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    Results:

    Subject Term: "Ethical conduct"

    5 publications with a total of 21 open recommendations
    Director: Lawrance Evans, Jr.
    Phone: (202) 512-8678

    6 open recommendations
    Recommendation: As the Board of Governors implements plans to develop an ERM framework, it should include a component to identify and assess risks of regulatory capture across the LISCC program. (Recommendation 1)

    Agency: Federal Reserve System: Board of Governors
    Status: Open

    Comments: When we confirm what actions the agency has taken in response to this recommendation, we will provide updated information.
    Recommendation: The Board of Governors should finalize and implement program-wide guidance for the LISCC Reserve Banks on implementing LISCC policies. (Recommendation 2)

    Agency: Federal Reserve System: Board of Governors
    Status: Open

    Comments: When we confirm what actions the agency has taken in response to this recommendation, we will provide updated information.
    Recommendation: The Board of Governors should finalize and implement a mechanism to monitor and regularly assess Reserve Banks' implementation of LISCC policies and procedures. (Recommendation 3)

    Agency: Federal Reserve System: Board of Governors
    Status: Open

    Comments: When we confirm what actions the agency has taken in response to this recommendation, we will provide updated information.
    Recommendation: The Board of Governors should streamline its conflict-of-interest disclosure review process for participants in the LISCC program, such as by storing disclosure information in compatible electronic systems. (Recommendation 4)

    Agency: Federal Reserve System: Board of Governors
    Status: Open

    Comments: When we confirm what actions the agency has taken in response to this recommendation, we will provide updated information.
    Recommendation: The Board of Governors should systematically collect and maintain information on the institutions supervisory employees work for before they are hired by the Federal Reserve and their employment destination when they leave. (Recommendation 5)

    Agency: Federal Reserve System: Board of Governors
    Status: Open

    Comments: When we confirm what actions the agency has taken in response to this recommendation, we will provide updated information.
    Recommendation: The Board of Governors should conduct a periodic self-assessment of ethics programs, policies, and procedures that apply to LISCC program participants. (Recommendation 6)

    Agency: Federal Reserve System: Board of Governors
    Status: Open

    Comments: When we confirm what actions the agency has taken in response to this recommendation, we will provide updated information.
    Director: Chris Currie
    Phone: (404) 679-1875

    6 open recommendations
    Recommendation: In order to improve employee misconduct policies and procedures, the Secretary of Homeland Security should direct the FEMA Administrator to document policies and procedures to address potential Surge Capacity Force misconduct.

    Agency: Department of Homeland Security
    Status: Open

    Comments: We found that the Federal Emergency Management Agency (FEMA) had developed and documented misconduct policies and procedures for most employees, but not its entire workforce. Specifically, FEMA had not documented misconduct policies and procedures for Surge Capacity Force members, who may augment FEMA's workforce in the event of a catastrophic disaster. As a result, we recommended that FEMA document policies and procedures to address potential Surge Capacity Force misconduct. In September 2017, FEMA officials reported taking action to address this recommendation. Specifically, FEMA distributed a memorandum to Federal Coordinating Officers and Federal Disaster Recovery Coordinators providing guidance on how and to whom to report allegations of misconduct by Surge Capacity Force members, coordination efforts regarding investigations, and how to address the member's duty status during the course of an investigation. FEMA stated that it will further address this recommendation by updating the FEMA Human Capital Plan for the Surge Capacity Force. FEMA expects to complete this effort by June 30, 2018. This recommendation will remain open until the Human Capital Plan is updated.
    Recommendation: In order to improve employee misconduct policies and procedures, the Secretary of Homeland Security should direct the FEMA Administrator to document Reservist disciplinary options and appeals policies and procedures that are currently in practice at the agency.

    Agency: Department of Homeland Security
    Status: Open

    Comments: We found that the Federal Emergency Management Agency's (FEMA) policies and procedures for Reservist employees did not outline disciplinary options to address misconduct or address the appeals process available for Reservists. As a result, we recommended that FEMA document Reservist disciplinary options and appeals policies and procedures that are currently in practice at the agency. In September 2017, FEMA reported that the Office of Response and Recovery was drafting an addendum to the FEMA Reservist program manual. FEMA expects to complete this action by December 31, 2017. This recommendation will remain open until the addendum is complete.
    Recommendation: In order to improve employee misconduct policies and procedures, the Secretary of Homeland Security should direct the FEMA Administrator to communicate the range of penalties for specific misconduct offenses to all employees and supervisors.

    Agency: Department of Homeland Security
    Status: Open

    Comments: We found that the Federal Emergency Management Agency (FEMA) did not communicate a range of offenses and penalties for misconduct to its entire workforce. Rather, such information was communicated to supervisors and employees on a case-by-case basis. To improve transparency we recommended that FEMA communicate the range of penalties for specific misconduct offenses to all supervisors and employees. As of September 2017, FEMA officials reported that they had drafted a new table of penalties, which was undergoing internal review within FEMA and the Department of Homeland Security. FEMA expects this process to be complete by December 31, 2017. This recommendation will remain open until the table is finalized and communicated to supervisors and employees.
    Recommendation: In order to better identify and address trends in employee misconduct, the Secretary of Homeland Security should direct the FEMA Administrator to improve the quality and usefulness of the misconduct data it collects by implementing quality control measures, such as adding additional drop-down fields with standardized entries, adding unique case identifier fields, developing documented guidance for data entry, or considering the adoption of database software.

    Agency: Department of Homeland Security
    Status: Open

    Comments: We found limitations related to the quality and usefulness of employee misconduct data collected by the Federal Emergency Management Agency's (FEMA). For example, we found data collection differed across the agency, there was limited standardization of data fields, and a lack of documented guidance on data entry. As a result, we recommended that FEMA improve its employee misconduct data by implementing quality control measures or considering the adoption of database software that would help standardize data collection across FEMA. In September 2017, FEMA officials reported they had secured funding to purchase hardware and software for a case management system to track misconduct complaints. If implemented, this system should improve FEMA's ability to more efficiently and effectively manage and track case information. FEMA estimates that it will complete this action by March 31, 2018. This recommendation will remain open until the new case management system is in place and operational.
    Recommendation: In order to better identify and address trends in employee misconduct, the Secretary of Homeland Security should direct the FEMA Administrator to, once the quality of the data is improved, conduct routine reporting on employee misconduct trends.

    Agency: Department of Homeland Security
    Status: Open

    Comments: We found that the Federal Emergency Management Agency (FEMA) did not regularly conduct trend analysis on misconduct cases, and that quality of the data restricted the agency's ability to identify and address trends. As a result, we recommended that, once steps were taken to improve the quality of the data, FEMA should conduct routine reporting on employee misconduct trends. In September 2017, FEMA officials reported they were procuring a case management system to track misconduct complaints. If implemented, this system should improve FEMA's ability to analyze misconduct data and identify and report on trends. FEMA estimates that it will complete this action by March 31, 2018. This recommendation will remain open until FEMA generates trend analysis and reports from the new system.
    Recommendation: In order to ensure that all allegations of employee misconduct referred by DHS OIG are reviewed and addressed, the Secretary of Homeland Security should direct the FEMA Administrator to develop reconciliation procedures to consistently track referred cases.

    Agency: Department of Homeland Security
    Status: Open

    Comments: We found that the Federal Emergency Management Agency (FEMA) did not establish effective procedures to ensure that all misconduct cases referred to FEMA by the Department of Homeland Security Office of Inspector General (DHS OIG) were accounted for and subsequently reviewed and addressed. As a result, we recommended that FEMA develop reconciliation procedures to consistently track referred cases. In September 2017, FEMA officials reported they had secured funding to purchase hardware and software for a case management system to track misconduct complaints. In addition, officials reported that they are working with DHS OIG to coordinate case management coding across systems. FEMA estimates that it will complete these actions by March 31, 2018. If implemented, the new system should improve FEMA's ability to track OIG referred cases. In order to fully address this recommendation, FEMA must complete these steps and also demonstrate that reconciliation procedures are in place.
    Director: Yvonne D. Jones
    Phone: (202) 512-6806

    2 open recommendations
    Recommendation: To help ensure HHS has reliable data on SGEs not serving on federal boards, the Secretary of HHS should take steps to improve the reliability of data on SGEs not serving on boards. For example, the agency could reconcile human capital data with general counsel and ethics office data, or issue clarifying guidance to human capital staff on appropriately identifying SGEs in human capital databases.

    Agency: Department of Health and Human Services
    Status: Open

    Comments: In October 2016, HHS submitted its action plan to address GAO's recommendations. HHS stated the agency is currently reviewing its internal policies and procedures related to the hiring of special government employees not serving on boards to identify policy options that might improve data reliability.
    Recommendation: To help ensure that agencies report consistent and reliable data, the Director of OGE should determine (e.g., through a survey of Designated Agency Ethics Officials and/or by analyzing agency data) whether other executive branch agencies are experiencing data challenges similar to HHS, State, and NRC. If they are, the Director should take steps to help the agencies strengthen their data.

    Agency: Office of Government Ethics
    Status: Open

    Comments: In October 2016, OGE submitted its action plan to address GAO's recommendations. OGE reported having a number of actions underway. OGE stated the agency is surveying agency ethics officials to determine whether executive branch agencies are experiencing data challenges related to special government employees not serving on boards. According to OGE, the agency plans to evaluate what steps may help agencies strengthen their data if the survey results show agencies are experiencing data challenges. OGE reported that, in consultation with OPM, the agency proposed new regulations that would improve coordination between agency human resource officials and agency ethics officials by requiring agency human resource officials to provide ethics officials with prompt notification of the appointment of all financial disclosure report filers, including special government employees. OGE also reported expanding the agency's ongoing review of the Department of Health and Human Services (HHS) in light of GAO's recommendation for HHS to take steps to improve the reliability of data on SGEs not serving on boards. OGE plans to evaluate the mechanisms HHS has in place for tracking special government employees not serving on boards and may offer recommendations for improving them.
    Director: Brenda S. Farrell
    Phone: (202) 512-3604

    6 open recommendations
    Recommendation: To promote and enhance familiarity with values-based ethical decision-making across the department, the Secretary of Defense should direct appropriate departmental organization(s), in consultation with the Office of General Counsel and the Senior Advisor for Military Professionalism (SAMP) or its successor organization(s), to assess the feasibility of expanding annual values-based ethics training to include currently non-mandatory recipients.

    Agency: Department of Defense
    Status: Open

    Comments: DOD concurred, with comment, with this recommendation, noting that the Office of the Senior Advisor for Military Professionalism is a temporary office established by Secretary Hagel for a two year term ending no later than March of 2016. DOD confirmed its position with regard to this recommendation on October 19, 2015. As of October 6, 2016, DOD has not responded to further inquiries regarding any actions it has taken to implement this recommendation.
    Recommendation: To ensure that the need for a department-wide values-based ethics program has been addressed, the Secretary of Defense should direct appropriate departmental organization(s), in consultation with the Office of General Counsel, to identify actions and timeframes for responding to the Panel on Contracting Integrity recommendation, including the 14 related 2012 study recommendations, or alternatively demonstrate why additional actions are unwarranted.

    Agency: Department of Defense
    Status: Open

    Comments: DOD concurred, with comment, with this recommendation, stating among other things that it has practices in place that are consistent with a number of the study recommendations and that it is most receptive to assessing and recommending implementation of additional measures. DOD confirmed its position with regard to this recommendation on October 19, 2015. As of October 6, 2016, DOD has not responded to further inquiries regarding any actions it has taken to implement this recommendation.
    Recommendation: To help inform decision makers on the SAMP's progress as well as the decision regarding the extension of the SAMP's term, the Secretary of Defense should direct the SAMP to define timelines and measures to assess its progress in completing its major tasks.

    Agency: Department of Defense
    Status: Open

    Comments: DOD did not concur with this recommendation, stating that the department will submit its Fiscal Year 2015 National Defense Authorization Act report on military programs and controls regarding professionalism to Congress on September 1, 2015, thereby satisfying the requirements of this recommendation. DOD confirmed its position with regard to this recommendation on October 19, 2015. As of October 6, 2016, DOD has not responded to further inquiries regarding any actions it has taken to implement this recommendation.
    Recommendation: To increase assurance that commanders are conducting command climate assessments in accordance with statutory requirements and departmental guidance, the Secretary of Defense should direct the Secretaries of the Air Force, the Army, and the Navy, and the Commandant of the Marine Corps to modify existing guidance or develop new guidance to comply with requirements set forth in the Fiscal Year 2014 National Defense Authorization Act and internal DOD guidance.

    Agency: Department of Defense
    Status: Open

    Comments: DOD partially concurred with this recommendation, stating that existing Army practice is consistent with the intent of departmental guidance for command climate survey utilization. DOD confirmed its position with regard to this recommendation on October 19, 2015. As of October 6, 2016, DOD has not responded to further inquiries regarding any actions it has taken to implement this recommendation.
    Recommendation: To better inform the department's approach to senior officers' professional development, the Secretary of Defense should direct the Secretary of the Navy, the Commandant of the Marine Corps, and the Chairman of the Joint Chiefs of Staff to assess the need for and feasibility of implementing 360-degree assessments for all general and flag officers.

    Agency: Department of Defense
    Status: Open

    Comments: DOD partially concurred with this recommendation, stating that it concurs with the recommendation to assess the need for and feasibility of implementing 360-degree assessments, or 360-degree-like feedback assessments, where they are not already being performed, but that it believes that it should only do so for general and flag officers at the three star ranks and below. DOD confirmed its position with regard to this recommendation on October 19, 2015. At that time, DOD also stated that it believes in a holistic approach to developing and assessing professionalism, noting, as an example, the Joint Staff's use of staff assistance visits and Senior Leader "roundtables" to complement the use of 360-degree assessments. As of October 6, 2016, DOD has not responded to further inquiries regarding any actions it has taken to implement this recommendation.
    Recommendation: To improve DOD's ability to assess its progress in addressing ethics and professionalism issues, the Secretary of Defense should direct the SAMP, through the Under Secretary of Defense for Personnel and Readiness, or SAMP's successor organization(s), to identify information sources and develop intermediate goals and performance metrics. At minimum, these performance metrics should be clear, quantifiable, and objective, and they should include a baseline assessment of current performance.

    Agency: Department of Defense
    Status: Open

    Comments: DOD concurred, with comment, with this recommendation, noting that the office of the Senior Advisor for Military Professionalism is a temporary office established by Secretary Hagel for a two year term ending no later than March of 2016. DOD confirmed its position with regard to this recommendation on October 19, 2015. As of October 6, 2016, DOD has not responded to further inquiries regarding any actions it has taken to implement this recommendation.
    Director: Mark L. Goldstein
    Phone: (202) 512-2834

    1 open recommendations
    Recommendation: To improve the accountability and transparency of FirstNet's operations, and ensure that FirstNet is gaining as much knowledge from the early builder projects as possible, FirstNet should strengthen FirstNet's internal control system by fully assessing risks, developing standards of conduct, and evaluating performance against these standards.

    Agency: Department of Commerce: National Telecommunications and Information Administration: First Responder Network Authority
    Status: Open

    Comments: When we confirm what actions the First Responder Network Authority (FirstNet) has taken in response to this recommendation, we will provide updated information.