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    Subject Term: Sanctions

    7 publications with a total of 19 open recommendations including 1 priority recommendation
    Director: David B. Gootnick
    Phone: (202) 512-3149

    2 open recommendations
    Recommendation: To better ensure that sufficient due diligence is undertaken by implementing partners of U.S. democracy assistance in Burma, where appropriate, to help ensure that assistance is not made available to prohibited entities or individuals, the Administrator of USAID should direct the Mission in Burma to review its procedures and practices regarding due diligence for democracy projects to determine whether additional guidance or reviews of implementing partners' due diligence procedures would be appropriate.

    Agency: United States Agency for International Development
    Status: Open

    Comments: USAID concurred with this recommendation. As of September 2017, USAID is reviewing its due diligence procedures, and will determine if additional guidance for implementing partners is required. USAID plans to develop and issue any guidance accordingly.
    Recommendation: To better ensure that sufficient due diligence is undertaken by implementing partners of U.S. democracy assistance in Burma, where appropriate, to help ensure that assistance is not made available to prohibited entities or individuals, the Secretary of State should direct the Bureau of Democracy, Human Rights, and Labor to review its procedures and practices regarding due diligence for Burma democracy projects to determine whether additional guidance or reviewing implementing partners' due diligence procedures would be appropriate.

    Agency: Department of State
    Status: Open

    Comments: State concurred with the recommendation. As of September 2017, State is reviewing its due diligence procedures, and will consider whether additional guidance for implementing partners is needed.
    Director: bertonid@gao.gov
    Phone: (202) 512-7215

    8 open recommendations
    including 1 priority recommendation
    Recommendation: To ensure effective and appropriate recovery of DI overpayments and administration of penalties and sanctions, the Acting Commissioner of the Social Security Administration should clarify its policy for assessing the reasonableness of expenses used in determining beneficiaries' repayment amounts to help ensure that withholding plans are consistently established across the agency and accurately reflect individuals' ability to pay.

    Agency: Social Security Administration
    Status: Open

    Comments: As a result of the Bipartisan Budget Act of 2015, SSA gained the ability to use the Access to Financial Information (AFI) system to verify information about the assets of beneficiaries. In February 2017, the agency reported it is continuing to work on clarifying its policy for assessing the reasonableness of expenses used in determining repayment amounts, including guidance on using the new AFI process. As part of this effort, SSA is also reviewing the Internal Revenue Service's (IRS) Collection Financial Standards and determining whether it can incorporate these or similar standards in its policies for determining reasonable repayment amounts. We will continue to track SSA's efforts to clarify its policies, including efforts to incorporate IRS standards.
    Recommendation: To ensure effective and appropriate recovery of DI overpayments and administration of penalties and sanctions, the Acting Commissioner of the Social Security Administration should improve oversight of DI benefit withholding agreements to ensure that they are completed appropriately. This could include requiring supervisory review of repayment plans or sampling plans as part of a quality control process, and requiring that supporting documentation for all withholding plans be retained to enable the agency to perform such oversight.

    Agency: Social Security Administration
    Status: Open

    Comments: SSA agreed with this recommendation, but does not believe that it is necessary to conduct supervisory reviews. As of February 2017, SSA reported that it is exploring system, policy, and training opportunities to better ensure staff appropriately complete benefit withholding agreements. We will continue to track SSA's efforts to improve oversight in this area.
    Recommendation: To ensure effective and appropriate recovery of DI overpayments and administration of penalties and sanctions, the Acting Commissioner of the Social Security Administration should explore the feasibility of using additional methods to independently verify financial information provided by beneficiaries to ensure that complete and reliable information is used when determining repayment amounts. These additional tools could include those already being used by the agency for other purposes.

    Agency: Social Security Administration
    Status: Open

    Comments: According to SSA, Section 834 of the Bipartisan Budget Act of 2015 gave the agency the authority to use the Access to Financial Information system as part of the agency's waiver determination process. SSA reported that, as of February 2017, it also considered using the National Directory of New Hires Query for verifying an overpaid beneficiary's financial information, but preliminarily determined that the information in this system would be of limited value since it is a quarterly report of past earnings. SSA states that it continues to explore other options to verify financial information such as The Work Number and the Interstate Benefit Inquiry. We will monitor SSA's efforts to explore additional options for verifying financial information.
    Recommendation: To ensure effective and appropriate recovery of DI overpayments and administration of penalties and sanctions, the Acting Commissioner of the Social Security Administration should adjust the minimum withholding rate to 10 percent of monthly DI benefits to allow quicker recovery of debt.

    Agency: Social Security Administration
    Status: Open
    Priority recommendation

    Comments: SSA agreed with this recommendation and as of April 2017, it estimated that this would result in an additional $213 million in collections over a 5-year period. The fiscal year 2017 President's budget submission contained a legislative proposal to make this change, but has not yet been enacted. In April 2017, the agency reported that, in the third quarter of fiscal year 2017, it intends to resubmit a regulatory change to establish the minimum withholding rate to 10 percent in the event that its legislative proposal is not included in the fiscal year 2017 budget.
    Recommendation: To ensure effective and appropriate recovery of DI overpayments and administration of penalties and sanctions, the Acting Commissioner of the Social Security Administration should consider adjusting monthly withholding amounts according to cost of living adjustments or charging interest on debts being collected by withholding benefits. Should SSA determine that it is necessary to do so, it could pursue legislative authority to use recovery tools that it is currently unable to use.

    Agency: Social Security Administration
    Status: Open

    Comments: As of February 2017, SSA continued to disagree with this recommendation. For debt subject to benefit withholding, which is not considered delinquent debt, SSA asserted that these measures would not have a significant effect on the amount of debt recovered, especially compared to the option of changing the minimum withholding rate to 10 percent of monthly benefits. For delinquent debt, SSA stated charging interest on debts would require substantial changes to multiple systems that affect its overpayment businesses processes, and would require extensive training to its employees. We continue to believe there is merit in further consideration of these measures. While SSA reported it has studied the potential changes needed to charge interest on debt, without further consideration of, for example, the costs and benefits of charging interest or adjusting withholding amounts according to cost of living adjustments, SSA cannot know the extent to which these options would improve debt recovery efforts or help protect the value of debts against the effects of inflation, which can be substantial given that withholding plans can take decades to complete.
    Recommendation: To ensure effective and appropriate recovery of DI overpayments and administration of penalties and sanctions, the Acting Commissioner of the Social Security Administration should pursue additional debt collection tools for collecting delinquent penalties. This includes taking steps to implement tools within its existing authority and exploring the use of those not within its authority, and seeking legislative authority if necessary.

    Agency: Social Security Administration
    Status: Open

    Comments: In June 2016, SSA reported that: it had drafted regulations to use existing external debt collection tools for penalties, was developing a legislative proposal to allow the use of additional debt collection tools such as Federal salary offset and credit bureau reporting, and had started planning for a multi-activity, multi-year administrative sanctions project. In February 2017, SSA reported that, as part of its administrative sanctions project, the agency revised policy guidance on factors significant to OCIG's civil monetary penalty determinations. We will track SSA's progress in applying new tools to collecting penalties.
    Recommendation: To ensure effective and appropriate recovery of DI overpayments and administration of penalties and sanctions, the Acting Commissioner of the Social Security Administration should take steps to collect complete, accurate, and timely data on, and thereby improve its ability to track civil monetary penalties and their disposition.

    Agency: Social Security Administration
    Status: Open

    Comments: As of February 2017, SSA reported that it is developing a workload tracking tool for penalties to provide accurate management information on cases. SSA expects to implement this tool by September 2017, and have the first full year of management information available in fiscal year 2018. We will close this recommendation once SSA implements and begins using this tool.
    Recommendation: To ensure effective and appropriate recovery of DI overpayments and administration of penalties and sanctions, the Acting Commissioner of the Social Security Administration should take steps to collect complete, accurate, and timely data on, and thereby improve its ability to track administrative sanctions and their disposition.

    Agency: Social Security Administration
    Status: Open

    Comments: As of February 2017, SSA reported that it has been developing a new workload tracking tool for administrative sanctions. The first phase of this tool was implemented in December 2016 and allows SSA to track administrative sanction cases throughout the development process. The second phase, expected to be implemented by September 2017, will provide SSA with management information on sanctions cases. We will continue to monitor SSA's process in developing this tool. We will close this recommendation once the tool is implemented.
    Director: Thomas Melito
    Phone: (202) 512-9601

    1 open recommendations
    Recommendation: The Secretary of State should reconsider State's INKSNA process to ensure that it (1) complies with INKSNA's 6-month reporting cycle, and (2) minimizes delays in its ability to opt to impose sanctions.

    Agency: Department of State
    Status: Open

    Comments: In its written comments on the draft report, the Department of State concurred with our recommendation while expressing concerns about what it referred to as the inherent difficulties of producing INKSNA reports every six months as required by law. In a July 2016 letter, State noted that it had worked to minimize delays in its ability to impose sanctions pursuant to INKSNA reports and that it aims to eventually comply with INKSNA's six-month reporting cycle as it clears the existing backlog of INKSNA cases. Moreover, it noted that State had transmitted three INKSNA reports covering three years of activity (the latest covering calendar year 2013) within the last 18 months as evidence that it was making progress towards meeting the GAO recommendation. GAO will continue monitoring State's efforts to fully implement the recommendation.
    Director: Michael Courts
    Phone: (202) 512-8980

    3 open recommendations
    Recommendation: To enhance State's efforts to protect SWT participants from abuse and the SWT program from misuse, the Secretary of State should direct the Bureau of Education and Cultural Affairs to establish a mechanism to ensure that sponsors provide complete and consistent lists of fees that participants must pay.

    Agency: Department of State
    Status: Open

    Comments: In response to our recommendation that the State Department (State) establish a mechanism to ensure that sponsor provide complete and consistent lists of fees that exchange visitors on the Summer Work Travel program must pay, State acknowledged it collected such fee information in 2016. As of August 3, 2017, we are awaiting State's review and analysis of this information to ensure the price lists are consistent and comprehensive.
    Recommendation: To enhance State's efforts to protect SWT participants from abuse and the SWT program from misuse, the Secretary of State should direct the Bureau of Education and Cultural Affairs to establish a mechanism to establish a mechanism to ensure that information about these participant fees is made publicly available.

    Agency: Department of State
    Status: Open

    Comments: In response to our recommendation that the State Department (State) establish a mechanism to ensure that information about Summer Work Travel participant fees is made publically available, State noted that it had published a notice for proposed rulemaking on January 12, 2017. When finalized, this would require would require each sponsor to include in its recruiting material, and post on its main Web site (e.g., with a visible link to such a page on the sponsor?s homepage), examples of the typical monthly budgets of exchange visitors placed in various regions of the United States to illustrate wages (based on the required weekly minimum of 32-hours of work at a typical host placement) balanced against itemized fees and estimated costs. Until State finalizes this rule, they cannot enforce this requirement. As of July 27, 2017, this information was not available to the public on the six sponsor websites we checked.
    Recommendation: To enhance State's efforts to protect SWT participants from abuse and the SWT program from misuse, the Secretary of State should direct the Bureau of Education and Cultural Affairs to establish detailed criteria that will allow State to assess the sufficiency and appropriateness of opportunities for cultural activities outside the workplace that sponsors provide to SWT participants.

    Agency: Department of State
    Status: Open

    Comments: In response to our recommendation that the State Department (State) establish detailed criteria that will allow it to assess the sufficiency and appropriateness of opportunities for cultural activities outside the workplace that sponsors provide to Summer Work Travel participants, State published a notice for proposed rulemaking on January 12, 2017. When finalized, this would require sponsors and their host entities to create cultural opportunities at least once per month. The proposed rule also notes that State will issue guidance outlining best practices for cross-cultural programming. As of July 27, 2017 this is not finalized.
    Director: Melissa Emrey-Arras
    Phone: (617) 788-0534

    2 open recommendations
    Recommendation: To strengthen Education's oversight of schools, the Secretary of Education should ensure that Education staff consistently review, record, and respond to accreditor sanction information, and clarify its guidance on how the agency will respond to specific accreditor sanctions.

    Agency: Department of Education
    Status: Open

    Comments: Education agreed with this recommendation, noting that it is committed to identifying ways to use data about and from accreditors in its oversight. As of July 2017, Education has developed guidance for how accreditors should report sanction information. Education previously noted that the agency also planned to provide additional staff training and to provide a copy of GAO's report to the National Advisory Committee on Institutional Quality and Integrity. GAO will close this recommendation when Education provides current documentation of staff training and guidance, and documentation that GAO's report has been provided to the National Advisory Committee on Institutional Quality and Integrity.
    Recommendation: To strengthen Education's oversight of accreditors through the recognition review process, the Secretary of Education should draw upon accreditor data to determine whether accreditors are consistently applying and enforcing their standards to ensure that the education offered by schools is of sufficient quality. For example, Education could systematically use available information related to the frequency of accreditor sanctions or could do additional analyses, such as comparing accreditor sanction data with Education's information on student outcomes, to inform its recognition reviews.

    Agency: Department of Education
    Status: Open

    Comments: Education agreed with this recommendation, noting that it is committed to identifying ways to use data about and from accreditors in its oversight. As of July 2017, Education has taken steps to track the number of accreditor sanctions issued by each accrediting agency. Education previously noted that this information will then be used to focus their limited resources on those accrediting agencies with extremely low or high sanction rates. The agency also noted it would provide a copy of GAO's report to the National Advisory Committee on Institutional Quality and Integrity. GAO will close this recommendation when these efforts are completed.
    Director: Martin, Belva M
    Phone: (202) 512-4841

    2 open recommendations
    Recommendation: To better inform management and resource allocation decisions, effectively manage limited export control enforcement resources, and improve the license determination process, the Secretary of Homeland Security and the Attorney General, as they implement efforts to track resources expended on export control enforcement activities, should use such data to make resource allocation decisions.

    Agency: Department of Justice
    Status: Open

    Comments: DOJ had identified plans to make continual improvements to the investigative and prosecutorial data to allow better tracking and refined resource allocation decisions going forward. However, we have not been able to obtain status information from Justice despite our attempts.
    Recommendation: To better inform management and resource allocation decisions, effectively manage limited export control enforcement resources, and improve the license determination process, the Secretary of Homeland Security, in consultation with the departmental representatives of the Export Enforcement Coordination Center, including Commerce, Justice, State, and the Treasury should (1) leverage export control enforcement resources across agencies by building on existing agency efforts to track resources expended, as well as existing agency coordination at the local level; (2) establish procedures to facilitate data sharing between the enforcement agencies and intelligence community to measure illicit transshipment activity; and (3) develop qualitative and quantitative measures of effectiveness for the entire enforcement community to baseline and trend this data.

    Agency: Department of Homeland Security
    Status: Open

    Comments: To help track resources expended and coordination of enforcement resources, the E2C2 has ratified and implemented the investigative deconfliction protocol. The Export Enforcement Coordination Center (E2C2) has also ratified and implemented the dispute resolution protocol and it is being used by all E2C2 partners. These are two of seven standard operating procedures planned to be in use by the E2C2. The Intelligence Community engagement/information protocols are being addressed through the E2C2 Export Enforcement Intelligence Working Group to help facilitate data sharing, and ICE, through the E2C2, is still in the process of establishing interagency agreement on procedures to facilitate data sharing between the enforcement agencies and intelligence community to assist in measuring illicit transshipment activity. The E2C2 Intel Cell White Paper is complete, but the Cell is not staffed or operational. This Cell is to serve as the primary interagency conduit for defining, establishing, and implementing protocols and facilitating information sharing between the IC and export enforcement community. The white paper outlines the E2C2 Intel Cell's mission, general roles and functions, recommended tasks and structure to facilitate enhanced coordination and intelligence sharing. When established, the Cell will develop standard operating procedures but this has not yet occurred. In late August 2016, the Department of Commerce assigned a new Assistant Director and one analyst to the E2C2. Efforts to formalize an intelligence analytical unit and draft a corresponding SOP are ongoing as of the summer of 2017.
    Director: Dicken, John E
    Phone: (202)512-7043

    1 open recommendations
    Recommendation: To help ensure the longer-term compliance of nursing homes that have successfully returned to substantial compliance under temporary management, the Administrator of CMS should develop guidance for states to enhance their oversight of such homes, such as implementing reactivation of temporary management if the home does not maintain substantial compliance over the 2 years following the conclusion of the sanction.

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

    Comments: September 2017: CMS provided documentation of training documents developed for State Agency Directors and Enforcement Specialists covering a variety of topics including when to use the temporary management sanction. Neither the new training nor relevant sections of the CFR or State Operations Manual appear to provide guidance on longer-term oversight of nursing homes that have returned to substantial compliance under temporary management. September 2016: GAO has not received additional information from CMS. July 2015: CMS indicated it will provide GAO with updated actions in early 2016. July 2014: CMS said the recommendation was in process and CMS was drafting an internal enforcement action plan to discuss enforcement remedies including temporary management. June 2013: CMS officials said they have been making an effort to work with the Regional Offices and states on the appropriate use of all sanctions in general, including the use of Temporary Management. June 2012: CMS officials said that the agency continues to investigate the various uses of CMP monies and the potential to use CMPs to recruit, train and supervise temporary managers is one of several options under consideration. May 2011: CMS agreed this was an important recommendation, but due to the Affordable Care Act implementation, the agency said they temporarily deferred planned work until 2012.