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    Subject Term: "Research and development budgets"

    5 publications with a total of 8 open recommendations
    Director: John Neumann
    Phone: (202) 512-3841

    2 open recommendations
    Recommendation: To ensure full compliance with SBIR and STTR spending and reporting requirements, the Secretary of Defense and the EPA Administrator should establish procedures to collect and submit obligations data or--through SBA, independently, or through a working group of agencies participating in the SBIR and STTR programs--propose to Congress an alternative methodology for calculating spending requirements for their agencies.

    Agency: Department of Defense
    Status: Open

    Comments: DOD concurred with the recommendation in its comments on the draft report. In its June 2017 response to the final report, DOD stated that its position had not changed, but did not provide information on its plans for implementing the recommendation. We will continue to follow up on the status of this recommendation.
    Recommendation: To ensure full compliance with SBIR and STTR spending and reporting requirements, the Secretary of Defense and the EPA Administrator should establish procedures to collect and submit obligations data or--through SBA, independently, or through a working group of agencies participating in the SBIR and STTR programs--propose to Congress an alternative methodology for calculating spending requirements for their agencies.

    Agency: Environmental Protection Agency
    Status: Open

    Comments: In its comments on the draft report, EPA concurred with the recommendation and stated that EPA will work with SBA to develop an alternative methodology for calculating spending requirements. In its August 2017 response to the final report, EPA confirmed its intent to work with SBA to develop an alternative methodology, but did not provide plans to implement the recommendation. We will continue to follow up on the status of this recommendation.
    Director: Dillingham, Gerald L
    Phone: (202) 512-2834

    3 open recommendations
    Recommendation: To help FAA better manage and oversee its portfolio of R&D activities, the Secretary of Transportation should direct the FAA to take a more strategic approach to identifying research priorities across the agency, including developing guidance to identify long-term priorities and emerging issue areas, as part of FAA's portfolio development process.

    Agency: Department of Transportation
    Status: Open

    Comments: As of June 2017, FAA officials said they were redesigning the agency?s National Aviation Research Plan (NARP) to, among other things, better align research to agency outcomes. FAA officials said that the redesigned NARP will provide the agency a strategic view of R&D and a better understanding of the driving forces for research, such as longer term strategic needs and emerging issues. The officials also said that the redesigned NARP will allow for a more effective framework from which to prioritize research. FAA plans to finalize the redesign of the NARP by February 2019.
    Recommendation: To help FAA better manage and oversee its portfolio of R&D activities, the Secretary of Transportation should direct the FAA to clarify its portfolio development guidance to call for each Program Planning Teams to disclose the process it used for prioritizing and selecting research projects so that decision-making is more transparent for FAA management.

    Agency: Department of Transportation
    Status: Open

    Comments: As of June 2017, FAA officials said they were developing guidance that will require the Program Planning Teams to identify and document their process for prioritizing and selecting research projects. FAA plans to finalize the guidance by November 2017.
    Recommendation: To help FAA better manage and oversee its portfolio of R&D activities, the Secretary of Transportation should direct the FAA to develop guidance to ensure that future National Aviation Research Plans (NARP) and R&D Annual Reviews meet statutory requirements to the extent practicable, including (a) The NARP lists activities that are carried under cooperative agreements. (b) The NARP describes the rationale for the prioritized research programs. (c) The NARP identifies how resources were allocated for long-term and near-term research. (d) The NARP identifies REDAC recommendations that are accepted, not accepted, and the reasons for non-acceptance. (e) The NARP provides a detailed description of technology transfer to government, industry, and academia. (f) The Annual Review describes new technologies developed and the dissemination of research results to the private sector. (g) The Annual Review allows a comparison to the NARP. (h) The Annual Review is prepared and presented in accordance with agency performance reporting requirements.

    Agency: Department of Transportation
    Status: Open

    Comments: As of June 2017, FAA officials said they were redesigning the National Aviation Research Plan (NARP) and R&D Annual Review to include, among other things, information required by statute. FAA plans to finalize the redesign of the NARP and Annual Review by February 2019.
    Director: John Neumann
    Phone: (202) 512-3841

    1 open recommendations
    Recommendation: To ensure full compliance with SBIR and STTR spending and reporting requirements, the SBA Administrator should assess the methodology reporting requirement to determine whether it generates adequate information for SBA to analyze the accuracy of agencies' calculations of their extramural R&D. If SBA finds that the information is inadequate, SBA should update its guidance to require adequate information.

    Agency: Small Business Administration
    Status: Open

    Comments: In April 2016, SBA proposed expanded guidance to agencies regarding their annual methodology reports in its update to the program policy directives. The proposed guidance required agencies to include an explanation of the calculation of the total extramural research or research and development, an itemization of excluded programs, and an explanation of why the program was excluded, as well as a review of the agency's compliance with the funding requirement for the prior fiscal year and a funding plan for the current fiscal year for how the agency plans to meet or exceed the year's expected minimum obligations requirement. However, according to SBA officials, in January 2017, the policy directive was withdrawn from the Office of Management and Budget and is under further internal consideration in light of a recent executive order. As of April 2017, SBA has not established a time frame for publication of the final policy directive.
    Director: Frank Rusco
    Phone: (202) 512-3841

    1 open recommendations
    Recommendation: To improve compliance with the Small Business Act and enhance SBA's ability to provide oversight of the programs, the SBA Administrator should revise the language in the SBIR and STTR policy directives to accurately summarize the statutory provisions that describe the program spending requirements.

    Agency: Small Business Administration
    Status: Open

    Comments: In April 2016, SBA proposed an update to its SBIR and STTR policy directive to state that each participating agency must spend (obligate) the required amounts on the programs, which is consistent with the statutory provisions for program spending requirements. However, according to SBA officials, in January 2017, the policy directive was withdrawn from the Office of Management and Budget and is under further internal consideration in light of a recent executive order. As of April 2017, SBA has not established a time frame for publication of the final policy directive.
    Director: Rusco, Franklin W
    Phone: (202) 512-3841

    1 open recommendations
    Recommendation: To ensure that participating agencies and SBA comply with spending and reporting requirements for the SBIR and STTR programs, the SBA Administrator should provide Congress with a timely annual report that includes a comprehensive analysis of the methodology each agency used for calculating the SBIR and STTR spending requirements, providing a clear basis for SBA's conclusions about whether these calculations meet program requirements.

    Agency: Small Business Administration
    Status: Open

    Comments: According to SBA officials, as of April 2017, SBA had completed a draft of its report to Congress for fiscal year 2014 and planned to send it to the participating agencies and Office of Management and Budget for review after SBA completed its internal review. The officials said that the report for fiscal year 2015 is being drafted, and SBA is in the process of reviewing the participating agencies' data for fiscal year 2016, which was due to SBA in March 2017. As of April 2017, SBA did not have an anticipated issuance date for the reports to Congress for fiscal years 2014, 2015, or 2016.