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    Subject Term: "Small business"

    41 publications with a total of 188 open recommendations including 12 priority recommendations
    Director: William B. Shear
    Phone: (202) 512-8678

    20 open recommendations
    Recommendation: To address demonstrated noncompliance with section 15(k) of the Small Business Act, as amended, the Director of the Defense Logistics Agency should comply with sections 15(k)(2), (k)(7), (k)(11), and (k)(17) or report to Congress on why the agency has not complied, including seeking any statutory flexibilities or exceptions believed appropriate.

    Agency: Department of Defense: Defense Logistics 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 address demonstrated noncompliance with section 15(k) of the Small Business Act, as amended, the Secretary of Agriculture should comply with sections 15(k)(2), (k)(15), and (k)(17) or report to Congress on why the agency has not complied, including seeking any statutory flexibilities or exceptions believed appropriate.

    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 address demonstrated noncompliance with section 15(k) of the Small Business Act, as amended, the Secretary of the Army should comply with section 15(k)(8) or report to Congress on why the agency has not complied, including seeking any statutory flexibilities or exceptions believed appropriate.

    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.
    Recommendation: To address demonstrated noncompliance with section 15(k) of the Small Business Act, as amended, the Secretary of Commerce should comply with sections 15(k)(2), (k)(8), (k)(11), and (k)(17) or report to Congress on why the agency has not complied, including seeking any statutory flexibilities or exceptions believed appropriate.

    Agency: Department of Commerce
    Status: Open

    Comments: When we confirm what actions the agency has taken in response to this recommendation, we will provide updated information.
    Recommendation: To address demonstrated noncompliance with section 15(k) of the Small Business Act, as amended, the Secretary of Defense should comply with sections 15(k)(5) and (k)(8) or report to Congress on why the agency has not complied, including seeking any statutory flexibilities or exceptions believed appropriate.

    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 address demonstrated noncompliance with section 15(k) of the Small Business Act, as amended, the Secretary of Education should comply with sections 15(k)(3) and (k)(11) or report to Congress on why the agency has not complied, including seeking any statutory flexibilities or exceptions believed appropriate.

    Agency: Department of Education
    Status: Open

    Comments: When we confirm what actions the agency has taken in response to this recommendation, we will provide updated information.
    Recommendation: To address demonstrated noncompliance with section 15(k) of the Small Business Act, as amended, the Secretary of Energy should comply with sections 15(k)(3), (k)(8), and (k)(17) or report to Congress on why the agency has not complied, including seeking any statutory flexibilities or exceptions believed appropriate.

    Agency: Department of Energy
    Status: Open

    Comments: When we confirm what actions the agency has taken in response to this recommendation, we will provide updated information.
    Recommendation: To address demonstrated noncompliance with section 15(k) of the Small Business Act, as amended, the Secretary of Housing and Urban Development should comply with sections 15(k) and (k)(11) or report to Congress on why the agency has not complied, including seeking any statutory flexibilities or exceptions believed appropriate.

    Agency: Department of Housing and Urban Development
    Status: Open

    Comments: When we confirm what actions the agency has taken in response to this recommendation, we will provide updated information.
    Recommendation: To address demonstrated noncompliance with section 15(k) of the Small Business Act, as amended, the Secretary of the Interior should comply with sections 15(k)(11) and (k)(17) or report to Congress on why the agency has not complied, including seeking any statutory flexibilities or exceptions believed appropriate.

    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.
    Recommendation: To address demonstrated noncompliance with section 15(k) of the Small Business Act, as amended, the Secretary of Labor should comply with sections 15(k)(2) and (k)(15) or report to Congress on why the agency has not complied, including seeking any statutory flexibilities or exceptions believed appropriate.

    Agency: Department of Labor
    Status: Open

    Comments: When we confirm what actions the agency has taken in response to this recommendation, we will provide updated information.
    Recommendation: To address demonstrated noncompliance with section 15(k) of the Small Business Act, as amended, the Secretary of the Navy should comply with section 15(k)(8) or report to Congress on why the agency has not complied, including seeking any statutory flexibilities or exceptions believed appropriate.

    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 address demonstrated noncompliance with section 15(k) of the Small Business Act, as amended, the Secretary of State should comply with sections 15(k)(8) and (k)(17) or report to Congress on why the agency has not complied, including seeking any statutory flexibilities or exceptions believed appropriate.

    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 address demonstrated noncompliance with section 15(k) of the Small Business Act, as amended, the Secretary of the Treasury should comply with sections 15(k)(8) and (k)(11) or report to Congress on why the agency has not complied, including seeking any statutory flexibilities or exceptions believed appropriate.

    Agency: Department of the Treasury
    Status: Open

    Comments: When we confirm what actions the agency has taken in response to this recommendation, we will provide updated information.
    Recommendation: To address demonstrated noncompliance with section 15(k) of the Small Business Act, as amended, the Secretary of Veterans Affairs should comply with sections 15(k)(3), (k)(8), and (k)(11) or report to Congress on why the agency has not complied, including seeking any statutory flexibilities or exceptions believed appropriate.

    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 address demonstrated noncompliance with section 15(k) of the Small Business Act, as amended, the Administrator of Environmental Protection Agency should comply with section 15(k)(15) or report to Congress on why the agency has not complied, including seeking any statutory flexibilities or exceptions believed appropriate.

    Agency: Environmental Protection 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 address demonstrated noncompliance with section 15(k) of the Small Business Act, as amended, the Administrator of the National Aeronautics and Space Administration should comply with section 15(k)(17) or report to Congress on why the agency has not complied, including seeking any statutory flexibilities or exceptions believed appropriate.

    Agency: National Aeronautics and Space Administration
    Status: Open

    Comments: When we confirm what actions the agency has taken in response to this recommendation, we will provide updated information.
    Recommendation: To address demonstrated noncompliance with section 15(k) of the Small Business Act, as amended, the Director of the Office of Personnel Management should comply with sections 15(k)(2), (k)(8), and (k)(17) or report to Congress on why the agency has not complied, including seeking any statutory flexibilities or exceptions believed appropriate.

    Agency: Office of Personnel Management
    Status: Open

    Comments: When we confirm what actions the agency has taken in response to this recommendation, we will provide updated information.
    Recommendation: To address demonstrated noncompliance with section 15(k) of the Small Business Act, as amended, the Commissioner of the Social Security Administration should comply with sections 15(k)(2), (k)(3), (k)(6), (k)(8), (k)(11), and (k)(15) or report to Congress on why the agency has not complied, including seeking any statutory flexibilities or exceptions believed appropriate.

    Agency: Social Security Administration
    Status: Open

    Comments: When we confirm what actions the agency has taken in response to this recommendation, we will provide updated information.
    Recommendation: To address demonstrated noncompliance with section 15(k) of the Small Business Act, as amended, the Administrator of the U.S. Agency for International Development should comply with sections 15(k)(15) and (k)(17) or report to Congress on why the agency has not complied, including seeking any statutory flexibilities or exceptions believed appropriate.

    Agency: United States Agency for International Development
    Status: Open

    Comments: When we confirm what actions the agency has taken in response to this recommendation, we will provide updated information.
    Recommendation: As SBA continues to enhance the SBPAC peer review process, the SBA Administrator in her capacity as head of SBPAC should include more detailed guidelines than those used for the current process to facilitate a more in-depth review of agencies' compliance with section 15(k) requirements.

    Agency: Small Business Administration
    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

    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: Paula M. Rascona
    Phone: (202) 512-9816

    2 open recommendations
    including 2 priority recommendations
    Recommendation: The Director of OMB and the Secretary of the Treasury should establish mechanisms to assess the results of independent audits and reviews of agencies' compliance with the DATA Act requirements, including those of agency OIGs, to help inform full implementation of the act's requirements across government.

    Agency: Department of the Treasury
    Status: Open
    Priority recommendation

    Comments: Treasury stated it will establish mechanisms to assess the results of independent audits and reviews of agencies' compliance with the DATA Act requirements, including those of agency OIGs. Treasury also stated these mechanisms will inform Treasury's efforts on whether and how to tailor its future outreach efforts to help agencies meet their DATA Act requirements. We will continue to assess Treasury's efforts to address this recommendation as IGs plan to issue their required reports in November 2017.
    Recommendation: The Director of OMB and the Secretary of the Treasury should establish mechanisms to assess the results of independent audits and reviews of agencies' compliance with the DATA Act requirements, including those of agency OIGs, to help inform full implementation of the act's requirements across government.

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

    Comments: OMB stated that it reviewed available IG readiness review reports in its assessment of agency implementation efforts, and it also relied on other, more up-to-date sources of information from agencies including data obtained from one-on-one meetings and agency self-assessments. We will continue to assess OMB's efforts to address this recommendation as IGs plan to issue their required reports in November 2017.
    Director: John Neumann
    Phone: (202) 512-3841

    8 open recommendations
    Recommendation: To help improve agencies' implementation of the fraud, waste, and abuse prevention requirements in the policy directives, the Administrator of SBA should confirm that each SBIR and STTR agency is implementing the minimum fraud, waste, and abuse prevention requirements in the policy directives, by, for example, requesting documentation from agencies.

    Agency: Small Business Administration
    Status: Open

    Comments: In its comments on the draft report, SBA concurred with this recommendation. In its June 2017 letter on plans for implementing the recommendation, SBA stated that it will request that each participating agency confirm their implementation of its minimum fraud, waste, and Abuse prevention requirements by forwarding an email to each agency requesting confirmation of their compliance. We will review SBA's actions to address this recommendation once those actions are complete.
    Recommendation: To help improve agencies' implementation of the fraud, waste, and abuse prevention requirements in the policy directives, the Administrator of SBA should request input from the participating agencies regarding the clarity of the requirements; review all of the SBIR and STTR minimum fraud, waste, and abuse prevention requirements, including the agency requirement to post information about successful SBIR or STTR fraud prosecutions; determine whether any additional guidance is needed; and revise the policy directives accordingly.

    Agency: Small Business Administration
    Status: Open

    Comments: In its comments on the draft report, SBA concurred with this recommendation. In its June 2017 letter on plans for implementing the recommendation, SBA stated that it plans to discuss the issue with program managers at an upcoming meeting and will also contact all agencies in writing to inquire if additional clarity is needed regarding any of the FWA requirements. SBA said that additional guidance will be provided, if necessary. We will review SBA's actions to address this recommendation once those actions are complete.
    Recommendation: To help improve agencies' implementation of the fraud, waste, and abuse prevention requirements in the policy directives, the Administrator of SBA should revise the fraud, waste, and abuse provisions in the policy directives to reflect the definition of essentially equivalent work used elsewhere in the policy directives and require participating agencies to check for essentially equivalent work that they fund as well as such work funded by other agencies.

    Agency: Small Business Administration
    Status: Open

    Comments: In its comments on the draft report, SBA concurred with this recommendation. In its June 2017 letter on plans for implementing the recommendation, SBA stated that it will revise the SBIR and STTR Policy Directives to reflect the definition of essentially equivalent work as noted in section 3 of the policy directives. SBA also stated that it will work with all parties to determine how to best address the issue of duplication, noting that this is an important issue and a high priority for all parties involved. We will review SBA's actions to address this recommendation once those actions are complete.
    Recommendation: To help improve agencies' implementation of the fraud, waste, and abuse prevention requirements in the policy directives, the Administrator of SBA should evaluate SBIR and STTR agencies' fraud, waste, and abuse outcomes to ensure the fraud, waste, and abuse prevention requirements are appropriate and meet their intended purpose for the SBIR and STTR programs.

    Agency: Small Business Administration
    Status: Open

    Comments: In its comments on the draft report, SBA concurred with this recommendation. In its June 2017 letter on plans for implementing the recommendation, SBA stated that it will survey the participating agencies regarding whether the requirements are necessary and meeting their intended purposes, are placing undue burdens on the agencies, or need to be revised, updated, or eliminated. We will review SBA's actions to address this recommendation once those actions are complete.
    Recommendation: To help improve the implementation of the fraud, waste, and abuse prevention requirements, the Secretary of Health and Human Services (HHS) should direct the HHS SBIR and STTR program offices to collect copies of the self-certification forms from its SBIR and STTR awardees.

    Agency: Department of Health and Human Services
    Status: Open

    Comments: In its comments on a draft of the report, HHS did not concur with our recommendation. In its June 2017 letter on plans for implementing the recommendation, HHS stated that the National Institutes of Health will collect life cycle certifications from SBIR and STTR program recipients through its electronic reporting system, which will allow other HHS components that use that system to also collect the forms. The National Institutes of Health plans to begin collecting the life cycle certification forms in fiscal year 2018. We will review the actions to address this recommendation once they are complete.
    Recommendation: To help ensure that DOD is implementing the fraud, waste, and abuse prevention requirements to the OIGs, the Inspectors General of the Army, Navy, and Air Force should implement the requirements themselves or delegate the implementation of the requirements to the investigative services.

    Agency: Department of Defense: Department of the Air Force: Office of the Inspector General
    Status: Open

    Comments: DOD concurred with the recommendation in its comments on the draft report and confirmed its concurrence in its May 2017 letter on the final report.
    Recommendation: To help ensure that DOD is implementing the fraud, waste, and abuse prevention requirements to the OIGs, the Inspectors General of the Army, Navy, and Air Force should implement the requirements themselves or delegate the implementation of the requirements to the investigative services.

    Agency: Department of Defense: Department of the Navy: Naval Inspector General
    Status: Open

    Comments: DOD concurred with the recommendation in its comments on the draft report and confirmed its concurrence in its May 2017 letter on the final report.
    Recommendation: To help ensure that DOD is implementing the fraud, waste, and abuse prevention requirements to the OIGs, the Inspectors General of the Army, Navy, and Air Force should implement the requirements themselves or delegate the implementation of the requirements to the investigative services.

    Agency: Department of Defense: Department of the Army: Office of the Inspector General
    Status: Open

    Comments: DOD concurred with the recommendation in its comments on the draft report and confirmed its concurrence in its May 2017 letter on the final report.
    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: Andrew Sherrill
    Phone: (202) 512-7215

    1 open recommendations
    Recommendation: To enhance the ability of the Executive Office of the President to implement the Revitalize American Manufacturing and Innovation Act of 2014 requirements related to reporting on advanced manufacturing, the Director of the Office of Science and Technology Policy, working through the National Science and Technology Council and agency leadership, as appropriate, should identify the information they will collect from federal agencies to determine the extent to which the objectives outlined in the National Strategic Plan for Advanced Manufacturing are being achieved.

    Agency: Executive Office of the President: Office of Science and Technology Policy
    Status: Open

    Comments: OSTP did not state whether it agreed or disagreed with this recommendation. They provided some comments on the draft recommendation. For example, OSTP commented that the recommendation could focus on the extent to which the objectives of the Advanced Manufacturing Partnership (AMP) recommendations are being achieved in periodic updates to the implementation of the National Strategic Plan for Advanced Manufacturing. However, these recommendations were not covered in the scope of our report: we focused on reporting on the progress in achieving the objectives of the strategic plan.
    Director: Michael Clements
    Phone: (202) 512-8678

    1 open recommendations
    Recommendation: To promote transparency and accountability of federal spending, the Commissioner of the Fiscal Service should make basic information about Fiscal Service's use of financial agents publicly available in a central location, including compensation paid to each financial agent under its financial agency agreement and a description of the services provided.

    Agency: Department of the Treasury: Bureau of the Fiscal Service
    Status: Open

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

    3 open recommendations
    Recommendation: To help business disaster victims and resource partners better access information about the disaster loan process, the Administrator of the Small Business Administration should integrate information resources such as the fact sheet, reference guide, and three-step process flier into its disaster loan assistance web portal and Partner Training Portal in a way that is more accessible to users.

    Agency: Small Business Administration
    Status: Open

    Comments: SBA stated that the disaster loan assistance portal includes links to various loan-related resources and a link to SBA.gov, where users can access the SBA Disaster Loan Program Reference Guide and online learning center. We will continue to follow up with SBA on whether the agency plans to centrally integrate the links to loan-related resources into its disaster loan assistance web portal and Partner Training Portal, so resources can be more accessible to users.
    Recommendation: To help reduce confusion about the disaster loan process and the time frames applicants may experience, the Administrator of the Small Business Administration should ensure the consistency of content across its disaster loan process resources by including in these written and online resources, as appropriate, the following: (1) the three-step process; (2) the types of documentation SBA may request and the general reasons why such information may be requested; and (3) estimates of loan processing time frames applicants might experience and external factors, such as the severity of a disaster, that may affect these time frames using, for example, estimates from its forecasting and related planning tools.

    Agency: Small Business Administration
    Status: Open

    Comments: SBA stated that the agency has provided a consistent messaging about the timeframe for making approval decisions on disaster loan applications: SBA's goal is to make a decision on all home and business disaster loan applications within 2-3 weeks, and this loan approval timeframe also is referenced in other loan-related resources and media interviews. We will continue to follow up with SBA on whether the agency plans to (a) ensure informational content is consistent across written and online resources, (b) also include in written and online resources the types of documentation SBA may request and general reasons for the information requests, and (c) tailor the general 2-3 week loan decision timeframe to the each disaster, including the severity of the disaster and other factors that may affect the timeframe, by using the agency's forecasting and related planning tools.
    Recommendation: To further assist disaster business loan applicants, the Administrator of the Small Business Administration should define technical terminology related to financial statements and other finance terminology on the disaster business loan application forms, in both electronic and paper format. For example, in the online application portal, SBA could incorporate a glossary in the "help" feature. Additionally, SBA could include a glossary in the paper application, so that business applicants who apply by mail can access the definitions as well as the general reasons why such information may be requested.

    Agency: Small Business Administration
    Status: Open

    Comments: SBA stated that the agency is developing a glossary of business financial terms to clearly define terminology used in SBA home and business disaster loan applications and required supporting financial documents. Once completed, SBA stated that it will make the glossary available through the agency's disaster loan assistance portal and the SBA.gov website. We will follow up with SBA once the agency completes the glossary of business financial terms.
    Director: David Powner
    Phone: (202) 512-9286

    25 open recommendations
    Recommendation: To improve federal agencies' efforts to rationalize their portfolio of applications, the heads of the Departments of Agriculture, Commerce, Education, Energy, Health and Human Services, Housing and Urban Development, the Interior, Labor, State, Transportation, the Treasury, and Veterans Affairs; and heads of the Environmental Protection Agency; National Aeronautics and Space Administration; National Science Foundation; Nuclear Regulatory Commission; Office of Personnel Management; Small Business Administration; Social Security Administration; and U.S. Agency for International Development should direct their Chief Information Officers (CIOs) and other responsible officials to improve their inventories by taking steps to fully address the practices we identified as being partially met or not met.

    Agency: United States Agency for International Development
    Status: Open

    Comments: We plan to follow up on the agency's actions to implement this recommendation.
    Recommendation: To improve federal agencies' efforts to rationalize their portfolio of applications, the heads of the Departments of Agriculture, Commerce, Education, Energy, Health and Human Services, Housing and Urban Development, the Interior, Labor, State, Transportation, the Treasury, and Veterans Affairs; and heads of the Environmental Protection Agency; National Aeronautics and Space Administration; National Science Foundation; Nuclear Regulatory Commission; Office of Personnel Management; Small Business Administration; Social Security Administration; and U.S. Agency for International Development should direct their Chief Information Officers (CIOs) and other responsible officials to improve their inventories by taking steps to fully address the practices we identified as being partially met or not met.

    Agency: Department of Agriculture
    Status: Open

    Comments: In its comments on a draft of our report, the department concurred with our recommendation. Subsequent to the department informing us that it has taken action to implement the recommendation, we will follow up.
    Recommendation: To improve federal agencies' efforts to rationalize their portfolio of applications, the heads of the Departments of Agriculture, Commerce, Education, Energy, Health and Human Services, Housing and Urban Development, the Interior, Labor, State, Transportation, the Treasury, and Veterans Affairs; and heads of the Environmental Protection Agency; National Aeronautics and Space Administration; National Science Foundation; Nuclear Regulatory Commission; Office of Personnel Management; Small Business Administration; Social Security Administration; and U.S. Agency for International Development should direct their Chief Information Officers (CIOs) and other responsible officials to improve their inventories by taking steps to fully address the practices we identified as being partially met or not met.

    Agency: Department of Education
    Status: Open

    Comments: In its comments on a draft of our report, the department concurred with our recommendation. Subsequent to the department informing us that it has taken action to implement the recommendation, we will follow up.
    Recommendation: To improve federal agencies' efforts to rationalize their portfolio of applications, the heads of the Departments of Agriculture, Commerce, Education, Energy, Health and Human Services, Housing and Urban Development, the Interior, Labor, State, Transportation, the Treasury, and Veterans Affairs; and heads of the Environmental Protection Agency; National Aeronautics and Space Administration; National Science Foundation; Nuclear Regulatory Commission; Office of Personnel Management; Small Business Administration; Social Security Administration; and U.S. Agency for International Development should direct their Chief Information Officers (CIOs) and other responsible officials to improve their inventories by taking steps to fully address the practices we identified as being partially met or not met.

    Agency: Department of Commerce
    Status: Open

    Comments: In its comments on a draft of our report, the department concurred with our recommendation. Subsequent to the department informing us that it has taken action to implement the recommendation, we will follow up.
    Recommendation: To improve federal agencies' efforts to rationalize their portfolio of applications, the heads of the Departments of Agriculture, Commerce, Education, Energy, Health and Human Services, Housing and Urban Development, the Interior, Labor, State, Transportation, the Treasury, and Veterans Affairs; and heads of the Environmental Protection Agency; National Aeronautics and Space Administration; National Science Foundation; Nuclear Regulatory Commission; Office of Personnel Management; Small Business Administration; Social Security Administration; and U.S. Agency for International Development should direct their Chief Information Officers (CIOs) and other responsible officials to improve their inventories by taking steps to fully address the practices we identified as being partially met or not met.

    Agency: Department of Energy
    Status: Open

    Comments: In its comments on a draft of our report, the department concurred with our recommendation. Subsequent to the department informing us that it has taken action to implement the recommendation, we will follow up.
    Recommendation: To improve federal agencies' efforts to rationalize their portfolio of applications, the heads of the Departments of Agriculture, Commerce, Education, Energy, Health and Human Services, Housing and Urban Development, the Interior, Labor, State, Transportation, the Treasury, and Veterans Affairs; and heads of the Environmental Protection Agency; National Aeronautics and Space Administration; National Science Foundation; Nuclear Regulatory Commission; Office of Personnel Management; Small Business Administration; Social Security Administration; and U.S. Agency for International Development should direct their Chief Information Officers (CIOs) and other responsible officials to improve their inventories by taking steps to fully address the practices we identified as being partially met or not met.

    Agency: Department of Housing and Urban Development
    Status: Open

    Comments: In its comments on a draft of our report, the department concurred with our recommendation. Subsequent to the department informing us that it has taken action to implement the recommendation, we will follow up.
    Recommendation: To improve federal agencies' efforts to rationalize their portfolio of applications, the heads of the Departments of Agriculture, Commerce, Education, Energy, Health and Human Services, Housing and Urban Development, the Interior, Labor, State, Transportation, the Treasury, and Veterans Affairs; and heads of the Environmental Protection Agency; National Aeronautics and Space Administration; National Science Foundation; Nuclear Regulatory Commission; Office of Personnel Management; Small Business Administration; Social Security Administration; and U.S. Agency for International Development should direct their Chief Information Officers (CIOs) and other responsible officials to improve their inventories by taking steps to fully address the practices we identified as being partially met or not met.

    Agency: Department of Health and Human Services
    Status: Open

    Comments: In its comments on a draft of our report, the department concurred with our recommendation. Subsequent to the department informing us that it has taken action to implement the recommendation, we will follow up.
    Recommendation: To improve federal agencies' efforts to rationalize their portfolio of applications, the heads of the Departments of Agriculture, Commerce, Education, Energy, Health and Human Services, Housing and Urban Development, the Interior, Labor, State, Transportation, the Treasury, and Veterans Affairs; and heads of the Environmental Protection Agency; National Aeronautics and Space Administration; National Science Foundation; Nuclear Regulatory Commission; Office of Personnel Management; Small Business Administration; Social Security Administration; and U.S. Agency for International Development should direct their Chief Information Officers (CIOs) and other responsible officials to improve their inventories by taking steps to fully address the practices we identified as being partially met or not met.

    Agency: Social Security Administration
    Status: Open

    Comments: In its comments on a draft of our report, SSA agreed with our recommendation. Subsequent to SSA informing us that it has taken action to implement the recommendation, we will follow up.
    Recommendation: To improve federal agencies' efforts to rationalize their portfolio of applications, the heads of the Departments of Agriculture, Commerce, Education, Energy, Health and Human Services, Housing and Urban Development, the Interior, Labor, State, Transportation, the Treasury, and Veterans Affairs; and heads of the Environmental Protection Agency; National Aeronautics and Space Administration; National Science Foundation; Nuclear Regulatory Commission; Office of Personnel Management; Small Business Administration; Social Security Administration; and U.S. Agency for International Development should direct their Chief Information Officers (CIOs) and other responsible officials to improve their inventories by taking steps to fully address the practices we identified as being partially met or not met.

    Agency: Department of the Interior
    Status: Open

    Comments: We plan to follow up on the department's actions to implement this recommendation.
    Recommendation: To improve federal agencies' efforts to rationalize their portfolio of applications, the heads of the Departments of Agriculture, Commerce, Education, Energy, Health and Human Services, Housing and Urban Development, the Interior, Labor, State, Transportation, the Treasury, and Veterans Affairs; and heads of the Environmental Protection Agency; National Aeronautics and Space Administration; National Science Foundation; Nuclear Regulatory Commission; Office of Personnel Management; Small Business Administration; Social Security Administration; and U.S. Agency for International Development should direct their Chief Information Officers (CIOs) and other responsible officials to improve their inventories by taking steps to fully address the practices we identified as being partially met or not met.

    Agency: Department of Transportation
    Status: Open

    Comments: In its comments on a draft of our report, the department concurred with our recommendation. Subsequent to the department informing us that it has taken action to implement the recommendation, we will follow up.
    Recommendation: To improve federal agencies' efforts to rationalize their portfolio of applications, the heads of the Departments of Agriculture, Commerce, Education, Energy, Health and Human Services, Housing and Urban Development, the Interior, Labor, State, Transportation, the Treasury, and Veterans Affairs; and heads of the Environmental Protection Agency; National Aeronautics and Space Administration; National Science Foundation; Nuclear Regulatory Commission; Office of Personnel Management; Small Business Administration; Social Security Administration; and U.S. Agency for International Development should direct their Chief Information Officers (CIOs) and other responsible officials to improve their inventories by taking steps to fully address the practices we identified as being partially met or not met.

    Agency: Department of Labor
    Status: Open

    Comments: In its comments on a draft of our report, the department concurred with our recommendation. Subsequent to the department informing us that it has taken action to implement the recommendation, we will follow up.
    Recommendation: To improve federal agencies' efforts to rationalize their portfolio of applications, the heads of the Departments of Agriculture, Commerce, Education, Energy, Health and Human Services, Housing and Urban Development, the Interior, Labor, State, Transportation, the Treasury, and Veterans Affairs; and heads of the Environmental Protection Agency; National Aeronautics and Space Administration; National Science Foundation; Nuclear Regulatory Commission; Office of Personnel Management; Small Business Administration; Social Security Administration; and U.S. Agency for International Development should direct their Chief Information Officers (CIOs) and other responsible officials to improve their inventories by taking steps to fully address the practices we identified as being partially met or not met.

    Agency: Department of the Treasury
    Status: Open

    Comments: The department said it had no comments on our draft report and recommendation. We plan to follow up.
    Recommendation: To improve federal agencies' efforts to rationalize their portfolio of applications, the heads of the Departments of Agriculture, Commerce, Education, Energy, Health and Human Services, Housing and Urban Development, the Interior, Labor, State, Transportation, the Treasury, and Veterans Affairs; and heads of the Environmental Protection Agency; National Aeronautics and Space Administration; National Science Foundation; Nuclear Regulatory Commission; Office of Personnel Management; Small Business Administration; Social Security Administration; and U.S. Agency for International Development should direct their Chief Information Officers (CIOs) and other responsible officials to improve their inventories by taking steps to fully address the practices we identified as being partially met or not met.

    Agency: Department of Veterans Affairs
    Status: Open

    Comments: In its comments on a draft of our report, the department concurred with our recommendation. Subsequent to the department informing us that it has taken action to implement the recommendation, we will follow up.
    Recommendation: To improve federal agencies' efforts to rationalize their portfolio of applications, the heads of the Departments of Agriculture, Commerce, Education, Energy, Health and Human Services, Housing and Urban Development, the Interior, Labor, State, Transportation, the Treasury, and Veterans Affairs; and heads of the Environmental Protection Agency; National Aeronautics and Space Administration; National Science Foundation; Nuclear Regulatory Commission; Office of Personnel Management; Small Business Administration; Social Security Administration; and U.S. Agency for International Development should direct their Chief Information Officers (CIOs) and other responsible officials to improve their inventories by taking steps to fully address the practices we identified as being partially met or not met.

    Agency: Department of State
    Status: Open

    Comments: In its comments on a draft of our report, the department concurred with our recommendation. Subsequent to the department informing us that it has taken action to implement the recommendation, we will follow up.
    Recommendation: To improve federal agencies' efforts to rationalize their portfolio of applications, the heads of the Departments of Agriculture, Commerce, Education, Energy, Health and Human Services, Housing and Urban Development, the Interior, Labor, State, Transportation, the Treasury, and Veterans Affairs; and heads of the Environmental Protection Agency; National Aeronautics and Space Administration; National Science Foundation; Nuclear Regulatory Commission; Office of Personnel Management; Small Business Administration; Social Security Administration; and U.S. Agency for International Development should direct their Chief Information Officers (CIOs) and other responsible officials to improve their inventories by taking steps to fully address the practices we identified as being partially met or not met.

    Agency: Environmental Protection Agency
    Status: Open

    Comments: In its comments on a draft of our report, EPA generally agreed with our recommendation. Subsequent to EPA informing us that it has taken action to implement the recommendation, we will follow up.
    Recommendation: To improve federal agencies' efforts to rationalize their portfolio of applications, the heads of the Departments of Agriculture, Commerce, Education, Energy, Health and Human Services, Housing and Urban Development, the Interior, Labor, State, Transportation, the Treasury, and Veterans Affairs; and heads of the Environmental Protection Agency; National Aeronautics and Space Administration; National Science Foundation; Nuclear Regulatory Commission; Office of Personnel Management; Small Business Administration; Social Security Administration; and U.S. Agency for International Development should direct their Chief Information Officers (CIOs) and other responsible officials to improve their inventories by taking steps to fully address the practices we identified as being partially met or not met.

    Agency: National Aeronautics and Space Administration
    Status: Open

    Comments: In its comments on a draft of our report, NASA concurred with our recommendation. Subsequent to NASA informing us that it has taken action to implement the recommendation, we will follow up.
    Recommendation: To improve federal agencies' efforts to rationalize their portfolio of applications, the heads of the Departments of Agriculture, Commerce, Education, Energy, Health and Human Services, Housing and Urban Development, the Interior, Labor, State, Transportation, the Treasury, and Veterans Affairs; and heads of the Environmental Protection Agency; National Aeronautics and Space Administration; National Science Foundation; Nuclear Regulatory Commission; Office of Personnel Management; Small Business Administration; Social Security Administration; and U.S. Agency for International Development should direct their Chief Information Officers (CIOs) and other responsible officials to improve their inventories by taking steps to fully address the practices we identified as being partially met or not met.

    Agency: National Science Foundation
    Status: Open

    Comments: NSF stated that it had no comments on our draft report and recommendation. We will plan to follow up.
    Recommendation: To improve federal agencies' efforts to rationalize their portfolio of applications, the heads of the Departments of Agriculture, Commerce, Education, Energy, Health and Human Services, Housing and Urban Development, the Interior, Labor, State, Transportation, the Treasury, and Veterans Affairs; and heads of the Environmental Protection Agency; National Aeronautics and Space Administration; National Science Foundation; Nuclear Regulatory Commission; Office of Personnel Management; Small Business Administration; Social Security Administration; and U.S. Agency for International Development should direct their Chief Information Officers (CIOs) and other responsible officials to improve their inventories by taking steps to fully address the practices we identified as being partially met or not met.

    Agency: Small Business Administration
    Status: Open

    Comments: In comments on a draft of our report, SBA said the report captures its current posture. We plan to follow up.
    Recommendation: To improve federal agencies' efforts to rationalize their portfolio of applications, the heads of the Departments of Agriculture, Commerce, Education, Energy, Health and Human Services, Housing and Urban Development, the Interior, Labor, State, Transportation, the Treasury, and Veterans Affairs; and heads of the Environmental Protection Agency; National Aeronautics and Space Administration; National Science Foundation; Nuclear Regulatory Commission; Office of Personnel Management; Small Business Administration; Social Security Administration; and U.S. Agency for International Development should direct their Chief Information Officers (CIOs) and other responsible officials to improve their inventories by taking steps to fully address the practices we identified as being partially met or not met.

    Agency: Nuclear Regulatory Commission
    Status: Open

    Comments: In comments on a draft of our report, NRC stated that it generally agreed with the report. We plan to follow up.
    Recommendation: To improve federal agencies' efforts to rationalize their portfolio of applications, the heads of the Departments of Agriculture, Commerce, Education, Energy, Health and Human Services, Housing and Urban Development, the Interior, Labor, State, Transportation, the Treasury, and Veterans Affairs; and heads of the Environmental Protection Agency; National Aeronautics and Space Administration; National Science Foundation; Nuclear Regulatory Commission; Office of Personnel Management; Small Business Administration; Social Security Administration; and U.S. Agency for International Development should direct their Chief Information Officers (CIOs) and other responsible officials to improve their inventories by taking steps to fully address the practices we identified as being partially met or not met.

    Agency: Office of Personnel Management
    Status: Open

    Comments: In its comments on a draft of our report, OPM concurred with our recommendation. Subsequent to OPM informing us that it has taken action to implement the recommendation, we will follow up.
    Recommendation: To improve federal agencies' efforts to rationalize their portfolio of applications, the Secretaries of Defense, Homeland Security, the Interior, and Labor; and the Director of the National Science Foundation should direct the CIOs and other responsible officials to modify existing investment management processes to address applications more completely. Specifically, the Secretary of Defense should direct the responsible official to modify the department's existing processes to collect and review cost, technical, and business information for the enterprise and business IT systems within the Enterprise Information Environment Mission Area applications which are currently not reviewed as part of the department's process for business systems.

    Agency: Department of Defense
    Status: Open

    Comments: In comments on a draft of our report, the department disagreed with our recommendation. We plan to follow up.
    Recommendation: To improve federal agencies' efforts to rationalize their portfolio of applications, the Secretaries of Defense, Homeland Security, the Interior, and Labor; and the Director of the National Science Foundation should direct the CIOs and other responsible officials to modify existing investment management processes to address applications more completely. Specifically, the Secretary of Homeland Security should direct the department's CIO to identify one high-cost function it could collect detailed cost, technical, and business information for and modify existing processes to collect and review this information.

    Agency: Department of Homeland Security
    Status: Open

    Comments: In its comments on a draft of our report, the department concurred with our recommendation. Subsequent to the department informing us that it has taken action to implement the recommendation, we will follow up.
    Recommendation: To improve federal agencies' efforts to rationalize their portfolio of applications, the Secretaries of Defense, Homeland Security, the Interior, and Labor; and the Director of the National Science Foundation should direct the CIOs and other responsible officials to modify existing investment management processes to address applications more completely. Specifically, the Secretary of the Interior should direct the department's CIO to document and implement a plan for establishing policy that would define a standard analytical technique for rationalizing the investment portfolio.

    Agency: Department of the Interior
    Status: Open

    Comments: We plan to follow up on the department's actions to implement this recommendation.
    Recommendation: To improve federal agencies' efforts to rationalize their portfolio of applications, the Secretaries of Defense, Homeland Security, the Interior, and Labor; and the Director of the National Science Foundation should direct the CIOs and other responsible officials to modify existing investment management processes to address applications more completely. Specifically, the Secretary of Labor should direct the department's CIO to consider a segmented approach to further rationalize and identify a function for which it would modify existing processes to collect and review application-specific cost, technical, and business value information.

    Agency: Department of Labor
    Status: Open

    Comments: In its comments on a draft of our report, the department concurred with our recommendation. Subsequent to the department informing us that it has taken action to implement the recommendation, we will follow up.
    Recommendation: To improve federal agencies' efforts to rationalize their portfolio of applications, the Secretaries of Defense, Homeland Security, the Interior, and Labor; and the Director of the National Science Foundation should direct the CIOs and other responsible officials to modify existing investment management processes to address applications more completely. Specifically, the Director of the National Science Foundation should direct the CIO to consistently document evaluations for all applications and report cost information for them in the roadmap or other documentation.

    Agency: National Science Foundation
    Status: Open

    Comments: NSF stated that it had no comments on our draft report and recommendation. We will plan to follow up.
    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: John Neumann
    Phone: (202) 512-3841

    2 open recommendations
    Recommendation: To ensure full compliance with SBIR and STTR spending and reporting requirements and improve participation in the administrative pilot program, the SBA Administrator should review SBA guidance regarding when an agency is required to start up an SBIR or STTR program, and if necessary, update the guidance to provide greater clarity to agencies with research or research and development (R&D) obligations greater than the thresholds for participating.

    Agency: Small Business Administration
    Status: Open

    Comments: According to SBA officials, as of April 2017, SBA is working to develop language to update its policy directives to provide guidance on when an agency must start an SBIR or STTR program.
    Recommendation: To ensure full compliance with SBIR and STTR spending and reporting requirements and improve participation in the administrative pilot program, the SBA Administrator should complete the required reporting on the administrative pilot program for fiscal year 2014, which could include an evaluation of the potential constraints that may hinder agencies' participation and any steps to address these constraints.

    Agency: Small Business Administration
    Status: Open

    Comments: As of April 2017, SBA officials said that SBA is in the process of completing its follow-up with agencies to document agencies' utilization of the administrative pilot program. Specifically, officials said they requested that agencies that planned to participate in the pilot program complete and return a template with information on the pilot program. Once SBA receives that information, officials said they will draft a report. As of April 2017, a formal date for completing and submitting the report has not been established.
    Director: Seto Bagdoyan
    Phone: (202) 512-6722

    2 open recommendations
    Recommendation: The Administrator of SBA should direct the Associate Administrator of Business Development to document its planned method for tracking revenue generated under subsidiaries' primary and secondary lines of business, with milestones and timelines for when and how the method will be implemented.

    Agency: Small Business Administration
    Status: Open

    Comments: GAO is reviewing documentation that SBA provided regarding actions that it has taken to address this recommendation and is currently determining whether these actions fully address the recommendation.
    Recommendation: The Administrator of SBA should direct the Associate Administrator of Business Development to provide the appropriate level of access to and sharing of relevant subsidiary data across district offices, including primary and secondary North American Industry Classification System codes and revenue data, once SBA develops a database with the capabilities of collecting and tracking this revenue data as we recommended in 2012.

    Agency: Small Business Administration
    Status: Open

    Comments: GAO is reviewing documentation that SBA provided regarding actions that it has taken to address this recommendation and is currently determining whether these actions fully address the recommendation.
    Director: John Neumann
    Phone: (202) 512-3841

    1 open recommendations
    Recommendation: To better ensure that the activities carried out under the ITM program do not duplicate the efforts of other federal loan guarantee programs, such as SBA's 7(a) program, the Secretary of Commerce should direct EDA to work with SBA and NIST to further identify any gaps in capital access that may be present that the program could fill, and then develop marketing materials and conduct outreach to help target those gaps.

    Agency: Department of Commerce
    Status: Open

    Comments: Partially addressed. As of November 2016 the Economic Development Administration (EDA) had begun taking action on GAO's February 2016 recommendation to work with SBA and NIST to identify gaps in capital access and develop marketing materials and conduct outreach based on any gaps identified for the Federal Loan Guarantees for Innovative Technologies in Manufacturing program (ITM). Due to delays in establishing the program, however, these efforts are still in progress. According to EDA officials, as of November 28, 2016 EDA contractors working on the ITM program had held a preliminary discussion with SBA to discuss program marketing, outreach and potential gaps in capital access that the ITM program may be able to fill, among other topics, but had not yet initiated additional coordination with NIST. We continue to believe that coordination with SBA and NIST to identify gaps in capital access, and then marketing the program to target those gaps could help EDA ensure that ITM program activities do not duplicate the efforts of other federal loan guarantee programs.
    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: Michael J. Sullivan
    Phone: (202) 512-4841

    2 open recommendations
    Recommendation: To improve technology transition planning and outcomes at DARPA, the Secretary of Defense should direct the Director, DARPA, to oversee assessments of technology transition strategies for new and existing DARPA programs as part of existing milestone reviews used to assess scientific and technical progress to inform transition planning and program changes, as necessary. Our analysis identified four factors that could underpin these assessments, but the uniqueness of individual DARPA programs suggests that other considerations may also be warranted.

    Agency: Department of Defense
    Status: Open

    Comments: Although DOD partially concurred with this recommendation, the Assistant Secretary of Defense for Research and Engineering stated in August 2016 that DOD did not agree with directing the DARPA Director to mandate assessments of technology transition beyond what is currently being conducted throughout the agency. He further stated that the Director of DARPA already participates in technology transition discussions throughout DARPA program's lifecycle to include the initial briefing of a program and milestone reviews. Furthermore, he stated that in 2013, the Director, DARPA directed the Adaptive Execution Office (AEO) to assist DARPA Program Managers with engagement and technology transition strategies for their programs, and AEO tracks and documents the final transition status of DARPA programs. A DARPA representative stated in June 2017 that there has been no change in status and that no additional related actions are planned. We will continue to track any developments that relate to this recommendation.
    Recommendation: To improve technology transition planning and outcomes at DARPA, the Secretary of Defense should direct the Director, DARPA, to increase technology transition training requirements and offerings for DARPA program managers, leveraging existing DOD science and technology training curricula, as appropriate.

    Agency: Department of Defense
    Status: Open

    Comments: Although DOD partially concurred with this recommendation, the Assistant Secretary of Defense for Research and Engineering stated in August 2016 that DOD disagreed with directing the DARPA Director to increase training requirements. He stated that DOD believes DARPA's current approach of uniquely tailored training focusing on a programs unique transition needs is most appropriate. He further noted that DARPA continues to explore opportunities to draw from existing DOD and other training materials to offer tailored and streamlined training to its program managers that works within the relatively short tenure of a DARPA program manager. A DARPA representative stated in June 2017 that there has been no change in status and that no additional related actions are planned. We will continue to track any developments that relate to this recommendation.
    Director: William Shear
    Phone: (202) 512-8678

    6 open recommendations
    including 1 priority recommendation
    Recommendation: To improve management of the Small Business Administration and to ensure that SBA assesses the effectiveness of its programs, the SBA Administrator should prioritize resources to conduct additional program evaluations.

    Agency: Small Business Administration
    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 management of the Small Business Administration and to ensure that SBA fully meets GPRAMA requirements, the SBA Administrator should use the results of additional evaluations it conducts in its strategic planning process and ensure the agency's next strategic plan includes required information on program evaluations, including a schedule of future evaluations.

    Agency: Small Business Administration
    Status: Open
    Priority recommendation

    Comments: SBA officials stated that, as of October 2016, the agency had taken several steps to prioritize resources and establish an implementation plan for future evaluations, including hiring its first lead program evaluator to develop a long-term evaluation agenda and initiating four program evaluations. They stated that once completed, the evaluations would be incorporated into the agency's fiscal year 2018-2022 strategic plan. As of May 2017, SBA had started reviewing guidance on drafting this plan, which is due in February 2018.
    Recommendation: To improve management of the Small Business Administration and to improve SBA's human capital management, the SBA Administrator should incorporate into its next training plan key principles such as goals and measures for its training programs and input on employee development goals.

    Agency: Small Business Administration
    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 management of the Small Business Administration and to ensure that SBA's organizational structure helps the agency meet its mission, the SBA Administrator should document the assessment of the agency's organizational structure, including any necessary changes to, for example, better ensure areas of authority, responsibility, and lines of reporting are clear and defined.

    Agency: Small Business Administration
    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 management of the Small Business Administration and to improve SBA's program and management guidance, the SBA Administrator should set time frames for periodically reviewing and updating its SOPs as appropriate.

    Agency: Small Business Administration
    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 management of the Small Business Administration and to help ensure that SBA's IT operations and maintenance investments are continuing to meet business and customer needs and the agency's strategic goals, the SBA Administrator should direct the appropriate officials to perform an annual operational analysis on all SBA investments in accordance with OMB guidance.

    Agency: Small Business Administration
    Status: Open

    Comments: When we confirm what actions the agency has taken in response to this recommendation, we will provide updated information.
    Director: Valerie C. Melvin
    Phone: (202) 512-6304

    2 open recommendations
    Recommendation: To improve the oversight of states' marketplace IT projects, the Secretary of Health and Human Services should direct the Administrator of the Centers for Medicare & Medicaid Services to ensure that all CMS senior executives from IT and business units who are involved in the establishment of state marketplace IT projects review and approve funding decisions for these projects.

    Agency: Department of Health and Human Services
    Status: Open

    Comments: In 2015, Department of Health and Human Services (HHS) Centers for Medicare and Medicaid Services (CMS) concurred with the recommendation. The department, in its agency comments, stated that it already included senior executives in its funding decisions for these projects. However, as noted in our report, CMS did not provide evidence that key senior executives from CCIIO, CMCS, and OTS were involved in various funding decisions associated with the states' IT projects. For example, CMS did not demonstrate that senior-level executives from all relevant business and IT units were involved in the initial approval of grant awards or the release of restricted IT funds from marketplace grants as states progressed with their projects. In addition, CMS did not provide evidence of senior executive involvement in the approval of Medicaid funds for marketplace IT projects. Furthermore, as of March 10, 2017, CMS still had not provided evidence that it had taken such actions to support the implementation of this recommendation. By ensuring such executive involvement, CMS would increase accountability for decisions to fund states' IT projects and ensure that these decisions are well informed in order to make efficient use of federal funds.
    Recommendation: To improve the oversight of states' marketplace IT projects, the Secretary of Health and Human Services should direct the Administrator of the Centers for Medicare & Medicaid Services to ensure that states have completed all testing of marketplace system functions prior to releasing them into operation.

    Agency: Department of Health and Human Services
    Status: Open

    Comments: In 2015, Department of Health and Human Services (HHS) Centers for Medicare and Medicaid Services (CMS) concurred with the recommendation. The department noted that it would continue to follow its guidelines to determine if state marketplace system functions are ready for release. The department added that it would work closely with state-based marketplaces to improve their systems and verify that system requirements are met and fully tested before approving them for release into production. While CMS drafted guidance to update its process in June 2016, which required states to submit certain testing reports and supporting documentation, as of March 10, 2017, the agency had not provided evidence that it had determined that state systems had been sufficiently tested for release into operations.
    Director: Michele Mackin
    Phone: (202) 512-4841

    1 open recommendations
    Recommendation: If Congress re-authorizes RIP then, to improve visibility and management of DOD's ability to transition technologies through the program, the Secretary of Defense should direct the Under Secretary of Defense for Acquisition, Technology, and Logistics to establish an overall technology transition goal for RIP.

    Agency: Department of Defense
    Status: Open

    Comments: DOD has not established a technology transition goal for RIP. Although DOD non-concurred with the recommendation, it agreed there is a need to measure annually the transition rate for RIP. In 2016, DOD officials stated they were working on ways to measure and assess technology transitions in the program and, in 2017, DOD did not provide any further update on the status of these efforts, when GAO requested. Until DOD obtains better visibility on RIP technology transition performance, it does not have the data it needs to set an informed technology transition goal.
    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: Beryl H. Davis
    Phone: (202) 512-2623

    3 open recommendations
    Recommendation: To help reduce the risk that improper payment estimates related to DRAA funding developed and reported by selected agencies may not be accurate or reliable, and to help ensure that DOT produces reliable estimates of its DRAA improper payments, as applicable to each administration, the Secretary of Transportation should direct the Administrators of the Federal Aviation Administration, Federal Highway Administration, Federal Railroad Administration, and Federal Transit Administration to revise their policies and procedures for estimating improper payments by: (1) clearly identifying roles and responsibilities for estimating improper payments; (2) defining improper payments consistently with IPIA, as amended, and OMB Circular No. A-123, Appendix C; (3) requiring payments to federal employees to be included in populations for testing as required by IPIA, as amended; (4) including steps to assess the completeness of the population of transactions used for selecting the samples to be tested; (5) requiring the agency to maintain sufficient documentation to support improper payment estimates; (6) requiring that the sampling methodologies meet the precision requirements outlined in OMB Circular No. A-123, Appendix C; and (7) requiring a consultation with a statistician to ensure the validity of sample design, sample size, and measurement methodology.

    Agency: Department of Transportation
    Status: Open

    Comments: On April 14, 2017, we were informed that the Office of the Chief Financial Officer has oversight over the Department of Transportation's (DOT) improper payments implementation and is revising DOT's policies for estimating improper payments. DOT plans to complete this action by 10/31/2017. We will continue to monitor the status of this recommendation.
    Recommendation: To help reduce the risk that improper payment estimates related to DRAA funding developed and reported by selected agencies may not be accurate or reliable, and to help ensure that the Department of Housing and Urban Development produces reliable estimates of its DRAA improper payments, the Secretary of Housing and Urban Development should direct appropriate officials to revise its policies and procedures for estimating improper payments by (1) requiring payments to federal employees to be included in populations for testing as required by the Improper Payments Information Act of 2002 (IPIA), as amended, and (2) including steps to assess the completeness of the population of transactions used for selecting the samples to be tested.

    Agency: Department of Housing and Urban Development
    Status: Open

    Comments: Overall, we believe the Department of Housing and Urban Development (HUD) is on track for taking corrective actions that meet the intent of GAO recommendation. For example, we believe HUD has met the intent of this recommendation with regards to HUD revising its policies and procedures for estimating improper payments. Specifically, we have reviewed HUD's updated recapture audit plan dated June 26, 2015, and verified it requires payments to federal employees to be included in populations for testing. However, we do not believe HUD has met the intent of this recommendation with regards to including steps to assess the completeness of the population of transactions used for selecting the samples to be tested. Specifically, we have not seen where HUD's policies and procedures show how HUD ensures that it is selecting from a complete list of grantee files when conducting tests related to estimating improper payments. On July 19, 2017, a HUD official explained that HUD does not have controls in place to ensure that the grantee files are complete. Further, the HUD official indicated that the grantee files come from the grantee, and HUD relies on the grantees to provide a complete list of files. However, HUD does not currently have a way to verify that this list is complete. According to the HUD official, HUD he will explore options HUD can implement for ensuring that grantee files are complete, including possibly having grantees to sign a statement certifying that their grantee files are complete when provided to HUD. We will continue to monitor the agency's actions to address this recommendation.
    Recommendation: To help reduce the risk that improper payment estimates related to DRAA funding developed and reported by selected agencies may not be accurate or reliable, and to help ensure that the U.S. Army Corps of Engineers (USACE) produces reliable estimates of its DRAA improper payments, the Secretary of the Army should direct the Chief of Engineers and Commanding General of USACE to revise policies and procedures for estimating improper payments by: (1) defining improper payments consistently with IPIA, as amended, and OMB Circular No. A-123, Appendix C; (2) requiring payments to federal employees to be included in populations for testing as required by IPIA, as amended; (3) including steps to assess the completeness of the population of transactions used for selecting the samples to be tested; (4) providing sufficient procedures for determining an error and what documentation is necessary to substantiate payment; and (5) requiring the agency to maintain sufficient documentation to support improper payment estimates.

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

    Comments: As of June 5, 2017, no updated information has been provided by the Department of Defense. We will continue to monitor the status of this recommendation.
    Director: William B.Shear
    Phone: (202) 512-8678

    2 open recommendations
    Recommendation: To improve SBA's administration and oversight of the HUBZone program and reduce the risk that firms that no longer meet program eligibility criteria receive HUBZone contracts, the Administrator of SBA should establish a mechanism to better ensure that firms are notified of changes to HUBZone designations that may affect their participation in the program, such as ensuring that all certified firms and newly certified firms are signed up for the broadcast e-mail system or including more specific information in certification letters about how location in a redesignated area can affect their participation in the program

    Agency: Small Business Administration
    Status: Open

    Comments: In response to this recommendation, SBA improved its notifications to newly certified firms but not to other certified firms. For example, SBA's certification letter to firms with principal offices in a redesignated area specifically states that the firm is in a redesignated area, explains the implications of the designation, and notes when the redesignated status will expire. However, we found in March 2016 that SBA had not yet implemented changes to better ensure that all currently certified firms would be notified of changes that could affect their program eligibility. It is important that all certified firms potentially affected by such changes receive information about the changes or are made aware in a timely fashion of any effects on their program eligibility. As of February 2017, SBA had begun to improve its notifications to all firms. According to SBA officials, the agency has started sending program notices to all the firms in its portfolio. They told us that for its most recent notice in February 2017, the agency copied all the e-mail addresses in its HUBZone database and placed them in the e-mail distribution system. According to SBA officials, SBA intends to repeat this effort with subsequent notices. We will continue to monitor SBA's implementation of this activity.
    Recommendation: To improve SBA's administration and oversight of the HUBZone program and reduce the risk that firms that no longer meet program eligibility criteria receive HUBZone contracts, the Administrator of SBA should conduct an assessment of the recertification process and implement additional controls, such as developing criteria and guidance on using a risk-based approach to requesting and verifying firm information, allowing firms to initiate the recertification process, and ensuring that sufficient staff will be dedicated to the effort so that a significant backlog in recertifications does not recur.

    Agency: Small Business Administration
    Status: Open

    Comments: In response to this recommendation, SBA officials told us that they began automating the process to notify firms that were due for recertification. According to the officials, since September 2015, notification e-mails have been sent daily (compared with the former cycle of two times a year). Each firm due for recertification within the next 30 days would receive the notice. SBA sends a second e-mail to firms that have not responded within 45 days of the first notification. According to SBA officials, as of February 2017, this change has not yet eliminated the backlog. SBA officials informed GAO in May 2017 that they have developed risk-based guidance for conducting recertification reviews and requesting supporting documentation. According to SBA, any certified HUBZone small business concern that has received $1 million or more in HUBZone contract dollars since its initial certification (or its most recent recertification) must submit the following: (a) a list of all current employees, identifying the name of the employee, the employee's address, the number of hours worked per month, and the location where the employee performs his/her work; and (b) payroll documentation. SBA intends to complete the implementation of this policy by the third quarter of 2017.
    Director: Michael Courts
    Phone: (202) 512-8980

    1 open recommendations
    Recommendation: The Secretary of State should direct State's Office of the Procurement Executive to incorporate leading practices into any future single insurer solicitations by determining whether existing guidance could be used, or by developing guidance based on leading practices in federal and State Department acquisition regulations and State internal control standards.

    Agency: Department of State
    Status: Open

    Comments: The Department of State concurred with the recommendation and said it would incorporate leading practices into any future single insurer solicitation if a determination is made to pursue a single insurer program. However, as of September 2017 State had not made a determination to pursue a single insurer program. GAO will continue to monitor State's effort to implement the recommendation.
    Director: William Shear
    Phone: (202) 512-8678

    2 open recommendations
    Recommendation: To improve management and oversight of the WOSB program, and to help ensure the effective oversight of third-party certifiers, the Administrator of SBA should establish and implement comprehensive procedures to monitor and assess performance of certifiers in accord with the requirements of the third-party certifier agreement and program regulations.

    Agency: Small Business Administration
    Status: Open

    Comments: In response to this recommendation, SBA has taken some actions. For example, SBA created a standard operating procedure stating that third-party certifiers are subject to a compliance review by SBA at any time, and SBA has completed a review of the four authorized third-party certifiers. We continue to monitor SBA actions to address this recommendation.
    Recommendation: To improve management and oversight of the WOSB program, and to provide reasonable assurance that only eligible businesses obtain WOSB set-aside contracts, the Administrator of SBA should enhance examination of businesses that register to participate in the WOSB program, including actions such as: (1) promptly completing the development of procedures to conduct annual eligibility examinations and implementing such procedures; (2) analyzing examination results and individual businesses found to be ineligible to better understand the cause of the high rate of ineligibility in annual reviews, and determine what actions are needed to address the causes; and (3) implementing ongoing reviews of a sample of all businesses that have represented their eligibility to participate in the program.

    Agency: Small Business Administration
    Status: Open

    Comments: In response to this recommendation, SBA has created a standard operating procedure that includes some procedures for annual eligibility examinations. We continue to monitor SBA actions to address this recommendation.
    Director: Michele Mackin
    Phone: (202) 512-4841

    3 open recommendations
    Recommendation: The Administrator of OFPP should take appropriate steps to amend the FAR to include the following requirement: at the time of the contract award, contracting officers shall conduct and document an assessment of the 8(a) firm's ability to comply with the subcontracting limitations.

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

    Comments: OFPP concurred with our recommendation. We asked for updates on actions taken however as of September 2017 no updates were provided. GAO will continue to monitor OFPP's actions to address this recommendation.
    Recommendation: The Administrator of OFPP should take appropriate steps to amend the FAR to include the following requirement: contracting officers shall include monitoring and oversight provisions in all 8(a) contracts to ensure that the contractors comply with the subcontracting limitations.

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

    Comments: OFPP concurred with our recommendation. We asked for updates on actions taken however as of September 2017 no updates were provided. GAO will continue to monitor OFPP's actions to address this recommendation.
    Recommendation: The Administrator of OFPP should take appropriate steps to amend the FAR to include the following requirement: prime 8(a) contractors shall periodically report to the contracting officer on the percentage of subcontracted work being performed.

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

    Comments: OFPP concurred with our recommendation. We asked for updates on actions taken however as of September 2017 no updates were provided. GAO will continue to monitor OFPP's actions to address this recommendation.
    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: Kimberly Gianopoulos
    Phone: (202) 512-8612

    2 open recommendations
    including 2 priority recommendations
    Recommendation: To improve federal-state collaboration in providing export promotion services in accordance with the National Export Initiative, and the Export Enhancement Act of 1992, the Secretary of Commerce, as Chair of the TPCC, should take steps consistent with key practices to enhance, where possible, federal information sharing with state trade offices on Commerce's export promotion activities. This could include more formal guidance to Commerce staff regarding the circumstances, in light of legal restrictions, in which information can be shared with state trade offices and other nonfederal entities, and exploring ways for clients to give permission to release information useful to such nonfederal entities.

    Agency: Department of Commerce
    Status: Open
    Priority recommendation

    Comments: The Department of Commerce (Commerce) notified GAO that it did not fully concur with GAO's May 2014 recommendation, preferring instead to maintain a case-by-case approach rather than issuing more formal guidance on federal information sharing with state trade offices. According to Commerce, as of March 2016, the agency was in the process of implementing a new client relationship management system. Commerce officials said that as future iterations of this system and public websites come online, they would seek to identify ways for clients to give permission to release information useful to other federal agencies, state trade offices, and other local service providers. In February 2016, Congress passed The Trade Facilitation and Trade Enforcement Act of 2015, Public Law 114-125, which requires that within a year of the act's passing, Commerce must develop a federal-state export promotion coordination plan that addresses, among other things, information sharing between federal and state trade offices. The act also requires Commerce and state trade promotion agencies to develop a framework to share information on export successes, and report to Congress on this framework within a year of the law's enactment. Later in 2016, Commerce officials began holding monthly calls with SIDO and state trade offices to share information on topics such as client intake, performance measures, and new federal export promotion activities. In March 2017, Commerce officials informed GAO that after further review of information-sharing limitations under the Trade Secrets Act, Commerce has determined that Written Impact Narratives (WINs) that have been approved for public use by the clients can be shared with State trade agencies. Commerce is currently developing a policy to ensure they are shared in a timely manner. In addition, the newly formed Trade Promotion Coordinating Committee (TPCC) state and federal export promotion working group is expected to create a framework for information sharing. Without greater information sharing in the provision of similar services, Commerce will likely be limited in its ability to help ensure that export promotion services are efficiently managed across federal and state efforts, and that resources are appropriately leveraged.
    Recommendation: To improve federal-state collaboration in providing export promotion services in accordance with the National Export Initiative, and the Export Enhancement Act of 1992, the Secretary of Commerce, as Chair of the TPCC, should take steps consistent with key practices for collaboration to enhance TPCC agencies' partnering on export promotion with nonfederal entities, such as State International Development Organizations and Global Cities. This could include reassessing and strengthening the TPCC's intergovernmental partnerships by clarifying expected outcomes, defining roles and responsibilities, monitoring results, and planning resource needs.

    Agency: Department of Commerce
    Status: Open
    Priority recommendation

    Comments: The Department of Commerce (Commerce) and the Trade Promotion Coordinating Committee (TPCC), which is responsible for providing a unified national framework for export promotion, have taken some steps to enhance federal-state collaboration in export promotion, as GAO recommended in May 2014 and as called for in a subsequent law. In February 2016, Congress passed The Trade Facilitation and Trade Enforcement Act of 2015, Public Law 114-125, which according to the State International Development Organizations (SIDO), contained provisions intended to enhance federal-state collaboration in export promotion. First, the act directs the President to establish a state and federal export promotion coordination working group as a subcommittee of the TPCC and appoint at least one representative from a state trade promotion agency to the TPCC. Second, beginning in February 2017, the act requires Commerce to annually submit to the TPCC a federal-state export strategy for each state that submits its export strategy to Commerce for that year that, among other things, addresses efforts to reduce duplication. Third, the act requires Commerce and state trade promotion agencies to develop a coordinated set of performance metrics, and report to Congress on these metrics within a year of the law's enactment. Fourth, the act mandates an annual survey and analysis, in coordination with state trade promotion agencies, of the overall effectiveness of federal-state coordination in export promotion. In April 2016 Commerce and SIDO signed a memorandum of intent to develop joint strategies and implement activities to enhance federal and state agency coordination and cooperation . In September 2016 Commerce issued a Federal Register Notice announcing the establishment of a state and federal export promotion coordination working group under the TPCC. The Secretary of Commerce appointed 14 members to this new working group in January 2017, which has met several times according to Commerce officials. The working group is developing a federal-state export coordination strategy that is expected to define roles and responsibilities, among other things. Successfully completing these activities is important, because without joint federal-state planning, programs at different levels of government will likely continue to be duplicative, and effective resource planning will likely be hampered.
    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: Sullivan, Michael J
    Phone: (202) 512-4841

    1 open recommendations
    Recommendation: To improve tracking and reporting of technology transition outcomes for SBIR projects, the Secretary of Defense should direct the Office of Small Business Programs to establish a common definition of technology transition for all SBIR projects to support annual reporting requirements.

    Agency: Department of Defense
    Status: Open

    Comments: DOD Small Business Innovation Research (SBIR) officials stated they have come up with a standard definition of technology transition as the production and delivery (whether by the originating party or by others) of products, processes, technologies, or services for sale to or use by the Federal Government or a Contractor in support of a Government requirement. Despite repeated attempted at obtaining documentary evidence of this action, we have not received any response from DOD and until documentation is provided this recommendation will remain open.
    Director: Mackin, Michele
    Phone: (202) 512-4841

    1 open recommendations
    including 1 priority recommendation
    Recommendation: To help mitigate confusion about the use of reverse auctions in federal acquisitions, the Director of the Office of Management and Budget should take steps to amend the FAR to address agencies' use of reverse auctions.

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

    Comments: In providing comments on this report, OMB generally concurred with this recommendation but, as of July 2017, had not yet publicly released a draft of any related proposed FAR rule(s). In July 2017, OMB staff stated that a FAR team had drafted proposed regulatory changes to address the use of reverse auctions in response to GAO's recommendation. OMB staff said that the draft changes were undergoing review and they expected they would be published for public comment before the end of the calendar year.
    Director: Woods, William T
    Phone: (202) 512-4841

    1 open recommendations
    Recommendation: To make guidance for contract consolidation consistent with current law, the Secretary of Defense and the Administrator of General Services should act expeditiously to update or establish agency guidance for consolidated contracts after the Small Business Administration rulemaking is completed.

    Agency: Department of Defense
    Status: Open

    Comments: In commenting on the report, DOD concurred with the recommendation and said it plans to update its acquisition regulation for consolidated contracts after the Small Business Administration (SBA) rule is finalized and changes to the Federal Acquisition Regulation (FAR) are complete. The SBA's final rule was issued in October 2013. This change was incorporated in the FAR in September 2016. As of August 2017, DOD had not provided an update on actions taken to update the defense acquisition regulation.
    Director: Powner, David A
    Phone: (202)512-9286

    48 open recommendations
    including 1 priority recommendation
    Recommendation: To help ensure the success of PortfolioStat, the Director of the Office of Management and Budget should direct the Federal Chief Information Officer to disclose the limitations of any data reported (or disclose the parameters and assumptions of these data) on the agencies' consolidation efforts and associated savings and cost avoidance.

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

    Comments: In its comments on GAO's November 2013 report, OMB disagreed with this recommended action, stating that it had disclosed limitations on data reported and cited three instances of these efforts. However, GAO maintained that, while OMB reported limitations of data regarding commodity information technology (IT) consolidation efforts in these cases, the information reported did not provide stakeholders and the public with a complete understanding of the data presented. For example, OMB did not disclose that information from the Departments of Defense (DOD) and Justice was not included in the consolidation estimates reported, which, considering the scope of DOD's efforts in this area (at least $3.2 billion), was a major gap. As of March 2017, OMB still had not addressed this recommendation. During that month, the agency told GAO that improving the quality of the data agencies submit through the integrated data collections (which include data on agencies' consolidation efforts and associated savings and cost avoidance) is a priority and that Office of the Federal Chief Information Officer staff follow up with agencies when they detect anomalies in the data reported. OMB, however, did not address actions to disclose the limitations of data reported or disclose the parameters and assumptions of these data. Such disclosure would provide the public and other stakeholders with crucial information needed to understand the status of PortfolioStat and agency progress in meeting the goals of the initiative.
    Recommendation: To help ensure the success of PortfolioStat, the Director of the Office of Management and Budget should direct the Federal Chief Information Officer to require that agencies report on efforts to address action plan items as part of future PortfolioStat reporting.

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

    Comments: OMB's June 2015 memorandum on the management and oversight of federal information technology (M-15-14) established quarterly PortfolioStat sessions between OMB and agency Chief Information Officers. This represented a change from the previously required annual action item memos. In November 2016, OMB stated that it informally tracks action items resulting from PortfolioStat but no formal documentation is kept. We will continue to follow up on how OMB ensures that agencies report on efforts to address action items as part of future PortfolioStat reporting.
    Recommendation: To help ensure the success of PortfolioStat, the Director of the Office of Management and Budget should direct the Federal Chief Information Officer to improve transparency of and accountability for PortfolioStat by publicly disclosing planned and actual data consolidation efforts and related cost savings by agency.

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

    Comments: In October 2015, OMB started displaying actual data consolidation savings data on the federal information technology (IT) dashboard, consistent with provisions of the IT reform legislation commonly referred to as the Federal Information Technology Acquisition Reform Act. However, in November 2016, and again in March 2017, OMB stated that it does not track planned cost savings and cost avoidance figures and did not provide any plans to do so. Improving the transparency and accountability for PortfolioStat by publicly disclosing both planned and actual data consolidation efforts and related cost savings by agency would provide stakeholders, including Congress and the public, a means to monitor agencies' progress and hold them accountable for reducing duplication and achieving cost savings.
    Recommendation: To improve the department's implementation of PortfolioStat, the Secretary of Agriculture should direct the CIO to develop a complete commodity IT baseline.

    Agency: Department of Agriculture
    Status: Open

    Comments: In its March 2014 statement of actions to address our recommendations, the Department of Agriculture (USDA) provided information on its efforts to ensure the quality of its commodity IT baseline data. Specifically, USDA reported having (1) developed a central repository for agencies and staff offices to populate commodity IT data and (2) provided training on the use of the repository, and (3)established an addtional level of oversight to monitor data quality. We are reviewing supporting documentation obtained from the department to determine whether the recommendation has been fully addressed.
    Recommendation: To improve the department's implementation of PortfolioStat, in future reporting to OMB, the Secretary of Agriculture should direct the CIO to fully describe the following PortfolioStat Action plan elements: (1) consolidate commodity IT spending under the agency CIO and (2) establish criteria for wasteful, low-value, or duplicative investments.

    Agency: Department of Agriculture
    Status: Open

    Comments: In its March 2014 statement of actions to address our recommendations, the Department of Agriculture provided information on the elements identified in the recommendation. We are reviewing additional supporting documentation obtained from the department to determine whether the recommendation has been fully addressed.
    Recommendation: To improve the department's implementation of PortfolioStat, as the department finalizes and matures its valuation methodology, the Secretary of Agriculture should direct the CIO to utilize this process to identify whether there are additional opportunities to reduce duplicative, low-value, or wasteful investments.

    Agency: Department of Agriculture
    Status: Open

    Comments: In its March 2014 statement of actions to address our recommendations, the Department of Agriculture stated that its Chief Information Officer will formalize and implement a value-based measurement model to help determine which IT investments should be included in the USDA IT portfolio. We are reviewing supporting documentation obtained from the department to determine whether this recommendation has been fully addressed.
    Recommendation: To improve the department's implementation of PortfolioStat, the Secretary of Agriculture should direct the CIO to develop support for the estimated savings for fiscal years 2013 through 2015 for the Cellular Phone Contract Consolidation, IT Infrastructure Consolidation/Enterprise Data Center Consolidation, and Geospatial Consolidation initiatives.

    Agency: Department of Agriculture
    Status: Open

    Comments: In its March 2014 statement of actions to address our recommendations, the Department of Agriculture stated that its CIO has developed supporting documentation for the cost savings/avoidance associated with the efforts identified in the recommendation. We are reviewing supporting documentation obtained from the department to determine whether this recommendation has been fully addressed.
    Recommendation: To improve the department's implementation of PortfolioStat, the Secretary of Commerce should direct the CIO to reflect 100 percent of information technology investments in the department's enterprise architecture.

    Agency: Department of Commerce
    Status: Open

    Comments: In its January 2014 statement of actions to address our recommendations, the Department of Commerce stated that the majority of its IT investments were made at the operating unit level and it was therefore planning on issuing policy to require consistency between the operating units' enterprise architecture and the totality of IT investments as reflected in the annual capital asset plan and business case summary submission. The department noted it would also require that consistency between the department's enterprise architecture and the IT investment portfolio is confirmed before submission of either of these artifacts. We are following up with the department to determine the status of these planned actions.
    Recommendation: To improve the department's implementation of PortfolioStat, the Secretary of Commerce should direct the CIO to develop a complete commodity IT baseline.

    Agency: Department of Commerce
    Status: Open

    Comments: In its January 2014 statement of actions to address our recommendations, the Department of Commerce stated it had submitted two iterations of its commodity IT baseline to OMB since we made our recommendation. The department noted the PortfolioStat process and requirement to submit the baseline through the integrated data collection tool helped ensure the baseline was complete. We plan to follow up with Commerce officials.
    Recommendation: To improve the department's implementation of PortfolioStat, the Secretary of Defense should direct the CIO to develop a complete commodity IT baseline.

    Agency: Department of Defense
    Status: Open

    Comments: In its December 2013 statement of actions to address our recommendations, the Department of Defense stated that it had efforts underway, including an initiative known as the Joint Information Environment, to further refine the Department's commodity IT baseline. As of August 2016, we found that the department's DOD IT Portfolio Repository included business and enterprise IT systems--two of three commodity IT areas defined by OMB--as part of an ongoing engagement. We are following up with the department to find out about actions to develop an inventory of assets associated with IT infrastructure--the third category of commodity IT defined by OMB.
    Recommendation: To improve the department's implementation of PortfolioStat, in the future reporting to OMB, the Secretary of Defense should direct the CIO to fully describe the following PortfolioStat action plan element: consolidate commodity IT spending under the agency CIO.

    Agency: Department of Defense
    Status: Open

    Comments: As of December 2013, the department did not concur with this recommendation stating that the commodity IT construct implemented in the PortfolioStat initiative did not work well within the department's federated processes. The department agreed, however, that a strategy, consistent with the intent of achieving better buying power and control of commodity IT items, should be developed and implemented within the department using existing authorities, and noted that it was in the process of implementing such a strategy. In August 2016, we followed up with the department to obtain an update on the status of this strategy and determine the associated reporting to OMB. As of the end of October, we were still waiting for a response.
    Recommendation: To improve the department's implementation of PortfolioStat, the Secretary of Defense should direct the CIO to obtain support from the relevant component agencies for the estimated savings for fiscal years 2013 to 2015 for the data center consolidation, enterprise software purchasing, and General Fund Enterprise Business System initiatives.

    Agency: Department of Defense
    Status: Open

    Comments: In its statement of actions to address our recommendations, the Department of Defense stated that it already reports data center consolidation savings to both OMB and Congress and will continue to realize savings from the Enterprise Software Initiative, other strategic sourcing efforts, and the continuing implementation of General Fund Enterprise Business System initiatives. As of August 2016, we had collected support for data center consolidation as part of our ongoing data center consolidation work, and were waiting to receive support for the Enterprise Software Initiative savings for fiscal years 2013 to 2015 through recommendation follow-up for a prior software licensing review (GAO-14-413). We are following up with the department to obtain support for savings for the General Fund Enterprise Business System.
    Recommendation: To improve the U.S. Army Corps of Engineers' implementation of PortfolioStat, in future reporting to OMB, the Secretary of Defense should direct the Secretary of the Army to the CIO to fully describe the following PortfolioStat action plan elements: (1) consolidate commodity IT spending under the agency CIO; (2) target duplicative systems or contracts that support common business functions for consolidation; (3) establish criteria for identifying wasteful, low-value, or duplicative investments; and (4) establish a process to identify these potential investments and a schedule for eliminating them from the portfolio.

    Agency: Department of Defense
    Status: Open

    Comments: In its statement of actions to address our recommendations, the Department of Defense stated that the U.S. Army Corps of Engineers would fully describe the four action plan elements identified in this recommendation in future OMB reporting. We are following up with the department to determine the status of these efforts and obtain the associated supporting documentation.
    Recommendation: To improve the U.S. Army Corps of Engineers' implementation of PortfolioStat, the Secretary of Defense should direct the Secretary of the Army to report on the agency's progress in consolidating eCPIC to a shared service as part of the OMB integrated data collection quarterly reporting until completed.

    Agency: Department of Defense
    Status: Open

    Comments: In October 2016, the Department of Defense provided a report stating it had completed the consolidation of eCPIC to a shared service in August 2014. We are following up with the department to obtain supporting documentation.
    Recommendation: To improve the department's implementation of PortfolioStat, in future reporting to OMB, the Secretary of Energy should direct the CIO to fully describe the following PortfolioStat action plan elements: (1) consolidate commodity IT spending under the agency CIO and (2) establish criteria for identifying wasteful, low-value, or duplicative investments.

    Agency: Department of Energy
    Status: Open

    Comments: In its March 2014 statement of actions to address our recommendations, the Department of Energy stated that it will update its policy orders as necessary to implement the OMB policy for consolidating commodity IT under the Chief Information Officer and include a description in future OMB reporting. The department also noted that it will work to establish additional value criteria to idenitfy low-value or duplicative federal commodity IT investments, and these criteria will be described in future OMB reporting. We are reviewing the department's reporting to OMB to determine the extent to which this recommendation has been addressed.
    Recommendation: To improve the agency's implementation of PortfolioStat, the Administrator of the Environmental Protection Agency should direct the CIO to develop a complete commodity IT baseline.

    Agency: Environmental Protection Agency
    Status: Open

    Comments: In August 2014, the Environmental Protection Agency reported that it uses OMB's quarterly integrated data collection submission process to continually update the information in its baseline. We are following up with the agency to determine whether it has any process to ensure the completeness of the information that is submitted.
    Recommendation: To improve the agency's implementation of PortfolioStat, in future reporting to OMB, the Administrator of the Environmental Protection Agency should direct the CIO to fully describe the following PortfolioStat action plan elements: (1) consolidate commodity IT spending under the agency CIO; (2) establish targets for commodity IT spending reductions and deadlines for meeting those targets; and (3) establish criteria for identifying wasteful, low-value, or duplicative investments.

    Agency: Environmental Protection Agency
    Status: Open

    Comments: In August 2014, the Environmental Protection Agency stated that, in its August 2014 PortfolioStat update, it had reported to OMB on the status of actions to consolidate commodity IT spending under the agency CIO and to establish targets for commodity IT spending reductions. The agency also stated that it was working to develop criteria for identifying wasteful, low-value, and duplicative investments. We are reviewing the August 2014 PortfolioStat update to verify the agency's claims. We plan to also follow up on efforts to develop the aforementioned criteria and any associated reporting to OMB.
    Recommendation: To improve the agency's implementation of PortfolioStat, the Administrator of the Environmental Protection Agency should direct the CIO to report on the agency's progress in consolidating the managed print services and strategic sourcing of end user computing to shared services as part of the OMB integrated data collection quarterly reporting until completed.

    Agency: Environmental Protection Agency
    Status: Open

    Comments: In its March 2014 statement of actions to address our recommendations, the Environmental Protection Agency stated that it expected its print services to take on additional devices and locations beginning in April 2014 and that a contract vehicle for the purchasing and leasing of end user computing equipment was expected to be awarded by the end of the month. We are reviewing the agency's quarterly reporting to OMB to determine whether progress on the two initiatives was reported to OMB as we recommended.
    Recommendation: To improve the department's implementation of PortfolioStat, the Secretary of the Interior should direct the CIO to develop a complete commodity IT baseline.

    Agency: Department of the Interior
    Status: Open

    Comments: In August 2014, the Department reported that it was planning to undertake a series of activities spanning a 15-month timeframe to create a complete commodity IT baseline, including embarking upon a statistical analysis and cost projection initiative that is intended to identify the degree of confidence in the commodity IT baseline, and develop mechanisms that will enable validation and verification in the future. We will follow up with the department on the results of its activities.
    Recommendation: To improve the department's implementation of PortfolioStat, in future reporting to OMB, the Secretary of the Interior should direct the CIO to fully describe the following PortfolioStat action plan element: establish criteria for identifying wasteful, low-value, or duplicative investments.

    Agency: Department of the Interior
    Status: Open

    Comments: In its January 2014 comments on our report, the Department of the Interior stated that it was undertaking a business-driven approach that will involve working wtih its governance boards to establish criteria for identifying wasteful, low-value, or duplicative investments. The department stated it would establish the criteria by December 2014. However, the department did not address whether it would be reporting its plans to OMB, which was the focus of our recomnendation. We will follow up with officials on this.
    Recommendation: To improve the department's implementation of PortfolioStat, the Secretary of the Interior should direct the CIO to report on the department's progress in consolidating the Electronic Forms System component of the eMail Enterprise Records & Document Management System deployment 8 to a shared service as part of the OMB integrated data collection quarterly reporting until completed.

    Agency: Department of the Interior
    Status: Open

    Comments: In its January 2014 comments on our report, the Department of the Interior provided information on the status of its efforts to consolidate the Enterprise Forms System to a shared service and established a December 2014 target date for completion. In addition, the department stated that it would report on the status of the initiative quarterly until completion. We will follow up with the department to monitor its progress in completing the initiative and reporting on it to OMB.
    Recommendation: To improve the department's implementation of PortfolioStat, the Attorney General should direct the CIO to reflect 100 percent of information technology investments in the department's enterprise architecture.

    Agency: Department of Justice
    Status: Open

    Comments: In its December 2013 response to this recommendation, the Department of Justice stated that it had updated its enterprise architecture to include 100 percent of the information technology investments. However, it did not provide evidence of this action.We will follow up with the department to obtain supporting documentation.
    Recommendation: To improve the department's implementation of PortfolioStat, in future reporting to OMB, the Attorney General should direct the CIO to fully describe the following PortfolioStat action plan element: establish targets for commodity IT spending reductions and deadlines for meeting those targets.

    Agency: Department of Justice
    Status: Open

    Comments: In its December 2013 response to this recommendation, the Department of Justice (DOJ) stated that its Email and Collaboration Working Group established consolidation targets, and began Phase One of its email consolidation effort. In addition, DOJ provided information on the status of its efforts to establish additional targets. We are reviewing the information provided, as well as DOJ's reporting to OMB, to determine the extent to which this recommendation has been addressed.
    Recommendation: To improve the department's implementation of PortfolioStat, in future reporting to OMB, the Secretary of Labor should direct the CIO to fully describe the following PortfolioStat action plan elements: (1) consolidate commodity IT spending under the agency CIO and (2) establish targets for commodity IT spending reductions and deadlines for meeting those targets.

    Agency: Department of Labor
    Status: Open

    Comments: In its December 2013 response to this recommendation, the Department of Labor stated that the Chief Information Officer participates in discussions to identify and eliminate duplication and facilitate the use of commodity IT and shared services through the IT governance committees. We are reviewing documentation we recently obtained from the department to determine the current status of action to address this recommendation.
    Recommendation: To improve the department's implementation of PortfolioStat, the Secretary of Labor should direct the CIO to report on the department's progress in consolidating the cloud e-mail services to a shared service as part of the OMB integrated data collection quarterly reporting until completed.

    Agency: Department of Labor
    Status: Open

    Comments: The Department of Labor completed the consolidation of DOL agency e-mail systems into a shared cloud-based e-mail service in September 2014. In July 2015, the department provided evidence of a status report on the Office of Management and Budget IT dashboard showing completion of the initiative.
    Recommendation: To improve the agency's implementation of PortfolioStat, the Administrator of the National Aeronautics and Space Administration should direct the CIO to reflect 100 percent of information technology investments in the agency's enterprise architecture.

    Agency: National Aeronautics and Space Administration
    Status: Open

    Comments: in July 2015, NASA reported that it had initiated an effort referred to as Business Service Assessment (BSA) for IT to establish a more efficient IT operating model that maintains a minimum set of capabilities and meets current and future mission needs. The agency stated that one objective of the BSA is to guide technical, services, and investment decisions, create enterprise architecture and enterprise services methodologies for each IT domain that feeds into the overarching enterprise architecture for the full IT portfolio. In March 2016, the agency reported that final recommendations regarding the BSA were expected to be submitted to the Agency Mission Support Council at the end of the month. We are following up with NASA on the status of this recommendation.
    Recommendation: To improve the agency's implementation of PortfolioStat, in future reporting to OMB, the Administrator of the National Aeronautics and Space Administration should direct the CIO to fully describe the following PortfolioStat action plan elements: (1) consolidate commodity IT spending under the agency CIO; (2) target duplicative systems or contracts that support common business functions for consolidation; (3) establish criteria for identifying wasteful, low-value, or duplicative investments; and (4) establish a process to identify these potential investments and a schedule for eliminating them from the portfolio.

    Agency: National Aeronautics and Space Administration
    Status: Open

    Comments: In May 2015, NASA reported that OMB published new action items that resulted in a shift in tracking of the previous action items identified in our recommendation. In July 2015, the agency provided evidence of a July 2015 report updating OMB of the status of these items.
    Recommendation: To improve the agency's implementation of PortfolioStat, in future reporting to OMB, the Archivist of the United States should direct the CIO to fully describe the following PortfolioStat action plan elements: (1) consolidate commodity IT spending under the agency CIO; (2) target duplicative systems or contracts that support common business functions for consolidation; (3) establish criteria for identifying wasteful, low-value, or duplicative investments; and (4) establish a process to identify these potential investments and a schedule for eliminating them from the portfolio.

    Agency: National Archives and Records Administration
    Status: Open

    Comments: In its February 2014 statement of actions to address our recommendations, the National Archives and Records Administration reported that the four action plan elements identified in the recommendation had been included in the latest information resources management strategic plan submitted to OMB. We will review the plan to confirm whether the elements were included.
    Recommendation: To improve the agency's implementation of PortfolioStat, in future reporting to OMB, the Director of the National Science Foundation should direct the CIO to fully describe the following PortfolioStat action plan elements: (1) consolidate commodity IT spending under the agency CIO and (2) establish criteria for identifying wasteful, low-value, or duplicative investments.

    Agency: National Science Foundation
    Status: Open

    Comments: The National Science Foundation (NSF) reported that while OMB had not requested that the agency provide updates to the 2012 PortfolioStat action plan, NSF had provided different, OMB-requested documentation in support of annual PortfolioStat activities. We plan to follow up with the agency to determine the extent to which the documentation provided to OMB addresses our recommendation.
    Recommendation: To improve the agency's implementation of PortfolioStat, the Director of the Office of Personnel Management should direct the CIO to develop a complete commodity IT baseline.

    Agency: Office of Personnel Management
    Status: Open

    Comments: In August 2014, the Office of Personnel Management stated that it would be generating a policy requiring the baselines to be updated quarterly and established a target of May 2015 for fully implementing this recommendation. In March 2015, the agency stated that it was continuing to make progress toward the completion of its commodity IT baseline.
    Recommendation: To improve the agency's implementation of PortfolioStat, in future reporting to OMB, the Director of the Office of Personnel Management should direct the CIO to fully describe the following PortfolioStat action plan elements: (1) move at least two commodity IT areas to shared services and (2) target duplicative systems or contracts that support common business functions for consolidation.

    Agency: Office of Personnel Management
    Status: Open

    Comments: In August 2014, the Office of Personnel Management stated that the initial program office responses to our recommendation represented the vision of the former Chief Information Officer (CIO). The agency stated that the new CIO's strategic plan would address duplicative systems and contracts as part of the CIO re-organization project that was underway, with the intent of bringing the different job functions under one group in order to utilize resources and common business functions more effectively. The agency established May 2015 as a target for fully implementing the recommendation. However, we have not yet received evidence of this action. We plan to follow up on the status of actions taken.
    Recommendation: To improve the agency's implementation of PortfolioStat, the Director of the Office of Personnel Management should direct the CIO to report on the agency's progress in consolidating the help desk consolidation and IT asset inventory to shared services as part of the OMB integrated data collection quarterly reporting until completed.

    Agency: Office of Personnel Management
    Status: Open

    Comments: In August 2014, the Office of Personal Management (OPM) stated that a project initiated under the former Chief Information Officer's guidance deals specifically with help desk consolidation. OPM also stated it had leveraged the Remedy tool to integrate the IT asset inventory function as part of the help desk and that many of the IT asset inventory functions were now automated as part of this effort. The agency established May 2015 as a target for fully implementing the recommendation. We plan to follow up with OPM to find out about the status of actions taken to address this recommendation.
    Recommendation: To improve the agency's implementation of PortfolioStat, the Administrator of the Small Business Administration should direct the CIO to develop a complete commodity IT baseline.

    Agency: Small Business Administration
    Status: Open
    Priority recommendation

    Comments: In a recent GAO review examining whether agencies have complete inventories of business and enterprise IT systems (which represent 2 of the 3 categories of assets called for in the commodity IT baseline), SBA provided an inventory which it acknowledged did not include all systems or represent all offices. (Note: the review was summarized in GAO-16-511 issued in September 2016.) The agency noted that it was working with its offices to complete the inventory and hoped to finalize it and establish processes for updating the inventory, including possibly automating its data gathering abilities. In May 2017, SBA provided an update on the status of actions to address the recommendation. We are currently reviewing the documentation provided to determine whether SBA has fully addressed the recommendation.
    Recommendation: To improve the agency's implementation of PortfolioStat, in future reporting to OMB, the Administrator of the Small Business Administration should direct the CIO to fully describe the following PortfolioStat action plan elements: (1) consolidate commodity IT spending under the agency CIO; (2) establish targets for commodity IT spending reductions and deadlines for meeting those targets; (3) target duplicative systems or contracts that support common business functions for consolidation; and (4) establish a process to identify those potential investments and a schedule for eliminating them from the portfolio.

    Agency: Small Business Administration
    Status: Open

    Comments: In June 2015, SBA stated it believed the action items would be addressed as part of its actions to implement the provisions of the Federal Information Technology Acquisition Reform Act. We reviewed the agency's December 2015 plan for implementing the law and an April 2016 update but did not find evidence of actions to address the items in the recommendation. In May 2017, SBA provided an update on the status of actions to address the recommendation. We are currently reviewing the documentation provided to determine whether SBA has fully addressed the recommendation.
    Recommendation: To improve the agency's implementation of PortfolioStat, the Commissioner of the Social Security Administration should direct the CIO to develop a complete commodity IT baseline.

    Agency: Social Security Administration
    Status: Open

    Comments: In September 2014, the Social Security Administration (SSA) reported that the instruction set for its Special Expense Item process through which all non-labor IT dollars go now includes the definition of commodity IT baseline, and the requirement to identify all commodity IT baseline funds requested. SSA also stated it will report the commodity IT baseline results for fiscal year 2015 in its November integrated data collection report. We are reviewing the instruction set for the Special Expense Item process and SSA's November integrated data collection report to verify SSA's reported actions.
    Recommendation: To improve the agency's implementation of PortfolioStat, the Commissioner of the Social Security Administration should direct the CIO to report on the agency's progress in consolidating the geospatial architecture to a shared service as part of the OMB integrated data collection quarterly reporting until completed.

    Agency: Social Security Administration
    Status: Open

    Comments: In August 2015, the Social Security Administration (SSA) reported that it had migrated its geospatial architecture to a shared service in September 2014 and was complying with OMB reporting requirements. In July 2016, the agency provided e-mail messages and meeting minutes documenting various stages of the migration as evidence that it was completed as planned. However, SSA did not provide evidence of reporting to OMB. We are following up with SSA to obtain this evidence.
    Recommendation: To improve the department's implementation of PortfolioStat, the Secretary of State should direct the CIO to reflect 100 percent of information technology investments in the department's enterprise architecture.

    Agency: Department of State
    Status: Open

    Comments: According to the Department of State, since August 2014 all major and non-major IT investments and corresponding assets have been captured in enterprise architecture artifacts. We will follow up with the department to obtain documentation supporting this claim.
    Recommendation: To improve the department's implementation of PortfolioStat, in future reporting to OMB, the Secretary of State should direct the CIO to fully describe the following PortfolioStat action plan elements: (1) consolidate commodity IT spending under the agency CIO; (2) establish targets for commodity IT spending reductions and deadlines for meeting those targets; (3) move at least two commodity IT areas to shared services; (4) target duplicative systems or contracts that support common business functions for consolidation; and (5) establish a process to identify those potential investments and a schedule for eliminating them from the portfolio.

    Agency: Department of State
    Status: Open

    Comments: In August 2014, the Department of State reported taking several actions to address the action plan elements we determined had not been fully described in our review. For example, it provided the Integrated Logistics Management System and the Global IT Modernization program as examples of two commodity IT investments it had moved to shared services and reported that it instituted review processes to identify duplicative efforts within the IT portfolio. The department, however, did not state whether it had reported these actions to OMB, which was the focus of our recommendation. We will follow up with the department on this.
    Recommendation: To improve the department's implementation of PortfolioStat, the Secretary of State should direct the CIO to report on the department's progress in consolidating the Foreign Affairs Network and content publishing and delivery services to shared services as part of the OMB integrated data collection quarterly reporting until completed.

    Agency: Department of State
    Status: Open

    Comments: In August 2014, the Department of State reported that it had completed the content publishing and delivery services initiative and was reporting on its progress in consolidating the Foreign Affairs Network initiative to shared services through the OMB budget process. We plan to follow up with the agency to obtain supporting documentation.
    Recommendation: To improve the department's implementation of PortfolioStat, the Secretary of Transportation should direct the CIO to report on the department's progress in consolidating the Enterprise Messaging to shared services as part of the OMB integrated data collection quarterly reporting until completed.

    Agency: Department of Transportation
    Status: Open

    Comments: In September 2015, the department reported that it had discontinued its effort to migrate the Enterprise Messaging program to shared services because it was no longer cost-effective. We plan to follow up with the department on this matter.
    Recommendation: To improve the department's implementation of PortfolioStat, in future reporting to OMB, the Secretary of the Treasury should direct the CIO to fully describe the following PortfolioStat action plan elements: (1) consolidate commodity IT spending under the agency CIO and (2) establish criteria for identifying wasteful, low-value, or duplicative investments.

    Agency: Department of the Treasury
    Status: Open

    Comments: In September 2014, the Departmnent of the Treasury provided information on its efforts to address its action plan elements, including (1) establishing a general approach to reviewing new investment requests that considers risk, value, and cost; and (2) driving Treasury's IT investment portfolio toward common platforms whenever possible. However, the department did not address whether it was reporting on these efforts to OMB, which was the focus of our recommendation. We will follow up with the department on this.
    Recommendation: To improve the department's implementation of PortfolioStat, as the department finalizes and matures its enterprise architecture and valuation methodology, the Secretary of the Treasury should direct the CIO to utilize these processes to identify whether there are additional opportunities to reduce duplicative, low-value, or wasteful investments.

    Agency: Department of the Treasury
    Status: Open

    Comments: The department described several examples of processes it had in place to identify opportunities to reduce duplicative, low-value or wasteful investments, including annual reviews of each major IT investment and monthly portfolio reviews. We plan to follow up with the department to obtain supporting documentation.
    Recommendation: To improve the department's implementation of PortfolioStat, the Secretary of the Treasury should direct the CIO to develop support for the estimated savings for fiscal years 2013 to 2015 for the DoNotPay Business Center, Fiscal IT Data Center Consolidation and Business Process Management Status initiatives.

    Agency: Department of the Treasury
    Status: Open

    Comments: The department provided documentation related to its DoNotPay Business Center, Fiscal IT Data Center Consolidation, and Business Process Management Status initiatives. We are reviewing the information provided and plan to follow up with the department as appropriate.
    Recommendation: To improve the agency's implementation of PortfolioStat, the Administrator of the U.S. Agency for International Development should direct the CIO to reflect 100 percent of information technology investments in the agency's enterprise architecture.

    Agency: United States Agency for International Development
    Status: Open

    Comments: In response to this recommendation, in September 2014, USAID provided GAO its guidance for establishing an IT asset inventory consistent with Federal Information Systems Management Act requirements and its guidance for purchasing equipment and services which are compliant with agency standards. In October 2015, USAID also stated that it regularly updates its enterprise architecture through maintenance of its information systems inventory and evaluation of future investments. In March 2017, the agency provided GAO documentation supporting its efforts to maintain its information systems inventory and evaluate future investments. However, USAID did not show how these activities help ensure that investments are all included in the enterprise architecture. GAO is following up with the agency on this matter.
    Recommendation: To improve the department's implementation of PortfolioStat, in future reporting to OMB, the Secretary of Veterans Affairs should direct the CIO to fully describe the following PortfolioStat action plan element: target duplicative systems or contracts that support common business functions for consolidation.

    Agency: Department of Veterans Affairs
    Status: Open

    Comments: In a December 2015 update to the status of this recommendation, the department stated it was changing its governance processes and organizational structures for IT portfolio, system, project and requirements management to strengthen its ability to identify and eliminate/consolidate duplicative systems or contracts. The department recently reported that these new processes and organizations were established in the Spring of 2016, including a new strategic sourcing approach which should assist in addressing our recommendation. We are following up with the department to obtain evidence of this approach.
    Recommendation: To improve the department's implementation of PortfolioStat, the Secretary of Veterans Affairs should direct the CIO to report on the department's progress in consolidating the dedicated fax servers to a shared service as part of the OMB integrated data collection quarterly reporting until completed.

    Agency: Department of Veterans Affairs
    Status: Open

    Comments: In December 2015, the department reported that it would no longer pursue the initiative because an analysis performed in fiscal year 2014 indicated very little, if any cost savings to be achieved. The agency, however, did not provide evidence regarding any related reporting to OMB. We are following up with the department to obtain this evidence.
    Recommendation: To improve the department's implementation of PortfolioStat, as the department matures its enterprise architecture process, the Secretary of Veterans Affairs should direct the CIO to make use of it, as well as the valuation model, to identify whether there are additional opportunities to reduce duplicative, low-value, or wasteful investments.

    Agency: Department of Veterans Affairs
    Status: Open

    Comments: In December 2015, the department stated it was changing its governance processes and organizational structures for IT portfolio, system, project and requirements management to strengthen its ability to identify and eliminate/consolidate duplicative systems or contracts. The department recently reported that these new processes and organizations were established in the Spring of 2016. We are following up with the department to find out how they are incorporating the use of the enterprise architecture and value model to identify opportunities to reduce duplicative, low-value, or wasteful investments.
    Recommendation: To improve the department's implementation of PortfolioStat, the Secretary of Veterans Affairs should direct the CIO to develop detailed support for the estimated savings for fiscal years 2013 to 2015 for the Server Virtualization, Eliminate Dedicated Fax Servers Consolidation, Renegotiate Microsoft Enterprise License Agreement, and one CPU policy initiatives.

    Agency: Department of Veterans Affairs
    Status: Open

    Comments: In December 2015, the department reported that the scope of the Server Virtualization initiative was increased and that the cost avoidance estimates were being revised accordingly. It also reported that the Elimination of Analog Fax Lines initiative was no longer being pursued because an analysis found that it would result in very little, if any, cost savings. In regards to the Renegotiate Microsoft Enterprise License Agreement initiative, the department reported that total savings over a 5-year period were renegotiated but did not provide supporting documentation. Lastly, the department reported that a new economic justification for the One CPU Policy initiative was being developed based on a consolidation strategy, and would be provided when completed. We are following up with the department to obtain documentation supporting its reported actions.
    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.
    Director: Yager, Loren
    Phone: (202)512-4347

    1 open recommendations
    including 1 priority recommendation
    Recommendation: To more effectively implement SBA's expansion of OIT field staff as required by the SBJA, the Administrator of the SBA should update SBA's plan for additional OIT staff to include funding sources and time frames, as well as possible efficiencies from clearly defining roles and responsibilities and leveraging other entities' export assistance resources.

    Agency: Small Business Administration
    Status: Open
    Priority recommendation

    Comments: SBA concurred with our recommendations and noted that SBA would work to implement the recommendations. SBA agreed that it intends to respond to staffing requirements of the SBJA while acknowledging resource constraints in its next annual report to Congress. In November 2014, SBA officials said that SBA was in the process of evaluating the impact of Voluntary Early Retirement Authority (VERA) and Voluntary Separation Incentive Payments (VSIP) retirements that took place at the end of September 2014 and was developing a plan for reallocating full-time employees (FTEs). They said that at the end of this process, SBA would have a better understanding of the impact on current and future USEAC staffing levels. In September 2015, SBA stated that it was still in the process of evaluating the impact of the VERA/VSIP retirements that took place at the end of September 2014, and was developing a plan for current and future FTEs. In February 2016, SBA's Office of International Trade (OIT) reported that in the first quarter of fiscal year 2016, it was able to fill the 21st of 30 USEAC-based Export Finance Specialist positions. OIT also reported that it has prepared an updated staffing proposal for the remaining nine positions called for under the Small Business Jobs Act of 2010. OIT noted that filling the remaining nine positions would depend on their receiving additional agency funding. SBA needs to provide documentation of its plan for complying with staffing requirements in the Small Business Jobs Act, or provide evidence that they have reallocated resources to actually do so. As of March 2017, SBA's new leadership was reviewing agency budget and staffing needs and had not provided us with a proposal for filling the remaining positions.
    Director: Mackin, Michele
    Phone: (202)512-4309

    3 open recommendations
    Recommendation: To help mitigate future confusion regarding justifications for 8(a) sole-source contracts over $20 million, the Administrator of the Office of Federal Procurement Policy, in consultation with the FAR Council, should promulgate guidance to clarify whether an 8(a) justification is required for 8(a) contracts that are subject to a pre-existing Competition in Contracting Act (CICA) class justification.

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

    Comments: The FAR Council opened a FAR case (2013-018) to address the recommendations from this report by clarifying the requirement for sole source 8(a) justifications. As of July 2017, the draft proposed FAR rule was awaiting approval for release. We will continue to monitor the progress of this proposed FAR rule.
    Recommendation: To help mitigate future confusion regarding justifications for 8(a) sole-source contracts over $20 million, the Administrator of the Office of Federal Procurement Policy, in consultation with the FAR Council, should promulgate guidance to provide additional information on actions contracting officers should take to comply with the justification requirement when the contract value rises above or falls below $20 million between SBA's acceptance of the contract for negotiation under the 8(a) program and the contract award.

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

    Comments: The FAR Council opened a FAR case (2013-018) to address the recommendations from this report by clarifying the requirement for sole source 8(a) justifications. As of July 2017, the draft proposed FAR rule was awaiting approval for release. We will continue to monitor the progress of this proposed FAR rule.
    Recommendation: To help mitigate future confusion regarding justifications for 8(a) sole-source contracts over $20 million, the Administrator of the Office of Federal Procurement Policy, in consultation with the FAR Council, should promulgate guidance to clarify whether and under what circumstances a separate sole-source justification is necessary for out-of-scope modifications to 8(a) sole-source contracts.

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

    Comments: The FAR Council opened a FAR case (2013-018) to address the recommendations from this report by clarifying the requirement for sole source 8(a) justifications. As of July 2017, the draft proposed FAR rule was awaiting approval for release. We will continue to monitor the progress of this proposed FAR rule.
    Director: Shear, William B
    Phone: (202)512-4325

    8 open recommendations
    including 4 priority recommendations
    Recommendation: The Secretaries of the Departments of Agriculture, Commerce, and Housing and Urban Development, and the Administrator of the Small Business Administration should consistently collect information that would enable them to track the specific type of assistance programs provide and the entrepreneurs they serve and use this information to help administer their programs.

    Agency: Department of Agriculture
    Status: Open

    Comments: In March 2017, USDA noted that its Rural Business-Cooperative Service had implemented procedures to improve data collected on program performance, including procedures to validate data entered into its Guarantee Loan System. In addition, USDA participates in an OMB-led interagency working group convened to share best practices in program evaluation, data sharing, and technical assistance analysis. In March 2017, OMB noted that SBA and Commerce?s Office of Performance and Risk Management plan to co-publish a report outlining several best practices in program evaluation, data sharing, and technical assistance. It will be important for USDA to follow through on the initiatives described above.
    Recommendation: The Secretaries of the Departments of Agriculture, Commerce, and Housing and Urban Development, and the Administrator of the Small Business Administration should consistently collect information that would enable them to track the specific type of assistance programs provide and the entrepreneurs they serve and use this information to help administer their programs.

    Agency: Department of Commerce
    Status: Open
    Priority recommendation

    Comments: In March 2017, Commerce's Economic Development Administration (EDA) noted that it announced additional reporting requirements for grantees as part of its Fiscal Year 2017 Economic Development Assistance Programs federal funding opportunity that are intended to improve program evaluation. EDA added that it plans to work with the Office of Management and Budget (OMB) to finalize the new survey forms needed to implement the new requirements with a goal of piloting them in fiscal year 2017. In addition, Commerce participates in an OMB-led interagency working group convened to share best practices in program evaluation, data sharing, and technical assistance analysis. In March 2017, OMB noted that SBA and Commerce's Office of Performance and Risk Management plan to co-publish a report outlining several best practices in program evaluation, data sharing, and technical assistance. It will be important for Commerce to follow through on the initiatives described above.
    Recommendation: The Secretaries of the Departments of Agriculture, Commerce, and Housing and Urban Development, and the Administrator of the Small Business Administration should consistently collect information that would enable them to track the specific type of assistance programs provide and the entrepreneurs they serve and use this information to help administer their programs.

    Agency: Department of Housing and Urban Development
    Status: Open

    Comments: In February 2017, HUD noted that the department had completed its effort to clean up its Community Development Block Grant data and is working to resolve issues with grantees for which costs have been disallowed. HUD expects to resolve these issues by December 2017.
    Recommendation: The Secretaries of the Departments of Agriculture, Commerce, and Housing and Urban Development, and the Administrator of the Small Business Administration should consistently collect information that would enable them to track the specific type of assistance programs provide and the entrepreneurs they serve and use this information to help administer their programs.

    Agency: Small Business Administration
    Status: Open
    Priority recommendation

    Comments: In March 2017, SBA noted that it continues to evaluate its entrepreneurial development programs through third-party evaluations and limited data collected from their resource partners and will use this information to guide program development. In addition, SBA participates in an OMB-led interagency working group convened to share best practices in program evaluation, data sharing, and technical assistance analysis. In March 2017, OMB noted that SBA and Commerce's Office of Performance and Risk Management plan to co-publish a report outlining several best practices in program evaluation, data sharing, and technical assistance. It will be important for SBA to follow through on the initiatives described above and collect information for the additional six programs identified in our report as lacking information.
    Recommendation: The Secretaries of the Departments of Agriculture, Commerce, and Housing and Urban Development, and the Administrator of the Small Business Administration should conduct more program evaluations to better understand why programs have not met performance goals and their overall effectiveness.

    Agency: Department of Agriculture
    Status: Open

    Comments: In March 2017, USDA noted that its Rural Business-Cooperative Service had implemented procedures to improve data collected on program performance, including procedures to validate data entered into its Guarantee Loan System. In addition, USDA participates in an OMB-led interagency working group convened to share best practices in program evaluation, data sharing, and technical assistance analysis. In March 2017, OMB noted that SBA and Commerce's Office of Performance and Risk Management plan to co-publish a report outlining several best practices in program evaluation, data sharing, and technical assistance. It will be important for USDA to follow through on the initiatives described above that are intended to improve the evaluation of programs that provide assistance to entrepreneurs.
    Recommendation: The Secretaries of the Departments of Agriculture, Commerce, and Housing and Urban Development, and the Administrator of the Small Business Administration should conduct more program evaluations to better understand why programs have not met performance goals and their overall effectiveness.

    Agency: Department of Commerce
    Status: Open
    Priority recommendation

    Comments: In March 2017, Commerce's Economic Development Administration (EDA) noted that it announced additional reporting requirements for grantees as part of its Fiscal Year 2017 Economic Development Assistance Programs federal funding opportunity that are intended to improve program evaluation. EDA added that it plans to work with the Office of Management and Budget (OMB) to finalize the new survey forms needed to implement the new requirements with a goal of piloting them in fiscal year 2017. In addition, Commerce participates in an OMB-led interagency working group convened to share best practices in program evaluation, data sharing, and technical assistance analysis. In March 2017, OMB noted that SBA and Commerce's Office of Performance and Risk Management plan to co-publish a report outlining several best practices in program evaluation, data sharing, and technical assistance. It will be important for Commerce to follow through on the initiatives described above and conduct evaluations of the three economic development programs that have not yet been assessed.
    Recommendation: The Secretaries of the Departments of Agriculture, Commerce, and Housing and Urban Development, and the Administrator of the Small Business Administration should conduct more program evaluations to better understand why programs have not met performance goals and their overall effectiveness.

    Agency: Department of Housing and Urban Development
    Status: Open

    Comments: In February 2017, HUD noted that the department had completed its effort to clean up its Community Development Block Grant data and is working to resolve issues with grantees for which costs have been disallowed. HUD expects to resolve these issues by December 2017.
    Recommendation: The Secretaries of the Departments of Agriculture, Commerce, and Housing and Urban Development, and the Administrator of the Small Business Administration should conduct more program evaluations to better understand why programs have not met performance goals and their overall effectiveness.

    Agency: Small Business Administration
    Status: Open
    Priority recommendation

    Comments: In March 2017, SBA noted that it had taken a number of steps to build its program evaluation function, including (1) hiring its first lead program evaluator in August 2016 to manage new and coordinate ongoing agency program evaluations, (2) drafting a program evaluation framework that will support the agency's efforts to conduct, monitor, and implement findings from evaluations, and (3) creating a performance and evaluation community of practice that meets on a monthly basis to discuss program evaluation principles and address questions for the framework (e.g., data sharing, definitions, learning agendas). SBA expects to start new program evaluations in 2017. In addition, SBA participates in an OMB-led interagency working group convened to share best practices in program evaluation, data sharing, and technical assistance analysis. In March 2017, OMB noted that SBA and Commerce's Office of Performance and Risk Management plan to co-publish a report outlining several best practices in program evaluation, data sharing, and technical assistance. It will be important for SBA to follow through on the initiatives described above that are intended to improve the evaluation of programs that provide assistance to entrepreneurs.
    Director: Mackin, Michele
    Phone: (202)512-3000

    3 open recommendations
    Recommendation: To improve oversight of the limitations on subcontracting clause and to clarify who has responsibility for monitoring compliance with the clause, the Administrator of the Office of Federal Procurement Policy, in consultation with the Administrator of SBA, should provide specific guidance (including data collection options) to agency officials, including to contracting officers, about how to monitor the extent of subcontracting under 8(a) contracts, including for orders under indefinite quantity contracts.

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

    Comments: The Office of Federal Procurement Policy (OFPP) agreed with the recommendation. In summer of 2017 we followed up to see what actions they had taken to implement the recommendation, but we did not receive any updates. GAO will continue to monitor OFPP's actions to address this recommendation.
    Recommendation: To improve oversight of the limitations on subcontracting clause and to clarify who has responsibility for monitoring compliance with the clause, the Administrator of the Office of Federal Procurement Policy, in consultation with the Administrator of SBA, should take actions to amend the Federal Acquisition Regulation (FAR) to (1) direct contracting officers at agencies that have been delegated responsibility for ensuring compliance with the limitations on subcontracting clause to document in the contract file the steps they have taken to ensure compliance and (2) clarify the percentage of work required by an 8(a) participant under indefinite quantity contracts.

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

    Comments: The Office of Federal Procurement Policy (OFPP) agreed with the recommendation. In summer of 2017 we followed up to see what actions they had taken to implement the recommendation, but we did not receive any updates. GAO will continue to monitor OFPP's actions to address this recommendation.
    Recommendation: To improve oversight of tribal firms' participation in the 8(a) program, the Administrator of SBA should, as the new 8(a) tracking database is being developed, take steps toensure that it has the capability to (1) provide visibility to district offices into all tribal 8(a) firms' activity by tribal entity to ensure compliance with new prohibition to award sole-source 8(a) follow-on contracts to sister subsidiaries; (2) track revenue from tribal 8(a) firms' primary and secondary industry codes to ensure that subsidiaries under the same parent company are not generating the majority of their revenue from the same primary industry; and (3) track information on 8(a) contracts and task or delivery orders,including orders awarded under basic ordering agreements, tohelp ensure that district officials have information necessary toenforce the 8(a) program regulations.

    Agency: Small Business Administration
    Status: Open

    Comments: The Small Business Administration (SBA) neither agreed nor disagreed with this recommendation. In June 2015, SBA officials told GAO that they will use a high risk model of random surveillance to track revenue in primary and secondary codes for entity-owned firms, such as tribal 8(a) firms. SBA will include this as a part of the continuing eligibility process, and will randomly select entity-owned firms and subsidiaries for the deep dive. As part of this effort, SBA will pull data from the Federal Procurement Data System to determine what industry codes the subsidiaries are earning revenues. SBA will look for firms generating revenue in another industry code that exceeds the revenue in their primary industry code when the revenue also aligns under the primary industry code of another subsidiary firm for two consecutive years. These firms will be notified of SBA's concern in writing during their continuing eligibility review to be vigilant to avoid further action by the SBA. In February 2016, SBA informed us that it had delayed plans for the random surveillance, and had taken steps in the interim to begin monitoring the revenue generated under a subsidiary's primary and secondary NAICS codes by tracking award obligations for all entity-owned firms in a spreadsheet. SBA officials told us that the spreadsheet is a stop gap measure until the database can be developed. We asked for updates to steps taken but as of September 2017, no updates were provided. We will continue to track progress on the development of this randomized analysis and other efforts to provide the necessary visibility to all district offices on tribal 8(a) firms participation in the 8(a) program.
    Director: St James, Lorelei
    Phone: (214)777-5719

    1 open recommendations
    Recommendation: To know whether its data on committed spending can be relied on to determine state DOTs' progress in meeting goals, to enhance FHWA's ability to know whether state DOTs meet their DBE goals, and to help increase transparency in the reporting of spending on DBEs, the Secretary of Transportation should direct the FHWA Administrator, in the information it provides to decision makers, including Congress, to include statements about potential limitations of the data it uses to determine state DOTs' progress towards goals.

    Agency: Department of Transportation
    Status: Open

    Comments: An official from the Department of Transportation said that the agency expects the recommendation to be met with a final rule regarding disadvantaged business enterprises, which will be signed by the Secretary of the Department of Transportation by the end of the calendar year.
    Director: Shear, William B
    Phone: (202)512-4325

    3 open recommendations
    Recommendation: To more fully evaluate the effectiveness of their mentor-protege programs, the OSDBU and Mentor-Protege Program Directors of DHS, DOE, DOS, EPA, FAA, GSA, HHS, SBA, Treasury, and VA should consider collecting and maintaining protege postcompletion information.

    Agency: Department of Health and Human Services: Office of Small and Disadvantaged Business Utilization
    Status: Open

    Comments: When we confirm what actions the agency has taken in response to this recommendation, we will provide updated information.
    Recommendation: To more fully evaluate the effectiveness of their mentor-protege programs, the OSDBU and Mentor-Protege Program Directors of DHS, DOE, DOS, EPA, FAA, GSA, HHS, SBA, Treasury, and VA should consider collecting and maintaining protege postcompletion information.

    Agency: Environmental Protection Agency: Office of Small and Disadvantaged Business Utilization
    Status: Open

    Comments: Following issuance of the report, EPA established a working group to review mentor-protege policies and procedures and determine the viability and relevance of the program at EPA. The working group recommended that EPA maintain the mentor-protege program and suggested other program improvements. EPA has since suspended implementation of the working group recommendations pending finalization of SBA's revised mentor-protege program guidance. In addition, EPA noted in May 2015 that the agency did not have any mentor-protege agreements in place and thus no need to develop and implement a systemic methodology for tracking program results. EPA added that it anticipates taking steps necessary to implement program tracking in accordance with SBA's revised mentor-protege guidance once it is finalized.
    Recommendation: To more fully evaluate the effectiveness of their mentor-protege programs, the OSDBU and Mentor-Protege Program Directors of DHS, DOE, DOS, EPA, FAA, GSA, HHS, SBA, Treasury, and VA should consider collecting and maintaining protege postcompletion information.

    Agency: Department of Energy: Office of Small and Disadvantaged Business Utilization
    Status: Open

    Comments: When we confirm what actions the agency has taken in response to this recommendation, we will provide updated information.
    Director: Brown, Orice Williams
    Phone: (202)512-5837

    3 open recommendations
    Recommendation: To improve strategic planning, performance management, and program oversight within and related to NFIP, the Secretary of DHS should direct the FEMA Administrator to develop a comprehensive workforce plan according to PKEMRA that identifies agency staffing and skills requirements, addresses turnover and staff vacancies, and analyzes FEMA's use of contractors.

    Agency: Department of Homeland Security
    Status: Open

    Comments: According to FEMA officials, as of July 2016, FEMA is in the process of developing a Workforce Strategic Plan they say will contribute to organizational performance and mission by enabling FEMA to align the overall workforce with strategic priorities. FEMA expected to complete the plan by the first quarter of FY2017. As of December 2016, FEMA officials said they were still working to implement this recommendation and agreed to provide us with an update of their progress.
    Recommendation: To improve FEMA's policies, procedures, and systems for achieving NFIP's program goals, the Secretary of DHS should direct the FEMA Administrator to consider the costs and benefits of implementing an interim system for FEMA and updating its document management policies and procedures while waiting for DHS to implement an agencywide electronic document management system.

    Agency: Department of Homeland Security
    Status: Open

    Comments: FEMA officials stated that, as of July 2016, FEMA is working to pilot an Electronic Records Management System (ERMS). They said that they expected to have all email records in an electronic state by December 31, 2016, and all records in an electronic state by December 31, 2019. They said that they expect the end state in 2019 to meet the Presidential Directive and NARA guidelines. As of December 2016, FEMA officials said they were still working to implement this recommendation and agreed to provide us with an update of their progress.
    Recommendation: To improve FEMA's policies, procedures, and systems for achieving NFIP's program goals, the Secretary of DHS should direct the FEMA Administrator to establish timelines for and complete the development and implementation of FEMA's revised acquisition process, in line with the DHS Acquisition Directive 102-01, including a rollout process with staff training and a mechanism to better ensure that all acquisitions undergo the necessary reviews.

    Agency: Department of Homeland Security
    Status: Open

    Comments: FEMA officials stated that, as of July 2016, a Disaster Acquisitions Response Team (DART) was in place along with metrics in place to monitor the team's success. They said they had also awarded a contract to serve as a contract file repository and that previously scanned contract files would be uploaded by December 31, 2016. As of December 2016, FEMA officials said they were still working to implement this recommendation and agreed to provide us with an update of their progress.
    Director: Shear, William B
    Phone: (202)512-4325

    1 open recommendations
    Recommendation: To ensure compliance with federal contracting regulations and to more transparently disclose the extent to which subcontracting opportunities are available to small businesses, the Secretaries of Homeland Security and Defense and the Administrator of General Services should consider asking their respective Inspectors General to conduct a review at an appropriate future date to ensure that this guidance and related requirements are being followed.

    Agency: Department of Homeland Security
    Status: Open

    Comments: DHS issued a chapter on its small business subcontracting program in its DHS Acquisition Manual in October 2009 and developed a subcontracting plan checklist that officials are to use when awarding a contract. In May 2010, DHS officials stated that these documents were examples of progress they have made to address the recommendation on ensuring compliance with federal contracting regulations and other related requirements. We disagreed with the agency and do not believe that these documents constitute agency guidance on the contract administration duties to monitor contractor compliance with subcontracting plan reporting requirements. In the fall of 2017, we met with DHS officials to discuss the recommendation. Subsequently, in September 2017, DHS emailed a description of the role of the OSDBU in ensuring that: (a) prime contractors report timely on their small business subcontracting accomplishments, and (b) determinations that call for no subcontracting plans are properly vetted. We requested formal documentation of the roles and responsibilities of the OSDBU, as well as evidence of the work performed, in September 2017. The recommendation remains open until DHS provides documentation to support its written description of the OSDBU's efforts to help ensure guidance and related requirements related to subcontracting opportunities for small businesses are being followed.
    Director: Shear, William B
    Phone: (202)512-8678

    2 open recommendations
    Recommendation: To better address the purpose of the 8(a) program, meet the needs and expectations of the firms in the program, and improve SBA's ability to determine how well the program is working, the Administrator, SBA, should periodically perform a nationwide sample survey of 8(a) firms to obtain measurable program data. At a minimum, the survey should assess whether SBA assistance is meeting the firms' expectations and needs.

    Agency: Small Business Administration
    Status: Open

    Comments: SBA drafted a plan for providing individualized business development assistance to 8(a) firms, along with an assessment tool--the 8(a) Business Development Assessment Tool (BDAT). A subsequent evaluation of BDAT revealed that the tool would not provide the expected outcome. Consequently, the Office of Government Contracting and Business Development launched a more broad modernization effort in December of 2011. One of the outcomes of that effort was the conceptualization of the One Track Certification Management System (One Track CMS), which included many of the requirements from the BDAT. However, SBA experienced some delays regarding the contract for development and the ultimate implementation of the One Track CMS. On June 3, 2015, SBA and GAO staff met to discuss the status of open SBA 8(a) program recommendations. This recommendation was mentioned, but, no updates on the current status of this recommendation were provided. The One Track CMS was not yet operational as of the date of that meeting.
    Recommendation: To better address the purpose of the 8(a) program, meet the needs and expectations of the firms in the program, and improve SBA's ability to determine how well the program is working, the Administrator, SBA, should provide a method for collecting data on each firm's training needs for tracking the assistance provided.

    Agency: Small Business Administration
    Status: Open

    Comments: With the deployment of the Business Development Management Information System on July 28, 2008, along with an 8(a) Business Development Assessment Tool (BDAT)--which will entail an enhancement of SBA's Business Development Management Information System--SBA stated that it will be able to annually collect data that will be used to assess an 8(a) participant's needs for technical assistance and training. A subsequent evaluation of BDAT revealed that the tool would not provide the expected outcome. Consequently, the Office of Government Contracting and Business Development launched a more broad modernization effort in December of 2011. One of the outcomes of that effort was the conceptualization of One Track Certification Management System (One Track CMS), which included many of the requirements from the BDAT. However, SBA experienced some delays regarding the contract for development and the ultimate implementation of the One Track CMS. On June 3, 2015, SBA and GAO staff met to discuss the status of open SBA 8(a) program recommendations. This recommendation was mentioned, but no updates on the current status of this recommendation were provided. The One Track CMS was not yet operational as of the date of that meeting.