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    Subject Term: Commerce

    26 publications with a total of 64 open recommendations including 2 priority recommendations
    Director: Mark L. Goldstein
    Phone: (202) 512-2834

    1 open recommendations
    Recommendation: The Chairman of FCC should review joint sales agreements (JSA) filed in stations' public inspection files to identify stations involved in those JSAs and take action to ensure that each station involved has filed its JSA as required.

    Agency: Federal Communications Commission
    Status: Open

    Comments: As of April 2017, FCC officials stated that the agency has not taken any action related to this recommendation.
    Director: Brenda S. Farrell
    Phone: (202) 512-3604

    12 open recommendations
    Recommendation: To enhance and to promote more consistent oversight of efforts within the department to address the incidence of hazing, the Secretary of Defense should direct the Under Secretary of Defense for Personnel and Readiness to regularly monitor the implementation of DOD's hazing policy by the military services.

    Agency: Department of Defense
    Status: Open

    Comments: When we confirm what actions the agency has taken in response to this recommendation, we will provide updated information.
    Recommendation: To enhance and to promote more consistent oversight of efforts within the department to address the incidence of hazing, the Secretary of Defense should direct the Under Secretary of Defense for Personnel and Readiness to require that the Secretaries of the military departments regularly monitor implementation of the hazing policies within each military service.

    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 improve the ability of servicemembers to implement DOD and service hazing policies, the Secretary of Defense should direct the Under Secretary of Defense for Personnel and Readiness to establish a requirement for the Secretaries of the military departments to provide additional clarification to servicemembers to better inform them as to how to determine what is or is not hazing. This could take the form of revised training or additional communications to provide further guidance on hazing policies.

    Agency: Department of Defense
    Status: Open

    Comments: When we confirm what actions the agency has taken in response to this recommendation, we will provide updated information.
    Recommendation: To promote greater consistency in and visibility over the military services' collection of data on reported hazing incidents and the methods used to track them, the Secretary of Defense should direct the Under Secretary of Defense for Personnel and Readiness, in coordination with the Secretaries of the military departments, to issue DOD-level guidance on the prevention of hazing that specifies data collection and tracking requirements, including the scope of data to be collected and maintained by the military services on reported incidents of hazing.

    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 promote greater consistency in and visibility over the military services' collection of data on reported hazing incidents and the methods used to track them, the Secretary of Defense should direct the Under Secretary of Defense for Personnel and Readiness, in coordination with the Secretaries of the military departments, to issue DOD-level guidance on the prevention of hazing that specifies data collection and tracking requirements, including a standard list of data elements that each service should collect on reported hazing incidents.

    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 promote greater consistency in and visibility over the military services' collection of data on reported hazing incidents and the methods used to track them, the Secretary of Defense should direct the Under Secretary of Defense for Personnel and Readiness, in coordination with the Secretaries of the military departments, to issue DOD-level guidance on the prevention of hazing that specifies data collection and tracking requirements, including definitions of the data elements to be collected to help ensure that incidents are tracked consistently within and across the services.

    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 promote greater visibility over the extent of hazing in DOD to better inform DOD and military service actions to address hazing, the Secretary of Defense should direct the Under Secretary of Defense for Personnel and Readiness, in collaboration with the Secretaries of the Military Departments, to evaluate prevalence of hazing in the military services.

    Agency: Department of Defense
    Status: Open

    Comments: When we confirm what actions the agency has taken in response to this recommendation, we will provide updated information.
    Recommendation: To enhance and to promote more consistent oversight of the Coast Guard's efforts to address the incidence of hazing, the Commandant of the Coast Guard should regularly monitor hazing policy implementation.

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

    Comments: When we confirm what actions the agency has taken in response to this recommendation, we will provide updated information.
    Recommendation: To promote greater consistency in and visibility over the Coast Guard's collection of data on reported hazing incidents and the methods used to track them, the Commandant of the Coast Guard should issue guidance on the prevention of hazing that specifies data collection and tracking requirements, including the scope of the data to be collected and maintained on reported incidents of hazing.

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

    Comments: When we confirm what actions the agency has taken in response to this recommendation, we will provide updated information.
    Recommendation: To promote greater consistency in and visibility over the Coast Guard's collection of data on reported hazing incidents and the methods used to track them, the Commandant of the Coast Guard should issue guidance on the prevention of hazing that specifies data collection and tracking requirements, including a standard list of data elements to be collected on reported hazing incidents.

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

    Comments: When we confirm what actions the agency has taken in response to this recommendation, we will provide updated information.
    Recommendation: To promote greater consistency in and visibility over the Coast Guard's collection of data on reported hazing incidents and the methods used to track them, the Commandant of the Coast Guard should issue guidance on the prevention of hazing that specifies data collection and tracking requirements, including definitions of the data elements to be collected to help ensure that incidents are tracked consistently within the Coast Guard.

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

    Comments: When we confirm what actions the agency has taken in response to this recommendation, we will provide updated information.
    Recommendation: To promote greater visibility over the extent of hazing in the Coast Guard to better inform actions to address hazing, the Commandant of the Coast Guard should evaluate the prevalence of hazing in the Coast Guard.

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

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

    1 open recommendations
    Recommendation: To help ensure that actions taken to improve the test and evaluation process address identified challenges, the Administrator of TSA should finalize all aspects of the third party testing strategy before implementing further third party testing requirements for vendors to enter testing.

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

    Comments: In its response to this recommendation, the Department of Homeland Security concurred and identified initial planned actions to implement the finalize third party strategy. Subsequently, in the Spring of 2016, the TSA Office of Security Capabilities finalized its third party tester application and approval process; established quality conformance standards for potential third party testers; and gathered and considered industry feedback on potential third party test strategy consequences among other actions. Collectively, TSA established and published program requirements and procedures for the third party test strategy. In late 2016, TSA formally delayed its planned implementation of the third-party testing program by a calendar year to now be completed by December 31, 2017. TSA cited a need to conduct additional assessments, coordination challenges, and larger TSA security equipment related initiatives as the reasons for the delay. As part of its regular recommendation status reporting to GAO, TSA in the Spring 2017, noted that it is on track to meet the intent of the recommendation by the later revised date. TSA noted it had recently updated its qualification process by which qualified product lists will be populated and has already incorporated various aspects of third party testing for legacy security equipment qualification.
    Director: David C. Trimble
    Phone: (202) 512-3841

    5 open recommendations
    including 1 priority recommendation
    Recommendation: To improve the internal control environment for oversight using information from CAS and develop a consistent approach to the use of information from CAS in M&O contractor oversight and performance evaluation across the nuclear security enterprise, the Administrator of NNSA should establish comprehensive NNSA policies and guidance, beyond a general framework as included in NAP-21, for using information from CAS to conduct oversight of M&O contractors, clarifying whether CAS is to cover mission-related activities, and describing how to conduct assessments of risk, CAS maturity, and the level of the contractor's past performance.

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

    Comments: We recommended that NNSA establish comprehensive policies and guidance, beyond a general framework, for using information from contractor assurance systems (CAS) to conduct oversight of management and operating (M&O) contractors, clarifying whether CAS is to cover mission-related activities and describing how to conduct assessments of risk, CAS maturity, and the level of the contractor's past performance. NNSA agreed with the recommendation and has taken an important step to revise its policy. However, NNSA needs to take additional action. Specifically, NNSA approved a revised corporate site governance policy in August 2016. The revised policy improves on the agency's prior policy by clarifying one element in our recommendation that CAS is to cover mission-related activities. However the policy is still a general framework and NNSA has not established associated implementing guidance. Specifically, NNSA needs to develop guidance for NNSA headquarters' and field offices' procedures to use information from CAS and appropriately balance use of information from CAS with other more direct activities to oversee M&O contractors.
    Recommendation: To improve the internal control environment for oversight using information from CAS and develop a consistent approach to the use of information from CAS in M&O contractor oversight and performance evaluation across the nuclear security enterprise, the Administrator of NNSA should work with field office managers to establish field office procedures consistent with headquarters policy and guidance to support assessment practices for determining appropriate oversight approaches.

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

    Comments: Agency concurred with GAO's recommendation. Per DOE, NNSA will require field offices to develop new or modify existing procedures as appropriate to support the new requirements. The estimated completion date for these activities is September 30, 2016. DOE has not completed these activities by the estimated date and has not issued a revised date as of October 20, 2016.
    Recommendation: To improve the internal control environment for oversight using information from CAS and develop a consistent approach to the use of information from CAS in M&O contractor oversight and performance evaluation across the nuclear security enterprise, the Administrator of NNSA should reestablish a process for reviewing the effectiveness of field offices' oversight approaches, including their use of information from CAS.

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

    Comments: Agency concurred with recommendation. NNSA's revised Supplemental Directive (SD) 226.1B provides an approach to evaluate the effectiveness of the field oversight activities. The SD requirements include a peer review process and provide attributes that when followed, may result in improved field oversight activities. As of April 2017 The first peer review, which will pilot the review process and help assess implementation, will likely occur in June 2017 and will be conducted at the Nevada National Security Site. The next review will be in November at the Lawrence Livermore National Laboratory. GAO will monitor the results of the pilot to determine whether and how it will be permanently implemented.
    Recommendation: To improve the internal control environment for oversight using information from CAS and develop a consistent approach to the use of information from CAS in M&O contractor oversight and performance evaluation across the nuclear security enterprise, the Administrator of NNSA should revise NNSA policy, guidance, and procedures on performance evaluation to fully address how and under what circumstances those responsible for evaluating M&O contractors' performance should use information from CAS for this purpose.

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

    Comments: Agency concurred with recommendation. While NNSA's revised Supplemental Directive addresses the use of CAS information in evaluating M&O contractor performance, NNSA has not yet developed guidance or procedures for how to use information from contractor assurance systems in its performance evaluation process.
    Recommendation: To improve the internal control environment for oversight using information from CAS and develop a consistent approach to the use of information from CAS in M&O contractor oversight and performance evaluation across the nuclear security enterprise, the Administrator of NNSA should assess NNSA's staffing needs to determine whether it has sufficient, qualified personnel to conduct oversight activities consistent with comprehensive policies and guidance, including the use of information from CAS.

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

    Comments: Agency concurred with recommendation. Action in progress. NNSA will assess staffing needs and develop a staffing strategy for defensible and sustainable oversight. This strategy will implement the corporate policy and implementing guidance, while adhering to the constraints of the National Defense Authorization Act staffing ceiling. NNSA initially estimated it would complete this activity by December 31, 2016, but it has not yet been completed.
    Director: Maurer, Diana C
    Phone: (202) 512-9627

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

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

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

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

    Comments: In April 2015, we found that VOCA grant activities were not being completed within the time parameters OJJDP established for the grant program, and that this may affect the ability of grantees to complete their grant goals and objectives. Specifically, we found that for the 28 VOCA grants that OJJDP awarded from fiscal years 2010 through 2013, grantees had expended less than 20 percent, on average, of each grant they received during the original 12-month project period. In particular, we found that OJJDP's processes for reviewing grantees' budgets and conference planning requests were contributing to delays in grantees' ability to begin spending their funds. We recommended that OJP examine whether 12 months is an appropriate project period length to ensure that VOCA grantees are well positioned to fully expend their grant funds. In March 2017, OJP reported that its Office of Audit, Assessment and Management (OAAM), worked with OJJDP to complete an assessment to determine the impact of administrative processes on VOCA awards. Focusing on VOCA grants awarded in fiscal years 2010 through 2015, OAAM assessed a number of factors, including (1) the average timeframe for approval of budget reviews; (2) the average timeframe for approval of conference cost requests, and (3) the number of no-cost extensions granted. OJP reported that OAAM continues to work with OJJDP to review documentation to support implementation of process improvements to address the issues the assessment identified. OAAM anticipates issuing a report by March 31, 2017 to OJP's Acting Assistant Attorney General to summarize the results of the assessment and provide updates on the process improvements OJJDP has begun to implement. Once OJJDP examines its administrative delays, makes any necessary changes, and reviews the original project period length, OJP will be better positioned to ensure that grantees have an appropriate period in which to expend VOCA grant awards.
    Director: Marie A. Mak
    Phone: (202) 512-4841

    6 open recommendations
    Recommendation: To ensure a consistent and more collaborative approach to the protection of critical technologies, the Secretaries of Commerce, Defense, Homeland Security, State, and the Treasury; as well as the Attorney General of the United States, who have lead and stakeholder responsibilities for the eight programs within the critical technologies portfolio, should take steps to promote and strengthen collaboration mechanisms among their respective programs while ongoing initiatives are implemented and assessed. These steps need not be onerous; for example, they could include conducting an annual meeting to discuss their programs, including the technologies they are protecting, their programs' intent, any new developments or changes planned for their programs, as well as defining consistent critical technologies terminology and sharing important updates.

    Agency: Department of Homeland Security
    Status: Open

    Comments: In providing comments on this report, the agency concurred with this recommendation. Relevant efforts by DHS to finalize memoranda of understanding with other agencies and by the Export Enforcement Coordination Center to share information and data across the export control enforcement community are ongoing. As of Sept 2017, DHS did not identify relevant actions to coordinate on critical technologies among other agencies.
    Recommendation: To ensure a consistent and more collaborative approach to the protection of critical technologies, the Secretaries of Commerce, Defense, Homeland Security, State, and the Treasury; as well as the Attorney General of the United States, who have lead and stakeholder responsibilities for the eight programs within the critical technologies portfolio, should take steps to promote and strengthen collaboration mechanisms among their respective programs while ongoing initiatives are implemented and assessed. These steps need not be onerous; for example, they could include conducting an annual meeting to discuss their programs, including the technologies they are protecting, their programs' intent, any new developments or changes planned for their programs, as well as defining consistent critical technologies terminology and sharing important updates.

    Agency: Department of Commerce
    Status: Open

    Comments: Commerce has identified various efforts to collaborate across multiple agencies within individual critical technologies programs, but has not taken steps to promote collaboration on critical technologies through a larger group discussion.
    Recommendation: To ensure a consistent and more collaborative approach to the protection of critical technologies, the Secretaries of Commerce, Defense, Homeland Security, State, and the Treasury; as well as the Attorney General of the United States, who have lead and stakeholder responsibilities for the eight programs within the critical technologies portfolio, should take steps to promote and strengthen collaboration mechanisms among their respective programs while ongoing initiatives are implemented and assessed. These steps need not be onerous; for example, they could include conducting an annual meeting to discuss their programs, including the technologies they are protecting, their programs' intent, any new developments or changes planned for their programs, as well as defining consistent critical technologies terminology and sharing important updates.

    Agency: Department of Defense
    Status: Open

    Comments: DOD has identified numerous activities within DOD to coordinate across the critical technologies portfolio, in particular the Arms Transfer and Technology Release Senior Steering Group. In some cases, these activities include other departments, most commonly State. However, officials have stated that they are not aware of any high-level coordination on critical technologies among the larger group of agencies. On Sept. 5, 2017, DOD provided an update on multiple DOD efforts, including CFIUS, but none are collaborating among all of the agencies cited in the recommendation.
    Recommendation: To ensure a consistent and more collaborative approach to the protection of critical technologies, the Secretaries of Commerce, Defense, Homeland Security, State, and the Treasury; as well as the Attorney General of the United States, who have lead and stakeholder responsibilities for the eight programs within the critical technologies portfolio, should take steps to promote and strengthen collaboration mechanisms among their respective programs while ongoing initiatives are implemented and assessed. These steps need not be onerous; for example, they could include conducting an annual meeting to discuss their programs, including the technologies they are protecting, their programs' intent, any new developments or changes planned for their programs, as well as defining consistent critical technologies terminology and sharing important updates.

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

    Comments: In August 2016, the agency identified coordination actions being taken across the agencies with export control responsibilities--including through the Export Control Enforcement Center--and through the Committee on Foreign Investment in the United States. However, it is not clear how, or if, these coordination efforts are tied to the larger, government-wide portfolio of critical technologies programs. As of Sept. 2017, Justice has no additional updates.
    Recommendation: To ensure a consistent and more collaborative approach to the protection of critical technologies, the Secretaries of Commerce, Defense, Homeland Security, State, and the Treasury; as well as the Attorney General of the United States, who have lead and stakeholder responsibilities for the eight programs within the critical technologies portfolio, should take steps to promote and strengthen collaboration mechanisms among their respective programs while ongoing initiatives are implemented and assessed. These steps need not be onerous; for example, they could include conducting an annual meeting to discuss their programs, including the technologies they are protecting, their programs' intent, any new developments or changes planned for their programs, as well as defining consistent critical technologies terminology and sharing important updates.

    Agency: Department of the Treasury
    Status: Open

    Comments: In September 2016, a Treasury official identified coordination actions being taken across the agencies with export control responsibilities and through the Committee on Foreign Investment in the United States. However, coordination efforts are not tied to larger, government-wide collaboration on critical technologies. In March 2017, Treasury provided an update on actions taken, but did not address the recommendation for coordination among the critical technologies programs.
    Recommendation: To ensure a consistent and more collaborative approach to the protection of critical technologies, the Secretaries of Commerce, Defense, Homeland Security, State, and the Treasury; as well as the Attorney General of the United States, who have lead and stakeholder responsibilities for the eight programs within the critical technologies portfolio, should take steps to promote and strengthen collaboration mechanisms among their respective programs while ongoing initiatives are implemented and assessed. These steps need not be onerous; for example, they could include conducting an annual meeting to discuss their programs, including the technologies they are protecting, their programs' intent, any new developments or changes planned for their programs, as well as defining consistent critical technologies terminology and sharing important updates.

    Agency: Department of State
    Status: Open

    Comments: In providing comments on this report, the agency concurred with this recommendation but has not yet taken any actions necessary to implement it. In Sept. 2017, State provided updates on actions taken within the department, but none across affected agencies.
    Director: Cristina Chaplain
    Phone: (202) 512-4841

    1 open recommendations
    Recommendation: In order to provide additional information and analyses to effectively manage the program and account for new risks identified after the 2011 replan, the NASA Administrator should direct JWST project officials to follow best practices while conducting a cost risk analysis on the prime contract for the work remaining and ensure the analysis is updated as significant risks emerge.

    Agency: National Aeronautics and Space Administration
    Status: Open

    Comments: JWST did conduct a cost risk analysis and provided the results to GAO. We reported in GAO-16-112 that it substantially met best practices. However, the project stated they did not plan to update the analysis as significant risks emerged, which is a key element of the recommendation.
    Director: Gregory C. Wilshusen
    Phone: (202) 512-6244

    5 open recommendations
    Recommendation: To enhance the cybersecurity of critical infrastructure in the maritime sector, the Secretary of Homeland Security should direct the Commandant of the Coast Guard to work with federal and nonfederal partners to ensure that the maritime risk assessment includes cyber-related threats, vulnerabilities, and potential consequences.

    Agency: Department of Homeland Security
    Status: Open

    Comments: In April 2017, USCG stated that the National Maritime Strategic Risk Assessment (NMSRA) was still being finalized. The agency stated that they expected this to be completed by July 2017. Once completed, we will analyze the results of the NMSRA in order to validate the extent to which its contents implement our recommendation.
    Recommendation: To enhance the cybersecurity of critical infrastructure in the maritime sector, the Secretary of Homeland Security should direct the Commandant of the Coast Guard to use the results of the risk assessment to inform how guidance for area maritime security plans, facility security plans, and other securityrelated planning should address cyber-related risk for the maritime sector.

    Agency: Department of Homeland Security
    Status: Open

    Comments: In April 2017, USCG stated that it had developed a draft Navigation and Vessel Inspection Circular (NVIC) to provide guidance on assessment methods that assist vessel and facility owners and operators identify and address cybersecurity vulnerabilities. USCG stated that the draft NVIC would be published in the Federal Register for 60 days, to enable maritime stakeholders to review and provide comment. Once USCG provides us a final copy of the NVIC, we will analyze it to determine if it provides guidance for addressing cyber-related risk in the maritime sector.
    Recommendation: To enhance the cybersecurity of critical infrastructure in the maritime sector, the Secretary of Homeland Security should direct the Commandant of the Coast Guard to work with federal and nonfederal stakeholders to determine if the Maritime Modal Sector Coordinating Council should be reestablished to better facilitate stakeholder coordination and information sharing across the maritime environment at the national level.

    Agency: Department of Homeland Security
    Status: Open

    Comments: In April 2017, the U.S. Coast Guard (USCG) stated that the tasking for the National Maritime Security Advisory Committee to explore the issue of information sharing mechanisms in regards to cyber information had been completed. However, USCG did not mention any decision related to the reestablishment of the sector coordinating council.
    Recommendation: To help ensure the effective use of Port Security Grant Program funds to support the program's stated mission of addressing vulnerabilities in the maritime port environment, the Secretary of Homeland Security should direct the FEMA Administrator, in coordination with the Coast Guard, to develop procedures for officials at the field review level (i.e., captains of the port) and national review level (i.e., the National Review Panel and FEMA) to consult cybersecurity subject matter experts from the Coast Guard and other relevant DHS components, if applicable, during the review of cybersecurity grant proposals for funding.

    Agency: Department of Homeland Security
    Status: Open

    Comments: In June 2017, FEMA officials stated they would provide GAO an update on the status of the recommendation by July 2017. Once provided, we will analyze the information we receive and update status of implementation efforts.
    Recommendation: To help ensure the effective use of Port Security Grant Program funds to support the program's stated mission of addressing vulnerabilities in the maritime port environment, the Secretary of Homeland Security should direct the FEMA Administrator, in coordination with the Coast Guard, to use any information on cyberrelated threats, vulnerabilities, and consequences identified in the maritime risk assessment to inform future versions of funding guidance for grant applicants and reviews at the field and national levels.

    Agency: Department of Homeland Security
    Status: Open

    Comments: In June 2017, FEMA officials stated they would provide GAO an update on the status of the recommendation by July 2017. Once provided, we will analyze the information received and update status of implementation efforts.
    Director: St James, Lorelei
    Phone: (202) 512-2834

    1 open recommendations
    Recommendation: As part of the development of a national maritime strategy and a national freight strategic plan, the Secretary of Transportation should direct MARAD--in consultation with maritime industry stakeholders--to study and identify any potential problems in ensuring that U.S. mariners are adequately trained to meet the needs of the entire maritime industry, including the domestic waterways. Public forums, such as MARAD's roundtable discussions, could serve as a means for gaining industry input on potential training issues.

    Agency: Department of Transportation
    Status: Open

    Comments: On April 7, 2017 GAO requested an update on the status of MARAD's position on whether or not the recommendation would be implemented. In June 2016, MARAD indicated that it had not made this determination. In response to GAO's latest inquiry, MARAD indicated that it was in the process of checking on whether any action had been taken within the agency to implement the recommendation.
    Director: Wilshusen, Gregory C
    Phone: (202)512-6244

    1 open recommendations
    Recommendation: The Secretary of Homeland Security, in collaboration with emergency service sector stakeholders, should address the cybersecurity implications of implementing Next Generation 911 and the First Responder Network Authority network in the next iteration of sector plans.

    Agency: Department of Homeland Security
    Status: Open

    Comments: In December 2015, DHS released an updated sector-specific plan for the emergency services sector that describes the sector's greater dependence on cyber-based infrastructure as a notable trend and emerging issue among the sector's risks. However, the plan does not incorporate steps to address the cybersecurity risk of implementing Next Generation 911 or risks associated with the First Responder Network, the public safety broadband network, currently in development. An update to the sector-specific plan will likely not occur until 2018. When DHS provides evidence regarding additional risk mitigation steps, we will review the evidence provided to update the status of this recommendation.
    Director: Gomez, Jose A
    Phone: (202) 512-3841

    2 open recommendations
    Recommendation: To take advantage of opportunities to collect UCMR data on additional unregulated contaminants, Congress should consider amending SDWA to give EPA the flexibility to select more than 30 contaminants for monitoring under the UCMR program if high-priority contaminants, such as those on the Contaminant Candidate List (CCL) or contaminants of emerging concern, can be included at minimal cost, with minimal additional burden on public water systems, and while using analytical methods that EPA is already employing.

    Agency: Congress
    Status: Open

    Comments: As of December 2016, Congress has not taken action to address this matter; we will continue to monitor actions and provide updated information when it becomes available.
    Recommendation: To optimize the ability of the UCMR data to support regulatory determinations, Congress should consider adjusting the statutory time frames for the UCMR and regulatory determinations cycles so that EPA can use the UCMR data to support regulatory determinations in the same cycle.

    Agency: Congress
    Status: Open

    Comments: As of December 2016, Congress has not taken action to address this matter; we will continue to monitor actions and provide updated information when it becomes available.
    Director: Clowers, Angela N
    Phone: (202) 512-8678

    2 open recommendations
    Recommendation: To help ensure that OMB, in consultation with federal financial regulators, consistently classifies Dodd-Frank rules as major under CRA, the Director of OMB, through the Administrator of the Office of Information and Regulatory Affairs, should issue additional guidance to help standardize processes for identifying major rules under CRA, including on the extent to which agencies should submit rules to OMB for review, such as whether agencies should submit only those rules their analyses indicate are major or all rules.

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

    Comments: OMB originally disagreed with the recommendation and has not taken any action to implement the recommendation as of June 2017.
    Recommendation: To help ensure that OMB, in consultation with federal financial regulators, consistently classifies Dodd-Frank rules as major under CRA, the Director of OMB, through the Administrator of the Office of Information and Regulatory Affairs, should issue additional guidance to help standardize processes for identifying major rules under CRA, including on how agencies should apply CRA's major rule criteria in their analyses, such as whether agencies should include indirect benefits or costs, combine benefits or costs of separate but related rules, or aggregate benefits or costs for jointly issued rules.

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

    Comments: OMB originally disagreed with the recommendation and has not taken any action to implement the recommendation as of June 2017.
    Director: Trimble, David C
    Phone: (202) 512-3841

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

    Agency: Department of Energy
    Status: Open

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

    Agency: Department of Energy
    Status: Open

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

    Agency: Department of Energy
    Status: Open

    Comments: On December 5, 2016, DOE issued revised order 481.1D Strategic Partnership Projects (SPP)[Formerly Known as Work for Others (Non-Department of Energy Funded Work)]. DOE states that this order addresses performance measures and that the corrective action is closed. Although the order directs DOE Field Office Managers to "establish performance measures to assess the effectiveness of the procedures for SPP review, acceptance, authorization and monitoring consistent with NNSA policies and procedures", it does not further identify specific performance measures that address the objectives of the SPP program as indicated in the order.
    Director: Powner, David A
    Phone: (202)512-9286

    1 open recommendations
    Recommendation: The Secretaries of Agriculture and Commerce should address the weaknesses in agency- and bureau-led TechStat processes and management outlined in this report.

    Agency: Department of Agriculture
    Status: Open

    Comments: The agency partially agreed with our assessment of the agency's TechStat process, but has not yet implemented our recommendation. At the time of our review, we identified several weaknesses in the agency's TechStat processes and management, including holding bureau-led TechStats, incorporating TechStats in its capital planning and governance structure, providing training on TechStats, and consistently capturing action steps, deadlines, and responsibilities in its TechStat memorandums. In an April 2017 update, the agency stated that it had not held any TechStats in 2016, but had identified several candidates for TechStats within the next 6 months. In addition, the agency plans to update its capital planning documents to include the TechStat program in late summer 2017. In addition, it has not finalized its TechStat training documentation, but plans to complete the documentation in late summer 2017. We will continue to monitor the implementation of this recommendation.
    Director: Cosgrove, James C
    Phone: (202) 512-7114

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

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

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

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

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

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

    Comments: As of September 2016, HHS officials have not implemented this recommendation. GAO considers it to be open. We will update the status of this recommendation when we receive additional information.
    Director: Caldwell, Stephen L
    Phone: (202) 512-9610

    2 open recommendations
    Recommendation: To better assess risk associated with facilities that use, process, or store chemicals of interest consistent with the NIPP and the CFATS rule, the Secretary of Homeland Security should direct the Under Secretary for National Protection and Programs Directorate (NPPD), the Assistant Secretary for NIPP's Office of Infrastructure Protection (IP), and Director of ISCD to develop a plan, with timeframes and milestones, that incorporates the results of the various efforts to fully address each of the components of risk and take associated actions where appropriate to enhance ISCD's risk assessment approach consistent with the NIPP and the CFATS rule.

    Agency: Department of Homeland Security
    Status: Open

    Comments: According to Infrastructure Security Compliance Division (ISCD) officials, they completed development of an updated tiering methodology, which incorporates improvements based on recommendations from both the external peer review of the tiering methodology and a Sandia National Laboratory (Sandia) report on economic consequences, which was submitted to the Department in the first quarter of fiscal year (FY) 2015. Additionally, according to the officials, DHS continued hosting meetings of an external experts panel consisting of representatives from other Federal agencies and the chemical and oil and natural gas industries, who have met repeatedly to review and provide input on the proposed improvements to the Chemical Facility Anti-Terrorism Standards (CFATS) tiering methodology. As noted in the tiering methodology improvement plan previously provided by the Department to GAO, the ISCD is having external entities validate and verify the updated methodology before deployment. To that end, the Homeland Security Studies and Analysis Institute (HSSAI) has reviewed and provided findings and recommendations on all parts of the updated tiering engine. Additionally, Sandia has been conducting component testing of the tiering engine as it is being updated and, beginning in January 2016, Sandia will conduct end-to-end testing of the engine. Concurrent with these efforts, ISCD has been updating the Chemical Security Assessment Tool (CSAT) applications which currently support the collection of the data used by the CFATS tiering methodology (i.e., Top-Screen, Security Vulnerability Assessment). According to the officials, deployment of these new applications cannot occur until the DHS's Information Collection Request (ICR) is approved by the White House's Office of Management and Budget (OMB), which the Department anticipates submitting to OMB in the third quarter of fiscal year 2016. We will update the status of this recommendation after additional information is received from DHS. Status as of January 20, 2016.
    Recommendation: To better assess risk associated with facilities that use, process, or store chemicals of interest consistent with the NIPP and the CFATS rule, the Secretary of Homeland Security should direct the Under Secretary for NPPD, the Assistant Secretary for IP, and Director of ISCD to conduct an independent peer review, after ISCD completes enhancements to its risk assessment approach, that fully validates and verifies ISCD's risk assessment approach consistent with the recommendations of the National Research Council of the National Academies.

    Agency: Department of Homeland Security
    Status: Open

    Comments: According to Infrastructure Security Compliance Division (ISCD) officials, the updated CFATS risk-based tiering methodology has been developed and portions of it are undergoing independent review from both HSSAI and Sandia. An independent verification and validation of the updated tiering methodology is scheduled to be conducted by Sandia beginning in January 2016. We will update the status of this recommendation after additional information is received from DHS. Status as of January 20, 2016.
    Director: Cackley, Alicia P
    Phone: (202) 512-8678

    2 open recommendations
    Recommendation: To improve the awareness, use, and usefulness of SaferProducts.gov, the CPSC should establish and incorporate metrics to assess efforts to increase awareness and use of SaferProducts.gov.

    Agency: Consumer Product Safety Commission
    Status: Open

    Comments: The Commission states that it measures overall awareness of SaferProducts.gov in a manner similar to the manner in which it measures the awareness of CPSC.gov: by the number of visits to the website. The Commission states that website visits is a reasonable proxy measure of overall awareness that is cost-effective to collect. According to the Commission, in fiscal year 2014, SaferProducts.gov had 2.4 million visits and 863,000 visitors, where visits are the number of sessions the site was hit and visitors are the count of unique IP addresses who came to the site. The Commission had previously indicated that it planned to include three questions on SaferProducts.gov in a National Awareness Survey designed to determine overall awareness of CPSC on a national level. While the Commission administered the survey, it did not include questions related to SaferProducts.gov. As of March 2017, the Commission has not taken specific steps to measure the overall awareness of SaferProducts.gov.
    Recommendation: To improve the awareness, use, and usefulness of SaferProducts.gov, the CPSC should implement cost-effective usability improvements to SaferProducts.gov, taking into account the results of any existing usability testing or any new testing CPSC may choose to conduct.

    Agency: Consumer Product Safety Commission
    Status: Open

    Comments: The Commission had begun making usability improvements to SaferProducts.gov by improving the search functionality and improving the user experience of submitting incident reports. The Commission planned to include a tagline to its website to increase users' understanding of the site's purpose--either "Report. Search. Protect." or "Report. Search. Be Empowered." by March 2017. However, as of April 2017, SaferProducts.gov does not include a tagline. The Commission also has not made any other website improvements in this regard, nor have staff undertaken user experience studies to assess users' understanding of the site.
    Director: Cosgrove, James C
    Phone: (202) 512-7114

    1 open recommendations
    including 1 priority recommendation
    Recommendation: To reduce the incentive for facilities to restrict their service provision to avoid reaching the LVPA treatment threshold, the Administrator of CMS should consider revisions such as changing the LVPA to a tiered adjustment.

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

    Comments: CMS stated in April 2017 that the agency would continue examining the performance of the LVPA to determine whether a tiered adjustment is warranted.
    Director: Goldstein, Mark L
    Phone: (202) 512-2834

    1 open recommendations
    Recommendation: To provide clarity on how sponsorship identification requirements apply to activities not directly addressed by FCC's current guidance, such as the use of video news releases, and to update its guidance to reflect current technologies and recent FCC decisions about video news releases, the Chairman of the FCC should initiate a process to update its sponsorship identification guidance and consider providing additional examples relevant to more modern practices.

    Agency: Federal Communications Commission
    Status: Open

    Comments: In August 2017, GAO contacted FCC for an update on this status of this recommendation, but received no information from the agency.
    Director: Cosgrove, James C
    Phone: (202) 512-7114

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

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

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

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

    Comments: CMS stated that it is working to implement GAO's recommendation to measure the performance of solo and small physician practices. CMS included in its Value Modifier policies the amount of payment adjustments for solo and small physician practices, along with the parameters for measurement. In addition, Congress passed legislation in 2015 requiring CMS to establish a process to allow solo and physician practices under ten eligible professionals to be measured in a virtual group, and the agency is replacing the Value Modifier with a new merit-based incentive payment system. CMS's efforts may, in time, address GAO recommendations to reliably measure the performance of solo and small physician practices, but they have yet to be fully implemented. As of August 2017, CMS officials have not implemented this recommendation. GAO considers it to be open. We will update the status of this recommendation when we receive additional information.
    Director: Fleming, Susan A
    Phone: (202) 512-2834

    4 open recommendations
    Recommendation: To help maximize the use of available capacity at slot-controlled airports, enhance competition through greater airline access to slots, and enhance transparency of slot information, the Secretary of Transportation should direct the FAA Administrator to apply slot rules to individual slots, as opposed to pools of slots within a slot period.

    Agency: Department of Transportation
    Status: Open

    Comments: In January 2015, the FAA issued a Notice of Proposed Rulemaking (NPRM) for the New York City area airports. The proposal included changes to how the FAA would determine compliance with minimum slot usage rules similar to GAO's recommendation and the WSG. Under that concept, a slot would only be considered for a flight or series of flights in a single slot and not potentially applied or averaged to more than one slot. The NPRM was withdrawn by DOT and FAA in April 2016 to allow further evaluation of recent changes in demand, competition, operations, and other factors in the New York City area airports. The FAA and the Office of the Secretary continue to evaluate the circumstances at the New York City area airports and DCA and, if necessary, will consider steps to ensure compliance with minimum slot usage, including future rulemaking.
    Recommendation: To help maximize the use of available capacity at slot-controlled airports, enhance competition through greater airline access to slots, and enhance transparency of slot information, the Secretary of Transportation should direct the FAA Administrator to periodically disclose information, which may include current slot holders and operators, on currently available slots.

    Agency: Department of Transportation
    Status: Open

    Comments: The FAA currently provides the public with slot holder and slot operator information and allocated slot levels by period upon request. Additionally, the FAA regularly discusses slot availability with interested parties. The FAA is also working on a Slot Administration Office webpage that would include references to current rules, orders, other agency actions, and related guidance materials. We anticipate the website will be available in 2017. The website will include commonly requested reports, such as slot holder, slot operator, and uneven slot transfer lists on a quarterly basis.
    Recommendation: To help maximize the use of available capacity at slot-controlled airports, enhance competition through greater airline access to slots, and enhance transparency of slot information, the Secretary of Transportation should direct the FAA Administrator to collect and disclose data, including the relationship between lessors and lessees, on slot leases.

    Agency: Department of Transportation
    Status: Open

    Comments: The FAA has historically maintained a listing of slot transfers between non-commonly owned or non-commonly marketed carriers. These are known as uneven transfers and include transfers other than one-for-one-swaps at the same airport. This list is regularly made available on request. The uneven transfer information will be placed on the FAA Slot Administration Office website discussed in the update to Recommendation 4. The FAA also requires carriers to submit information on the specific slot(s) to be transferred, including the gaining and losing carriers and the effective dates.
    Recommendation: With respect to possible future regulatory action, the DOT Secretary should consider requiring airlines to schedule a certain percentage, or all, of their slot allocations, similar to practices maintained elsewhere in the world.

    Agency: Department of Transportation
    Status: Open

    Comments: The Department concurs that any future rulemaking should consider changes to the minimum slot usage rules to improve slot utilization at the slot controlled airports and provide greater harmonization with industry standards applied at airports outside the U.S. The FAA and the Department of Transportation stated that they will evaluate the circumstances at the New York City area airports and DCA and, if necessary, will consider steps to improve slot utilization, including future rulemaking.
    Director: Shames, Lisa R
    Phone:

    1 open recommendations
    Recommendation: To enhance the effectiveness of the food safety system for catfish and avoid duplication of effort and cost, Congress should consider repealing provisions of the Farm Bill that assigned USDA responsibility for examining and inspecting catfish and for creating a catfish inspection program.

    Agency: Congress
    Status: Open

    Comments: When we confirm what actions the agency has taken in response to this recommendation, we will provide updated information.
    Director: Gootnick, David B
    Phone: (202) 512-3149

    1 open recommendations
    Recommendation: Disparities in tax rates on smoking tobacco products have negative revenue implications because they create incentives for manufacturers and consumers to substitute higher-taxed products with lower-taxed products. In light of that fact, as Congress continues its oversight of CHIPRA and Tobacco Control Act implementation, it may wish to consider modifying tobacco tax rates to eliminate significant tax differentials between similar products. Specifically, Congress may wish to consider equalizing tax rates on roll-your-own and pipe tobacco and, in consultation with Treasury, also consider options for reducing tax avoidance due to tax differentials between small and large cigars.

    Agency: Congress
    Status: Open

    Comments: As of April 2017, Congress had not passed legislation to equalize taxes on roll-your-own and pipe tobacco and small and large cigars. In the 114th Congress, two bills were introduced to equalize taxes on roll-your-own and pipe tobacco, as GAO suggested in its April 2012 report. Additionally, in January 2017, House Bill 729, which would create tax parity for these products, was introduced in the 115th Congress. However, these bills have not been enacted. GAO's April 2012 report noted that prior federal and state legislation has aimed to discourage tobacco use and raise revenues by increasing excise taxes on tobacco products. Modifying tax rates to eliminate the tax differentials between similar tobacco products could address potential future revenue losses stemming from the substitution of higher-taxed products with lower-taxed products.
    Director: Maurer, Diana C
    Phone: (202) 512-9627

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

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

    Comments: As of March 2017, FEMA had taken steps to address GAO's February 2012 recommendation, but actions were not complete. For example, in fiscal year 2014, FEMA modified its existing grants data system to capture more robust project-level data--such as project budget data--for the Homeland Security Grant Program, which includes the State Homeland Security Grant Program and the Urban Areas Security Initiative. However, FEMA stated that it will not be able to use ND grants to cross-check for redundant projects across all preparedness grant programs until project-based applications are deployed for all preparedness grant programs in the system. For example, Port Security Grant Program and Transit Security Grant Program applications are not housed in the legacy grants data system that was modified to collect more specific project data. To mitigate this issue, FEMA reported that its program officers manually cross-check for redundant projects across all preparedness grant programs. Further, grant program policies call for applicants to coordinate across all preparedness grant stakeholders to help ensure unity of effort and avoid redundant investment proposals. Although future upgrades over several years to ND Grants are planned to eliminate duplication during the application process, FEMA believes the most efficient use of resources is to use current legacy systems to identify duplication in the meantime. Using this interim approach to collect more specific project-level data during the grant application process should help FEMA strengthen the administration and oversight of its grant programs until FEMA implements its long-term solution to upgrade ND Grants. However, implementing ND Grants as previously planned would better position FEMA to identify potentially unnecessary duplication within and across grant programs, as ND Grants was designed to have greater project-level enhancement capability than the legacy system.
    Director: Mccool, Thomas J
    Phone: (202)512-8678

    1 open recommendations
    Recommendation: In developing legislation for a national reporting system for the biological laboratory community, Congress may wish to consider provisions for the agency it designates as responsible for the system to take into account the following in design and implementation: (1) including stakeholders in setting system goals; (2) assessing labs' organizational culture to guide design and implementation decisions; (3) making reporting voluntary, with open-reporting formats that allow workers to report events in their own words and that can be submitted by all workers in a variety of modes (Web or postal), with the option to report to either an internal or external entity; (4) incorporating strong reporter protections, data deidentification measures, and other incentives for reporting; (5) developing feedback mechanisms and an industry-level entity for disseminating safety data and safety recommendations across the lab community; and (6) ensuring ongoing monitoring and evaluation of the safety reporting system and safety culture.

    Agency: Congress
    Status: Open

    Comments: Congress has not taken action on this recommendation.
    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.