FCC Management: Improvements Needed in Communication, Decision-Making Processes, and Workforce Planning
GAO-10-79
Published: Dec 17, 2009. Publicly Released: Jan 19, 2010.
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Highlights
Rapid changes in the telecommunications industry, such as the development of broadband technologies, present new regulatory challenges for the Federal Communications Commission (FCC). Government Accountability Office (GAO) was asked to determine (1) the extent to which FCC's bureau structure presents challenges for the agency in adapting to an evolving marketplace; (2) the extent to which FCC's decision-making processes present challenges for FCC, and what opportunities, if any, exist for improvement; and (3) the extent to which FCC's personnel management and workforce planning efforts face challenges in ensuring that FCC has the workforce needed to achieve its mission. GAO reviewed FCC documents and data and conducted literature searches to identify proposed reforms, criteria, and internal control standards and compared them with FCC's practices. GAO also interviewed current and former FCC chairmen and commissioners, industry stakeholders, academic experts, and consumer representatives.
Recommendations
Recommendations for Executive Action
| Agency Affected | Recommendation | Status |
|---|---|---|
| Federal Communications Commission | To ensure interbureau coordination on crosscutting issues, the FCC should develop written policies outlining how and when FCC will (1) identify issues under the jurisdiction of more than one bureau; (2) determine which bureau will serve as the lead on crosscutting issues and outline the responsibilities entailed regarding coordinating with other bureaus; and (3) ensure that staff from separate bureaus and offices can communicate on issues spanning more than one bureau. | In December 2009, we reported that the Federal Communication Commission (FCC) lacked written procedures for facilitating the flow of information within the agency which led to ineffective interbureau coordination and allowed prior chairmen to limit internal communication among staff and to exclude staff, which can result in items being developed without relevant expertise and knowledge. We therefore recommended that FCC develop written policies outlining how and when FCC will identify issues under jurisdiction of more that one bureau, assign lead bureaus, and ensure coordination and communication among staff with relevant expertise. In response to our recommendations, the Chairman issued... written consultation procedures that identify items that should be brought to the attention of the various offices and bureaus within FCC, a process for how offices and bureaus should initiate consultation, and points of contact for each office and bureau. These procedures are publicly available on FCC's Web site. According to an FCC official, weekly steering committee meetings have also been instituted to help identify cross-cutting issues, and internal task forces have been created on topics ranging from spectrum to consumer issues to diversity, in order to facilitate offices working together on these cross-cutting issues. These actions have helped to ensure that expertise across the agency has been consulted on complex and cross-cutting issues, improving FCC's ability to respond to an evolving telecommunications marketplace.
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| Federal Communications Commission | To ensure interbureau coordination on crosscutting issues, the FCC should review whether it needs to redefine the roles and responsibilities of the Office of Engineering and Technology (OET) and the Office of Strategic Planning and Policy Analysis (OSP) and make any needed revisions. | After GAO issued this recommendation, FCC reviewed the need for coordination among all Bureaus and Offices on crosscutting issues. As a result, the Chairman issued a memorandum on "Consultation on Items Among the Bureaus and Offices" dated February 18, 2010. The memorandum requires the Bureau or Office originating an item for adoption by the Commission, or an item to be taken on delegated authority, to seek concurrence of the other relevant Bureaus and Offices. The memorandum specifies a process for such coordination. The memorandum lists conditions under which an item should be coordinated specifically with the Office of Engineering and Technology (OET) and the Office of Strategic...
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| Federal Communications Commission | To clarify FCC's policies on providing commissioners access to information from bureaus and offices about agenda items, each FCC chairman, at the beginning of his or her term, should develop and make publicly available internal policies that outline the extent to which commissioners can access information from the bureaus and offices during the decision-making process, including how commissioners can request and receive information. |
Our 2009 report on FCC management of communication and workforce planning was completed almost 10 years ago and FCC has since informed us that it will not be taking any further action to address this recommendation. Since our report, FCC has established guidance for how offices and bureaus should consult one another and work together. However, this guidance does not address or clarify policies on commissioner access to information from bureaus and offices. Given FCC's position that there are no plans to take additional steps to address this recommendation, we are closing this recommendation as not implemented.
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| Federal Communications Commission | To clarify FCC's policies on providing commissioners access to information from bureaus and offices about agenda items, the FCC should provide this policy to FCC's congressional oversight committees to aid their oversight efforts. |
Our 2009 report on FCC management of communication and workforce planning was completed almost 10 years ago and FCC has since informed us that it will not be taking any further action to address this recommendation. Since our report, FCC has established guidance for how offices and bureaus should consult one another and work together. However, this guidance does not address or clarify policies on commissioner access to information from bureaus and offices. Given FCC's position that there are no plans to take additional steps to address this recommendation, we are closing this recommendation as not implemented.
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| Federal Communications Commission | To improve the transparency and effectiveness of the decision-making process, the FCC should, where appropriate, include the actual text of proposed rules or rule changes in either a Notice of Proposed Rulemaking or a Further Notice of Proposed Rulemaking before the commission votes on new or modified rules. | In 2009, we found that weaknesses in the Federal Communications Commission's (FCC) processes for collecting public input on proposed rules may limit the effectiveness of the public comment process. Specifically, FCC typically did not include the text of a proposed rule in its notices of proposed rulemaking (NPRMs), which are used to provide an opportunity for stakeholders to submit their comments on proposals to create new rules or modify existing ones. Instead, FCC would ask for comments on wide-ranging issues. Several stakeholders stated that such broad NPRMs limit their ability to submit meaningful comments that address FCC's information needs. We therefore recommended that FCC, where...
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| Federal Communications Commission | To improve the transparency and effectiveness of the decision-making process, the FCC should revise its ex parte policies to include (1) modifying its current guidance to further clarify FCC's criteria for determining what is a sufficient ex parte summary and address perceived discrepancies at the commission on this issue; (2) clarifying FCC officials' roles in ensuring the accuracy of ex parte summaries and establish a proactive review process of these summaries; and (3) creating a mechanism to ensure all commissioners are promptly notified of substantive filings made on items that are on the Sunshine Agenda. | In December 2009, we found that weaknesses in the Federal Communications Commission's (FCC) process for documenting ex parte contacts between FCC officials and external parties--which, if oral, are made without advanced notice to other parties and without opportunity for them to be present--had negatively impacted stakeholder perceptions of transparency and public participation in FCC's decision-making process. Specifically, several stakeholders told us that FCC's process allowed vague ex parte summaries. In addition, stakeholders told us that in some cases, ex parte contacts occurred just before or during the Sunshine period, during which external contact with FCC officials is...
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| Federal Communications Commission | To improve FCC's workforce planning efforts, the FCC should, in revising its current Strategic Human Capital Plan, include targets that identify the type of workforce expertise needed, strategies for meeting these targets--including methods to more flexibly augment the workforce--and measures for tracking progress toward these targets. |
Our 2009 report on FCC management of communication and workforce planning was completed almost 10 years ago and FCC has since informed us that it will not be taking any further action to address this recommendation. Since our report, FCC took actions to work with OPM to develop a strategic workforce plan; however the plan has yet to be completed. Given FCC's position that there are no plans to take additional steps to address this recommendation, we are closing this recommendation as not implemented.
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