs to measure cost and schedule performance; and whether the use of DAMIR and the MDAP selected acquisition report format may be appropriate for collecting data on ACAT II and III programs.

    Agency: Department of Defense
    Status: Open

    Comments: In November 2016, the Office of the Under Secretary of Defense for Acquisition, Technology, and Logistics reviewed information on DOD component efforts to collect data on the cost and schedule performance of ACAT II and III programs and stated that it does not plan to take any action to implement this recommendation. However, a planned DOD IG review in fiscal year 2018 could lead to further action on this recommendation.
    Recommendation: To improve DOD's ability to collect and maintain reliable data on its acquisitions, the Secretary of Defense should direct the Secretaries of the Air Force, Army, and Navy and the Commander of SOCOM to assess the reliability of data collected on ACAT II and III programs and work with PEOs to develop a strategy to improve procedures for the entry and maintenance of data.

    Agency: Department of Defense
    Status: Open

    Comments: In September 2015, the Office of the Assistant Secretary of Defense for Acquisition requested that DOD components evaluate the data they collect on ACAT II and III programs, report on their assessment of the data's reliability, and provide an update on their plans to improve the availability and quality of the data. In November 2016, the Office of the Under Secretary of Defense for Acquisition, Technology, and Logistics stated that it does not plan to take any additional action to implement this recommendation. However, a planned DOD IG review in fiscal year 2018 could lead to further action on this recommendation.
    Recommendation: To improve DOD's ability to collect and maintain reliable data on its acquisitions, the Secretary of Defense should direct the Secretaries of the Air Force, Army, and Navy and the Commander of SOCOM to develop implementation plans to coordinate and execute component initiatives to improve data on ACAT II and III programs.

    Agency: Department of Defense
    Status: Open

    Comments: In providing comments on this report, DOD partially concurred with this recommendation, but the Office of the Under Secretary of Defense for Acquisition, Technology, and Logistics stated that it does not plan to take any additional action to implement this recommendation. However, we are keeping this recommendation open at this time.
    Recommendation: To help ensure compliance with relevant provisions of DOD acquisition policy with the purpose of improving DOD's ability to provide oversight for ACAT II and III programs, including those programs that may become MDAPs, the Secretary of Defense should direct the Secretary of the Air Force and Commander of SOCOM to establish a mechanism to ensure compliance with APB requirements in DOD policy.

    Agency: Department of Defense
    Status: Open

    Comments: In September 2015, the Office of the Assistant Secretary of Defense for Acquisition requested that DOD components review their mechanisms for establishing and enforcing the APB requirements for all ACAT II and III programs. In November 2016, the Office of the Under Secretary of Defense for Acquisition, Technology, and Logistics stated that, based on the results of these reviews, it does not plans to take any action to implement this recommendation. However, we are keeping this recommendation open at this time.
    Recommendation: To help ensure compliance with relevant provisions of DOD acquisition policy with the purpose of improving DOD's ability to provide oversight for ACAT II and III programs, including those programs that may become MDAPs, the Secretary of Defense should direct the Secretaries of the Air Force, Army, and Navy to improve component procedures for notifying the Defense Acquisition Executive of programs with a cost estimate within 10 percent of ACAT I cost thresholds.

    Agency: Department of Defense
    Status: Open

    Comments: In providing comments on this report, the agency partially concurred with this recommendation. The Army and Navy have reiterated existing guidance and the Air Force is evaluating additional actions it might take to improve its notification procedures.
    Director: Carol R.Cha
    Phone: (202) 512-4456

    2 open recommendations
    Recommendation: The Secretary of Defense should direct the Under Secretary of Defense for Acquisition, Technology, and Logistics to require MAIS programs to establish their first acquisition program baseline within 2 years of beginning work on the programs.

    Agency: Department of Defense
    Status: Open

    Comments: The Department developed a draft process document that states that business system (e.g. financial management, logistics management) programs should start development on at least one release within 24 months after programs have identified the needed capabilities and received approval to conduct further analysis into the potential delivery of the capabilities. We will follow-up with the Department for the final process document and guidance, when available.
    Recommendation: The Secretary of Defense should direct the Secretary of the Army to direct the Army (Financial Management and Comptroller) to complete a plan for conducting auditability testing of LMP Increment 2 functionality to ensure that such testing occurs prior to the LMP program management office deploying future functionality.

    Agency: Department of Defense
    Status: Open

    Comments: According to DOD officials, in response to our recommendation, the department developed a plan to conduct system testing on LMP Increment 2 in accordance with the Federal Information System Controls Audit Manual. The officials stated that the department's plan was to conduct this testing both prior to and after the deployment of new functionality to users. We have requested additional information and documentation from DOD regarding these LMP Increment 2 test plans in order to determine whether the testing associated with auditability of the system was to be conducted before deployment to users.
    Director: Zina D. Merritt
    Phone: (202) 512-5257

    3 open recommendations
    Recommendation: To help DOD increase the efficiency and effectiveness of its management of its business operations, and to enhance DOD's ability to achieve its business transformation efforts, the Secretary of Defense should direct the Deputy Secretary of Defense, in his capacity as the CMO, to ensure that the DCMO document business transformation priorities and communicate these priorities to officials responsible for DOD's business functions.

    Agency: Department of Defense
    Status: Open

    Comments: DOD has developed an updated draft of its Agency Strategic Plan for Fiscal Years 2015-2018. Once this draft is signed and issued, we believe it will communicate the department's priorities for its business operations. DOD DCMO officials estimate that the plan will be signed and issued in October 2016.
    Recommendation: To help DOD increase the efficiency and effectiveness of its management of its business operations, and to enhance DOD's ability to achieve its business transformation efforts, the Secretary of Defense should direct the Deputy Secretary of Defense, in his capacity as the CMO, to ensure that the DCMO oversee the development of a corrective action plan, in coordination with officials responsible for DOD business functions, that outlines the root causes for business transformation weaknesses and the solutions needed to address those weaknesses.

    Agency: Department of Defense
    Status: Open

    Comments: DOD has developed an appendix in an updated draft of its Agency Strategic Plan for Fiscal Years 2015-2018 that is titled "Performance Action Plan," but we not yet reviewed this appendix, so cannot assess whether this would meet the intent of our recommendation that they develop a corrective action plan. DOD DCMO officials estimate that the plan, which includes this appendix, will be signed and issued in October 2016.
    Recommendation: To help DOD increase the efficiency and effectiveness of its management of its business operations, and to enhance DOD's ability to monitor the progress of its business transformation efforts, the Secretary of Defense should direct the Office of the DCMO to, in coordination with officials responsible for DOD's business functions, develop performance measures that reflect key attributes of successful performance measures, such as clarity, comprehensiveness, and linkage.

    Agency: Department of Defense
    Status: Open

    Comments: DOD has developed an updated draft of its Agency Strategic Plan for Fiscal Years 2015-2018 that contains a set of performance measures that are more clear and comprehensive than the measures contained in previous strategic plans. This plan also demonstrates how the performances measures to link to strategic goals and objectives. DOD DCMO officials estimate that the plan will be signed and issued in October 2016.
    Director: Marcia Crosse
    Phone: (202) 512-7114

    3 open recommendations
    Recommendation: To ensure that DEA is best positioned to administer the quota process to ensure an adequate and uninterrupted supply of controlled substances for legitimate medical use and respond to shortages of drugs containing controlled substances, the Administrator of DEA should expeditiously establish formal policies and procedures to facilitate coordination with FDA as directed by the Food and Drug Administration Safety and Innovation Act, including a specific time frame in which DEA will be expected to respond to FDA requests to expedite shortage-related quota applications.

    Agency: Department of Justice: Drug Enforcement Administration
    Status: Open

    Comments: In June 2016, DEA stated that the agency had met with FDA to determine the specific procedures by which information regarding drug shortages will be exchanged pursuant to the Food and Drug Administration Safety and Innovation Act. DEA stated it will include these procedures in the work plan being created in response to the updated memorandum of understanding signed by FDA and DEA in March 2015. DEA officials also said that they plan to include in the work plan time frames for which DEA will be expected to respond to FDA requests to expedite shortage-related quota applications. GAO is continuing to monitor the status of this recommendation.
    Recommendation: To strengthen DEA's and FDA's ability to respond to shortages of drugs containing controlled substances, the Administrator of DEA and the Commissioner of FDA should, either in the MOU or in a separate agreement, specifically outline what information the agencies will share, and time frames for sharing such information, in response to a potential or existing drug shortage.

    Agency: Department of Health and Human Services: Food and Drug Administration
    Status: Open

    Comments: In March 2015, DEA and FDA updated the MOU to establish procedures regarding the exchange of proprietary and other sensitive information between the two agencies. The MOU calls for the development of separate plans to specify what information is to be shared and who it is to be shared with. Since establishing the MOU, DEA said that it had met with FDA to determine the specific procedures for sharing information about drug shortages and a draft work plan has been circulated between the two agencies for comment. As of July 2016, FDA officials said that it has completed its section of the work plan related to sharing information about drug shortages. Although GAO has been advised by DEA that the workplan has not been finalized, in August 2017, FDA stated that it and DEA are actively sharing information and have successfully completed numerous exchanges. GAO is continuing to monitor the status of this recommendation.
    Recommendation: To strengthen DEA's and FDA's ability to respond to shortages of drugs containing controlled substances, the Administrator of DEA and the Commissioner of FDA should, either in the MOU or in a separate agreement, specifically outline what information the agencies will share, and time frames for sharing such information, in response to a potential or existing drug shortage.

    Agency: Department of Justice: Drug Enforcement Administration
    Status: Open

    Comments: In March 2015, DEA and FDA updated the MOU to establish procedures regarding the exchange of proprietary and other sensitive information between the two agencies. The MOU calls for the development of separate plans to specify what information is to be shared and who it is to be shared with. Since establishing the MOU, DEA said that it had met with FDA to determine the specific procedures for sharing information about drug shortages and a draft work plan has been circulated between the two agencies for comment. GAO is continuing to monitor the status of this recommendation.
    Director: J. Alfredo Gómez
    Phone: (202) 512-3841

    1 open recommendations
    including 1 priority recommendation
    Recommendation: To help ensure the safety of food imported into the United States, the Commissioner of Food and Drugs should complete an analysis to determine the annual number of foreign food inspections that is sufficient to ensure comparable safety of imported and domestic food. If the inspection numbers from that evaluation are different from the inspection targets mandated in FSMA, FDA should report the results to Congress and recommend appropriate legislative changes.

    Agency: Department of Health and Human Services: Food and Drug Administration
    Status: Open
    Priority recommendation

    Comments: In January 2015, we recommended that the Commissioner of FDA complete an analysis to determine the annual number of foreign food inspections that is sufficient to ensure comparable safety of imported and domestic food. Additionally, if the inspection numbers from that analysis are different from the inspection targets mandated in the FDA Food Safety Modernization Act (FSMA), FDA should report the results to Congress and recommend appropriate legislative changes. At the time of our report, FDA was not keeping pace with FSMA's mandate to increase inspections each year from 2011 through 2016. In April 2017, FDA indicated that that it does not anticipate going significantly beyond 1,200 foreign food facilities inspections per year, based on the amount of additional funding needed to meet the foreign inspection requirement of FSMA. However, FDA has not conducted an analysis to determine whether the increased number of inspections mandated by FSMA or the lower number of inspections it is currently conducting is sufficient to ensure comparable safety of imported and domestic food. FDA noted that, in January 2017, it began an analysis to define and describe the global inventory of human and animal food firms and examine the application of regulatory oversight tools across the inventory. According to FDA, the analysis will help it assess the annual number of foreign food facility inspections as part of an overall risk-based allocation of resources for ensuring that imported foods are produced in a manner the meets applicable U.S. safety standards. We continue to believe that FDA should complete such an analysis and report the results to Congress.
    Director: Merritt, Zina Dache
    Phone: (202) 512-5257

    2 open recommendations
    Recommendation: To develop and implement a process to monitor performance and independently validate the effectiveness and sustainability of corrective actions, the Secretary of Defense should direct the Under Secretary of Defense for Acquisition, Technology and Logistics to assess, and refine as appropriate, existing performance measures to ensure the measures assess the implementation of individual initiatives as well as progress towards achievement of the overarching goals and objectives in the Strategy.

    Agency: Department of Defense
    Status: Open

    Comments: As of August 2016, DOD has not implemented this recommendation.
    Recommendation: To demonstrate sustained progress in having implemented corrective measures, the Secretary of Defense should direct the Under Secretary of Defense for Acquisition, Technology and Logistics, in collaboration with the military services, to continue the implementation of identified initiatives, refining them over time as appropriate, and demonstrate that implementation of initiatives results in measurable outcomes and progress toward achieving improvements in asset visibility.

    Agency: Department of Defense
    Status: Open

    Comments: As of August 2016, DOD has not implemented this recommendation.
    Director: Brown, Kay E
    Phone: (202) 512-7215

    1 open recommendations
    Recommendation: To encourage broader adoption and evaluation of promising approaches and address impediments to the use of the career pathways approach among TANF agencies, HHS should, in consultation with Congress, identify potential changes that would address the lack of incentives for states and localities to adopt promising approaches and then develop and submit a legislative proposal outlining those changes.

    Agency: Department of Health and Human Services
    Status: Open

    Comments: In June 2015, HHS noted that the agency's fiscal year 2016 budget includes a proposal to increase incentives for states to implement or strengthen subsidized employment programs and notes the Administration's willingness to work with Congress to improve the TANF program's effectiveness in accomplishing its goals. Additionally, HHS reported that it continues to provide technical assistance and disseminate research to help encourage TANF agencies to adopt or strengthen employment-focused approaches. While we commend these efforts, we continue to believe it is important for HHS, in consultation with Congress, to identify potential changes that would address the lack of incentives for states and localities to adopt promising approaches and develop and submit a legislative proposal outlining those changes.
    Director: Daniel Bertoni
    Phone: (202) 512-7215

    3 open recommendations
    including 1 priority recommendation
    Recommendation: To improve the ability of the agency to detect and prevent potential physician-assisted fraud, and to address potential disincentives for staff to detect and prevent physician-assisted fraud, SSA should review the standards used to assess DDS performance; and develop and distribute promising practices to incentivize staff to better balance the goal of processing claims promptly with the equally important goal of identifying and reporting evidence of potential fraud.

    Agency: Social Security Administration
    Status: Open

    Comments: SSA partially agreed with this recommendation, citing that their employees take their stewardship responsibilities seriously and that field office and disability determination services (DDS) employees are the agency's first and best line of defense against fraud. In 2016, the agency reported that it was working with experts in its OIG and Office of Anti-Fraud Programs to develop and disseminate promising practices on identifying and reporting fraud. We will close this recommendation once SSA takes steps to review its standards for assessing DDS performance and disseminates the best practices it is developing.
    Recommendation: To improve the ability of the agency to detect and prevent potential physician-assisted fraud, and to address the potential risks associated with medical evidence submitted by sanctioned physicians, SSA should evaluate the threat posed by this information and, if warranted, consider changes to its policies and procedures.

    Agency: Social Security Administration
    Status: Open

    Comments: As of 2016, SSA reported that it was pursuing several options to address the potential risks of medical evidence submitted by sanctioned physicians. This included determining how it could use licensure information from the List of Excluded Individuals and Entities. SSA stated that it believes the best opportunity to further evaluate the possible review of the license statuses of medical evidence providers is in conjunction with the implementation of the National Vendor File, part of the national Disability Case Processing System, which is under development. In addition, SSA reported it had drafted two Social Security Rulings to define fraud and to provide processes for disregarding evidence and making redeterminations in disability claims when there is reason to believe that fraudulent evidence was provided. We will close this recommendation once SSA articulates a strategy for using license status information in the vendor file and it finalizes its rulings.
    Recommendation: To improve the ability of the agency to detect and prevent potential physician-assisted fraud, and to help ensure new initiatives that use analytics to identify potential fraud schemes are successful, SSA should develop an implementation plan that identifies both short- and long-term actions, including: (1) timeframes for implementation; (2) resources and staffing needs; (3) data requirements, e.g., the collection of unique medical provider information; (4) how technology improvement will be integrated into existing technology improvements such as the Disability Case Processing System and National Vendor File; and (5) how different initiatives will interact and support each other.

    Agency: Social Security Administration
    Status: Open
    Priority recommendation

    Comments: Since fiscal year 2015, SSA has taken several steps that will help the agency to combat fraud, waste, and abuse. SSA established the Office of Anti-Fraud Programs to provide centralized oversight and accountability for the agency's initiatives, which, in consultation with the Office of the Inspector General and other SSA components, will lead the development of SSA's anti-fraud initiatives and activities. This includes efforts to mitigate fraud through data analytics that utilize SSA's existing data systems. SSA developed a strategic plan for fiscal years 2016-2018 to guide its anti-fraud efforts that includes the use of data analytics. However, this plan does not specifically address actions to combat potential physician-assisted fraud. As of April 2017, SSA stated that it continued to develop a fraud management strategy that is consistent with the leading practices identified in GAO's report. Once the strategy is complete, SSA plans to conduct a fraud risk assessment on its major lines of business, beginning with the disability program in fiscal year 2017. We will continue to monitor SSA's progress to identify and prevent fraud schemes that include physicians.
    Director: J. Christopher Mihm
    Phone: (202) 512-6806

    4 open recommendations
    Recommendation: Recognizing that moving toward a more customer-oriented culture within federal agencies is likely to be a continuous effort, the Secretary of Agriculture should direct the Under Secretary for Natural Resources and Environment, to improve Forest Service's customer service standards and feedback review, to: (1) ensure standards include performance targets or goals, (2) ensure standards include performance measures, (3) ensure standards are easily publicly available, (4) develop a feedback mechanism to collect comments agency-wide, which should include guidance or criteria to elevate customer feedback from local and regional offices to identify the need for and to make service improvements.

    Agency: Department of Agriculture
    Status: Open

    Comments: In August 2017, Forest Service provided an update for completing the tasks necessary to respond to our recommendations. In accordance with our recommendations, for each of its customer service standards, the Forest Service has developed goals, targets and measures and we consider this part of the recommendation closed. Forest Service stated the remaining part of the recommendation will be implemented by December 2018. Specifically, the Forest Service stated by December 2018 it will begin to make standards easily publicly available on its public-facing websites. The Forest Service provided the criteria for elevating customer comments and by December 2018 stated it will begin to deploy and collect feedback forms. We will close this recommendation as implemented when standards are publicly available and customer feedback forms are deployed.
    Recommendation: Recognizing that moving toward a more customer-oriented culture within federal agencies is likely to be a continuous effort, the Secretary of Education should direct Federal Student Aid's Chief Operating Officer, to improve Federal Student Aid's customer service standards and feedback review, to: (1) ensure standards are easily publicly available, (2) develop a feedback mechanism that includes guidance or criteria for service providers to elevate customer feedback to identify the need for and to make service improvements.

    Agency: Department of Education
    Status: Open

    Comments: We emailed Department of Education in June 2017 for an update on the status of this recommendation. Once a response is received we will update this recommendation.
    Recommendation: Recognizing that moving toward a more customer-oriented culture within federal agencies is likely to be a continuous effort, the Commissioner of U.S. Customs and Border Protection should, to improve CBP's customer service standards: (1) ensure standards include performance targets or goals, (2) ensure standards include performance measures.

    Agency: Department of Homeland Security: United States Customs and Border Protection
    Status: Open

    Comments: In January 2017, CBP sent an email stating that the agency has done all it can to fully implement the recommendation at this time. Because CBP does not have performance goals or targets for customer service standards this recommendation remains open. In April 2016, CBP provided us with customer service survey questions they use to collect data. Based on our review of that information, we were unable to confirm CBP had established performance targets and goals for the data being collected. As we stated in the report, performance goals should be in a quantifiable and measurable form to define the level of performance to be achieved for program activities each year. Although CBP is collecting new customer service data based on survey responses, without predetermined performance targets that align with a customer service standard it is not clear what or if internal targets or customer needs are being met. In June 2017, we emailed CBP for an update on the status of this recommendation. Once a response is received we will update this recommendation.
    Recommendation: Recognizing that moving toward a more customer-oriented culture within federal agencies is likely to be a continuous effort, the Secretary of the Interior should direct the Assistant Secretary of Fish, Wildlife and Parks, to improve the National Park Service's customer service standards and feedback review, to: (1) ensure standards include performance targets or goals, (2) ensure standards include performance measures, (3) ensure standards are easily publicly available, (4) develop a feedback mechanism that includes guidance or criteria to review and elevate customer feedback from local and regional offices to identify the need for and to make service improvements.

    Agency: Department of the Interior
    Status: Open

    Comments: According to NPS officials, NPS plans on defining a strategy that describes the intended customer experience for highest customer interactions such as Volunteer in Parks program and Teacher engagement program. NPS will align the strategy with overall organizational strategy, share the strategy with all employees (e.g., documentation, training), and update strategy plans to include performance targets and goals for customer service. NPS also plans on soliciting feedback from customers about their experiences with the VIP and Teacher Outreach Programs, collecting unsolicited feedback from customers about their experiences with the organization (e.g., by mining calls, emails, or social media posts), and gathering input from employees about their experiences with customers and their role in delivering the customer experience. NPS plans to share customer experience metrics and models with all employees (e.g., distribute reports and dashboards, conduct training sessions), publish customer service standards on website so that customers know what to expect, and publish customer service data to ensure actual service levels are transparent. Finally NPS plans on piloting the "Federal Feedback" Button and evaluate for expanded use in fiscal year 2018. In June 2017, we emailed NPS for an update on this recommendation. Once a response is received we will update this recommendation.
    Director: John Neumann
    Phone: (202) 512-3841

    4 open recommendations
    Recommendation: To more effectively fulfill its expanded role in providing a clearinghouse of information on available federal technology transfer opportunities, the Chair of FLC, in coordination with the other members of the Executive Board, should work collaboratively with agency and lab members to take steps to better communicate with potential customers during the design and implementation of FLC's clearinghouse initiatives, including conducting customer needs assessments, conducting customer testing of current and future web-based initiatives, and collecting customer feedback on all FLC initiatives to make the initiatives more useful.

    Agency: Federal Laboratory Consortium for Technology Transfer
    Status: Open

    Comments: FLC has provided GAO with information on steps they are taking to address the recommendations in GAO-15-127. A number of these actions should be completed towards the end of 2016 after which we plan to request additional information from FLC.
    Recommendation: To more effectively fulfill its expanded role in providing a clearinghouse of information on available federal technology transfer opportunities, the Chair of FLC, in coordination with the other members of the Executive Board, once feedback is collected from potential customers, should work collaboratively with agency and lab members to use this feedback to improve FLC's initiatives to make them more useful to potential customers, including asking FLC members for additional or different information, as appropriate.

    Agency: Federal Laboratory Consortium for Technology Transfer
    Status: Open

    Comments: FLC has provided GAO with information on steps they are taking to address the recommendations in GAO-15-127. A number of these actions should be completed towards the end of 2016 after which we plan to request additional information from FLC.
    Recommendation: To more effectively fulfill its expanded role in providing a clearinghouse of information on available federal technology transfer opportunities, the Chair of FLC, in coordination with the other members of the Executive Board, should work collaboratively with agency and lab members to develop performance goals and measures for FLC's clearinghouse initiatives and use the results to evaluate progress toward meeting FLC's goals on outreach and networking.

    Agency: Federal Laboratory Consortium for Technology Transfer
    Status: Open

    Comments: FLC has provided GAO with information on steps they are taking to address the recommendations in GAO-15-127. A number of these actions should be completed towards the end of 2016 after which we plan to request additional information from FLC.
    Recommendation: To more effectively fulfill its expanded role in providing a clearinghouse of information on available federal technology transfer opportunities, the Chair of FLC, in coordination with the other members of the Executive Board, should report on FLC's progress in these efforts in its annual report to the President and Congress.

    Agency: Federal Laboratory Consortium for Technology Transfer
    Status: Open

    Comments: FLC has provided GAO with information on steps they are taking to address the recommendations in GAO-15-127. A number of these actions should be completed towards the end of 2016 after which we plan to request additional information from FLC.
    Director: J. Alfredo Gómez
    Phone: (202) 512-3841

    1 open recommendations
    Recommendation: To help ensure that FSIS efforts protect human health by reducing Salmonella and Campylobacter contamination in FSIS-regulated poultry products, in future revisions of the compliance guidelines on controlling Salmonella and Campylobacter, the Secretary of Agriculture should direct the Administrator of FSIS to ensure the inclusion of information on the effectiveness of each recommended farm practice to reduce these pathogens in live poultry.

    Agency: Department of Agriculture
    Status: Open

    Comments: In December 2015, USDA's Food Safety and Inspection Service released the draft revised compliance guideline to assist poultry establishments in controlling Salmonella and Campylobacter in raw poultry. The draft guideline included information on the effectiveness of each recommended farm practice to reduce Salmonella and Campylobacter in live poultry. FSIS announced the availability of and requested comment on the revised compliance guideline in a December 2015 Federal Register Notice. FSIS officials told us that they anticipate finalizing the draft guideline in fiscal year 2017 and the guideline states that while the document is draft, establishments are encouraged to incorporate information in the guideline in their decision-making process. As of April 2017, FSIS had not finalized the guideline.
    Director: Charles Michael Johnson, Jr.
    Phone: (202) 512-7331

    1 open recommendations
    Recommendation: For elements identified in the Countering Iran in the Western Hemisphere Act of 2012 that were not fully addressed in the strategy, the Secretary of State should provide the relevant congressional committees with information that would fully address these elements. In the absence of such information, State should explain to the congressional committees why it was not included in the strategy.

    Agency: Department of State
    Status: Open

    Comments: In a letter dated December 23, 2014, the Department of State (State) noted that the elements identified in the GAO report as not being adequately addressed by State were matters where the consensus of the intelligence community was that there was not an identifiable threat to counter. GAO's report assessed that State did not address four specific elements identified in the Countering Iran in the Western Hemisphere Act of 2012. State's December 2014 letter provided explanations for these four elements, including the availability of information on existing agency websites, briefings provided to Congress, and State's lack of finding that foreign governments showed clear threats. We continue to maintain that the strategy did not include all of the elements that the law stated should be included, and State did not demonstrate that it provided relevant congressional committees with information that would fully address these elements. In December 2015, State noted that it remains in close contact with the relevant congressional committees across a range of security, economic and political with regard to the Western Hemisphere on a regular and continuing basis. State further noted that it provided an oral briefing along with its original submission of the report to Congress and answered questions posed by Congress. State officials said that they stand ready to provide further information in the appropriate setting should it be requested. However, State did not provide GAO with information about whether it had provided information to Congress specifically for the elements identified in the Countering Iran in the Western Hemisphere Act of 2012 that were not fully addressed in the strategy, nor provide additional information about whether State explained to the congressional committees why any absence of such information was not included in the strategy. Furthermore, GAO learned from the House Foreign Affairs Committee staff that State and the Office of the Director for National Intelligence provided a briefing to the committee regarding Iranian activities in Latin America on February 25, 2016. As of August 2016, GAO did not receive any documents related to the briefings because, according to State, the talking points document was considered deliberative and therefore could not be shared. According to State officials, they continue to monitor the issue and brief Congress as appropriate. As of June 2017, State noted that its position regarding this recommendation and the deliberative nature of the talking points document remains unchanged.
    Director: Susan Fleming
    Phone: (202) 512-4431

    2 open recommendations
    including 1 priority recommendation
    Recommendation: In order to clarify the federal role related to freight-related local traffic congestion, in implementing MAP-21 and any subsequent reauthorization, in its final guidance on state freight plans, Secretary of Transportation should incorporate additional information to help states define and prioritize local community impacts of national freight movements, including traffic-congestion impacts, and to establish what data could be consistently collected and analyzed in order to prioritize impacts of freight on local traffic congestion.

    Agency: Department of Transportation
    Status: Open

    Comments: On October 14, 2016, DOT finalized guidance on state freight plans and state freight advisory committees. Among other things, the guidance incorporates information to help states define and prioritize local community impacts of national freight movements and identifies data sources to assist in collecting and analyzing data to prioritize impacts of freight on local traffic congestion. Including this information in the final guidance to states, will assist in better defining the extent of freight-related congestion, prioritizing projects to mitigate such impacts at both the state and national level and in DOT establishing a clear federal role for addressing these issues.
    Recommendation: In order to clarify the federal role related to freight-related local traffic congestion, in implementing MAP-21 and any subsequent reauthorization, the Secretary of Transportation should include in the National Freight Strategic Plan a written statement articulating the federal role in freight-related local congestion impacts, by clearly identifying potential objectives and goals (under the general area DOT has established for the Freight Transportation Conditions and Performance Report of reducing adverse environmental and community impacts) for mitigating local congestion caused by national freight movements and the type of role federal and state stakeholders could play in achieving each objective and goal, and including a written strategy for improving the availability of national data needed to quantify, assess, and establish measures on freight trends and impacts on local traffic congestion.

    Agency: Department of Transportation
    Status: Open
    Priority recommendation

    Comments: DOT concurred with this recommendation, and has developed a draft National Freight Strategic Plan, for which the public comment period ended in April 2016. In December 2016, DOT noted that it is continuing to review public comments received and beginning work on a final draft plan that will address the federal role in freight-related local congestion, as well as the other elements of GAO's recommendation. DOT stated that it plans to release a final National Freight Strategic Plan by its statutory due date of December 4, 2017. A number of our recommendations to DOT to address national freight issues are tied to the issuance of DOT's National Freight Strategic Plan.Implementing our recommendation in connection with development of the freight strategic plan expeditiously would help maximize the efficient movement of freight and ensure accountability around identified national interests and goals.
    Director: Maurer, Diana C
    Phone: (202) 512-9627

    2 open recommendations
    Recommendation: To ensure effective evaluation of federal training programs and enhance DHS's stewardship of resources for federal training programs, the Secretary of Homeland Security should direct DHS components to ensure that their documented training evaluation processes fully address attributes for effective training evaluation processes as they are drafted, updated, or revised.

    Agency: Department of Homeland Security
    Status: Open

    Comments: In September 2014, we reported on the Department of Homeland Security's (DHS) training efforts, including the extent to which DHS has a documented process to evaluate training and development programs. We found that all five DHS components in GAO's review--U.S. Customs and Border Protection, U.S. Immigration and Customs Enforcement, the U.S. Coast Guard, the Transportation Security Administration, and the Federal Law Enforcement Training Center--have a documented process to evaluate their training programs. Their documented processes fully included three of six attributes of effective training evaluation processes identifying goals, programs to evaluate, and how results are to be used. However, the documented processes did not consistently include the other three attributes: methodology, timeframes, and roles and responsibilities. We concluded that by updating documentation to address these attributes, DHS components would have more complete information to guide its efforts in conducting effective evaluations. We therefore recommended that DHS direct its components to ensure that their documented training evaluation processes fully address attributes for effective training evaluation processes as they are drafted, updated, or revised. In September 2016, DHS officials reported that a DHS-wide self-audit of training evaluation processes was completed on March 31, 2016 and found that DHS has current documentation addressing effective learning evaluation programs and that there are commonalities in evaluation procedures across the components. As a part of the self-audit, components provided policy and procedures documents related to their training evaluation processes and found that they adhere to sound instructional systems design models. However, the self-audit focused on identifying the specific training evaluation practices for a sample of courses at each component and not whether the component-level guidance included the attributes for effective training evaluation processes we identified in our report. Further, although DHS updated its department-wide guidance on training evaluation in April 2016 to incorporate the attributes for effective training evaluation processes and some components have followed suit, other components have not. For example, we found that some components, such as Customs and Border Protection and the U.S. Coast Guard, had updated their training evaluation guidance to include the attributes we identified in our report. Others, such as U.S. Immigration and Customs Enforcement were in the process of updating their guidance. However, as of April 2017, the guidance from the Transportation Security Administration remained in draft and the guidance from the Federal Law Enforcement Training Center had not been updated since our review. Therefore, this recommendation remains open pending action on the above noted items.
    Recommendation: To ensure effective evaluation of federal training programs and enhance DHS's stewardship of resources for federal training programs, the Secretary of Homeland Security should identify existing challenges that prevent DHS from accurately capturing training costs department-wide and, to the extent that the benefits of addressing those challenges exceed the costs, implement corrective measures to overcome these challenges..

    Agency: Department of Homeland Security
    Status: Open

    Comments: In September 2014, we reported on the Department of Homeland Security's (DHS) training efforts, including the extent to which DHS has a documented process to reliably capture costs. We found that DHS identified efficiencies and cost savings for delivering a number of training programs. However, different methods are used for capturing training costs across the department, which poses challenges for reliably capturing these costs across DHS. Components capture training costs differently, contributing to inconsistencies in training costs captured across DHS. Variation in methods used to collect data can affect the reliability and quality of DHS-wide training program costs. However, DHS has not identified all challenges that contribute to these inconsistencies. We concluded that DHS could improve its awareness about the costs of training programs DHS-wide and thereby enhance its resource stewardship by identifying existing challenges that prevent DHS from accurately capturing training costs and implementing corrective measures. We therefore recommended that DHS identify existing challenges that prevent DHS from accurately capturing training costs department-wide and, to the extent that the benefits of addressing those challenges exceed the costs, implement corrective measures to overcome these challenges. As of September 2016, DHS reported that its Office of the Chief Human Capital Officer and Office of the Chief Financial Officer worked together to research the issue and determine the best course of action to standardize training cost reporting. However, this did not require a formal root cause analysis. In order to identify a way for the components to capture training costs in a standardized manner, DHS formed a Tiger Team that included officials from each component which identified 12 common functional areas for training to capture training costs. Components were directed to prepare implementation plans outlining how they will begin capturing cost data within the identified functional training areas and, according to DHS, began capturing the data on September 29, 2016. In January 2017, the DHS Chief Financial Officer provided guidance to the components as to how they are to report their training costs to DHS on a quarterly basis. Components provided their first quarterly submission to DHS in January 2017. These steps are in line with the intent of our recommendation. This recommendation will remain open as we monitor its continued implementation over the next two quarters.
    Director: Jennifer A. Grover
    Phone: (202) 512-7141

    1 open recommendations
    Recommendation: To assess the progress of the Secure Flight program toward achieving its goals, the Transportation Security Administration's Administrator should develop additional measures to address key performance aspects related to each program goal, and ensure these measures clearly identify the activities necessary to achieve progress toward the goal.

    Agency: Department of Homeland Security: Transportation Security Administration
    Status: Open

    Comments: When we confirm what actions that DHS TSA has taken in response to this recommendation, we will provide updated information. Status last confirmed on 10/26/15.
    Director: Jacqueline M. Nowicki
    Phone: (617) 788-0580

    2 open recommendations
    Recommendation: Based on GAO's review, the Secretary of Education should direct the Office of Special Education Programs to increase transparency regarding the timeliness of due process hearing decisions for Congress and better target its monitoring and technical assistance to states, revise its performance measure to collect information from states on the amount of time that extensions add to due process hearing decisions.

    Agency: Department of Education
    Status: Open

    Comments: : In April 2017, Education reported that it had developed and implemented a plan to monitor states with 10 or more fully adjudicated hearings in a given year where at least 75 percent of the decisions are issued with extended timelines. Specifically, the agency reported it was actively monitoring 6 states meeting these criteria. It would also provide technical assistance to states, as appropriate, to facilitate more timely resolution of due process disputes. Education also reported that it would gather information on the burden and cost of revising its performance measure, however, as of June 2017, it had not provided documentation that it had done so. While these are positive steps, we will consider closing this recommendation when Education's revises its performance measure on the timeliness of due process hearing decisions.
    Recommendation: Based on GAO's review, the Secretary of Education should direct the Office of Special Education Programs to assist its oversight of dispute resolution, take steps to improve the comparability of parental involvement data while minimizing the burden to states, and use the data for better management decision making. Steps to consider could include establishing and requiring that states follow standard data collection and analysis procedures.

    Agency: Department of Education
    Status: Open

    Comments: In FY15, Education reported that the IDEA Data Center, in relation to the parent involvement portion of the audit, has continued review of APR [need to spell out] indicator B8 to collect information related to data collection methods, results, and improvement activities for the indicator summary for OSEP. It also began reviewing existing sources for information on how parent data are collected and best practices/ exemplars that are publicly available. In April 2017, Education reported it would direct Parent Technical Assistance Centers and other Education-funded centers to work together to develop and disseminate materials to assist states in analyzing and using parental involvement data to improve the provision of special education services. We believe this effort could help individual states improve methods for analyzing and using parental involvement data. However, we await documentation that such materials were developed and distributed. Also, it is unclear how it would improve the comparability of parental involvement data across states and allow Education to accurately assess states' performance on this IDEA indicator.
    Director: Charles Jeszeck
    Phone: (202) 512-7215

    6 open recommendations
    including 1 priority recommendation
    Recommendation: To better protect plan sponsors and participants who use managed account services, the Secretary of Labor should direct the Assistant Secretary for the Employee Benefits Security Administration (EBSA) to review provider practices related to additional managed account services offered to participants in or near retirement, with the aim of determining whether conflicts of interest exist and, if it determines it is necessary, taking the appropriate action to remedy the issue.

    Agency: Department of Labor
    Status: Open

    Comments: In 2014, DOL agreed to include these practices in its current review of investment advice conflicts of interest, noting that such conflicts continue to be a concern. In April 2015, a proposed regulation was published in the Federal Register on the definition of a "fiduciary" of an employee benefit plan under the Employee Retirement Income Security Act of 1974 (ERISA) as a result of giving investment advice to a plan or its participants or beneficiaries. The proposal would widen the array of advice relationships under which someone would be considered a fiduciary under ERISA more broadly than existing regulations. This would increase consumer protection for plan sponsors, fiduciaries, participants, beneficiaries and IRA owners. An initial comment period closed on July 21, 2015. DOL held a public hearing on August 10-13, 2015, and reopened the comment period until September 24. GAO will monitor the progress of this proposed rule.
    Recommendation: To better protect plan sponsors and participants who use managed account services, the Secretary of Labor should direct the Assistant Secretary for the EBSA to consider the fiduciary status of managed account providers when they offer services on an opt-in basis and, if necessary, make regulatory changes or provide guidance to address any issues.

    Agency: Department of Labor
    Status: Open
    Priority recommendation

    Comments: DOL concurred with this recommendation and agreed to review existing guidance and consider whether additional guidance is needed in light of the various business models we described. As of May 2017, DOL is continuing these efforts. To implement this recommendation, DOL should complete its efforts to consider managed account service provider practices and fiduciary roles and take any necessary action to address potential issues to ensure that sponsors and participants receive unconflicted managed account services from qualified managers.
    Recommendation: To help sponsors who offer managed account services or who are considering doing so better protect their 401(k) plan participants, the Secretary of Labor should direct the Assistant Secretary for EBSA to require plan sponsors to request from record keepers more than one managed account provider option, and notify the Department of Labor if record keepers fail to do so.

    Agency: Department of Labor
    Status: Open

    Comments: DOL agreed to consider this recommendation in connection with its current regulatory project on standards for brokerage windows in participant-directed individual account plans. The project has been moved to the long-term action category of DOL's regulatory agenda. DOL will also consider the extent of its legal authority to effectively require that plans have more than one managed account service provider or to require that record keepers offer more than one managed account provider as part of their service agreements. GAO believes requiring plan sponsors to ask for more than one choice of a provider -- which is slightly different than how DOL has characterized it--may be an effective method of broadening plan sponsors' choices of managed account providers. However, GAO also agrees that DOL should examine the scope of its existing authority in considering how it might implement this recommendation.
    Recommendation: To help sponsors and participants more effectively assess the performance of managed accounts, the Secretary of Labor should direct the Assistant Secretary for EBSA to amend participant disclosure regulations to require that sponsors furnish standardized performance and benchmarking information to participants. To accomplish this, EBSA could promulgate regulations that would require sponsors who offer managed account services to provide their participants with standardized performance and benchmarking information on managed accounts. For example, sponsors could periodically furnish each managed account participant with the aggregate performance of participants' managed account portfolios and returns for broad-based securities market indexes and applicable customized benchmarks, based on those benchmarks provided for the plan's designated investment alternatives.

    Agency: Department of Labor
    Status: Open

    Comments: DOL agreed to consider this recommendation in connection with (1) its regulatory project on standards for brokerage windows in participant directed individual account plans and (2) open proposed rulemaking project involving the qualified default investment alternative and participant-level fee disclosure regulations. These projects have been moved to the long-term action category of DOL's regulatory agenda.
    Recommendation: To help sponsors and participants more effectively assess the performance of managed accounts, the Secretary of Labor should direct the Assistant Secretary for EBSA to amend service provider disclosure regulations to require that providers furnish standardized performance and benchmarking information to sponsors. To accomplish this, EBSA could promulgate regulations that would require service providers to disclose to sponsors standardized performance and benchmarking information on managed accounts. For example, providers could, prior to selection and periodically thereafter, as applicable, furnish sponsors with aggregated returns for generalized conservative, moderate, and aggressive portfolios, actual managed account portfolio returns for each of the sponsor's participants, and returns for broad-based securities market indexes and applicable customized benchmarks, based on those benchmarks provided for the plan's designated investment alternatives.

    Agency: Department of Labor
    Status: Open

    Comments: DOL agreed to consider this recommendation in connection with (1) its regulatory project on standards for brokerage windows in participant directed individual account plans and (2) open proposed rulemaking project involving the qualified default investment alternative and participant-level fee disclosure regulations. These projects have been moved to the long-term action category of DOL's regulatory agenda.
    Recommendation: To help sponsors who offer managed account services or who are considering doing so better protect their 401(k) plan participants, the Secretary of Labor should direct the Assistant Secretary for EBSA to provide guidance to plan sponsors for selecting and overseeing managed account providers that addresses: (1) the importance of considering multiple providers when choosing a managed account provider, (2) factors to consider when offering managed accounts as a Qualified Default Investment Alternative or on an opt-in basis, and (3) approaches for evaluating the services of managed account providers.

    Agency: Department of Labor
    Status: Open

    Comments: DOL agreed to consider this recommendation in connection with its current regulatory project on standards for brokerage windows in participant-directed individual account plans. DOL intends for this project to address whether potential regulatory or other guidance for such arrangements may be appropriate. The project has been moved to the long-term action category of DOL's regulatory agenda.
    Director: John Pendleton
    Phone: (404) 679-1816

    2 open recommendations
    Recommendation: To improve the quality of the Navy's future decommissioning decisions, the Secretary of Defense should direct the Secretary of the Navy to direct the Chief of Naval Operations to document the Navy's early decommissioning in decision memorandums in accordance with the General Policy for the Inactivation, Retirement, and Disposition of U.S. Naval Vessels prior to approving any future recommendations for early decommissioning of Navy ships.

    Agency: Department of Defense
    Status: Open

    Comments: When we confirm what actions the agency has taken in response to this recommendation, we will provide updated information.
    Recommendation: To enhance the likelihood that those decisions will be implemented, the Secretary of Defense should direct the Secretary of the Navy to direct the Chief of Naval Operations to update the Navy's General Policy for the Inactivation, Retirement, and Disposition of U.S. Naval Vessels to incorporate key elements of federal standards for internal control, such as communicating with and obtaining information from external stakeholders, comparing actual performance to planned or expected results, evaluating performance measures and indicators, such as risk, and comparing and assessing different sets of data to establish relationships and take appropriate action. In updating the policy, the Chief of Naval Operations should also consider requiring that its early decommissioning decision memorandums specifically address capacity as well as capability gaps.

    Agency: Department of Defense
    Status: Open

    Comments: When we confirm what actions the agency has taken in response to this recommendation, we will provide updated information.
    Director: Mctigue Jr, James R
    Phone: (202) 512-7968

    8 open recommendations
    including 1 priority recommendation
    Recommendation: If IRS delays are continuing, the Commissioner of the Internal Revenue Service should further revise the notices to provide more realistic response times based on the data and take other appropriate actions to ensure efficient use of IRS tax examiner resources. For example, IRS could choose to provide taxpayers who call IRS with a recorded message notifying them of delays in IRS responding and when to expected an IRS response.

    Agency: Department of the Treasury: Internal Revenue Service
    Status: Open

    Comments: IRS revised the automated telephone message that taxpayers hear when they call but has not revised its notices. The new message provides taxpayers information on the correspondence audit workload and time frames and asks that they allow a certain number of days before calling to check on the status of their audit. However, IRS has yet to further revise notices to provide more realistic time frames. In July 2016, IRS officials said they were in the process of revising the notices in order to allow individual correspondence audit offices to enter a customized response date based on their respective inventory levels at the time notices are sent. As of March 2017, IRS officials said additional programming changes will delay implementation until July 2017.
    Recommendation: To clarify the desired results of the correspondence audit program and its linkages to IRS-wide activities, the Commissioner of the Internal Revenue Service should establish formal program objectives.

    Agency: Department of the Treasury: Internal Revenue Service
    Status: Open
    Priority recommendation

    Comments: IRS correspondence audit program officials planned a working group to develop formal program objectives. In November 2016, IRS officials provided documents intended to define the program objectives, but the objectives were unclear. As of March 2017, officials said they had no planned date by which to clearly document the objectives, but said they expect to describe them in program guidance changes anticipated in the next 12 to 18 months.
    Recommendation: To clarify the desired results of the correspondence audit program and its linkages to IRS-wide activities, the Commissioner of the Internal Revenue Service should ensure that the program measures reflect those objectives.

    Agency: Department of the Treasury: Internal Revenue Service
    Status: Open

    Comments: IRS officials said that, among other actions, they plan to review and update program documentation and guidance as warranted to ensure a clear link between correspondence audit program objectives and related measures. IRS officials provided documentation in August 2016, but program measures could not be clearly linked to objectives because the objectives were not clear. As of March 2017, officials had no planned date by which to clearly document the program objectives and their links with program measures.
    Recommendation: To clarify the desired results of the correspondence audit program and its linkages to IRS-wide activities, the Commissioner of the Internal Revenue Service should clearly link those measures with strategic IRS-wide goals on ensuring compliance in a cost-effective way while minimizing taxpayer burden.

    Agency: Department of the Treasury: Internal Revenue Service
    Status: Open

    Comments: IRS officials said that, among other actions, they plan to review and update program documentation and guidance as warranted to ensure that program measures clearly link to IRS strategic goals. IRS officials provided documentation in August 2016, but measures for the program could not be clearly linked to either the program objectives or IRS goals because the objectives were not clear. As of March 2017, officials had no planned date by which to clearly document how the program measures link to the objectives and IRS strategic goals.
    Recommendation: To better inform decisions being made about the correspondence audit program, the Commissioner of the Internal Revenue Service should document how the decisions are to be made using the performance information (including criteria and tolerances used).

    Agency: Department of the Treasury: Internal Revenue Service
    Status: Open

    Comments: IRS officials agreed with the recommendation and said they would thoroughly document the program plan development process but did not refer to documenting how program decisions are to be made using performance information. In April 2016, officials provided documents describing current correspondence audit planning processes, but the documents lacked specifics on the decisions and performance information, criteria, and tolerances used. IRS officials said they would provide documentation on these specific details in Spring 2017.
    Recommendation: To better inform decisions being made about the correspondence audit program, the Commissioner of the Internal Revenue Service should track and use other program data that have not been used to provide more complete performance information. Examples of data that could be tracked and used include how much of the recommended tax amounts is collected over time; taxpayer burden and experience such as how often audits are resolved in one contact, how often taxpayers correspond or call, and how long taxpayers wait for IRS to respond to their documents and for the audit to close; and costs beyond the direct audit time, such as the costs to answer taxpayer calls per audit, assess the recommended tax, and collect those tax assessments.

    Agency: Department of the Treasury: Internal Revenue Service
    Status: Open

    Comments: IRS officials said they would evaluate the methodology used in several existing studies to determine the most productive use of collectability data and evaluate the feasibility of collecting and using additional data. In April 2016, officials provided information on researching and testing of a new audit planning method during fiscal year 2016, using costs and collection results data. In November 2016, IRS officials said they had implemented the planning method to consider collection results for fiscal year 2017 but had not yet provided supporting documentation on how the method has used the collection results or on the status of efforts to use other program data, such as whether or when IRS will use performance information on costs and taxpayer burden related to audits. IRS officials said they will provide the documentation in Spring 2017.
    Recommendation: To better ensure an effective investment of resources in the CEAP efforts, the Commissioner of the Internal Revenue Service should clearly document the intended benefits of ongoing efforts to address identified problems, and the process for measuring and tracking actual benefits.

    Agency: Department of the Treasury: Internal Revenue Service
    Status: Open

    Comments: IRS Correspondence audit program officials said they would document the expected benefits of ongoing changes by June 2016. We have since asked IRS officials to provide related documents. As of April 2017, we are awaiting documents.
    Recommendation: To better ensure an effective investment of resources in the CEAP efforts, the Commissioner of the Internal Revenue Service should develop a plan and timeline for implementing the CEAP contractor's recommendations on possible ways to improve the (a) selection of correspondence audit workload and (b) allocation of resources between providing telephone assistance and reviewing taxpayer correspondence to resolve audits or develop justifications for not implementing the recommendations.

    Agency: Department of the Treasury: Internal Revenue Service
    Status: Open

    Comments: IRS officials agreed with the recommendation and said they would continue to pursue efforts with research functions to further improve workload selection and maximize resource usage. However, they did not refer to any plan or timeline for implementing contractor recommendations to improve the selection of correspondence audit workload and allocation of examiner resources, or develop justifications for not implementing those recommendations. In March 2017, officials confirmed that IRS does not intend to implement the contractor's recommendations or to evaluate them, for example, by developing justifications for not implementing them.
    Director: Michele Mackin
    Phone: (202) 512-4841

    2 open recommendations
    Recommendation: To help ensure that it receives accurate information on the full effect of funding decisions on acquisition programs, Congress should consider amending the law that governs the 5-year Capital Investment Plan to require the Coast Guard to submit cost and schedule information that reflects the impact of the annual President's budget request on each acquisition across the portfolio--in addition to the current practice of reporting the cost and schedule estimates in current program baselines.

    Agency: Congress
    Status: Open

    Comments: Thus far no congressional action has been taken on this Matter. We will continue to follow up with relevant congressional committees.
    Recommendation: To help the Coast Guard improve the long-term outlook of its portfolio, the Commandant of the Coast Guard should develop a 20-year fleet modernization plan that identifies all acquisitions needed to maintain the current level of service and the fiscal resources necessary to build the identified assets. The plan should also consider trade-offs if the fiscal resources needed to execute the plan are not consistent with annual budgets.

    Agency: Department of Homeland Security: United States Coast Guard
    Status: Open

    Comments: Based on this recommendation, Congress has requested that the Coast Guard develop a 20-year plan that identifies all acquisitions needed to maintain the Coast Guard's current level of service and the financial commitment necessary to achieve this plan. As a part of a series of testimonies in June and July 2017, we found that Coast Guard officials stated they are developing a 20-year Capital Investment Plan (CIP), but the timeframe for completion is unknown. The Coast Guard does, however, submit a 5-year CIP annually to Congress that projects acquisition funding needs for the upcoming 5 years. GAO found the CIPs do not match budget realities in that tradeoffs are not included. In the 20-year CIP, GAO would expect to see all acquisitions needed to maintain current service levels and the fiscal resources to build the identified assets as well as tradeoffs in light of funding constraints.
    Director: Jacqueline M. Nowicki
    Phone: (617) 788-0580

    3 open recommendations
    Recommendation: In order to improve grantees' planning and implementation efforts, increase the effectiveness of grantee efforts to integrate and manage resources, and learn more about the program's impact, the Secretary of Education should clarify program guidance about planning and implementation grants to provide reasonable assurance that planning grantees are better prepared to continue their efforts in the absence of implementation funding. Additional guidance could include encouraging grantees to set aside a small amount of the grant to identify and deliver early, tangible benefits to their neighborhoods.

    Agency: Department of Education
    Status: Open

    Comments: Education stated that it would communicate to planning grant applicants that implementation funding is contingent on the availability of funds and that it would clarify to grantees that planning grant funds could be used to achieve early, tangible benefits. However, Education has not awarded any new planning grants since 2012. In FY17, ED reported that if new funding becomes available for the Promise Neighborhoods' planning and implementation awards, the Department will emphasize to all interested applicants that grant awards are contingent on the availability of funds and the results of the competitive award process. Education also stated that it would provide more targeted technical assistance to planning grant recipients regarding strategies for continuing grantees' efforts absent implementation funding. In 2015, its technical assistance provider published information on planning for growth and sustainability of Promise Neighborhoods.
    Recommendation: In order to improve grantees' planning and implementation efforts, increase the effectiveness of grantee efforts to integrate and manage resources, and learn more about the program's impact, the Secretary of Education should develop and disseminate to grantees on an ongoing basis an inventory of federal programs and resources that can contribute to the Promise Neighborhoods program's goal to better support coordination across agency lines.

    Agency: Department of Education
    Status: Open

    Comments: Education stated that it would work with its technical assistance providers to create a mechanism to distribute a comprehensive list of external funding opportunities, programs and resources on a regular basis to better support the grantees' implementation efforts. In FY15, ED reported that the program office held a grantee meeting in July 2015 featuring at least three workshops on sustainability and leveraging additional funding sources. The program office also had a website (promiseneighborhoods.ed.gov) with a number of resources under the "toolbox" tab that can assist interested programs in financing their ongoing needs. While the workshops and web resources were good first steps that can assist grantees, GAO maintains that Education, rather than individual grantees, is best positioned to develop and share such an inventory of federal programs that relate to the goals of the Promise Neighborhoods program. Without such an inventory, Education may be missing opportunities to better support grantees; find other federal program for future coordination efforts; and identify potential fragmentation, overlap and duplication at the federal level. In FY17, Education did not provide any updates on this recommendation, nor has it provided such an inventory.
    Recommendation: In order to improve grantees' planning and implementation efforts, increase the effectiveness of grantee efforts to integrate and manage resources, and learn more about the program's impact, the Secretary of Education should develop a plan to use the data collected from grantees to conduct a national evaluation of the program.

    Agency: Department of Education
    Status: Open

    Comments: Education stated that it would consider options for how and whether it can use the data collected from grantees to conduct a national evaluation. As a first step, Education said it would conduct a systematic evaluation of the reliability and validity of the data. In its 2016 Notice of Funding Availability for Implementation Grants, Education acknowledged that grantees have struggled to collect the full range of data necessary to conduct meaningful evaluation activities and emphasized the importance of helping grantees develop robust data systems. In addition, in its agency comments, Education had stated that it had not received sufficient funding to support a national evaluation. In FY2017, ED provided documentation of its request for funding for conducting an evaluation and the response to the request. However, the entity within ED that is responsible for impact evaluations maintains that it has no plans to conduct an impact evaluation, given that grantees were not randomly selected. GAO agrees that the program was not designed for impact evaluation, however, as we reported, there are other options for evaluating such programs that can provide meaningful information about how well grantees are addressing the problem of poor student outcomes in impoverished neighborhoods. Not evaluating the program limits Education and other agencies from learning about the extent to which model is effective and should be replicated. Developing an evaluation plan would provide critical information about the resources required to conduct an evaluation, and could better inform future funding requests for such an evaluation.
    Director: Carol R. Cha
    Phone: (202) 512-4456

    1 open recommendations
    Recommendation: To better ensure that the Defense Agencies Initiative (DAI) implements effective risk management and information technology (IT) acquisition best practices, the Secretary of Defense should direct the Director of the Defense Logistics Agency to direct the DAI program office to establish a comprehensive risk log that includes all up-to-date risks with evaluations and categorizations that comply with DLA's defined parameters; and associated mitigation plans.

    Agency: Department of Defense
    Status: Open

    Comments: The Defense Logistics Agency established a risk log for DAI that includes risk evaluations and categorizations, and associated mitigation plans. We will continue monitoring the program's implementation of this recommendation to ensure that the agency is periodically reviewing the status of each risk and updating DAI's risk log and mitigation plans, as intended by the recommendation.
    Director: James Cosgrove
    Phone: (202) 512-7114

    1 open recommendations
    Recommendation: As CMS implements and refines its physician feedback and Value Modifier (VM) programs, to help ensure physicians can best use the feedback to improve their performance, the Administrator of CMS should consider developing performance benchmarks that compare physicians' performance against additional benchmarks such as state or regional averages.

    Agency: Department of Health and Human Services: Centers for Medicare and Medicaid Services
    Status: Open

    Comments: CMS stated that it would consider the GAO recommendation regarding the use of additional benchmarks to compare physician performance. In addition, Congress passed legislation in 2015 requiring CMS to incorporate certain benchmark methodologies, including the use of both improvement and achievement. The agency is also replacing the Value Modifier program with a new merit-based incentive payment system. CMS may, in time, address GAO recommendations to develop additional performance benchmarks, but they have yet to be fully implemented. As of August 2017, CMS officials have not implemented this recommendation. GAO considers it to be open. We will update the status of this recommendation when we receive additional information.
    Director: Yocom, Carolyn L
    Phone: (202) 512-4931

    3 open recommendations
    including 2 priority recommendations
    Recommendation: To more effectively use CQMs to assess provider performance, the Secretary of Health and Human Services should direct CMS and ONC to develop a comprehensive strategy for ensuring that CQM data collected and reported using certified EHR technology are reliable, including testing for and mitigation of reliability issues arising from variance in certified EHR systems tested to different CQM specifications.

    Agency: Department of Health and Human Services
    Status: Open
    Priority recommendation

    Comments: In July 2015, CMS added that the agency is addressing the issue of reliability through the measure development process. Specifically, CMS stated that the agency has made tools available to measure developers which help to clarify the intent of the measure, catch errors in the development process, and minimize measure complexity. As of October 2016, CMS indicated that its National Testing Collaborative oversees implementation testing of quality measures, including testing for reliability issues. However, the agency did not indicate how these efforts constitute a comprehensive strategy, in conjunction with ONC, for achieving CQM reliability, as we recommended. In April 2017, CMS indicated that its pilot test of the National Testing Collaborative proved unsuccessful, and that CMS is continuing to look at how to best incorporate implementation testing into measure development and implementation. The agency did not indicate it has a comprehensive strategy for these efforts. We will update the status of this recommendation when we receive additional information.
    Recommendation: To ensure that CMS and ONC can effectively monitor the effect of the EHR programs and progress made toward goals, the Secretary of Health and Human Services should direct the agencies to develop performance measures to assess outcomes of the EHR programs--including any effects on health care quality, efficiency, and patient safety and other health care reform efforts that are intended to work toward similar outcomes.

    Agency: Department of Health and Human Services
    Status: Open
    Priority recommendation

    Comments: In July 2015, CMS noted that the agency is working to align the programs to better enable monitoring using outcome-oriented performance measures and noted that the agency is collecting data that will help them to develop such measures. CMS did not indicate when HHS plans to develop such measures as GAO recommended. In June 2016, CMS also noted that it analyzed the results of the EHR programs as of October 2015, but did not indicate that it used performance measures that assess outcomes. In September 2017, HHS officials provided us a variety of publically available reports, which they indicated show how program participants are progressing in the EHR programs and the related impacts. However, in reviewing those materials, we did not see evidence that HHS has developed outcome-oriented performance measures that align to the intended outcomes of the EHR programs?that is, goals related to improving health care quality, efficiency, and patient safety. We will update the status of this recommendation when we receive additional information.
    Recommendation: To ensure that CMS and ONC can effectively monitor the effect of the EHR programs and progress made toward goals, the Secretary of Health and Human Services should direct the agencies to use the information these performance measures provide to make program adjustments, as appropriate, to better achieve program goals.

    Agency: Department of Health and Human Services
    Status: Open

    Comments: In written responses provided by HHS in February 2014, on a draft of the report, the agency indicated that it agrees that outcome-oriented performance measures will be useful to evaluating the extent that the EHR programs--enacted through legislation--achieve the expected results. However, HHS did not identify any specific actions that it might undertake to address our recommendation. In July 2015, CMS indicated that the agency is still working to develop additional performance measures, which is a necessary first step towards implementing our recommendation to HHS that CMS and ONC use the outcome-oriented performance measures to make program adjustments, as appropriate. In September 2017, HHS officials provided us documents, which they indicated show how information gathered through monitoring activities was used to inform the EHR programs. However, in reviewing those materials, we did not see evidence that HHS used information collected through outcome-oriented performance measures noted above. We will update the status of this recommendation when we receive additional information.
    Director: Andrew Sherrill
    Phone: (202) 512-7215

    2 open recommendations
    Recommendation: To better ensure servicemember participation in and completion of TAP, the Secretary of Defense should direct the Under Secretary for Personnel and Readiness to require that all services provide unit commanders and their leaders information on TAP participation levels of servicemembers under their command, similar to that provided by the Army and Air Force. Such information could be used to help hold leaders accountable for ensuring TAP participation and completion.

    Agency: Department of Defense
    Status: Open

    Comments: DOD disagreed with this recommendation and, as of January 2016, has not taken action to address it. In its written comments published in GAO's 2014 report, DOD questioned GAO's concern that not having a mechanism to ensure a servicemember's completion of TAP by commander would result in commanders not supporting the release of servicemembers to attend TAP. DOD noted that GAO's concern is based on observations that preceded full implementation of the capstone event. In October 2013, DOD launched the capstone as a mandatory process by which commanders verify TAP participation and positively affirm that servicemembers have or have not met career readiness standards. In addition, DOD said that capstone event implementation was accompanied by a communications campaign to inform both commanders and the services. Finally, DOD said that capstone event completion is monitored departmentwide to ensure compliance. However, GAO believes that such monitoring does not provide routine information to commanders and their leaders and not all TAP locations will be monitored routinely. GAO's report noted that DOD reported that ensuring servicemember participation in capstone events was a challenge for most of the services possibly due, in part, to lack of commanders' support. Commander support for the program has been a long-standing challenge for the program. Therefore, we continue to believe that an accountability mechanism is needed for TAP that mirrors the level at which responsibility has been assigned. Since commanders are responsible for ensuring that eligible servicemembers have full access to and successfully complete required TAP components, providing them and their leaders information on TAP participation levels of servicemembers under their command could promote accountability and oversight. Servicemember participation in TAP is generally required by law and DOD policy, and also relates to a Cross-Agency Priority Goal, reinforcing the need for such a mechanism. For GAO to close this recommendation, DOD should require all services to provide unit commanders and their leaders information on TAP participation levels of servicemembers under their command.
    Recommendation: To provide information on the extent to which the revamped TAP is effective, the Secretary of Defense should direct the Under Secretary for Personnel and Readiness to work with the partner agencies to develop a written strategy for determining which components and tracks to evaluate and the most appropriate evaluation methods. This strategy should include a plan to use the results of evaluations to modify or redesign the program, as appropriate.

    Agency: Department of Defense
    Status: Open

    Comments: DOD has partially addressed GAO's recommendation on evaluating the effectiveness of the revamped TAP, information that is currently limited. DOD's May 2014 presentation to OMB on the status of TAP implementation and evaluation efforts lists specific TAP components and tracks in which VA, DOL, and SBA planned to assess TAP effectiveness or post-transition outcomes. Although the presentation to OMB indicated that VA planned a higher level evaluation, as of December 2015, VA officials said they are focusing on lower level evaluations, such as gauging participant reactions to training and monitoring. As of March 2016, DOL has been conducting a quasi-experimental evaluation of the Employment Workshop, which it expects to complete in 2017. Further, SBA officials said they are surveying Entrepreneurial track participants who agreed to a post-TAP, follow-up survey. However, DOD and the agencies have not fully demonstrated a strategic approach to planning higher level evaluations. Specifically, DOD and its partner agencies have not provided a rationale for why they chose to evaluate certain aspects of TAP and not others. A written rationale, along with how the agencies plan to use the results of the evaluations, is required for GAO to consider this recommendation closed.
    Director: David C. Trimble
    Phone: (202) 512-3841

    3 open recommendations
    Recommendation: To identify lessons learned from and provide assurance of preventing recurrence of cost increases for the MOX facility and WSB, and to develop reliable cost estimates for the Plutonium Disposition program, the Secretary of Energy should direct the DOE and NNSA Offices of Acquisition and Project Management and the NNSA office responsible for managing the Plutonium Disposition program, as appropriate, to revise and update the program's life-cycle cost estimate following the 12 key steps described in the GAO Cost Estimating and Assessment Guide for developing high-quality cost estimates, such as conducting an independent cost estimate to provide an objective and unbiased assessment of whether the estimate can be achieved.

    Agency: Department of Energy
    Status: Open

    Comments: DOE is currently evaluating dilute and dispose as a potential alternative approach to the MOX approach. As a result, DOE does not plan to update the Plutonium Disposition Program life-cycle estimate until a decision is made on which approach to pursue. We will continue to monitor this situation and update the status of this recommendation once DOE has made a decision on the approach taken by this program.
    Recommendation: To identify lessons learned from and provide assurance of preventing recurrence of cost increases for the MOX facility and WSB, and to develop reliable cost estimates for the Plutonium Disposition program, the Secretary of Energy should direct the DOE and NNSA Offices of Acquisition and Project Management and the NNSA office responsible for managing the Plutonium Disposition program, as appropriate, to ensure that the MOX contractor revises its proposal for increasing the cost of the MOX facility to meet all best practices for a high-quality, reliable cost estimate--for example, by cross-checking major cost elements to determine whether alternative estimating methods produce similar results.

    Agency: Department of Energy
    Status: Open

    Comments: DOE is currently evaluating dilute and dispose as a potential alternative approach to the MOX approach. As a result, DOE does not plan to update the proposal for increasing the cost of the MOX facility until a decision is made on which approach to pursue. We will continue to monitor this situation and update the status of this recommendation once DOE has made a decision on the approach taken by this program.
    Recommendation: To ensure that future DOE projects benefit from lessons learned that reflect the underlying causes of cost increases or schedule delays experienced by other projects, and that Congress and DOE have life-cycle cost estimates for DOE programs that include individual construction projects, the Secretary of Energy should revise DOE's project management order or otherwise implement a departmentwide requirement by requiring life-cycle cost estimates covering the full cost of programs that include both construction projects and other efforts and activities not related to construction.

    Agency: Department of Energy
    Status: Open

    Comments: DOE revised its project management order in May 2016 but did not make any changes in regards to this recommendation. We will continue to monitor DOE activities, if any, related to this recommendation.
    Director: Shear, William B
    Phone: (202) 512-8678

    4 open recommendations
    Recommendation: To help ensure that agencies are tracking the effect of strategic sourcing on small businesses, OMB's Administrator for Federal Procurement Policys should monitor agencies' compliance with the requirement to maintain baseline data and performance measures on small business participation in strategic sourcing initiatives.

    Agency: Executive Office of the President: Office of Management and Budget: Office of Federal Procurement Policy
    Status: Open

    Comments: OMB officials have stated that they are in the process of addressing this recommendation. When we confirm what actions the agency has taken in response to this recommendation, we will provide updated information.
    Recommendation: Consistent with OMB guidance and to track the effect of strategic sourcing on small businesses, the Secretaries of DOD, DHS, HUD, and the Interior, and the Administrator of NASA should collect baseline data and establish performance measures on the inclusion of small businesses in strategic sourcing initiatives.

    Agency: Department of Defense
    Status: Open

    Comments: DOD officials have stated that they are in the process of addressing this recommendation. When we confirm what actions the agency has taken in response to this recommendation, we will provide updated information.
    Recommendation: Consistent with OMB guidance and to track the effect of strategic sourcing on small businesses, the Secretaries of DOD, DHS, HUD, and the Interior, and the Administrator of NASA should collect baseline data and establish performance measures on the inclusion of small businesses in strategic sourcing initiatives.

    Agency: Department of the Interior
    Status: Open

    Comments: Interior officials have stated that they are in the process of addressing this recommendation. When we confirm what actions the agency has taken in response to this recommendation, we will provide updated information.
    Recommendation: Consistent with OMB guidance and to track the effect of strategic sourcing on small businesses, the Secretaries of DOD, DHS, HUD, and the Interior, and the Administrator of NASA should collect baseline data and establish performance measures on the inclusion of small businesses in strategic sourcing initiatives.

    Agency: National Aeronautics and Space Administration
    Status: Open

    Comments: NASA officials provided an update in March 2017. They stated that they consider the inclusion of small businesses and small disadvantaged businesses throughout the strategic sourcing process and that they track performance on their small business goals at the agency and buying office level. However, they stated they had no plans to track baseline data and performance measures on small business inclusion for individual strategic sourcing efforts or strategic sourcing efforts grouped by categories because they did not see the benefit of doing so. As we stated in our report, OMB memorandums require baseline data and a measure of the change in small business spending for each individual initiative. Therefore, we continue to believe this recommendation has merit and should be fully implemented.
    Director: Wise, David J
    Phone: (202) 512-2834

    1 open recommendations
    Recommendation: To provide increased transparency about the funding amounts agencies are spending to maintain their assets and manage their backlogs, the Director of OMB should require the OMB Deputy Director for Management, as chair of the FRPC, in collaboration and consultation with FRPC member agencies, to collect information--through FRPP or other mechanisms--on funding agencies annually spent to address existing deferred maintenance and repair deficiencies and report summary level information in the FRPC's fiscal year report.

    Agency: Executive Office of the President: Office of Management and Budget
    Status: Open

    Comments: As of December 2015, OMB had worked with the FRPC to develop a method to collect annual recurring maintenance and repair data in the FRPP. This effort includes (1) developing separate definitions for "operations" and "maintenance" costs, which are currently reported in the FRPP as a combined cost number, and (2) defining a methodology that agencies can use to consistently collect and report annual deferred maintenance and repair expenditures. OMB expects these actions to be completed by the fiscal year 2018 FRPP reporting cycle. As of March 28, 2017, OMB had not provided GAO with any additional updates regarding the status of this recommendation..
    Director: Bertoni, Daniel
    Phone: (202) 512-7215

    1 open recommendations
    Recommendation: The Secretary of Veterans Affairs should direct the Under Secretary for Benefits to develop new measures of long-term employment that go beyond the minimum 60 days of post-placement monitoring that is currently required. In developing measures, the Secretary of Veterans Affairs should direct the Under Secretary for Benefits to consider the feasibility of using results from planned post-closure surveys of veterans as a data source.

    Agency: Department of Veterans Affairs
    Status: Open

    Comments: As of March 2017, VA continues to develop its new Vocational Rehabilitation and Employment Case Management System (VRE-CMS). The expected date of implementation for this system is September 2018, and it will enable VA to track participants' status post-case closure. VA indicated that after this system has been operational for six months and initial data have been collected on participants' post-case closure outcomes, the agency will develop new performance metrics tied to these outcomes. VA also indicated that it is exploring the possibility of tracking VR&E participants post-closure earnings data through a data sharing agreement with the Social Security Administration. To close this recommendation as implemented, VA will need to demonstrate that it has developed and implemented performance metrics related to long-term employment outcomes.
    Director: Kohn, Linda T
    Phone: (202) 512-7114

    5 open recommendations
    Recommendation: To help ensure that qualified CDRs promote improved quality and efficiency of physician care for Medicare beneficiaries, the Secretary of Health and Human Services should direct Centers for Medicare & Medicaid Services (CMS) to establish key requirements for qualified CDRs that focus on improving quality and efficiency. These requirements could include, for example, having CDRs (1) identify key areas of opportunity to improve quality and efficiency for their target populations and collect additional measures designed to address them, (2) collect a core set of measures established by CMS, and (3) demonstrate that their processes for auditing the accuracy and completeness of the data they collect are systematic and rigorous.

    Agency: Department of Health and Human Services
    Status: Open

    Comments: As it has since initiation of the qualified CDR program, CMS continues to allow qualified CDRs to choose what quality measures they will track within very broad parameters. While it has developed a PQRS cross-cutting measure set requirement for physicians using other reporting mechanisms, this requirement does not apply to qualified CDRs. CMS officials report that they have addressed data accuracy and completeness by sharing with qualified CDRs issues and discrepancies that have been found in the data submitted so far.
    Recommendation: To help ensure that qualified CDRs promote improved quality and efficiency of physician care for Medicare beneficiaries, the Secretary of Health and Human Services should direct CMS to establish a requirement for qualified CDRs to demonstrate improvement on key measures of quality and efficiency for their target populations.

    Agency: Department of Health and Human Services
    Status: Open

    Comments: CMS officials report that they are working to implement this recommendation, but they have not yet put forward any specific proposals to address it.
    Recommendation: To help ensure that qualified CDRs promote improved quality and efficiency of physician care for Medicare beneficiaries, the Secretary of Health and Human Services should direct CMS to establish a process for monitoring compliance with requirements for qualified CDRs that draws on relevant expert judgment. This process should assess CDR performance on each requirement in a way that takes into account the varying circumstances of CDRs and their available opportunities to promote quality and efficiency improvement for their target populations.

    Agency: Department of Health and Human Services
    Status: Open

    Comments: The limited changes for qualified clinical data registries that CMS outlined in its CY2016 proposed rule in July 2015 do not address this recommendation. CMS officials report that they are working to implement this recommendation, but the approach they describe focuses on assessing changes in the data submitted by qualified CDRs over several years.
    Recommendation: To help ensure that qualified CDRs promote improved quality and efficiency of physician care for Medicare beneficiaries, the Secretary of Health and Human Services should determine and implement actions to reduce barriers to the development of qualified CDRs, such as (1) developing guidance that clarifies Health Insurance Portability and Accountability Act requirements to promote participation in qualified CDRs; (2) working with private sector entities to make relevant multipayer cost data available to qualified CDRs; (3) testing one or more models of shared savings between Medicare and qualified CDRs that achieve reduced Medicare expenditures with improved quality of care, and (4) providing technical assistance to qualified CDRs.

    Agency: Department of Health and Human Services
    Status: Open

    Comments: The limited changes for qualified clinical data registries that CMS outlined in its CY2016 proposed rule in July 2015 do not address the specific barriers to the development of qualified CDRs that we identified in our report. However, CMS officials report that they have provided technical assistance to qualified CDRs through monthly support calls and an annual kick-off meeting held in spring 2015.
    Recommendation: To help ensure that qualified CDRs promote improved quality and efficiency of physician care for Medicare beneficiaries, the Secretary of Health and Human Services should determine key data elements needed by qualified CDRs--such as those relevant for a required core set of measures--and direct Office of the National Coordinator for Health Information Technology and CMS to include these data elements, if feasible, in the requirements for certification of EHRs under the EHR incentive programs.

    Agency: Department of Health and Human Services
    Status: Open

    Comments: The limited changes for qualified clinical data registries that CMS outlined in its CY2016 proposed rule in July 2015 do not address this recommendation.
    Director: King, Kathleen M
    Phone: (202) 512-7114

    2 open recommendations
    Recommendation: In an effort to ensure that IHS has meaningful information on the timeliness with which it issues purchase orders authorizing payment under the CHS program and to improve the timeliness of payments to providers, the Secretary of the Department of Health and Human Services (HHS) should direct the Director of IHS to: (1) modify IHS's claims data system to separately track IHS referrals and self-referrals, revise the Government Performance Results Act measure for the CHS program so that it distinguishes between these two types of referrals, and establish separate timeframe targets for these referral types; and (2) improve the alignment between CHS staffing levels and workloads by revising its current practices, where appropriate, to allow available funds to be used to pay for CHS program staff.

    Agency: Department of Health and Human Services
    Status: Open

    Comments: As of July 2016, HHS officials reported that they have not implemented this recommendation. GAO considers it to be open. We will update the status of this recommendation when we receive additional information.
    Recommendation: As HHS and IHS monitor the effect that new coverage options available to IHS beneficiaries through PPACA have on CHS program funds, the Secretary of HHS direct should the Director of IHS to proactively develop potential options to streamline program eligibility requirements.

    Agency: Department of Health and Human Services
    Status: Open

    Comments: As of July 2016, HHS officials reported that they have not implemented this recommendation. GAO considers it to be open. We will update the status of this recommendation when we receive additional information.
    Director: Moran, Revae E
    Phone: (202) 512-7215

    8 open recommendations
    Recommendation: To provide for independent audit and investigative oversight of NMB, Congress should consider authorizing an appropriate federal agency's Office of Inspector General to provide such oversight.

    Agency: Congress
    Status: Open

    Comments: The Subcommittee on Financial and Contracting Oversight of the Senate Committee on Homeland Security and Governmental Affairs held a hearing in April 2014 to (1) review the processes and mechanisms by which small agencies and other federal entities without statutory inspectors general receive oversight, and (2) examine potential legislative actions to improve the oversight of small agencies. In advance of the hearing, the committee circulated draft legislation that would, among other things, assign the Inspector General of the National Labor Relations Board the responsibility of providing oversight of the National Mediation Board. However, this legislation was not formally introduced. No related legislation has been enacted since that time.
    Recommendation: In order to improve NMB's planning and make the most effective use of its limited resources, the Chairman of the National Mediation Board should develop a formal strategic planning process to fully implement key required elements of strategic planning, including a formal process to obtain congressional and stakeholder input.

    Agency: National Mediation Board
    Status: Open

    Comments: In April 2016, NMB indicated that it had reviewed strategic planning material from GAO and OMB, and would produce a formal planning process to guide future strategic plan development. It anticipated that the formal planning guide would be in place by the end of fiscal year 2016. In February 2017, GAO began another review of NMB. The status of this recommendation will be updated at the conclusion of that review, estimated for 2018.
    Recommendation: In order to improve NMB's planning and make the most effective use of its limited resources, the Chairman of the National Mediation Board should develop, and include in its performance plan, performance goals and measures that contain required elements to demonstrate results.

    Agency: National Mediation Board
    Status: Open

    Comments: In April 2016, NMB indicated it had been in contact with other federal labor agencies (Federal Mediation and Conciliation Service and Federal Labor Relations Authority) to discuss measurable performance goals that may be adapted to NMB's mission areas. It also indicated that it would review OPM guidance when developing updated performance goals. It anticipated that new performance metrics would be included in the fiscal year 2017 strategic plan update. In February 2017, GAO began another review of NMB. The status of this recommendation will be updated at the conclusion of that review, estimated for 2018.
    Recommendation: In order to improve NMB's planning and make the most effective use of its limited resources, the Chairman of the National Mediation Board should develop and implement a formal mechanism to ensure the prompt resolution of findings and recommendations by independent auditors, including clearly assigning responsibility for this follow-up to agency management.

    Agency: National Mediation Board
    Status: Open

    Comments: In April 2016, NMB indicated it would develop standard procedures to address all program audits. It anticipated that the new updated and new procedures would be in place before the next round of program audits in fiscal year 2017. In February 2017, GAO began another review of NMB. The status of this recommendation will be updated at the conclusion of that review, estimated for 2018.
    Recommendation: In order to improve NMB's planning and make the most effective use of its limited resources, the Chairman of the National Mediation Board should develop and fully implement key components of an information security program in accordance with the Federal Information Security Management Act of 2002.

    Agency: National Mediation Board
    Status: Open

    Comments: In April 2016, NMB indicated that it was reviewing the security certificates of the agencies with which it contacts for services and working with them to determine how to review their security audits in an efficient manner. In February 2017, GAO began another review of NMB. The status of this recommendation will be updated at the conclusion of that review, estimated for 2018.
    Recommendation: In order to improve NMB's planning and make the most effective use of its limited resources, the Chairman of the National Mediation Board should establish a privacy program that includes conducting privacy impact assessments and issuing system of record notices for systems that contain personally identifiable information.

    Agency: National Mediation Board
    Status: Open

    Comments: In April 2016, NMB indicated it is conducting a review of its record management program to assess the status of agency records and documents held in its cloud-based records management program. It indicated that this review would be completed before the end of fiscal year 2016 and would be used to assess any impact on privacy and issue any appropriate notices. In February 2017, GAO began another review of NMB. The status of this recommendation will be updated at the conclusion of that review, estimated for 2018.
    Recommendation: In order to improve NMB's planning and make the most effective use of its limited resources, the Chairman of the National Mediation Board should develop a strategic workforce plan that (1) involves input from top management, employees, and other stakeholders; (2) identifies critical skills and competencies needed by NMB; (3) identifies strategies, such as training, to address any gaps; and (4) provides for cost-effective evaluations of these strategic workforce planning efforts. This plan should also address succession for the significant proportion of NMB staff and senior managers who are eligible to retire in the next few years.

    Agency: National Mediation Board
    Status: Open

    Comments: In April 2016, NMB indicated that it would develop a formal process to elicit stakeholder input as it updates the current strategic workforce plan. In February 2017, GAO began another review of NMB. The status of this recommendation will be updated at the conclusion of that review, estimated for 2018.
    Recommendation: In order to improve NMB's planning and make the most effective use of its limited resources and to better inform its decisions about managing the rail grievance arbitration process, including addressing the backlog of cases, NMB should collect and analyze data on the types of grievances filed, and their disposition. NMB should use these data to improve the efficiency of the arbitration process and consider, as part of this effort, whether to establish fees for arbitration services. If NMB determines that the establishment of fees would improve the efficiency of the arbitration process, it should impose such fees or seek legislative authority to do so, as necessary.

    Agency: National Mediation Board
    Status: Open

    Comments: In April 2016, NMB indicated that data on rail grievance arbitration cases are being collected and that it anticipated presenting analysis of those data in the agency's fiscal year 2016 annual report. In February 2017, GAO began another review of NMB. The status of this recommendation will be updated at the conclusion of that review, estimated for 2018.
    Director: Farrell, Brenda S
    Phone: (202) 512-3604

    6 open recommendations
    Recommendation: To help ensure that OSD, the military services, and congressional decision makers have a comprehensive understanding of whether ROTC programs are achieving desired results in a cost-effective and efficient manner, the Secretary of Defense should direct the Under Secretary of Defense for Personnel and Readiness, in conjunction with the Secretaries of the military services, to establish a systematic process to routinely evaluate ROTC program performance that includes establishing performance measures that are clearly defined and include cost components.

    Agency: Department of Defense
    Status: Open

    Comments: As of April 2016, this recommendation is addressed in the current working draft of Department of Defense Instruction (DoDI) 1215.08, "Senior Reserves Officers' Training Corps (ROTC) Programs." A joint Services and DOD working group has finalized updates addressing this recommendation in the draft instruction, but DOD anticipates formal coordination will be delayed until after the 2017 change in the Presidential Administration. This recommendation will remain open until the DoDI addressing this recommendation has been finalized and published.
    Recommendation: To help ensure that OSD, the military services, and congressional decision makers have a comprehensive understanding of whether ROTC programs are achieving desired results in a cost-effective and efficient manner, the Secretary of Defense should direct the Under Secretary of Defense for Personnel and Readiness, in conjunction with the Secretaries of the military services, to establish a systematic process to routinely evaluate ROTC program performance that includes requiring routine evaluations of ROTC programs that measure progress against the strategic goals and objectives of ROTC programs.

    Agency: Department of Defense
    Status: Open

    Comments: As of April 2016, this recommendation is addressed in the current working draft of Department of Defense Instruction (DoDI) 1215.08, "Senior Reserves Officers' Training Corps (ROTC) Programs." A joint Services and DOD working group has finalized updates addressing this recommendation in the draft instruction, but DOD anticipates formal coordination will be delayed until after the 2017 change in the Presidential Administration. This recommendation will remain open until the DoDI addressing this recommendation has been finalized and published.
    Recommendation: To help ensure that OSD, the military services, and congressional decision makers have a comprehensive understanding of whether ROTC programs are achieving desired results in a cost-effective and efficient manner, the Secretary of Defense should direct the Under Secretary of Defense for Personnel and Readiness, in conjunction with the Secretaries of the military services, to establish a systematic process to routinely evaluate ROTC program performance that includes using the performance information resulting from ROTC program evaluations to assess and document the need for the existing number of units,

    Agency: Department of Defense
    Status: Open

    Comments: As of April 2016, this recommendation is addressed in the current working draft of Department of Defense Instruction (DoDI) 1215.08, "Senior Reserves Officers' Training Corps (ROTC) Programs." A joint Services and DOD working group has finalized updates addressing this recommendation in the draft instruction, but DOD anticipates formal coordination will be delayed until after the 2017 change in the Presidential Administration. The Services have reviewed and adjusted their current procedures and metrics to better measure and evaluate their ROTC programs prior to the projected DoDI publication date. This recommendation will remain open until the DoDI addressing this recommendation has been finalized and published.
    Recommendation: To help improve the oversight and accountability of the military services' ROTC programs, the Secretary of Defense should direct the Under Secretary of Defense for Personnel and Readiness to reexamine and clarify DOD Instruction 1215.08 to clearly delineate roles and responsibilities for oversight of ROTC programs.

    Agency: Department of Defense
    Status: Open

    Comments: As of April 2016, this recommendation is addressed in the current working draft of Department of Defense Instruction (DoDI) 1215.08, "Senior Reserves Officers' Training Corps (ROTC) Programs." A joint Services and DOD working group has finalized updates addressing this recommendation in the draft instruction, but DOD anticipates formal coordination will be delayed until after the 2017 change in the Presidential Administration. This recommendation will remain open until the DoDI addressing this recommendation has been finalized and published.
    Recommendation: To help improve the oversight and accountability of the military services' ROTC programs, the Secretary of Defense should direct the Under Secretary of Defense for Personnel and Readiness to coordinate with the military services to ensure that service ROTC guidance aligns with the updated DOD instruction.

    Agency: Department of Defense
    Status: Open

    Comments: As of April 2016, this recommendation is addressed in the current working draft of Department of Defense Instruction (DoDI) 1215.08, "Senior Reserves Officers' Training Corps (ROTC) Programs." A joint Services and DOD working group has finalized updates addressing this recommendation in the draft instruction, but DOD anticipates formal coordination will be delayed until after the 2017 change in the Presidential Administration. The Services have reviewed and adjusted their current procedures and metrics to better measure and evaluate their ROTC programs prior to the projected DoDI publication date. This recommendation will remain open until the DoDI addressing this recommendation has been finalized and published.
    Recommendation: To help improve the oversight and accountability of the military services' ROTC programs, the Secretary of Defense should direct the Under Secretary of Defense for Personnel and Readiness to develop and implement, in conjunction with the Secretaries of the military services, a strategy to periodically communicate with Congress and other key stakeholders on ROTC program performance.

    Agency: Department of Defense
    Status: Open

    Comments: As of April 2016, this recommendation is addressed in the current working draft of Department of Defense Instruction (DoDI) 1215.08, "Senior Reserves Officers' Training Corps (ROTC) Programs." A joint Services and DOD working group has finalized updates addressing this recommendation in the draft instruction, but DOD anticipates formal coordination will be delayed until after the 2017 change in the Presidential Administration. This recommendation will remain open until the DoDI addressing this recommendation has been finalized and published.
    Director: Merritt, Zina Dache
    Phone: (202) 512-5257

    1 open recommendations
    Recommendation: To determine whether the Army is achieving its estimated financial benefits in LMP, the Secretary of Defense should direct the Secretary of the Army to develop and implement a process to track the extent of financial benefits realized from the use of LMP during the remaining course of its life cycle. This process should be linked with the LMP performance baseline now being developed by the Army for use at AMC industrial sites.

    Agency: Department of Defense
    Status: Open

    Comments: In March 2015, the Army formalized a process for measuring benefits from the Logistics Modernization Program. As of March 2017, the Army is refining its estimate of the financial benefits. We will continue to monitor the Army's plans going forward.
    Director: Grover, Jennifer A
    Phone: (202) 512-7141

    1 open recommendations
    including 1 priority recommendation
    Recommendation: To help ensure that security-related funding is directed to programs that have demonstrated their effectiveness, the Secretary of Homeland Security should direct the TSA Administrator to limit future funding support for the agency's behavior detection activities until TSA can provide scientifically validated evidence that demonstrates that behavioral indicators can be used to identify passengers who may pose a threat to aviation security.

    Agency: Department of Homeland Security
    Status: Open
    Priority recommendation

    Comments: The Department of Homeland Security (DHS) did not concur with GAO's November 2013 recommendation to the TSA Administrator to limit future funding support for the agency's behavior detection activities until TSA can provide scientifically validated evidence that demonstrates that behavioral indicators can be used to identify passengers who may pose a threat to aviation security. However, as of July 2017, DHS has reduced funding for its behavior detection activities and taken some steps toward identifying additional evidence to support its use of behavioral indicators. TSA officials stated that GAO's recommendation contributed to DHS's decision to reduce the number of behavior detection officers (BDO) from 3,131 full-time equivalents in fiscal year 2013 to 2,393 full-time equivalents employed in fiscal year 2016. Further, in the summer of 2016 and consistent with the Aviation Security Act of 2016, the agency began assigning BDOs to other positions at passenger screening checkpoints where they are able to observe passengers while performing screening duties. According to TSA officials, all BDOs have now been converted into transportation security officers with behavior detection capabilities, which is expected to reduce the cost of the agency's behavior detection activities. As of August 2017, TSA does not yet have an estimate of any associated cost reductions. Since GAO's 2013 report, TSA has revised its list of behavioral indicators and taken some steps to identify evidence that these indicators can be used to identify passengers who may pose a threat to aviation security. Specifically, TSA hired a contractor to search available literature for sources supporting its revised list of 36 behavioral indicators. However, in 2017, GAO reviewed all 178 sources TSA identified and found that 98 percent (175 of 178) did not provide valid evidence for specific behavioral indicators in its revised list and that the remaining 3 sources could be used as valid evidence to support 8 of the 36 indicators. GAO reported that TSA should continue to limit funding for the agency's behavior detection activities until TSA can provide valid evidence demonstrating that behavioral indicators can be used to identify passengers who may pose a threat to aviation security, consistent with the recommendation in its November 2013 report.
    Director: Farrell, Brenda S
    Phone: (202)512-3604

    2 open recommendations
    Recommendation: To provide decision makers with more-complete information on the planned implementation, management, and oversight of DOD's newly created DHA, the Secretary of Defense should direct the Assistant Secretary of Defense (Health Affairs) to develop and present to Congress a comprehensive timeline that includes interim milestones for all reform goals that could be used to show implementation progress.

    Agency: Department of Defense
    Status: Open

    Comments: As of September 2015, DOD has not submitted a comprehensive timeline that includes interim milestones for all reform goals. Further, as we reported in September 2015, DOD's plan for assessing the personnel requirements of the DHA lacks a detailed timeline with milestones and interim steps. Until DOD develops a comprehensive timeline for its reform, this recommendation should remain open. June 2017 Update: The DHA strategic plan/CONOPS showing a comprehensive timeline for all of its reform goals has yet to be released.
    Recommendation: To provide decision makers with more-complete information on the planned implementation, management, and oversight of DOD's newly created DHA, the Secretary of Defense should direct the Assistant Secretary of Defense (Health Affairs) to monitor implementation costs to assess whether the shared-services projects are on track to achieve projected net cost savings or if corrective actions are needed.

    Agency: Department of Defense
    Status: Open

    Comments: As we reported in September 2015, DOD has taken some action on this recommendation for 8 of its 10 shared services. The DHA's internal leadership briefings now identify the major types of implementation costs where relevant, or otherwise address their potential impact. For example, information technology costs are identified as one primary type of costs for the Health Information Technology and Medial Logistics shared services, while contract costs are identified for the Budget and Resource Management, Medical Logistics, and Health Information Technology shared services. By identifying the major types of implementation costs, decision makers are better able to gauge the sensitivity of areas of uncertainty as they make decisions concerning future investments in shared services. MAY 2016 UPDATE: DHA reported and we verified financial savings of $722 million for FY14 and FY15 due to shared services implementation. June 2017 Update: DHA reported and we verified financial savings of $686.6 million for FY 16 due to shared services implementation.
    Director: Trimble, David C
    Phone: (202) 512-3841

    3 open recommendations
    Recommendation: To improve DOE's management and oversight of the WFO program, the Secretary of Energy should require laboratories to establish and follow written procedures for developing WFO project budgets and for charging costs to WFO projects.

    Agency: Department of Energy
    Status: Open

    Comments: According to DOE, the Chief Financial Officer will address this recommendation as part of the revisions to DOE Order 520.1A. As of March 2017, DOE anticipates that the updated order will be completed in the first quarter of fiscal year 2018.
    Recommendation: To improve DOE's management and oversight of the WFO program, the Secretary of Energy should ensure that annual summary reports of WFO activities are prepared so that data on those activities are readily available for those who need this information.

    Agency: Department of Energy
    Status: Open

    Comments: On December 5, 2016, DOE issued revised order 481.1D, Strategic Partnership Projects (SPP) [Formerly Known as Work for Others (Non-Department of Energy Funded Work)] and has removed the requirement to issue annual summary reports of Work for Others activities. Instead, the revised order states that reports can be prepared on an "as needed" basis.
    Recommendation: To improve DOE's management and oversight of the WFO program, the Secretary of Energy should establish performance measures that incorporate key attributes of successful performance measures and that address the objectives of the WFO program.

    Agency: Department of Energy
    Status: Open

    Comments: On December 5, 2016, DOE issued revised order 481.1D Strategic Partnership Projects (SPP)[Formerly Known as Work for Others (Non-Department of Energy Funded Work)]. DOE states that this order addresses performance measures and that the corrective action is closed. Although the order directs DOE Field Office Managers to "establish performance measures to assess the effectiveness of the procedures for SPP review, acceptance, authorization and monitoring consistent with NNSA policies and procedures", it does not further identify specific performance measures that address the objectives of the SPP program as indicated in the order.
    Director: Scott, George A
    Phone: (202) 512-7215

    3 open recommendations
    Recommendation: The Secretary of the Interior should direct the Assistant Secretary-Indian Affairs to develop and implement decision-making procedures for BIE that specify who should be involved in the decision-making process for key decisions that affect BIE and its schools to ensure that BIE has effective management controls, is accountable for the use of federal funds, and comports with federal laws and regulations. Such procedures should be clearly documented in management directives, administrative policies, or operating manuals.

    Agency: Department of the Interior
    Status: Open

    Comments: In August 2017, Bureau of Indian Education (BIE) officials stated that they have developed decision-making procedures for BIE in consultation with staff from across the bureau. They indicated that the procedures will be implemented in the coming weeks, pending final approval from the Office of Regulatory Affairs and Collaborative Action and the Office of the Assistant Secretary-Indian Affairs. We reviewed Indian Affairs' draft procedures, which they plan to incorporate into Indian Affairs' policy manual. The procedures identify, by position, BIE leaders whose involvement in the decision-making process is necessary and define roles and responsibilities of such individuals, among other areas. We will consider whether Indian Affairs' actions fully address this recommendation once the agency provides us with its finalized procedures.
    Recommendation: The Secretary of the Interior should direct the Assistant Secretary-Indian Affairs to develop a strategic plan that includes detailed goals and strategies for BIE and for those offices that support BIE's mission, including the Bureau of Indian Affairs, to help Indian Affairs effectively implement its realignment. Development of the strategic plan should incorporate feedback from BIE officials and other key stakeholders. To gather stakeholder input, we recommend that the plan include a comprehensive communications strategy to improve communication within Indian Affairs and between Indian Affairs and BIE staff.

    Agency: Department of the Interior
    Status: Open

    Comments: In August 2017, Indian Affairs officials stated that the draft strategic plan for BIE developed by the agency several years ago did not address our recommendation. Officials also told us they began holding strategic planning sessions in March 2017, which they said would continue through late September 2017. Indian Affairs drafted several key elements of its new strategic plan for BIE. The draft includes information on its mission, vision, values and goals. According to agency officials, they are currently developing additional elements to include milestones, measures, and specific action plans. Officials also noted that BIE has reached out to external subject matter expert organizations, such as the Council of Chief State School Officers, in developing its strategic plan. Officials reported they expect to implement the new plan no later than the end of calendar year 2017. We will continue to monitor Indian Affairs' efforts to implement this recommendation.
    Recommendation: The Secretary of the Interior should direct the Assistant Secretary-Indian Affairs to revise its strategic workforce plan to ensure that employees providing administrative support to BIE have the requisite knowledge and skills to help BIE achieve its mission and are placed in the appropriate offices to ensure that regions with a large number of BIE schools have sufficient support.

    Agency: Department of the Interior
    Status: Open

    Comments: Although BIE completed a strategic workforce planning effort in 2016, the agency has not fully addressed this recommendation. We will monitor the agency's efforts to finish implementing this recommendation.
    Director: Crosse, Marcia G
    Phone: (202) 512-7114

    2 open recommendations
    Recommendation: To improve CTP's ability to operate efficiently, achieve effective results, and plan appropriately, the Secretary of Health and Human Services should direct the Commissioner of FDA to establish performance measures that include time frames for making final decisions on SE submissions and Exemption from SE submissions.

    Agency: Department of Health and Human Services
    Status: Open

    Comments: FDA has established performance measures that include time frames for reviewing and acting on some of its new tobacco product submissions, including regular Substantial Equivalence (SE) submissions and Exemption from SE submissions, received in fiscal years 2015 through 2018. However, as of September, 2017, FDA has not developed performance measures for provisional SE submissions, the type of SE submissions that represent new tobacco products that may continue to be marketed unless and until FDA's Center for Tobacco Products finds that they are not substantially equivalent. We are keeping this recommendation open until the agency establishes performance measures, including time frames for making final decisions, for provisional SE submissions.
    Recommendation: To improve CTP's ability to operate efficiently, achieve effective results, and plan appropriately, the Secretary of Health and Human Services should direct the Commissioner of FDA to monitor FDA's performance relative to those time frames, such as evaluating whether staff are performing reviews of these submissions efficiently and effectively.

    Agency: Department of Health and Human Services
    Status: Open

    Comments: FDA has established and monitors performance measures that include time frames for reviewing and acting on regular SE submissions, Exemption from SE requests, and Modified Risk Tobacco Product applications for fiscal years 2015 through 2018. However, because the agency has not yet reported establishing and monitoring performance measures for provisional SE submissions, we are leaving this recommendation open as of August 2017.
    Director: Rusco, Franklin W
    Phone: (202) 512-3841

    2 open recommendations
    Recommendation: The Secretary of the Interior should direct the Director of the Bureau of Land Management to take steps, including making changes to AFMSS, and in any new system that replaces AFMSS, to improve the ability of staff to identify wells that are a high priority for environmental inspection and to incorporate information on the inspection history of wells into the environmental inspection prioritization process.

    Agency: Department of the Interior
    Status: Open

    Comments: BLM concurred with the recommendation and has initiated action to update its Application for permit to drill (APD) permit processing system. This new system will be known as AFMSS II and, when fully implemented, may address GAO's recommendations. Currently, BLM's actions are insufficient to close this recommendation because they have not completed the updates to AFMISS. Specifically, BLM has not completed its update of AFMSS II to cover environmental inspections. We will continue to follow up with BLM as the agency continues to take action to improve its well tracking system. As of September 2017, BLM said it intends to update AFMSS II to cover environmental issues but has not yet done so.
    Recommendation: The Secretary of the Interior should direct the Director of the Bureau of Land Management to take steps to ensure that environmental violations or problems and enforcement actions are documented in a consistent manner.

    Agency: Department of the Interior
    Status: Open

    Comments: When we confirm what actions the agency has taken in response to this recommendation, we will provide updated information.
    Director: Gambler, Rebecca S
    Phone: (202) 512-8777

    3 open recommendations
    Recommendation: To improve the usefulness of southwest border crossing wait time data for informing public and management decisions, the Commissioner of CBP should identify and carry out steps that can be taken to help CBP port officials overcome challenges to consistent implementation of existing wait time estimation methodologies. Steps for ensuring consistent implementation of these methodologies could include, for example, implementing the fiscal year 2008 Western Hemisphere Travel Initiative report recommendations to use closed-circuit television cameras to measure wait time in real time and provide a standardized measurement and validation tool.

    Agency: Department of Homeland Security: United States Customs and Border Protection
    Status: Open

    Comments: As of May 2017, CBP officials report that in order to avoid further investment in a manual wait time methodology, the agency plans to focus resources on developing an enterprise-wide solution for automating the measurement of border delays. CBP estimates that this recommendation will be completed in October 2017.
    Recommendation: To improve the usefulness of southwest border crossing wait time data for informing public and management decisions, the Commissioner of CBP should, in consultation with Federal Highway Administration and state DOTs, assess the feasibility of replacing current methods of manually calculating wait times with automated methods, which could include assessing all of the associated costs and benefits, options for how the agency will use and publicly report the results of automated data collection, the potential trade-offs associated with moving to this new system, and other factors such as those influencing the possible expansion of existing automation efforts to the 34 other locations that currently report wait times but have no automation projects under way.

    Agency: Department of Homeland Security: United States Customs and Border Protection
    Status: Open

    Comments: As of May 2017, CBP's Office of Field Operations (OFO) reports working to identify a feasible and cost effective wait time solution to measure commercial vehicle delays along the southern border. Specifically, CBP officials report that they have been partnering with the Federal Highway Administration and the Texas A&M's Transportation Institute on the deployment of an automated radio-frequency identification measurement solution to measure commercial delays at eight crossings. To verify the accuracy of the automated wait time data, CBP officials report that in June 2016 they conducted a ground-truth analysis with mixed results. CBP officials report DHS Science and Technology directorate delivered their final report in February 2017 and by the end of September 2017, pending review and acceptance of the report's findings, CBP will coordinate efforts to develop the required communication protocols and data schematics for near real-time commercial vehicle wait time updates to the CBP Border Wait Time website and Border Wait Time app. CBP estimates that this recommendation will be completed in October 2017.
    Recommendation: To better ensure that CBP's Office of Field Operations' (OFO) staffing processes are transparent and to help ensure CBP can demonstrate that these resource decisions have effectively addressed CBP's mission needs, the Commissioner of CBP should document the methodology and process OFO uses to allocate staff to land ports of entry on the southwest border, including the rationales and factors considered in making these decisions.

    Agency: Department of Homeland Security: United States Customs and Border Protection
    Status: Open

    Comments: As of May 2017, CBP's Office of Field Operations (OFO) reports that they have adopted a workload staffing model to identify CBP staffing requirements at land ports of entry. CBP officials report that the workload staffing model provides senior leadership with a decision-support tool to identify the number of required resources for each location and accounts for distinct operating environments, unique variables, and major functions and activities. CBP officials report that they use the workload staffing model results in its budget requests and when allocating staff to the ports of entry. However, CBP has not provided GAO with documentation showing how staff are allocated among land ports of entry including how workload staffing model results are used in this process. CBP officials report that in May 2017 OFO began working with contracted experts to synthesize the quantitative and qualitative data available and develop a comprehensive CBP position allocation methodology. CBP estimates that this recommendation will be completed in March 2018.
    Director: Mihm, J Christopher
    Phone: (202) 512-6806

    1 open recommendations
    Recommendation: To improve implementation of GPRAMA and help address pressing governance issues, given the common, long-standing difficulties agencies continue to face in measuring the performance of various types of federal programs and activities--contracts, direct services, grants, regulations, research and development, and tax expenditures--the Director of OMB should work with the PIC to develop a detailed approach to examine these difficulties across agencies, including identifying and sharing any promising practices from agencies that have overcome difficulties in measuring the performance of these program types. This approach should include goals, planned actions, and deliverables along with specific time frames for their completion, as well as the identification of the parties responsible for each action and deliverable.

    Agency: Executive Office of the President: Office of Management and Budget
    Status: Open

    Comments: In July 2017, Office of Management and Budget (OMB) staff told us that they have made no further progress on this recommendation since their last update in June 2016. At that time, according to information provided by staff from OMB and the Performance Improvement Council (PIC), they had taken some initial steps to address this recommendation in a few areas, such as acquisition management (contracts). In addition, the PIC formed a working group on performance measurement that, in part, is focusing on how to develop appropriate performance measures. However, OMB and the PIC have not yet developed a comprehensive and detailed approach to address these issues as envisioned in our report. We will continue to monitor progress.
    Director: Cosgrove, James C
    Phone: (202) 512-7114

    3 open recommendations
    Recommendation: To help ensure that ADI suppliers provide consistent, safe, and high-quality imaging to Medicare beneficiaries, the Administrator of CMS should determine the content of and publish minimum national standards for the accreditation of ADI suppliers, which could include specific qualifications for supplier personnel and requiring accrediting organization review of clinical images.

    Agency: Department of Health and Human Services: Centers for Medicare and Medicaid Services
    Status: Open

    Comments: As of September 2016, HHS officials have not implemented this recommendation. GAO considers it to be open. We will update the status of this recommendation when we receive additional information.
    Recommendation: To help ensure that ADI suppliers provide consistent, safe, and high-quality imaging to Medicare beneficiaries, the Administrator of CMS should develop an oversight framework for evaluating accrediting organization performance, which could include collecting and analyzing information on accreditation results and conducting validation audits.

    Agency: Department of Health and Human Services: Centers for Medicare and Medicaid Services
    Status: Open

    Comments: As of September 2016, HHS officials have not implemented this recommendation. GAO considers it to be open. We will update the status of this recommendation when we receive additional information.
    Recommendation: To help ensure that ADI suppliers provide consistent, safe, and high-quality imaging to Medicare beneficiaries, the Administrator of CMS should develop more specific requirements for accrediting organization mid-cycle audit procedures and clarify guidance on immediate-jeopardy deficiencies to ensure consistent identification and timely correction of serious care problems for the duration of accreditation.

    Agency: Department of Health and Human Services: Centers for Medicare and Medicaid Services
    Status: Open

    Comments: As of September 2016, HHS officials have not implemented this recommendation. GAO considers it to be open. We will update the status of this recommendation when we receive additional information.
    Director: Czerwinski, Stanley J
    Phone: (202) 512-6806

    3 open recommendations
    including 3 priority recommendations
    Recommendation: The Director of OMB should, in collaboration with the members of COFAR, develop and make publicly available an implementation schedule that includes performance targets, goal leaders who can be held accountable for each goal, and mechanisms to monitor, evaluate, and report on results.

    Agency: Executive Office of the President: Office of Management and Budget
    Status: Open
    Priority recommendation

    Comments: In January 2017, GAO reported that although COFAR had released its updated priorities for Fiscal Years 2016 through 2017, it had not released to the public an implementation schedule that included key elements such as performance targets, mechanisms to monitor, evaluate, and report on progress made toward its stated priorities. For this reason, this recommendation remains open.
    Recommendation: The Director of OMB should, in collaboration with the members of COFAR, clarify the roles and responsibilities for various streamlining initiatives and steps for decision making, in particular how COFAR will engage with relevant grant-making agency stakeholders and utilize agency resources.

    Agency: Executive Office of the President: Office of Management and Budget
    Status: Open
    Priority recommendation

    Comments: In January 2017, GAO reported that although COFAR had released its updated priorities for Fiscal Years 2016 through 2017, the document did not provide clarification on roles and responsibilities for its members. For this reason, this recommendation remains open.
    Recommendation: The Director of OMB should, in collaboration with the members of COFAR, improve efforts to develop an effective two-way communication strategy that includes the grant recipient community, smaller grantmaking agencies that are not members of COFAR, and other entities involved with grants management policy.

    Agency: Executive Office of the President: Office of Management and Budget
    Status: Open
    Priority recommendation

    Comments: In January 2017, GAO reported that although COFAR had released its updated priorities for Fiscal Years 2016 through 2017, the document did not provide a detailed communication strategy for the grant recipient community. For this reason, this recommendation remains open.
    Director: Melvin, Valerie C
    Phone: (202) 512-6304

    6 open recommendations
    Recommendation: To effectively implement key components of DOD's business systems modernization program, the Secretary of Defense should direct the Deputy Chief Management Officer to define by when and how the department plans to develop an architecture that would extend to all defense components and include, among other things, (a) information about the specific business systems that support business enterprise architecture (BEA) business activities and related system functions; (b) business capabilities for the Hire-to-Retire and Procure-to-Pay business processes; and (c) sufficient information about business activities to allow for more effective identification of potential overlap and duplication.

    Agency: Department of Defense
    Status: Open

    Comments: As of September 2017, the Department of Defense (DOD) had taken steps to address the recommendation; however, more steps are needed to meet its intent. For example, as of July 2015, the department had taken steps to improve the integration of business enterprise architecture (BEA) information with other existing information. This integration was intended to allow DOD to identify information such as mapping of existing business systems to individual BEA system functions. In addition, in January 2017, the department issued a plan to improve the usefulness of the architecture by delivering three major capabilities, including the ability to conduct process and system reviews within and across domains, which can help better identify potential duplication and overlap, by January 2017. The plan also included other activities that may help support the identification of duplication and overlap, such as developing a federated ontology for BEA data structures, migrating legacy architecture data into the federated ontology, and defining requirements to enable extensible data structures for future updates, by June 2016. However, the department has not developed the ontology or delivered the capability to conduct process and system reviews within and across domains. An official from the Office of the Deputy Chief Management Officer stated in September 2017 that the BEA ontology work is ongoing and that a plan for moving the existing BEA content to the new framework is in development. The official also stated that delivery of the capability to conduct process and system reviews within and across domains is now planned for June 2018, depending on contract award. However, DOD has not updated its BEA improvement plan to reflect the revised delivery dates. In addition, the department also has not identified the business capabilities associated with the Hire-to-Retire and Procure-to-Pay business processes. The department continues to update its business architecture, but it has not demonstrated that it has defined by when and how it plans to develop an architecture that would extend to all defense components and include business capabilities for the Hire-to-Retire and Procure-to-Pay business processes.
    Recommendation: To effectively implement key components of DOD's business systems modernization program, the Secretary of Defense should direct the Deputy Chief Management Officer to ensure that the functional strategies include all of the critical elements identified in DOD investment management guidance, including performance measures to determine progress toward achieving the goals that incorporate all of the attributes called for in the department's guidance.

    Agency: Department of Defense
    Status: Open

    Comments: As of August 2017, the Department of Defense (DOD) had taken some steps to address the intent of this recommendation. However, more remains to be done to fully address the intent of the recommendation. For example, we reported in July 2015 that the department established performance measures in its functional strategies that addressed at least some of the five attributes called for in DOD guidance. In particular, all of the fiscal year 2015 functional strategies identified examples of quantitative metrics. However, not all functional strategies identified metrics that addressed the other attributes. As of August 2017, this continues to be the case. For example, the fiscal year 2017 human resources management functional strategy did not address prior year business outcomes and initiatives progress, as required by the February 2015 investment management guidance.
    Recommendation: To effectively implement key components of DOD's business systems modernization program, the Secretary of Defense should direct the Deputy Chief Management Officer to select and control its mix of investments in a manner that best supports mission needs by (a) documenting a process for evaluating portfolio performance that includes the use of actual versus expected performance data and predetermined thresholds; (b) ensuring that portfolio assessments are conducted in key areas identified in our IT investment management framework: benefits attained; current schedule; accuracy of project reporting; and risks that have been mitigated, eliminated, or accepted to date; and (c) ensuring that the documents provided to the Defense Business Council as part of the investment management process include critical information for conducting all assessments.

    Agency: Department of Defense
    Status: Open

    Comments: As of August 2017, the Department of Defense had not addressed the recommendation. In February 2017, the department issued DOD Instruction 5000.75, Business Systems Requirements and Acquisition, to assist in managing defense business systems. Further, in April 2017, the department updated its investment management guidance. However, neither the instruction nor the revised guidance call for a process for evaluating portfolio performance that includes the use of actual versus expected performance data and predetermined thresholds. The instruction and the revised guidance also do not specify a process for ensuring that portfolio assessments are conducted in key areas identified in our information technology investment management framework: benefits attained; current schedule; accuracy of project reporting; and risks that have been mitigated, eliminated, or accepted to date. Further, the department has not demonstrated that it has ensured that documents provided to the Defense Business Council (i.e., the investment review board) include critical information for conducting assessments, such as information about system scalability to support additional users or new features in the future and cost in relationship to return on investment.
    Recommendation: To effectively implement key components of DOD's business systems modernization program, the Secretary of Defense should direct the Deputy Chief Management Officer to implement and use the BEA and business process reengineering compliance assessments more effectively to support organizational transformation efforts by (a) disclosing relevant information about known weaknesses, such as BEA and business process reengineering compliance weaknesses for systems that were not certified or certified with qualifications in annual reports to Congress; (b) establishing milestones by which selected validations of BEA compliance assertions are to be completed; and (c) ensuring that appropriate business process reengineering assertions have been completed on all investments submitted for the fiscal year 2014 certification reviews prior to the certification of funds.

    Agency: Department of Defense
    Status: Open

    Comments: As of August 2017, the Department of Defense (DOD) has taken steps to address the intent of the recommendation; however, more remains to be done. For example, the 2015 Congressional Report on Defense Business Operations included some information consistent with our recommendation. In particular, it contained information about weaknesses for systems that were certified with qualifications. The report stated that the department conditionally approved 29 military department and 30 defense agency requests pending Defense Business Council (DBC) approval of their problem statements. The report also cited the specific systems that were conditionally approved pending approval of their problem statements. In addition, in February 2017, the department issued an instruction (DOD Instruction 5000.75, Business Systems Requirements and Acquisition). The instruction requires that the certifying official verify that a capability is aligned with the business enterprise architecture (BEA) prior to a decision to proceed with a solutions analysis phase. The instruction also requires the certifying official to validate that sufficient business process reengineering (BPR) has been conducted to determine that a business system is required. The Office of the Deputy Chief Management Officer (DCMO) explained in August 2017 that the office reviews BEA compliance assertions in BEA compliance reporting tools, and if any issues are found with the assertions they are documented in investment decision memos. In addition, for BPR assertions, the office stated that DCMO portfolio leads review the assertions to determine if a system has required documentation. For those that have no plan of action or BPR assertions, according to the office, the DCMO team works with the domain or portfolio owners to ensure that a plan of action is documented. However, the department did not provide evidence to demonstrate that BEA assertions have been validated for selected investments or that BPR assertions have been validated for all its investments as part of its last annual certification process.
    Recommendation: To effectively implement key components of DOD's business systems modernization program, the Secretary of Defense should direct the Deputy Chief Management Officer to develop a skills inventory, needs assessment, gap analysis, and plan to address identified gaps as part of a strategic approach to human capital planning for the Office of the Deputy Chief Management Officer.

    Agency: Department of Defense
    Status: Open

    Comments: As of September 2017, the Department of Defense (DOD) had not addressed this recommendation; and the Office of the Deputy Chief Management Officer (DCMO) stated that it does not plan to address it. Specifically, it said that the department did not concur with the recommendation, and that, further, it had been overcome by other events. According to DOD officials, the recommendation has been overcome by several reorganizational changes, including one based on reviews of the department's business processes and systems. The Office of the DCMO stated that the department used a skills inventory, needs assessment, and gap analysis to do these reorganizations, and there are no open positions beyond those occurring from normal attrition. However, the Office of the DCMO did not provide evidence of the skills inventory, needs assessment and gap analysis that it said it used in its reorganizations. We still consider the recommendation to be valid and will continue to monitor its implementation as part of our periodic assessments of DOD efforts to manage its defense business systems.
    Recommendation: The Secretary of Defense should direct the appropriate authority to ensure that complete documentation, such as root cause analyses, assessments of existing interfaces for reuse opportunities, and performance metrics related to the reengineering efforts, is provided as part of the fiscal year 2014 certification and approval process for the Integrated Personnel and Pay System - Army (IPPS-A), Integrated Personnel and Pay System - Navy (IPPS-N), Air Force Integrated Personnel and Pay System (AF-IPPS), and Integrated Electronic Health Record (iEHR) investments.

    Agency: Department of Defense
    Status: Open

    Comments: As of September 2017, the Department of Defense (DOD) had taken some steps to address the intent of this recommendation, and other aspects of the recommendation have been overcome by events. However, more work is needed to demonstrate that the department has more fully addressed the intent of our recommendation. For example, in July 2015, we reported that the department demonstrated that it had completed documentation, such as root cause analyses, assessments of existing interfaces for reuse opportunities, and performance metrics related to the reengineering efforts, and that the documentation was provided as part of the certification and approval process for the Air Force Integrated Personnel and Pay System investment. However, since we made the recommendation, the department has changed its approach to evaluating business process reengineering for its defense business systems. As a result of this change, the department requires different documentation than the documentation required when we prepared our report. The department now requires business process reengineering to be documented in a problem statement. In particular, the December 2014 DOD problem statement guidance requires a description of and validation that a thorough review of the business process reengineering was conducted, and no longer specifically requires root cause analyses, assessments of existing interfaces for re-use opportunities, or performance metrics related to reengineering efforts. Regarding the Integrated Personnel and Pay System - Army, in September 2017, the department demonstrated that it had completed a March 2016 description of its business process reengineering efforts and provided supporting documentation as part of its review and certification process. However, as of September 2017, the department had not demonstrated that complete documentation related to reengineering efforts has been submitted as part of its annual certification and approval process for the Integrated Personnel and Pay System-Navy (IPPS-N) investment. According to an Official from the Office of the Deputy Under Secretary of the Navy (Management), the department expects the IPPS-N problem statement to be complete by the end of September 2017. Regarding the Integrated Electronic Health Record investment, the Office of the Deputy Chief Management Officer stated that the department does not plan to conduct business process reengineering because the investment is now in sustainment, and the department does not require business process reengineering for systems in sustainment.
    Director: Mihm, J Christopher
    Phone: (202) 512-6806

    2 open recommendations
    Recommendation: When such revisions are made, the Director of OMB should work with the Performance Improvement Council to test and implement these provisions.

    Agency: Executive Office of the President: Office of Management and Budget
    Status: Open

    Comments: According to information provided by Office of Management and Budget (OMB) and Performance Improvement Council (PIC) staff in June 2015, although OMB revised its guidance as we recommended, it did not work with the PIC to test implementation of these provisions. Instead, they told us that both PIC and OMB staff ensure agencies are implementing these provisions of their guidance when reviewing agencies' agency priority goals (APG) quarterly update submissions. However, our analysis of agencies' APG updates in October 2016 found implementation of these provisions continues to be mixed. We will continue to monitor progress.
    Recommendation: In addition, as OMB works with agencies to enhance Performance.gov to include additional information about APGs, the Director of OMB should ensure that agencies adhere to OMB's guidance for website updates by providing a description of how input from congressional consultations was incorporated into each APG.

    Agency: Executive Office of the President: Office of Management and Budget
    Status: Open

    Comments: In June 2015, OMB staff stated that they would focus agency attention on congressional consultations and publishing relevant input from those consultations during the development of the 2016-2017 agency priority goals (APG). OMB and agencies published information about the 2016-2017 APGs on Performance.gov in October 2015. However, our analysis of relevant sections of Performance.gov in October 2016 generally found that either agencies did not include information about congressional input or they had not updated Performance.gov to reflect the most recent round of stakeholder engagement. We will continue to monitor progress.
    Director: Melvin, Valerie C
    Phone: (202) 512-6304

    1 open recommendations
    Recommendation: To better ensure that GCSS-Army implements effective risk management and project monitoring and control practices, the Secretary of Defense should direct the Secretary of the Army to direct the GCSS-Army program office to specify the roles and responsibilities of the IV&V agent to ensure that it acts as a third party that validates and verifies the risks and mitigation plans developed by the program office and system integrator.

    Agency: Department of Defense
    Status: Open

    Comments: According to officials from Army's Program Executive Office Enterprise Information Systems in July 2017, the Army is working to draft an updated independent verification and validation policy in response to our recommendation. These officials expected the policy to be signed by the Program Executive Officer later this summer. We will continue to follow-up with the Army regarding this draft policy and the implementation of this recommendation.
    Director: Crosse, Marcia G
    Phone: (202)512-3407

    2 open recommendations
    Recommendation: To help ensure that HHS is adequately and comprehensively assessing HPP and PHEP awardees' performance and progress in meeting the medical and public health preparedness goals of the cooperative agreements, the Secretary of Health and Human Services should direct ASPR and CDC to develop objective and quantifiable performance targets and incremental milestones that correspond to the new HPP and PHEP performance measures, against which HHS can gauge progress toward the medical and public health preparedness goals of the cooperative agreements and direct technical assistance, as needed.

    Agency: Department of Health and Human Services
    Status: Open

    Comments: Since we examined the HPP and PHEP cooperative agreements in 2012, ASPR had developed few targets for the HPP program measures or their corresponding indicators that were contained in the HPP performance measurement guidance documents issued for Budget Periods (BP) 2-5, ending June 30, 2017. Additionally, the new HPP performance measure implementation guidance for the 5-year project cycle from 2017-2022 introduces 28 performance measures, with few having targets?the guidance notes that corresponding goals or targets may be set at a later date after data from the first budget period of this new project cycle has been reviewed. Regarding PHEP, CDC had developed performance targets for about half of the performance measures as of the PHEP BP5 performance measurement guidance (BP5 ended June 30, 2017). These performance measures generally remain the same, with existing targets, for BP1 (July 1, 2017-June 30, 2018) of the new 5-year budget cycle. GAO recognizes that it may not be appropriate to develop performance targets for every performance measure depending on the desired process or outcome; however, both agencies still have work to do in this area.
    Recommendation: To help ensure that HHS is adequately and comprehensively assessing HPP and PHEP awardees' performance and progress in meeting the medical and public health preparedness goals of the cooperative agreements, the Secretary of Health and Human Services should ensure that performance measures and targets remain consistent across the 5-year project cycle and that any future measures be comparable to determine whether awardees are making progress toward meeting short- and long-term medical and public health preparedness goals of the cooperative agreements.

    Agency: Department of Health and Human Services
    Status: Open

    Comments: Since we first examined the HPP and PHEP cooperative agreements in 2012, ASPR and CDC had made efforts to maintain consistency in their performance measures, particularly in the last 3 years of the prior project cycle which ended June 30, 2017. However, because part of the recommendation includes consistency of performance measures into future project cycles, we also examined whether both cooperative agreements continued to use basically the same performance measures into the current 5-year cycle, which began July 1, 2017. ASPR's HPP has made a significant change in its performance measures, introducing a new set of 28 performance measures for this new 5-year cycle. CDC's PHEP performance measures generally remained consistent in the last two budget periods of the prior 5-year cycle, and remained generally the same for the first year of the new 5-year cycle (some measures were "retired," though key components from a measure may continue to be used by CDC in other types of reviews). As a result of the change to HPP's measures, GAO anticipates keeping this recommendation open at least for the next few budget periods, in order to determine whether HPP maintains consistency with its new performance measures during the new project cycle.
    Director: Pickup, Sharon L
    Phone: (202)512-9619

    2 open recommendations
    Recommendation: To enhance DOD's ability to set strategic direction for its business transformation efforts, better assess overall progress toward business transformation goals, and take any necessary corrective actions, the Secretary of Defense should direct the Deputy Secretary of Defense, in his capacity as the Chief Management Officer (CMO), to ensure that the SMP includes a description of the key business transformation challenges to be addressed, sufficient context for why specific goals and strategies were chosen, and measures to address core activities.

    Agency: Department of Defense
    Status: Open

    Comments: DOD partially concurred with this recommendation, noting that future releases of the Strategic Management Plan will include key business transformation challenges, context for the inclusion of specific goals and strategies, and measures to address core activities. However, in its response, DOD also noted that the Department's senior leaders will continue to make strategic choices about which broad goals are most important and, within those goals, on which initiatives and key indicators they will focus their management attention. On July 1, 2013, DOD issued the FY 2014-2015 Strategic Management Plan. DOD subsequently issued its Agency Strategic Plan in place of the Strategic Management Plan to comply with GPRA Act Modernization Act requirements. In May 2017, the Acting Deputy Chief Management Officer (DCMO) issued a memorandum to DOD components. The memo directed implementation of DOD's Agency Reform Plan and a strategic planning framework, including the Agency Strategic Plan. As part of DOD's Agency Reform plan and strategic planning framework, each component is tasked with reviewing all business operations and proposing reform initiatives to improve efficiency, effectiveness, and accountability. The initial deadline for this review is September 2017. As part of the terms of reference, DOD components are also asked to identify goals and measures to monitor progress. We believe that the identification of reform initiatives will meet the intent of this recommendation. We will confirm after September 2017 that these initiatives have been identified.
    Recommendation: To enhance DOD's ability to set strategic direction for its business transformation efforts, better assess overall progress toward business transformation goals, and take any necessary corrective actions, the Secretary of Defense should direct the Deputy Secretary of Defense, in his capacity as the CMO, to further define DOD's performance management approach, by outlining elements such as how it will consider the various sources of performance information along with SMP performance results to monitor progress in achieving business goals and identify corrective actions and ensure this information is reviewed on a regular basis.

    Agency: Department of Defense
    Status: Open

    Comments: DOD concurred with this recommendation, noting that the Department will continue to improve and institutionalize operations of the Defense Business Council to provide unified direction and leadership to efficiently and effectively manage the DOD business mission area. However, as of July 31, 2013, the Secretary of Defense had not issued any guidance directing the Deputy Secretary of Defense to further define DOD's performance management approach for business transformation, nor had the Deputy Secretary of Defense issued any guidance defining this approach. DOD subsequently issued its Agency Strategic Plan in place of the Strategic Management Plan to comply with GPRA Act Modernization Act requirements. In May 2017, the Acting DCMO issued a memorandum outlining to DOD components. The memo directed implementation of DOD's Agency Reform Plan and a strategic planning framework, including the Agency Strategic Plan. The DOD strategic planning framework is intended to align DOD core business functions with the Office of Management and Budget's Agency Reform Plan categories. DOD expects to complete this framework in September 2017. As part of this framework, DOD components are tasked with conducting thorough reviews of their business operations, identifying reform initiatives, and developing performance goals and measures to monitor and assess implementation of reform initiatives. We believe the establishment of this framework will meet the intent of our recommendation. We will confirm after September 2017 that this framework has been completed.
    Director: Caldwell, Stephen L
    Phone: (202)512-9610

    1 open recommendations
    Recommendation: To address long-standing challenges that continue to hinder regional preparedness efforts in the NCR, the FEMA Administrator should require that the Director of NCRC assist regional officials in developing measures to better assess the implementation of the NCR's strategic plan.

    Agency: Department of Homeland Security: Directorate of Emergency Preparedness and Response: Federal Emergency Management Agency
    Status: Open

    Comments: In May 2017, FEMA officials reported that (1) efforts to update the NCR Homeland Security Strategic Plan had been delayed o provide more time to determine targets for each core capability, and in light of anticipated changes in the NCR homeland security and emergency management governance structure; (2) FEMA's 's Office of National Capital Region Coordination (ONCRC) held a kick-off meeting of a new NCR Strategic Plan Working Group in February 2017; and (3) the working group will continue development of the new plan with a revised estimated completion date of November 2017.
    Director: Cosgrove, James C
    Phone: (202) 512-7114

    2 open recommendations
    Recommendation: As CMS continues to implement and refine the Value Modifier program to enhance the quality and efficiency of physician care, the Administrator of CMS should consider whether certain private-sector practices could broaden and strengthen the program's incentives. Specifically, she should consider (1) developing at least some performance benchmarks that reward physicians for improvement as well as for meeting absolute performance benchmarks, and (2) making Value Modifier adjustments more timely in order to better reflect recent physician performance.

    Agency: Department of Health and Human Services: Centers for Medicare and Medicaid Services
    Status: Open

    Comments: CMS stated that it is working to implement GAO's recommendation. Previously, the agency noted that it would investigate accelerating the timeline of the Value Modifier, keeping in mind reporting requirements, data availability, and the need for valid and reliable measures. In addition, Congress passed legislation in 2015 requiring CMS to incorporate certain benchmark methodology and timing aspects that reflect GAO's 2013 recommendation, and the agency is replacing the Value Modifier with a new merit-based incentive payment system. CMS's efforts may, in time, address GAO recommendations to improve performance benchmarks and the timeliness of payment adjustments, but they have yet to be fully implemented. As of August 2017, CMS officials have not implemented this recommendation. GAO considers it to be open. We will update the status of this recommendation when we receive additional information.
    Recommendation: The Administrator should develop a strategy to reliably measure the performance of solo and small physician practices, such as by aggregating their performance data to create informal practice groups.

    Agency: Department of Health and Human Services: Centers for Medicare and Medicaid Services
    Status: Open

    Comments: CMS stated that it is working to implement GAO's recommendation to measure the performance of solo and small physician practices. CMS included in its Value Modifier policies the amount of payment adjustments for solo and small physician practices, along with the parameters for measurement. In addition, Congress passed legislation in 2015 requiring CMS to establish a process to allow solo and physician practices under ten eligible professionals to be measured in a virtual group, and the agency is replacing the Value Modifier with a new merit-based incentive payment system. CMS's efforts may, in time, address GAO recommendations to reliably measure the performance of solo and small physician practices, but they have yet to be fully implemented. As of August 2017, CMS officials have not implemented this recommendation. GAO considers it to be open. We will update the status of this recommendation when we receive additional information.
    Director: Draper, Debra A
    Phone: (202) 512-7114

    4 open recommendations
    including 2 priority recommendations
    Recommendation: To ensure reliable measurement of veterans' wait times for medical appointments, the Secretary of VA should direct the Under Secretary for Health to take actions to improve the reliability of wait time measures either by clarifying the scheduling policy to better define the desired date, or by identifying clearer wait time measures that are not subject to interpretation and prone to scheduler error.

    Agency: Department of Veterans Affairs
    Status: Open
    Priority recommendation

    Comments: VA concurred with our recommendations to revise its scheduling policy to implement more reliable wait time measures and require all schedulers to complete standardized training on a revised scheduling policy. In July 2016, VA published VHA Directive 1230-Outpatient Scheduling Processes and Procedures, which updated and replaced the prior policy. Although the updated directive provides new instructions for scheduling appointments, the new instructions, which form the basis for measuring wait times, are still subject to scheduler interpretation, making training vital to consistent and accurate implementation of the policy. According to VHA, Directive 1230 was developed to correspond with a technical enhancement to the scheduling system, known as the Vista Scheduling Enhancement (VSE), which will also require training. As of November 2016, VHA reported that the majority of staff with scheduling access had been trained on the new directive and that separate training on VSE was scheduled to begin in February 2017. GAO cannot assess whether VHA scheduling staff are accurately implementing the new scheduling policy until the VSE roll-out is complete and all relevant staff are trained on the new system.
    Recommendation: To better facilitate timely medical appointment scheduling and improve the efficiency and oversight of the scheduling process,the Secretary of VA should direct the Under Secretary for Health to take actions to ensure that VAMCs consistently and accurately implement VHA's scheduling policy, including use of the electronic wait list, as well as ensuring that all staff with access to the VistA scheduling system complete the required training.

    Agency: Department of Veterans Affairs
    Status: Open
    Priority recommendation

    Comments: VA concurred with our recommendations to revise its scheduling policy to implement more reliable wait time measures and require all schedulers to complete standardized training on a revised scheduling policy. In July 2016, VA published VHA Directive 1230-Outpatient Scheduling Processes and Procedures, which updated and replaced the prior policy. Although the updated directive provides new instructions for scheduling appointments, the new instructions, which form the basis for measuring wait times, are still subject to scheduler interpretation, making training vital to consistent and accurate implementation of the policy. According to VHA, Directive 1230 was developed to correspond with a technical enhancement to the scheduling system,known as the Vista Scheduling Enhancement (VSE), which will also require training. As of November 2016, VHA reported that the majority of staff with scheduling access had been trained on the new directive and that separate training on VSE was scheduled to begin in February 2017. GAO cannot assess whether VHA scheduling staff are accurately implementing the new scheduling policy until the VSE roll-out is complete and all relevant staff are trained on the new system.
    Recommendation: To improve timely medical appointment scheduling, the Secretary of VA should direct the Under Secretary for Health to develop a policy that requires VAMCs to routinely assess clinics' scheduling needs and resources to ensure that the allocation of staffing resources is responsive to the demand for scheduling medical appointments.

    Agency: Department of Veterans Affairs
    Status: Open

    Comments: VA concurred with this recommendation and noted that it would ask VA facilities to routinely assess clinics' availability and ensure staff are distributed to meet access standards for clinics, as well as revising and implementing improved clinic management tools. In February 2015, VHA noted that it had finalized a Scheduling Resource Assessment report to address this recommendation. In December 2016, VHA noted that the Scheduling Resource Assessment tool had been further enhanced and clarified that the training for this tool is not mandatory and use of the tool is optional. Although VHA has developed this and other tools, such as the Clinic Access Report, Wait Time List Report, Missed Opportunity report, it has not developed and implemented a policy that requires VAMCs to routinely assess clinics' scheduling needs and resources. Without such policy, we believe it is not clear how these tools should be used together or who is responsible for assessing scheduling needs and resources and for making operational decisions. To close this recommendation, VA needs to develop a policy that requires its medical centers to routinely assess clinics' scheduling needs and resources to ensure that the allocation of staffing resources is responsive to the demand for scheduling medical appointments.
    Recommendation: To improve timely medical appointments and to address patient and staff complaints about telephone access,the Secretary of VA should direct the Under Secretary for Health to ensure that all VAMCs provide oversight of telephone access and implement best practices outlined in its telephone systems improvement guide.

    Agency: Department of Veterans Affairs
    Status: Open

    Comments: VA concurred with this recommendation and stated that VISN and VA Medical Center leadership would use best practices to develop and implement improved telephone service plans. As of March 2015, VHA had developed a standardized telephone assessment tool and requested that facilities that care for 5,000 or more veterans complete the assessment and select actions for improvement based on its existing telephone systems improvement guide. Based on this request, VHA received telephone assessment and improvement plans from 286 facilities that care for 5,000 or more veterans. VHA is monitoring the facilities' telephone performance and is re-baselining call center infrastructure at each facility with a survey and new performance goals. In September 2015, VHA issued an updated Telephone Access and Contact Management Improvement Guide. VHA has also drafted an update to its directive on telephone access, but as of January 2017, it had not been published.
    Director: Sherrill, Andrew
    Phone: (202) 512-7215

    1 open recommendations
    Recommendation: To enhance collaboration among the various entities involved in delivering employment services to military spouses and to better monitor the effectiveness of these services, the Secretary of Defense should consider incorporating key practices to sustain and enhance collaboration when developing and finalizing its spouse employment guidance, such as agreeing on roles and responsibilities and developing compatible policies and procedures.

    Agency: Department of Defense
    Status: Open

    Comments: DOD partially concurred with this recommendation. While DOD said it would incorporate collaboration practices as the Spouse Education and Career Opportunities (SECO) program matures, it has already taken initial action in this area. For example, DOD noted that it created the advisory group, as well as partnerships developed with various organizations. These are laudable efforts, however, they do not directly address the specifics of our recommendation to develop and finalize guidance for spouse employment programs. Incorporating key collaboration practices into the guidance that DOD is developing, such as agreeing on roles and responsibilities, would be beneficial. In September 2014, the agency reported that the Spouse Education and Career Opportunities (SECO) program drafted a DoD Instruction (DoDI) and Field Guide that outlines roles and responsibilities and establishes compatible policies and procedures across DoD and MSEP programs. These documents include coordination from the Spouse Ambassador Network (SAN). A SECO DoDI Working Group will be convened in FY15 to assist in policy development and coordination. The estimated date of completion for the SECO DoDI and Field Guide was originally December 2015 but DOD reported in 2016 that possible coordination through the Federal Register may delay final publication until early 2016. SECO drafted a SECO Performance Management Plan that documents all elements of the comprehensive, integrated SECO program, including SECO Processes (Programs and Services), SECO Outputs (Products), SECO Outcomes (Product Results), and SECO Impact Evaluation (Product Effectiveness targets and measures). Due to its comprehensive nature, this tool will be tested and further refined during FY15.
    Director: Powner, David A
    Phone: (202) 512-9286

    2 open recommendations
    Recommendation: The Secretary of Transportation should designate a senior agency official who has departmentwide responsibility, accountability, and authority for geospatial information issues. The Secretary of Transportation direct the designated senior official for geospatial information to prepare, maintain, publish, and implement a strategy for advancing geographic information and related geospatial data activities appropriate to its mission.

    Agency: Department of Transportation
    Status: Open

    Comments: In July 2016, a Transportation official told GAO that the department had completed a draft of the geospatial strategic plan that month. According to a Transportation official, as of March 1, 2017, the draft was under review. On September 8, 2017, a Transportation official stated that the department plans to issue the plan by November 1, 2017.
    Recommendation: To improve OMB oversight of geospatial information and assets, and minimize duplication of federal geospatial investments, the Director of OMB should develop a mechanism, or modify existing mechanisms, to identify and report annually on all geospatial related investments, including dollars invested and the nature of the investment.

    Agency: Executive Office of the President: Office of Management and Budget
    Status: Open

    Comments: OMB has made progress in developing a way to identify and report annually on all geospatial-related investments, but has not completed its efforts. In March 2014, the Federal Geographic Data Committee (FGDC) issued its National Geospatial Data Asset (NGDA) Management Plan. The plan was developed in conjunction with OMB officials. One of the objectives of the plan is to develop and apply a standard definition of a geospatial investment in order to facilitate reporting on budgeted geospatial data investments, due to the fact that different definitions are being used by OMB, the FGDC community, and individual agencies. There are two supporting actions for this objective. The first action was completed with the finalization and issuance of the FGDC's Geospatial Investment Definitions for Tracking and Reporting Geospatial Investment Costs document in April 2016. The document contains a set of geospatial definitions with specific examples for each. The second action is for the geospatial community to apply the definitions in submissions to OMB during the annual federal government budget planning and reporting process. According to FGDC officials, they expect this to be challenging for a number of reasons, including the need for agencies to determine how they can align their investment tracking systems to accommodate the new definitions and the extent to which agencies will be able to use a common reporting capability. As a result, a two-pronged approach is being used. First, FGDC developed a reporting method using the theme implementation plans to support federal geospatial data investment tracking. For example, in February 2017, an official provided an implementation plan from January 2017 which included an estimate of the amount of time federal employees spent on NGDA work, and reported this as a percentage of full-time equivalents. Second, OMB worked with FGDC to revise geospatial investment reporting guidance found in OMB Circular No. A-11. Starting with fiscal year 2018 allocations (Circular No. A-11 revised July 2016), agencies are required to report on annual aggregated geospatial data investments of $100,000 or greater using the Marketplace feature of the Geospatial Platform. According to an agency official, this approach leverages existing, federal government-wide reporting methods already in place and minimizes the potential for agencies to implement separate, potentially duplicative reporting mechanisms that are not integrated with existing OMB reporting procedures. According to OMB officials as of September 7, 2017, OMB anticipates that since fiscal year 2018 will be the first year of implementation, some agencies may have challenges identifying and reporting their data. As a result, OMB states that the content and completeness of the reported information will need to be evaluated prior to determining its fitness and application for overseeing geospatial investments.
    Director: Dillingham, Gerald L
    Phone: (202)512-2834

    3 open recommendations
    Recommendation: To enhance FAA's efforts to improve general aviation safety, the Secretary of Transportation should direct the FAA Administrator to improve measures of general aviation activity by requiring the collection of the number of hours that general aviation aircraft fly over a period of time (flight hours). FAA should explore ways to do this that minimize the impact on the general aviation community, such as by collecting the data at regular events (e.g., during registration renewals or at annual maintenance inspections) that are already required.

    Agency: Department of Transportation
    Status: Open

    Comments: In August 2017, GAO confirmed that FAA's collection of flight hour data during registration renewals or annual maintenance inspections is not feasible because it would require rulemaking and potentially have a significant economic and paperwork impact on the GA community. FAA noted that, although previously the GA Activity Survey was somewhat limited for collecting more extensive flight hour data, improvements to the survey regarding flight hour data collection have resulted in a low standard error of 1.1 percent, which means that the agency and industry can have confidence in the aggregate results regarding how GA is operated in the national airspace system. While there may have been methodological improvements to the survey, FAA's response indicates that it does not require the collection of GA flight hour data. GAO maintains that estimates from the survey still may not be sufficient for drawing conclusions about changes in crash rates over time and that more precise flight hour data could allow FAA to better target its safety efforts within the general aviation community.
    Recommendation: To enhance FAA's efforts to improve general aviation safety, and to ensure that ongoing safety issues are addressed, the Secretary of Transportation should direct the FAA Administrator to set specific general aviation safety improvement goals--such as targets for fatal accident reductions--for individual industry segments using a datadriven, risk management approach.

    Agency: Department of Transportation
    Status: Open

    Comments: GAO confirmed in August 2017 that FAA's General Aviation Joint Steering Committee has undertaken a data-driven approach to resolving and mitigating the risks associated with all General Aviation (GA) fatal accidents and is exploring different metrics for monitoring individual industry segments utilizing tools such as the GA Activity Survey but that credible metrics for each industry sub-sector are currently not feasible. However, our recommendation was for FAA to develop metrics for industry segments because we found a variety of differences in accident and fatality rates among industry segments and believe that focusing on segments with higher instances of both is a better use of FAA's limited resources.
    Recommendation: To enhance FAA's efforts to improve general aviation safety, and to determine whether the programs and activities underlying the 5-year strategy are successful and if additional actions are needed, the Secretary of Transportation should direct the FAA Administrator to develop performance measures for each significant program and activity underlying the 5-year strategy.

    Agency: Department of Transportation
    Status: Open

    Comments: GAO confirmed in August 2017 that FAA has established performance metrics for the activities underlying the 5-year strategy and that the GA fatal accident rate remains its primary performance measure. FAA also reported that additional performance measures would be developed in association with the General Aviation Joint Steering Committee working groups. However, FAA has provided no documentation of its metrics for the associated activities underlying the 5-year strategy therefore this recommendation remains open.
    Director: Draper, Debra A
    Phone: (202)512-3000

    6 open recommendations
    Recommendation: To facilitate the departments' current collaboration efforts, VA and DOD should systematically identify areas where department-level actions could help address significant barriers that hinder collaboration. Specifically, the Secretaries of Veterans Affairs and Defense should expedite and communicate a plan with time frames for when iEHR solutions will be made available to joint ventures and other collaboration sites.

    Agency: Department of Defense
    Status: Open

    Comments: As of July 2017, DOD officials have not implemented this recommendation. GAO considers it to be open. We will update the status of this recommendation when we receive additional information
    Recommendation: To facilitate the departments' current collaboration efforts, VA and DOD should systematically identify areas where department-level actions could help address significant barriers that hinder collaboration. Specifically, the Secretaries of Veterans Affairs and Defense should expedite and communicate a plan with time frames for when iEHR solutions will be made available to joint ventures and other collaboration sites.

    Agency: Department of Veterans Affairs
    Status: Open

    Comments: As of July 2017, DOD officials have not implemented this recommendation. GAO considers it to be open. We will update the status of this recommendation when we receive additional information
    Recommendation: To facilitate the departments' current collaboration efforts, VA and DOD should systematically identify areas where department-level actions could help address significant barriers that hinder collaboration. Specifically, the Secretaries of Veterans Affairs and Defense should take steps to resolve problems with collaboration sites' incompatible business and administrative processes, including reimbursement for services, collection of workload information, dual credentialing, and computer security training.

    Agency: Department of Defense
    Status: Open

    Comments: As of July 2017, DOD officials have not implemented this recommendation. GAO considers it to be open. We will update the status of this recommendation when we receive additional information
    Recommendation: To facilitate the departments' current collaboration efforts, VA and DOD should systematically identify areas where department-level actions could help address significant barriers that hinder collaboration. Specifically, the Secretaries of Veterans Affairs and Defense should take steps to resolve problems with collaboration sites' incompatible business and administrative processes, including reimbursement for services, collection of workload information, dual credentialing, and computer security training.

    Agency: Department of Veterans Affairs
    Status: Open

    Comments: As of July 2017, DOD officials have not implemented this recommendation. GAO considers it to be open. We will update the status of this recommendation when we receive additional information
    Recommendation: To facilitate the departments' current collaboration efforts, VA and DOD should systematically identify areas where department-level actions could help address significant barriers that hinder collaboration. Specifically, the Secretaries of Veterans Affairs and Defense should clarify, as part of the newly initiated joint efforts to address base access, departmental guidance regarding collaboration to include a discussion of base access issues that local officials should consider when discussing and planning collaboration efforts; this could include a discussion of successful approaches that current collaboration sites have adopted to facilitate base access for veterans and their escorts.

    Agency: Department of Defense
    Status: Open

    Comments: As of July 2017, DOD officials have not implemented this recommendation. GAO considers it to be open. We will update the status of this recommendation when we receive additional information
    Recommendation: To facilitate the departments' current collaboration efforts, VA and DOD should systematically identify areas where department-level actions could help address significant barriers that hinder collaboration. Specifically, the Secretaries of Veterans Affairs and Defense should clarify, as part of the newly initiated joint efforts to address base access, departmental guidance regarding collaboration to include a discussion of base access issues that local officials should consider when discussing and planning collaboration efforts; this could include a discussion of successful approaches that current collaboration sites have adopted to facilitate base access for veterans and their escorts.

    Agency: Department of Veterans Affairs
    Status: Open

    Comments: As of July 2017, DOD officials have not implemented this recommendation. GAO considers it to be open. We will update the status of this recommendation when we receive additional information
    Director: Farrell, Brenda S
    Phone: (202) 512-3604

    3 open recommendations
    Recommendation: To help ensure that Congress has the necessary information to provide effective oversight over DOD's civilian workforce, the Secretary of Defense should direct the Under Secretary of Defense for Personnel and Readiness to conduct competency gap analyses for DOD's mission-critical occupations and report the results. When managers cannot conduct such analyses, DOD should report a timeline in the strategic workforce plan for providing these assessments.

    Agency: Department of Defense
    Status: Open

    Comments: In August 2014, officials with the Defense Civilian Personnel Advisory Service responsible for developing DOD's strategic workforce plans stated that results from the Defense Competency Assessment Tool, which the department began using in 2014 and provides for competency gap assessment of the department's mission-critical occupations and other major civilian occupations, would be reported in the department's next strategic workforce plan to be published in 2015. Update (9/9/2016): Defense Civilian Personnel Advisory Service officials indicated that this recommendation will be addressed when an updated strategic plan is issued in late calendar year 2016.
    Recommendation: To help ensure that the data presented in DOD's strategic workforce plans are current and timely, the Secretary of Defense should direct the Under Secretary of Defense for Personnel and Readiness to establish and adhere to timelines that will ensure issuance of future strategic workforce plans in accordance with statutory timeframes.

    Agency: Department of Defense
    Status: Open

    Comments: In August 2014, officials with the Defense Civilian Personnel Advisory Service responsible for developing DOD's strategic workforce plans stated that the current planning cycle for the department's strategic workforce plans are in line with statutory timeframes. As such, DOD's next strategic workforce plan is expected to be issued in accordance with those timeframes. Update (9/9/2016): Defense Civilian Personnel Advisory Service officials indicated that this recommendation will be addressed when an updated strategic plan is issued in late calendar year 2016.
    Recommendation: To enhance the information that DOD provides Congress in its strategic workforce plan, the Secretary of Defense should direct the Under Secretary of Defense for Personnel and Readiness to provide guidance for developing future strategic workforce plans that clearly directs the functional communities to collect information that identifies not only the number or percentage of personnel in its military, civilian, and contractor workforces but also the capabilities of the appropriate mix of those three workforces.

    Agency: Department of Defense
    Status: Open

    Comments: In August 2014, officials with the Office of the Under Secretary of Defense (Personnel and Readiness), Total Force Requirements and Sourcing Policies office, stated that DOD continues to develop its Enterprise-wide Contractor Manpower Reporting Application, which will allow the department to collect and report on the number and capabilities of contractors in its workforce. According to the officials, the application will not be ready for implementation until 2015. Officials with the Defense Civilian Personnel Advisory Service responsible for developing DOD's strategic workforce plans stated that once the ability to collect and report on the number of contractors exists, DOD will be able to assess and report on the appropriate mix of military, civilian, and contractor workforces and that information will be included in DOD's mandated strategic workforce plans. Update (9/9/2016): Defense Civilian Personnel Advisory Service officials indicated that this recommendation will be addressed when an updated strategic plan is issued in late calendar year 2016.
    Director: Wilshusen, Gregory C
    Phone: (202) 512-6244

    1 open recommendations
    Recommendation: To help mitigate vulnerabilities in mobile devices, the Chairman of the Federal Communications Commission should monitor progress of wireless carriers and device manufacturers in achieving their milestones and time frames once an industry baseline of mobile security safeguards has been implemented.

    Agency: Federal Communications Commission
    Status: Open

    Comments: FCC plans on monitoring the progress of wireless carriers and device manufacturers in achieving their milestones and time frames through one-on-one cyber risk management assurance meetings with service providers. FCC stated that it anticipates the meetings will begin within the next year pending the Commission's adoption of the policy statement for conducting the recommended meetings. We will validate these actions in the coming year.
    Director: Gomez, Jose A
    Phone: (202)512-4101

    2 open recommendations
    including 2 priority recommendations
    Recommendation: To ensure that the performance measures used to evaluate the TAA for Firms program demonstrate program results and to help ensure that EDA can comprehensively evaluate the effectiveness of the program, the Secretary of Commerce should broaden the program's evaluation approach, for instance, by developing additional quantifiable outcome-oriented performance goals and measures for key program areas and conducting further analysis of the data to isolate the impact of the TAA for Firms program from other influences, such as economic trends.

    Agency: Department of Commerce
    Status: Open
    Priority recommendation

    Comments: Commerce concurred with our findings and recommendations. In April 2017, EDA provided additional information on its progress in implementing our recommendation. In 2012, EDA commissioned a study to inform the development of performance metrics and evaluation methods for the TAA for Firms program. Issued in October 2014, the study provided recommendations to EDA on potential performance metrics, tested the metrics by conducting a statistical analysis of TAA for Firms clients against a control group as well as a survey, and suggested data sources for conducting future evaluations of the TAA for Firms program. According to EDA officials, the study will help provide a foundation for more robust longitudinal performance measurement and enhanced policy analysis, thereby enabling EDA to more comprehensively evaluate the program. These officials noted that, as of April 2017, EDA is continuing to collaborate with the authors of the study to help develop, validate, and implement recommended performance metrics. According to EDA officials, the authors of the study have finalized an operational toolkit containing recommended metrics and protocols for data collection and impact evaluation methods. EDA plans to review and pilot test these recommended metrics and evaluation methods to improve program evaluation. We will continue to monitor Commerce's efforts to implement our recommendation.
    Recommendation: To improve the data available to manage and evaluate the TAA for Firms program, the Secretary of Commerce should develop a data system to consistently collect, maintain, and analyze sufficiently reliable and up-to-date data on program operations and participant firms.

    Agency: Department of Commerce
    Status: Open
    Priority recommendation

    Comments: Commerce concurred with our findings and recommendations. In April 2017, EDA provided additional information on its progress in implementing our recommendation. Commerce's Office of the Chief Information Officer has undertaken a variety of activities to improve the efficiency and effectiveness of Commerce's data systems, including those of EDA. According to EDA officials, as of April 2017, EDA is evaluating its agency-wide data system and alternative systems for collecting data on program operations with which to measure program performance. According to these officials, EDA expects that the transition to the new data system for the TAA for Firms program will be completed pending the outcome of the evaluation. We will continue to monitor Commerce's efforts to implement our recommendation.
    Director: Draper, Debra A
    Phone: (202) 512-7114

    2 open recommendations
    Recommendation: To clarify IT requirements within the Executive Agreement, to enable VA and DOD to make an informed recommendation about whether the FHCC should continue after the end of the demonstration, and to provide useful information for other integrations that may be considered in the future, the Secretaries of Veterans Affairs and Defense should develop plans with clear definitions and specific deliverables, including time frames for two IT capabilities-documentation of patient care to support medical and dental operational readiness and outpatient appointment enhancements-and formalize these plans, for example, by incorporating them into the Executive Agreement.

    Agency: Department of Veterans Affairs
    Status: Open

    Comments: As of July 2017, VA and DOD officials have not implemented this recommendation. GAO considers it to be open. We will update the status of this recommendation when we receive additional information.
    Recommendation: To clarify IT requirements within the Executive Agreement, to enable VA and DOD to make an informed recommendation about whether the FHCC should continue after the end of the demonstration, and to provide useful information for other integrations that may be considered in the future, the Secretaries of Veterans Affairs and Defense should develop plans with clear definitions and specific deliverables, including time frames for two IT capabilities-documentation of patient care to support medical and dental operational readiness and outpatient appointment enhancements-and formalize these plans, for example, by incorporating them into the Executive Agreement.

    Agency: Department of Defense
    Status: Open

    Comments: As of July 2017, VA and DOD officials have not implemented this recommendation. GAO considers it to be open. We will update the status of this recommendation when we receive additional information.
    Director: Merritt, Zina Dache
    Phone: (202) 512-5257

    4 open recommendations
    Recommendation: To complete its implementation and management framework for IUID by incorporating key elements of a comprehensive management approach, such as a complete analysis of the return on investment, quantitatively-defined goals, and metrics for measuring progress, the Secretary of Defense should direct the Under Secretary of Defense for Acquisition, Technology, and Logistics to update the IUID task force report's estimates of costs and benefits by incorporating key elements of a sound investment analysis including a more complete estimate of all associated costs, an appropriate methodology for estimating benefits, and a sensitivity analysis of these estimates.

    Agency: Department of Defense
    Status: Open

    Comments: According to information provided by the Office of the Deputy Assistant Secretary of Defense for Supply Chain Integration in 2016: OSD, the military departments, and the Defense Logistics Agency are conducting activities (or planning to conduct activities) that will likely assist DOD in addressing several of the recommendations we made. We will continue to monitor DOD's activities and collect evidence as it becomes available.
    Recommendation: To enable DOD to successfully share UII data enterprisewide and integrate IUID functionality with its Enterprise Resource Planning systems, the Secretary of Defense should direct the Under Secretary of Defense for Acquisition, Technology, and Logistics to coordinate with the military services and the Defense Logistics Agency to define the requirements for using UII data across DOD and within the components' Enterprise Resource Planning systems.

    Agency: Department of Defense
    Status: Open

    Comments: According to information provided by the Office of the Deputy Assistant Secretary of Defense for Supply Chain Integration in 2016: OSD, the military departments, and the Defense Logistics Agency are conducting activities (or planning to conduct activities) that will likely assist DOD in addressing several of the recommendations we made. We will continue to monitor DOD's activities and collect evidence as it becomes available.
    Recommendation: To enable DOD to successfully share UII data enterprisewide and integrate IUID functionality with its Enterprise Resource Planning systems, the Secretary of Defense should direct the Under Secretary of Defense for Acquisition, Technology, and Logistics to coordinate with the military services and the Defense Logistics Agency to develop or revise integrated master schedules for the integration of IUID technology with the components' individual Enterprise Resource Planning systems-and between these systems-across DOD. These schedules should fully integrate distinct IUID activities.

    Agency: Department of Defense
    Status: Open

    Comments: According to information provided by the Office of the Deputy Assistant Secretary of Defense for Supply Chain Integration in 2016: OSD, the military departments, and the Defense Logistics Agency are conducting activities (or planning to conduct activities) that will likely assist DOD in addressing several of the recommendations we made. We will continue to monitor DOD's activities and collect evidence as it becomes available.
    Recommendation: The Secretary of Defense should direct the Secretary of the Navy to develop a plan to share UII data enterprisewide.

    Agency: Department of Defense
    Status: Open

    Comments: According to information provided by the Office of the Deputy Assistant Secretary of Defense for Supply Chain Integration in 2016: OSD, the military departments, and the Defense Logistics Agency are conducting activities (or planning to conduct activities) that will likely assist DOD in addressing several of the recommendations we made. We will continue to monitor DOD's activities and collect evidence as it becomes available.
    Director: Maurer, Diana C
    Phone: (202) 512-9627

    3 open recommendations
    Recommendation: To help ensure that FEMA's agencywide workforce planning and training efforts are conducted in a comprehensive and integrated manner, the FEMA Administrator should identify and document long-term and quantifiable mission critical goals that reflect the agency's priorities for workforce planning and training.

    Agency: Department of Homeland Security: Directorate of Emergency Preparedness and Response: Federal Emergency Management Agency
    Status: Open

    Comments: In October 2016, agency officials said they had contracted for the development of a Workforce Strategic Plan that is intended to assess current steady state staffing needs based on mission requirements and establish workforce models capable of determining future needs based on workload drivers. Further, they said the plan will monitor and evaluate FEMA's progress towards mission critical goals and the contribution that human capital results have made towards achieving programmatic priorities. In July 2017, they provided an updated estimate that the plan will be completed by June 2020. Pending completion of this effort, the recommendation will remain open.
    Recommendation: To help ensure that FEMA's agencywide workforce planning and training efforts are conducted in a comprehensive and integrated manner, the FEMA Administrator should establish a time frame for completing the development of quantifiable performance measures related to workforce planning and training efforts.

    Agency: Department of Homeland Security: Directorate of Emergency Preparedness and Response: Federal Emergency Management Agency
    Status: Open

    Comments: In October 2016, agency officials said they had contracted for the development of a Workforce Strategic Plan that is intended to assess current steady state staffing needs based on mission requirements and establish workforce models capable of determining future needs based on workload drivers. Once complete, they said the plan will identify performance metrics to track FEMA's progress towards mission critical goals regarding workforce planning and training efforts. In July 2017, they provided an updated estimate that the plan will be completed by September 2020. Pending completion of this effort, the recommendation will remain open.
    Recommendation: To better inform FEMA's decision-making related to agencywide workforce planning and training efforts, the FEMA Administrator should develop systematic processes to collect and analyze workforce and training data.

    Agency: Department of Homeland Security: Directorate of Emergency Preparedness and Response: Federal Emergency Management Agency
    Status: Open

    Comments: In July 2017, officials reported that FEMA's Chief Component Human Capital Office was preparing a Training Plan that will outline the collection and analysis methodology of training data with an estimated completion date of September 2018. Pending documentation of the results of these efforts this recommendation will remain open.
    Director: Maurer, Diana C
    Phone: (202) 512-9627

    1 open recommendations
    Recommendation: To help reduce the risk of duplication by strengthening DHS's administration and oversight of these programs, and to better identify and reduce the risk of duplication through improved data collection and coordination, the FEMA Administrator should take steps, when developing non disaster grant management system (ND Grants) and responding to the May 2011 FEMA report recommendations on data requirements, to ensure that FEMA collects project information with the level of detail needed to better position the agency to identify any potential unnecessary duplication within and across the four grant programs, weighing any additional costs of collecting these data.

    Agency: Department of Homeland Security: Directorate of Emergency Preparedness and Response: Federal Emergency Management Agency
    Status: Open

    Comments: As of March 2017, FEMA had taken steps to address GAO's February 2012 recommendation, but actions were not complete. For example, in fiscal year 2014, FEMA modified its existing grants data system to capture more robust project-level data--such as project budget data--for the Homeland Security Grant Program, which includes the State Homeland Security Grant Program and the Urban Areas Security Initiative. However, FEMA stated that it will not be able to use ND grants to cross-check for redundant projects across all preparedness grant programs until project-based applications are deployed for all preparedness grant programs in the system. For example, Port Security Grant Program and Transit Security Grant Program applications are not housed in the legacy grants data system that was modified to collect more specific project data. To mitigate this issue, FEMA reported that its program officers manually cross-check for redundant projects across all preparedness grant programs. Further, grant program policies call for applicants to coordinate across all preparedness grant stakeholders to help ensure unity of effort and avoid redundant investment proposals. Although future upgrades over several years to ND Grants are planned to eliminate duplication during the application process, FEMA believes the most efficient use of resources is to use current legacy systems to identify duplication in the meantime. Using this interim approach to collect more specific project-level data during the grant application process should help FEMA strengthen the administration and oversight of its grant programs until FEMA implements its long-term solution to upgrade ND Grants. However, implementing ND Grants as previously planned would better position FEMA to identify potentially unnecessary duplication within and across grant programs, as ND Grants was designed to have greater project-level enhancement capability than the legacy system.
    Director: Aloise, Eugene E
    Phone: (202)512-3000

    3 open recommendations
    Recommendation: To provide Congress with better information on the status and progress of DNN program performance and to address clarity, reliability, and balance issues in the performance measures for specific programs, the Administrator of NNSA should develop clearer measures, especially for the Nonproliferation and Verification Research and Development (R&D) program and Material Protection, Control, and Accounting (MPC&A) programs, so the requirements and scope of program efforts can be more easily understood. For the MPC&A program in particular, reconsider the practice under its performance measure of counting buildings and facilities as having "completed" MPC&A upgrades, where there is additional or ongoing security work under way or planned.

    Agency: Department of Energy: National Nuclear Security Administration
    Status: Open

    Comments: According to NNSA officials, neither the Nonproliferation and Verification R&D performance measure nor the MPC&A program performance measure were changed in response to our recommendation to provide further clarity it NNSA's performance reporting. Regarding the Nonproliferation and Verification R&D program performance measures, NNSA officials stated the measures as written provide sufficient information to program management to assess progress; regarding the MPC&A program performance measure, NNSA officials said that the measure, while unchanged, was being phased out as a performance measure due to the discontinuation of program work in Russia. GAO raised similar concerns regarding the clarity of the performance measures for the DNN R&D program -- the successor program to the Nonproliferation and Verification R&D program -- in a February 2017 report (GAO-17-210). GAO will will follow up with NNSA in fiscal year 2018 on both GAO-12-71 and GAO-17-210, including reviewing NNSA's fiscal year 2019 budget request, to assess any actions taken by the agency to clarify its publicly reported R&D performance measure.
    Recommendation: To streamline and eliminate potential for fragmentation and overlap among U.S. government programs involved in preventing and detecting smuggling of nuclear materials, equipment, and technologies overseas, the Assistant to the President for National Security Affairs should undertake--or direct and delegate an appropriate agency or agencies to undertake--a comprehensive review of the structure, scope, and composition of agencies and programs across the federal government involved in such efforts. Such a review should assess several issues, including: (1) the level of overlap and duplication among agencies and programs, especially in the provision of nuclear detection equipment and in training provided to foreign border security, customs, and law enforcement officials; (2) potential for consolidation of these functions to fewer programs and agencies; (3) the feasibility, costs, and benefits of establishing a special coordinator to preside over the allocation of U.S. counter-nuclear-smuggling assistance to foreign nations and be responsible for directing the interagency process of development, funding, and implementation of all U.S. government programs related to combating nuclear smuggling overseas; and (4) any U.S. laws that would need to be amended by Congress in order to facilitate consolidation, elimination, or other changes to existing programs.

    Agency: Executive Office of the President: Office of the Assistant to the President for National Security Affairs
    Status: Open

    Comments: As of November 2016, the Assistant to the President for National Security Affairs has not demonstrated progress on comprehensively reviewing the structure, scope, and composition of agencies and programs across the federal government involved in efforts to combat nuclear smuggling overseas, as GAO recommended in December 2011. The Assistant to the President for National Security Affairs did not comment on the December 2011 recommendation. The National Security Council Staff (NSCS), who assist the Assistant to the President for National Security Affairs, informed GAO in November 2012 that the recommendation had been provided to the appropriate NSCS directorate for consideration in the NSCS-led interagency policy committee process. However, the NSCS did not provide further information, except for stating that the issue was being addressed within the interagency process. GAO most recently contacted the NSCS for additional information in August 2016 on the actions the NSCS had taken or intended to take, if any, to implement the recommendation. In November 2016, NSCS informed GAO that they had no comments on the recommendation. In the absence of more specific information from NSCS, GAO was unable to conclude that this recommendation has been addressed.
    Recommendation: Following this review, to ensure remaining programs are being coordinated and implemented effectively, the Assistant to the President for National Security Affairs should issue new guidance that incorporates the elements of effective strategic plans, including clearly delineating the roles and missions of relevant programs, specific priorities and objectives, performance measures and targets, overall program cost estimates, and projected time frames for program completion.

    Agency: Executive Office of the President: Office of the Assistant to the President for National Security Affairs
    Status: Open

    Comments: As of November 2016, the Assistant to the President for National Security Affairs has not demonstrated progress on issuing new guidance for federal programs combating nuclear smuggling overseas that includes the elements of effective strategic plans, as GAO recommended in December 2011. The Assistant to the President for National Security Affairs did not comment on the December 2011 recommendation. The National Security Council Staff (NSCS), who assist the Assistant to the President for National Security Affairs, informed GAO in November 2012 that the recommendation had been provided to the appropriate NSCS directorate for consideration in the NSCS-led interagency policy committee process. However, NSCS did not provide further information, except for stating that the issue was being addressed within the interagency process. GAO most recently contacted the NSCS in August 2016 to request additional information on the actions the NSCS had taken or intended to take, if any, to implement the recommendation. In November 2016, NSCS informed GAO that they had no comments on the recommendation. In the absence of more specific information from NSCS, GAO was unable to conclude that this recommendation has been addressed.
    Director: Dicken, John E
    Phone: (202)512-7043

    6 open recommendations
    Recommendation: To ensure that information entered into CMS's complaints database is reliable and consistent, the Administrator of CMS should identify issues with data quality and clarify guidance to states about how particular fields in the database should be interpreted, such as what it means to substantiate a complaint.

    Agency: Department of Health and Human Services: Centers for Medicare and Medicaid Services
    Status: Open

    Comments: HHS concurred with this recommendation. In November 2014, CMS officials reported that the agency's Survey and Certification Group was in the early stages of a planned multi-year review of all of its business processes, including those related to nursing home complaint investigations. Officials stated that, as part of that review, agency staff would seek to provide clarification on all aspects of the complaint process, including what it means to substantiate a complaint. As of September 2016, CMS officials have not implemented this recommendation. GAO considers it to be open. We will update the status of this recommendation when we receive additional information.
    Recommendation: To strengthen CMS's assessment of state survey agencies' performance in the management of nursing home complaints, the Administrator of CMS should conduct additional monitoring of state performance using information from CMS's complaints database, such as additional timeliness measures.

    Agency: Department of Health and Human Services: Centers for Medicare and Medicaid Services
    Status: Open

    Comments: In November 2014, CMS officials reported that the fiscal year 2014 protocol for assessment of state agency performance includes a new measure that tracks how soon after the completion of a complaint investigation a state agency uploads data from that investigation to CMS's complaint tracking system. However, the protocol does not call for assessment of the number of days by which state survey agencies miss the deadlines for some complaint investigations--a measure that we suggested could provide a more comprehensive picture of state agency performance. As of September 2016, CMS officials have not implemented this recommendation. GAO considers it to be open. We will update the status of this recommendation when we receive additional information.
    Recommendation: To strengthen CMS's assessment of state survey agencies' performance in the management of nursing home complaints, the Administrator of CMS should assure greater consistency in assessments by identifying differences in interpretation of the performance standards and clarifying guidance to state survey agencies and CMS regional offices.

    Agency: Department of Health and Human Services: Centers for Medicare and Medicaid Services
    Status: Open

    Comments: HHS agreed that CMS needed to strengthen its assessment of state survey agencies' performance in the management of nursing home complaints. In November 2014, CMS officials reported that the agency's fiscal year 2014 protocol for assessment of state agencies' performance requires CMS regional offices to review the extent to which the states' policies are consistent with CMS policies. CMS officials acknowledged that there was some variation among states and noted that the agency's Survey and Certification Group is in the early stages of a multi-year review of all of its business processes. Officials expected this review would identify additional opportunities to improve consistency among states in the application of the performance standards. As of September 2016, CMS officials have not implemented this recommendation. GAO considers it to be open. We will update the status of this recommendation when we receive additional information.
    Recommendation: To strengthen and increase accountability of state survey agencies' management of the nursing home complaints process, the Administrator of CMS should clarify guidance to the state survey agencies about the minimum information that should be conveyed to complainants at the close of an investigation.

    Agency: Department of Health and Human Services: Centers for Medicare and Medicaid Services
    Status: Open

    Comments: HHS agreed that CMS needed to take steps to strengthen and increase accountability of state survey agencies' management of nursing home complaints. In November 2014, CMS officials reported that while they believed the CMS State Operations Manual, which specifies procedures for addressing complaints, provides significant guidance regarding the information that state agencies should convey to complainants at the close of an investigation, they would review the guidance to identify any needed changes. As of September 2016, CMS officials have not implemented this recommendation. GAO considers it to be open. We will update the status of this recommendation when we receive additional information.
    Recommendation: To strengthen and increase accountability of state survey agencies' management of the nursing home complaints process, the Administrator of CMS should provide guidance encouraging state survey agencies to prioritize complaints at the level that is warranted, not above that level.

    Agency: Department of Health and Human Services: Centers for Medicare and Medicaid Services
    Status: Open

    Comments: HHS agreed that CMS needed to take steps to strengthen and increase accountability of state survey agencies' management of the nursing home complaints process and stated that CMS would provide clarification and guidance to states to ensure complaints were prioritized at the appropriate level. However, in CMS's fiscal year 2014 protocol for assessment of state agency performance, the prioritization standard still required only that complaints be assigned a priority level at or above the level assigned by CMS reviewers. We remain concerned that defining the standard this way may create an incentive for survey agencies to prioritize some complaints at a higher level than is warranted--which could increase workload and potentially jeopardize the timeliness of investigations that warrant the higher priority level. As of September 2016, CMS officials have not implemented this recommendation. GAO considers it to be open. We will update the status of this recommendation when we receive additional information.
    Recommendation: To strengthen and increase accountability of state survey agencies' management of the nursing home complaints process, the Administrator of CMS should implement CMS's proposed plans to publish state survey agencies' scores but limit publication to those performance standards that CMS considers the most reliable and clear.

    Agency: Department of Health and Human Services: Centers for Medicare and Medicaid Services
    Status: Open

    Comments: HHS agreed that CMS needed to take steps to strengthen and increase accountability of state survey agencies' management of the nursing home complaints process and said that CMS would work with state officials and others to identify key performance information that would be of public value. In November 2014, CMS officials reported that the agency had not yet outlined a method or timetable for publishing states' performance scores. As of September 2016, CMS officials have not implemented this recommendation. GAO considers it to be open. We will update the status of this recommendation when we receive additional information.
    Director: Wise, David J
    Phone: (202)512-5731

    1 open recommendations
    Recommendation: To improve FTA's ability to determine the extent to which transit grants, current formula incentives, and FTA program activities have had a positive effect on local transit agency performance--and to the extent that FTA finds current data sources to be appropriate and reliable for such purposes-- the Secretary of Transportation should direct the FTA Administrator to further analyze and use data submitted to FTA by local transit agencies. As part of this analysis, FTA may want to identify and evaluate, when applicable, (1) the extent to which transit grant programs are accomplishing their established goals; (2) the areas of performance in which FTA should concentrate its program activities to increase the performance of local transit agencies and the federal transit program in general; and (3) the extent to which formula incentives and other performance accountability mechanisms have influenced the activities and performance of local transit agencies.

    Agency: Department of Transportation
    Status: Open

    Comments: As of July 2017, FTA had published the final National Safety Plan and a final rule on state of good repair for transit assets. However, the final Public Transportation Agency Safety Plan rule is under additional review per the transition in administration. FTA does not expect publication until the end of this calendar year at the earliest. We will continue to monitor DOT actions pertaining to this rulemaking.
    Director: Herr, Phillip R
    Phone: (202) 512-8509

    3 open recommendations
    Recommendation: To support the triennial review program's goal of having grantees consistently meet more federal requirements, the Secretary of Transportation should direct the FTA Administrator to meet standards set forth in previous GAO work, based on the Government Performance and Results Act of 1993, and develop performance measures to assess: (1) the outcomes of the triennial review program, such as a method for evaluating improvements in grantee performance in meeting more federal requirements over time (2) and the quality of the triennial review through improved contractor oversight, testing, or inspection.

    Agency: Department of Transportation
    Status: Open

    Comments: Federal Transit Administration (FTA) responded to our recommendations stating that it plans to improve the quality of oversight reviews. Actions aimed to improve quality are: (1) increasing oversight of contractors by emphasizing regional and headquarters' participation in all on-site triennial reviews and (2) increasing annual oversight conference participation and quarterly review workshops that focus on improving performance measures. These activities were to be specified in new procedures coming out in 2011.
    Recommendation: To support the triennial review program's goal of having grantees consistently meet more federal requirements, the Secretary of Transportation should direct the FTA Administrator to improve the objectivity and reliability of the "Close Findings Timely" performance measure by: (1) developing an internal controls process to verify grantees have satisfactorily resolved findings before closing them (2) continuing to emphasize the use of OTRAK across all regions and developing a process to close out triennial reviews in OTRAK upon grantees' completion of corrective actions.

    Agency: Department of Transportation
    Status: Open

    Comments: Federal Transit Administration (FTA) is working to strengthen the internal control process for closing out triennial review findings. Specifically, it is drafting operating procedures indicating that (1) the regional offices have the primary responsibility to provide the necessary technical assistance to grantees to close-out findings as well as ensure the findings are not closed-out prematurely and (2) program managers have a secondary responsibility to verify whether the findings were closed out properly. The procedures were to be issued in October 2010.
    Recommendation: To support the triennial review program's goal of having grantees consistently meet more federal requirements, the Secretary of Transportation should direct the FTA to ensure that additional outcome and quality performance measures are balanced with the existing measures for assessing the timeliness of the triennial review program so that one priority is not emphasized at the expense of others.

    Agency: Department of Transportation
    Status: Open

    Comments: Federal Transit Administration (FTA) anticipates adding a performance measurement, called reduction in repeat findings, that relates to assessing the quality of the review. FTA officials told us that this new performance measurement is noncontroversial and was to be discussed at a June 2012 Oversight Meeting.