Recommendation: The Director of OMB should comply with its statutory requirement to issue implementation guidance to agencies to develop and maintain comprehensive data inventories. (Recommendation 1)

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

Comments: When we confirm what actions the agency has taken in response to this recommendation, we will provide updated information.

Recommendation: The Director of OMB should comply with the statutory requirement to electronically publish a report on agencies' performance and compliance with the OPEN Government Data Act. (Recommendation 2)

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

Comments: When we confirm what actions the agency has taken in response to this recommendation, we will provide updated information.

Recommendation: The Director of OMB, in collaboration with the Administrator of GSA, should establish policy to ensure the routine identification and correction of errors in electronically published performance information. (Recommendation 3)

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

Comments: When we confirm what actions the agency has taken in response to this recommendation, we will provide updated information.

Recommendation: The Commandant of the Coast Guard should ensure that the Deputy Commandant for Mission Support assesses and addresses the causes of data errors and inconsistent entries in MISLE as identified by program offices and MISLE users, including reviewing MISLE training and data validation processes. (Recommendation 1)

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: The Commandant of the Coast Guard should ensure that the Deputy Commandant for Mission Support uses the results of its 2019 Standardization Team assessment of command centers to develop a plan for improving the consistency and accuracy of MISLE data identified in its report. (Recommendation 2)

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: The Commandant of the Coast Guard should ensure that the Deputy Commandant for Mission Support and the Deputy Commandant for Operations use the processes outlined in the SELC to identify needed enhancements across the MISLE system by developing an updated mission needs statement. (Recommendation 3)

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: The Commandant of the Coast Guard should ensure that the Deputy Commandant for Mission Support and the Deputy Commandant for Operations use the processes outlined in the SELC to identify and analyze alternatives, and objectively select the preferred solution for MISLE to meet approved mission needs. (Recommendation 4)

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: For implementation of the EHR system at future VA medical facilities, we recommend that the Secretary of VA direct the EHRM Executive Director to clarify terminology and include adequate detail in descriptions of local workshop sessions to facilitate the participation of all relevant stakeholders including medical facility clinicians and staff. (Recommendation 1)

Agency: Department of Veterans Affairs
Status: Open

Comments: When we confirm what actions the agency has taken in response to this recommendation, we will provide updated information.

Recommendation: The Archivist of the United States should require small and micro agencies that were determined to be at high risk of not complying with statutory and regulatory records management requirements to develop plans and timelines to address their records management weaknesses (Recommendation 1)

Agency: National Archives and Records Administration: Office of the Archivist
Status: Open

Comments: The National Archives and Records Administration concurred with this recommendation. As of June 2020, we had not received information pertaining to planned actions for this recommendation. Once the agency states that it has taken action, we plan to verify whether implementation has occurred.

Recommendation: The Archivist of the United States should monitor the agencies' progress towards these efforts on a regular basis. (Recommendation 2)

Agency: National Archives and Records Administration: Office of the Archivist
Status: Open

Comments: The National Archives and Records Administration concurred with this recommendation. As of June 2020, we had not received information pertaining to planned actions for this recommendation. Once the agency states that it has taken action, we plan to verify whether implementation has occurred.

Recommendation: The Chief Executive Officer of the Armed Forces Retirement Home should establish a time frame to develop an inventory of electronic information systems used to store agency records that includes all of the required elements. (Recommendation 3)

Agency: Armed Forces Retirement Home
Status: Open

Comments: The Armed Forces Retirement Home did not state whether or not it concurred with this recommendation. As of June 2020, we had not received information pertaining to planned actions for this recommendation. Once the agency states that it has taken action, we plan to verify whether implementation has occurred.

Recommendation: The Chief Executive Officer of the Armed Forces Retirement Home establish a time frame to update its policies and procedures to include all of the required electronic information system functionalities for recordkeeping systems. (Recommendation 4)

Agency: Armed Forces Retirement Home
Status: Open

Comments: The Armed Forces Retirement Home did not state whether or not it concurred with this recommendation. As of June 2020, we had not received information pertaining to planned actions for this recommendation. Once the agency states that it has taken action, we plan to verify whether implementation has occurred.

Recommendation: The Chief Executive Officer of the Armed Forces Retirement Home should establish a time frame to update the agency's policies and procedures to include the (1) following records management controls required for electronic information systems: usability, content, context, and structure and (2) required preservation mechanisms to ensure that records in its electronic recordkeeping system will be retrievable and useable. (Recommendation 5)

Agency: Armed Forces Retirement Home
Status: Open

Comments: The Armed Forces Retirement Home did not state whether or not it concurred with this recommendation. As of June 2020, we had not received information pertaining to planned actions for this recommendation. Once the agency states that it has taken action, we plan to verify whether implementation has occurred.

Recommendation: The Chief Executive Officer of the Armed Forces Retirement Home should ensure existing policies and procedures describe the rules for using personal email accounts when conducting official agency business to include instructing the employee to (1) copy an official electronic messaging account of the employee in the original creation or transmission of the records and (2) forward a complete copy of the record to an official electronic messaging account of the employee no later than 20 days after the original creation or transmission of the record. (Recommendation 6)

Agency: Armed Forces Retirement Home
Status: Open

Comments: The Armed Forces Retirement Home did not state whether or not it concurred with this recommendation. As of June 2020, we had not received information pertaining to planned actions for this recommendation. Once the agency states that it has taken action, we plan to verify whether implementation has occurred.

Recommendation: The Secretary of Commerce should establish a time frame to ensure all records schedules are up-to-date and submitted to NARA. The schedules should include all required information, including when eligible temporary records must be destroyed or deleted and when permanent records are to be transferred to NARA. (Recommendation 7)

Agency: Department of Commerce: Office of the Secretary
Status: Open

Comments: The Department of Commerce concurred with this recommendation. As of June 2020, we had not received information pertaining to planned actions for this recommendation. Once the department states that it has taken action, we plan to verify whether implementation has occurred.

Recommendation: The Secretary of Commerce should ensure the electronic system that manages email provides the capabilities to manage permanent and temporary email records and to identify, retrieve, and retain records. (Recommendation 8)

Agency: Department of Commerce: Office of the Secretary
Status: Open

Comments: The Department of Commerce concurred with this recommendation. As of June 2020, we had not received information pertaining to planned actions for this recommendation. Once the department states that it has taken action, we plan to verify whether implementation has occurred.

Recommendation: The Director of the Consumer Financial Protection Bureau should establish a time frame to develop an inventory of electronic information systems used to store agency records that includes all of the required elements. (Recommendation 9)

Agency: Consumer Financial Protection Bureau
Status: Open

Comments: The Consumer Financial Protection Bureau concurred with this recommendation. As of June 2020, we had not received information pertaining to planned actions for this recommendation. Once the bureau states that it has taken action, we plan to verify whether implementation has occurred.

Recommendation: The Executive Director of the Election Assistance Commission should establish a time frame to develop an inventory of electronic information systems used to store agency records that includes all of the required elements. (Recommendation 10)

Agency: Election Assistance Commission
Status: Open

Comments: The U.S. Election Assistance Commission did not state whether or not it concurred with this recommendation. As of June 2020, we had not received information pertaining to planned actions for this recommendation. Once the commission states that it has taken action, we plan to verify whether implementation has occurred.

Recommendation: The Executive Director of the Election Assistance Commission should establish a time frame to develop a plan on how the agency intends to manage permanent electronic records. (Recommendation 11)

Agency: Election Assistance Commission
Status: Open

Comments: The U.S. Election Assistance Commission did not state whether or not it concurred with this recommendation. As of June 2020, we had not received information pertaining to planned actions for this recommendation. Once the commission states that it has taken action, we plan to verify whether implementation has occurred.

Recommendation: The Executive Director of the Election Assistance Commission should establish a time frame to update its policies and procedures to include all of the required electronic information system functionalities for recordkeeping systems. (Recommendation 12)

Agency: Election Assistance Commission
Status: Open

Comments: The U.S. Election Assistance Commission did not state whether or not it concurred with this recommendation. As of June 2020, we had not received information pertaining to planned actions for this recommendation. Once the commission states that it has taken action, we plan to verify whether implementation has occurred.

Recommendation: The Executive Director of the Election Assistance Commission should establish a time frame to update its policies and procedures to include the (1) following records management controls required for electronic information systems: content, context, and structure and (2) required preservation mechanisms to ensure that records in its electronic recordkeeping system will be retrievable and useable. (Recommendation 13)

Agency: Election Assistance Commission
Status: Open

Comments: The U.S. Election Assistance Commission did not state whether or not it concurred with this recommendation. As of June 2020, we had not received information pertaining to planned actions for this recommendation. Once the commission states that it has taken action, we plan to verify whether implementation has occurred.

Recommendation: The Executive Director of the Election Assistance Commission should develop a written policy that describes the rules for using personal email accounts when conducting official agency business to include instructing the employee to (1) copy an official electronic messaging account of the employee in the original creation or transmission of the records and (2) forward a complete copy of the record to an official electronic messaging account of the employee no later than 20 days after the original creation or transmission of the record. (Recommendation 14)

Agency: Election Assistance Commission
Status: Open

Comments: The U.S. Election Assistance Commission did not state whether or not it concurred with this recommendation. As of June 2020, we had not received information pertaining to planned actions for this recommendation. Once the commission states that it has taken action, we plan to verify whether implementation has occurred.

Recommendation: The Chairman of the Federal Trade Commission should establish a time frame to update the agency's electronic information system inventory to include the following characteristics: reading and processing the records contained in the system, inputs and outputs, contents of the files and records, and cycle updates. (Recommendation 15)

Agency: Federal Trade Commission
Status: Open

Comments: The Federal Trade Commission did not state whether or not it concurred with this recommendation. As of June 2020, we had not received information pertaining to planned actions for this recommendation. Once the commission states that it has taken action, we plan to verify whether implementation has occurred.

Recommendation: The Chairman of the Marine Mammal Commission should use recently developed policies and procedures to implement and maintain an active, continuing agency records management program that includes policies and procedures to provide for effective controls over the creation, maintenance, and use of records in the conduct of current business. (Recommendation 16)

Agency: Marine Mammal Commission
Status: Open

Comments: The Marine Mammal Commission did not state whether or not it concurred with this recommendation. As of June 2020, we had not received information pertaining to planned actions for this recommendation. Once the commission states that it has taken action, we plan to verify whether implementation has occurred.

Recommendation: The Administrator of the National Aeronautics and Space Administration should establish a time frame to develop an inventory of electronic information systems used to store agency records that includes all of the required elements. (Recommendation 17)

Agency: National Aeronautics and Space Administration
Status: Open

Comments: The National Aeronautics and Space Administration concurred with this recommendation. As of June 2020, we had not received information pertaining to planned actions for this recommendation. Once the agency states that it has taken action, we plan to verify whether implementation has occurred.

Recommendation: The Director of the National Science Foundation should establish a time frame to ensure all records schedules are up-to-date and submitted to NARA. The schedules should include all required information, including when eligible temporary records must be destroyed or deleted and when permanent records are to be transferred to NARA. (Recommendation 18)

Agency: National Science Foundation
Status: Open

Comments: The National Science Foundation concurred with this recommendation. As of June 2020, we had not received information pertaining to planned actions for this recommendation. Once the foundation states that it has taken action, we plan to verify whether implementation has occurred.

Recommendation: The Director of the National Science Foundation should establish a time frame to update the agency's electronic information system inventory to include the following characteristics: technical characteristics of the systems, identify inputs and outputs, and describe update cycles. (Recommendation 19)

Agency: National Science Foundation
Status: Open

Comments: The National Science Foundation concurred with this recommendation. As of June 2020, we had not received information pertaining to planned actions for this recommendation. Once the foundation states that it has taken action, we plan to verify whether implementation has occurred.

Recommendation: The Director of the National Science Foundation should establish a time frame to update the agency's policies and procedures to include all of the records management controls required for electronic information systems and the required preservation mechanisms to ensure that records in its electronic recordkeeping system will be retrievable and useable. (Recommendation 20)

Agency: National Science Foundation
Status: Open

Comments: The National Science Foundation concurred with this recommendation. As of June 2020, we had not received information pertaining to planned actions for this recommendation. Once the foundation states that it has taken action, we plan to verify whether implementation has occurred.

Recommendation: The Director of the National Science Foundation should develop policies and procedures for the required retention and management requirements for email, including instructions to staff to ensure that the names and addresses of the sender, date of message, attachments, calendars, and draft documents will be retained. (Recommendation 21)

Agency: National Science Foundation
Status: Open

Comments: The National Science Foundation concurred with this recommendation. As of June 2020, we had not received information pertaining to planned actions for this recommendation. Once the foundation states that it has taken action, we plan to verify whether implementation has occurred.

Recommendation: The Director of the Office of Management and Budget should ensure, in conjunction with the Executive Office of the President's Office of Administration, that existing policies and procedures incorporate the management of electronic records into its overall records management program. (Recommendation 22)

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

Comments: The Office of Management and Budget did not state whether or not it concurred with this recommendation. As of June 2020, we had not received information pertaining to planned actions for this recommendation. Once the office states that it has taken action, we plan to verify whether implementation has occurred.

Recommendation: The Director of the Office of Management and Budget should establish a time frame to develop an inventory of electronic information systems used to store agency records that includes all of the required elements. (Recommendation 23)

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

Comments: The Office of Management and Budget did not state whether or not it concurred with this recommendation. As of June 2020, we had not received information pertaining to planned actions for this recommendation. Once the office states that it has taken action, we plan to verify whether implementation has occurred.

Recommendation: The Director of the Office of Management and Budget should establish a time frame to update its policies and procedures to include all of the required electronic information system functionalities for recordkeeping systems. (Recommendation 24)

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

Comments: The Office of Management and Budget did not state whether or not it concurred with this recommendation. As of June 2020, we had not received information pertaining to planned actions for this recommendation. Once the office states that it has taken action, we plan to verify whether implementation has occurred.

Recommendation: The Director of the Office of Management and Budget should establish a time frame to ensure, in conjunction with the Office of Administration, that policies and procedures include the (1) following records management controls required for electronic information systems: reliability, context, and structure and (2) required preservation mechanisms to ensure that records in its electronic recordkeeping system will be retrievable and useable. (Recommendation 25)

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

Comments: The Office of Management and Budget did not state whether or not it concurred with this recommendation. As of June 2020, we had not received information pertaining to planned actions for this recommendation. Once the office states that it has taken action, we plan to verify whether implementation has occurred.

Recommendation: The Director of the Office of Management and Budget should ensure, in conjunction with the Office of Administration, that existing policies and procedures include the required retention and management requirements for email. (Recommendation 26)

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

Comments: The Office of Management and Budget did not state whether or not it concurred with this recommendation. As of June 2020, we had not received information pertaining to planned actions for this recommendation. Once the office states that it has taken action, we plan to verify whether implementation has occurred.

Recommendation: The Director of the Office of National Drug Control Policy should establish a time frame to develop an inventory of electronic information systems used to store agency records that includes all of the required elements. (Recommendation 27)

Agency: Executive Office of the President: Office of National Drug Control Policy
Status: Open

Comments: The Office of the National Drug Control Policy did not state whether or not it concurred with this recommendation. As of June 2020, we had not received information pertaining to planned actions for this recommendation. Once the office states that it has taken action, we plan to verify whether implementation has occurred.

Recommendation: The Director of the Office of National Drug Control Policy should establish a time frame to ensure, in conjunction with the Office of Administration, that policies and procedures include the (1) following records management controls required for electronic information systems: reliability, context, and structure; and (2) required preservation mechanisms to ensure that records in its electronic recordkeeping system will be retrievable and useable. (Recommendation 28)

Agency: Executive Office of the President: Office of National Drug Control Policy
Status: Open

Comments: The Office of the National Drug Control Policy did not state whether or not it concurred with this recommendation. As of June 2020, we had not received information pertaining to planned actions for this recommendation. Once the office states that it has taken action, we plan to verify whether implementation has occurred.

Recommendation: The Director of the Office of National Drug Control Policy should ensure, in conjunction with the Office of Administration, that existing policies and procedures include the required retention and management requirements for email. (Recommendation 29)

Agency: Executive Office of the President: Office of National Drug Control Policy
Status: Open

Comments: The Office of the National Drug Control Policy did not state whether or not it concurred with this recommendation. As of June 2020, we had not received information pertaining to planned actions for this recommendation. Once the office states that it has taken action, we plan to verify whether implementation has occurred.

Recommendation: The Director of the Office of Personnel Management should establish a time frame to ensure that all records schedules are up-to-date and submitted to NARA. The schedules should include all required information, including when eligible temporary records must be destroyed or deleted and when permanent records are to be transferred to NARA. (Recommendation 30)

Agency: Office of Personnel Management: Office of the Director
Status: Open

Comments: The Office of Personnel Management concurred with this recommendation. As of June 2020, we had not received information pertaining to planned actions for this recommendation. Once the agency states that it has taken action, we plan to verify whether implementation has occurred.

Recommendation: The Director of the Office of Personnel Management should establish a time frame to develop an inventory of electronic information systems used to store agency records that includes all of the required elements. (Recommendation 31)

Agency: Office of Personnel Management: Office of the Director
Status: Open

Comments: The Office of Personnel Management concurred with this recommendation. As of June 2020, we had not received information pertaining to planned actions for this recommendation. Once the agency states that it has taken action, we plan to verify whether implementation has occurred.

Recommendation: The Director of the Office of Personnel Management should establish a time frame to develop a plan to manage permanent electronic records. (Recommendation 32)

Agency: Office of Personnel Management: Office of the Director
Status: Open

Comments: The Office of Personnel Management concurred with this recommendation. As of June 2020, we had not received information pertaining to planned actions for this recommendation. Once the agency states that it has taken action, we plan to verify whether implementation has occurred.

Recommendation: The Director of the Office of Personnel Management should establish a time frame to update its policies and procedures to include all of the required electronic information system functionalities for recordkeeping systems. (Recommendation 33)

Agency: Office of Personnel Management: Office of the Director
Status: Open

Comments: The Office of Personnel Management concurred with this recommendation. As of June 2020, we had not received information pertaining to planned actions for this recommendation. Once the agency states that it has taken action, we plan to verify whether implementation has occurred.

Recommendation: The Director of the Office of Personnel Management should establish a time frame to update the agency's policies and procedures on retention and management for email to include retaining electronic calendars and draft documents. (Recommendation 34)

Agency: Office of Personnel Management: Office of the Director
Status: Open

Comments: The Office of Personnel Management concurred with this recommendation. As of June 2020, we had not received information pertaining to planned actions for this recommendation. Once the agency states that it has taken action, we plan to verify whether implementation has occurred.

Recommendation: The Chief Executive Officer of the Overseas Private Investment Corporation should establish a time frame to develop an inventory of electronic information systems used to store agency records that includes all of the required elements. (Recommendation 35)

Agency: Overseas Private Investment Corporation (OPIC)
Status: Open

Comments: The Overseas Private Investment Corporation did not state whether or not it concurred with this recommendation. As of June 2020, we had not received information pertaining to planned actions for this recommendation. Once the agency states that it has taken action, we plan to verify whether implementation has occurred.

Recommendation: The Chief Executive Officer of the Overseas Private Investment Corporation should establish a time frame to develop policies and procedures that define required electronic information system functionalities for recordkeeping systems including declaring records and assigning unique identifiers, capturing records, maintaining security, and preserving records. (Recommendation 36)

Agency: Overseas Private Investment Corporation (OPIC)
Status: Open

Comments: The Overseas Private Investment Corporation did not state whether or not it concurred with this recommendation. As of June 2020, we had not received information pertaining to planned actions for this recommendation. Once the agency states that it has taken action, we plan to verify whether implementation has occurred.

Recommendation: The Chief Executive Officer of the Overseas Private Investment Corporation should establish a time frame to update the agency's policies and procedures to include the (1) following records management controls required for electronic information systems: reliability, content, context, and structure; and (2) required preservation mechanisms to ensure that records in its electronic recordkeeping system will be retrievable and useable. (Recommendation 37)

Agency: Overseas Private Investment Corporation (OPIC)
Status: Open

Comments: The Overseas Private Investment Corporation did not state whether or not it concurred with this recommendation. As of June 2020, we had not received information pertaining to planned actions for this recommendation. Once the agency states that it has taken action, we plan to verify whether implementation has occurred.

Recommendation: The Chief Executive Officer of the Overseas Private Investment Corporation should establish a time frame to update the agency's policies and procedures on retention and management for email to include policies for retaining electronic calendars. (Recommendation 38)

Agency: Overseas Private Investment Corporation (OPIC)
Status: Open

Comments: The Overseas Private Investment Corporation did not state whether or not it concurred with this recommendation. As of June 2020, we had not received information pertaining to planned actions for this recommendation. Once the agency states that it has taken action, we plan to verify whether implementation has occurred.

Recommendation: The Director of the Peace Corps should establish a time frame to update the agency's electronic information systems inventory to (1) specify technical characteristics necessary for reading and processing the records contained in the system, (2) identify system inputs and outputs, (3) define the contents of the files and records, (4) determine restrictions on access and use, and (5) specify how the agency ensures the timely disposition of records. (Recommendation 39)

Agency: Peace Corps
Status: Open

Comments: The Peace Corps did not state whether or not it concurred with this recommendation. As of June 2020, we had not received information pertaining to planned actions for this recommendation. Once the agency states that it has taken action, we plan to verify whether implementation has occurred.

Recommendation: The Director of the Peace Corps should establish a time frame to update its policies and procedures to include all of the required electronic information system functionalities for recordkeeping systems. (Recommendation 40)

Agency: Peace Corps
Status: Open

Comments: The Peace Corps did not state whether or not it concurred with this recommendation. As of June 2020, we had not received information pertaining to planned actions for this recommendation. Once the agency states that it has taken action, we plan to verify whether implementation has occurred.

Recommendation: The Director of the Peace Corps should establish a time frame to update the agency's policies and procedures to include (1) following records management controls required for electronic information systems: usability, context, and structure and (2) required preservation mechanisms to ensure that records in its electronic recordkeeping system will be retrievable and useable. (Recommendation 41)

Agency: Peace Corps
Status: Open

Comments: The Peace Corps did not state whether or not it concurred with this recommendation. As of June 2020, we had not received information pertaining to planned actions for this recommendation. Once the agency states that it has taken action, we plan to verify whether implementation has occurred.

Recommendation: The Executive Director of Udall Foundation should establish a time frame to develop and maintain an active, continuing agency records management program that includes policies and procedures to provide for effective controls over the creation, maintenance, and use of records in the conduct of current business. (Recommendation 42)

Agency: Morris K. Udall and Stewart L. Udall Foundation
Status: Open

Comments: The Udall Foundation concurred with this recommendation. As of June 2020, we had not received information pertaining to planned actions for this recommendation. Once the foundation states that it has taken action, we plan to verify whether implementation has occurred.

Recommendation: The Administrator of FTA should develop a communication plan that will effectively share information with state transportation agencies and rural and tribal transit providers on coordination opportunities and leading coordination practices in an accessible and informative way. (Recommendation 1)

Agency: Department of Transportation: Federal Transit Administration
Status: Open

Comments: As of June 2020, FTA partially concurred with this recommendation. FTA noted that they will direct the National Rural Transit Assistance Program (NRTAP) to create a centralized, searchable library database cataloging all available resources that cover transportation coordination. This library database will include resources developed by FTA, other Coordinating Council on Access and Mobility (CCAM) members, and their technical assistance centers and initiatives, such as the Rural Opportunities to Use Transportation for Economic Success (ROUTES). FTA will complete these actions by August 31, 2021. We will review the database and other resources when they become available.

Recommendation: The Secretary of VA should direct the Under Secretary for Health and the Assistant Secretary for Information and Technology/Chief Information Officer to develop and implement a methodology for reliably identifying and reporting the total costs of VistA. The methodology should include steps to identify the definition of VistA and what is to be included in its sustainment activities, as well as ensure that comprehensive costs are corroborated by reliable data. (Recommendation 1)

Agency: Department of Veterans Affairs
Status: Open

Comments: The Department of Veterans Affairs (VA) generally agreed with our conclusions and concurred with our recommendation. In a January 2020 update, the department described steps it planned to take to address the recommendation including establishing a team of experts to formulate a comprehensive taxonomy for VistA and all of its components, identifying authoritative and reliable data sources to assign costs to those components, and developing a methodology for ongoing cost tracking and reporting. The department expects these steps to be implemented by September 30, 2020. We will continue to monitor the department's progress to address this recommendation.

Recommendation: The Chief Operating Officer of Federal Student Aid should obtain data in order to verify income information for borrowers reporting zero income on IDR applications. For example, Education could pursue access to federal data sources or obtain access to an appropriate private data source. (Recommendation 1)

Agency: Department of Education: Office of Federal Student Aid
Status: Open

Comments: Education generally agreed with this recommendation. Education stated that the President's fiscal year 2020 budget request includes a proposal that Congress pass legislation allowing the IRS to disclose tax return information directly to the department for the purpose of administering certain federal student financial aid programs. According to the agency, such legislation, if enacted, would allow borrowers to more easily certify their income on an annual basis to maintain enrollment in IDR plans, and allow the department to use the information to mitigate improper payments to borrowers as a result of misreported income data. Section 3 of the Fostering Undergraduate Talent by Unlocking Resources for Education Act (FUTURE Act), enacted in December 2019, provided Education with statutory authority to access certain Internal Revenue Service data for the purpose of determining eligibility for IDR plans, among other things (Public Law 116-91). As of August 2020, Education had begun planning for the implementation of the legislation. The Congressional Budget Office estimated that use of this authority to verify eligibility for IDR plans could result in over $2 billion in savings for 2020-2029.

Recommendation: The Chief Operating Officer of Federal Student Aid should implement data analytic practices, such as data matching, and follow-up procedures to review and verify that borrowers reporting zero income on IDR applications do not have sources of taxable income at the time of their application. (Recommendation 2)

Agency: Department of Education: Office of Federal Student Aid
Status: Open

Comments: Education agreed with this recommendation, and from January to March 2020 initiated a pilot program with three of its loan servicers to conduct additional verification of income or family size information on IDR plan applications for a random sample of borrowers each month. When initiated, the pilot focused on IDR borrowers who self-certified that they had no income or who reported certain family sizes. According to Education, selected borrowers would be asked to provide documentation to their servicers to support the income or family size reported on their IDR application. In the event errors were identified, servicers would work with the borrowers to update their applications. If these reviews resulted in changes to a borrower's monthly payment amount, the borrower would be expected to begin paying the new amount within the next 60 days. According to Education, as of the end of March 2020 when the pilot was put on hold, participating servicers selected 48,855 borrowers for verification. The verification pilot was put on hold as it implemented student loan relief for borrowers under the CARES Act in response to the COVID-19 global pandemic (Public Law 116-136). Specifically, on March 27, 2020, the CARES Act was enacted, which suspended student loan payments due, interest accrual, and involuntary collections for Direct and Federal Family Education Loans held by Education through September 30, 2020. According to Education, the Department suspended all IDR recertifications during this period. On August 8, 2020, the President issued a presidential memorandum directing the Secretary of Education to extend this relief to borrowers through December 31, 2020. Education reported that it will weigh options for resuming the pilot against other critical priorities and available resources, noting that its long-term strategy is to fully implement the authorities granted under the FUTURE Act, which provides Education with statutory authority to access certain Internal Revenue Service data for the purpose of determining eligibility for IDR plans, among other things (Public Law 116-91). GAO will continue to monitor Education's actions in this area, and will close the recommendation when Education provides documentation that it has implemented data analytic practices and follow-up procedures to review and verify that borrowers reporting zero income on IDR applications do not have sources of taxable income at the time of their application.

Recommendation: The Chief Operating Officer of Federal Student Aid should implement data analytic practices, such as data mining, and follow-up procedures to review and verify family size entries in IDR borrower applications. For example, Education could review and verify all borrower reports of family size or a subset identified as being most susceptible to fraud or error. (Recommendation 3)

Agency: Department of Education: Office of Federal Student Aid
Status: Open

Comments: Education agreed with this recommendation, and from January to March 2020 established a pilot program with three of its loan servicers to conduct additional verification of income or family size information on IDR plan applications for a random sample of borrowers each month. When initiated, the pilot focused on IDR borrowers who self-certified that they had no income or who reported certain family sizes. According to Education, selected borrowers would be asked to provide documentation to their servicers to support the income or family size reported on their IDR application. Education noted that under the pilot, loan servicers were required to request additional information from borrowers to verify family sizes greater than five; specifically, a statement listing each family member residing with the borrower and for whom the borrower pays at least 51 percent of the support. In the event errors were identified, servicers would work with the borrowers to update their applications. If these reviews resulted in changes to a borrower's monthly payment amount, the borrower would be expected to begin paying the new amount within the next 60 days. According to Education, as of the end of March 2020 when the pilot was put on hold, participating servicers selected 48,855 borrowers for verification. The verification pilot was put on hold as Education implemented student loan relief for borrowers under the CARES Act in response to the COVID-19 global pandemic (Public Law 116-136). Specifically, on March 27, 2020, the CARES Act was enacted, which suspended student loan payments due, interest accrual, and involuntary collections for Direct and Federal Family Education Loans held by Education through September 30, 2020. According to Education, the Department suspended all IDR recertifications during this period. On August 8, 2020, the President issued a presidential memorandum directing the Secretary of Education to extend this relief to borrowers through December 31, 2020. Education reported that it will weigh options for resuming the pilot against other critical priorities and available resources, noting that its long-term strategy is to fully implement the authorities granted under the FUTURE Act, which provides Education with statutory authority to access certain Internal Revenue Service data for the purpose of determining eligibility for IDR plans, among other things (Public Law 116-91). GAO will continue to monitor Education's actions in this area, and will close the recommendation when Education provides documentation that it has implemented data analytic practices and follow-up procedures to review and verify family size entries in IDR borrower applications.

Recommendation: The Secretary of Agriculture should amend its analysis of selected data centers to address key elements of a cost-benefit and cost-effectiveness analysis as defined by OMB Circular A-94 and relevant agency guidance. (Recommendation 1)

Agency: Department of Agriculture
Status: Open

Comments: In March 2020, the Department of Agriculture asserted that it has implemented the recommendation but has not provided sufficient evidence to support its assertion.

Recommendation: When amending its analysis of the selected data centers, the Secretary of Agriculture should report on the assessment of each facility's protective measures, as outlined by the Interagency Security Committee guidance. (Recommendation 2)

Agency: Department of Agriculture
Status: Open

Comments: In March 2020, the Department of Agriculture asserted that it has implemented the recommendation but has not provided sufficient evidence to support its assertion.

Recommendation: When amending its analysis of the selected data centers, the Secretary of Agriculture should report on an analysis of the information security controls for each data center, in order to evaluate the data center's information security capabilities. (Recommendation 3)

Agency: Department of Agriculture
Status: Open

Comments: In March 2020, the Department of Agriculture asserted that it has implemented the recommendation but has not provided sufficient evidence to support its assertion.

Recommendation: When amending its analysis of the selected data centers, the Secretary of Agriculture should report on each data center's demonstrated history of restoring continuity of operation functions in the event of a service disruption. (Recommendation 4)

Agency: Department of Agriculture
Status: Open

Comments: In March 2020, the Department of Agriculture asserted that it has implemented the recommendation but has not provided sufficient evidence to support its assertion.

Recommendation: The Administrator of CMS should provide states with more information on how to fulfill the requirement for independent encounter data audits, including information on the required audit scope and methodology, and what should be described in the resulting report. (Recommendation 1)

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

Comments: HHS agreed with our recommendation, noting that CMS would provide states with additional information on how to fulfill the requirement for independent encounter data audits. HHS also noted in January 2019 that CMS was developing voluntary guidance that will include information on best practices for validating encounter data. To implement this recommendation, the Administrator of CMS should inform states of the required audit scope and methodology as well as the resulting report. As of January 2020, HHS officials have not informed us of any additional actions taken to implement this recommendation. We will update the status of this recommendation when we receive additional information.

Recommendation: The Administrator of CMS should provide states information on the required content of the annual assessment of encounter data reporting. (Recommendation 2)

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

Comments: HHS agreed with our recommendation, noting that CMS would provide states further information on the required content of the annual assessment. In January 2019, HHS noted that CMS continues to develop guidance to states on how to fulfill the annual assessment requirement. As of January 2020, HHS officials have not informed us of any additional actions taken to implement this recommendation. We will update the status of this recommendation when we receive additional information.

Recommendation: The Administrator of CMS should provide states with information on the circumstances under which CMS would defer or disallow matching funds in response to noncompliant encounter data submissions. (Recommendation 3)

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

Comments: HHS neither agreed nor disagreed with our recommendation and noted steps it has already taken to remind states of their obligation to submit timely, quality encounter data, and prioritize data quality. In January 2019, HHS identified a possible step CMS could take in the event it finds deficiencies in states' encounter data reporting that cannot be resolved through informal monitoring and discussions with state Medicaid agencies. In particular, HHS noted that CMS would issue guidance on the parameters by which the agency would impose financial penalties on states for noncompliant encounter data submissions, if necessary. In February 2020, CMS officials told us that they continue to monitor state encounter data submissions and would issue guidance to states if they identify deficiencies in the data that cannot be resolved through informal monitoring and disccussions with state Medicaid agencies. To implement this recommendation, the Administrator of CMS should provide states with this information. We will update the status of this recommendation when we receive additional information.

Recommendation: The Director of the Office of Management and Budget should issue guidance that addresses the 12 CIO responsibilities discussed in this report that are not included in existing OMB guidance--in particular those relating to IT workforce matters. (Recommendation 1)

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

Comments: The agency partially agreed with the recommendation, and planned to issue guidance that addressed eight of the 12 CIO responsibilities discussed in this report that were not included in existing OMB guidance. As of July 2020, the agency had not issued such guidance and asserted that its existing Circular A-130 guidance is adequate to address this recommendation. However, the Circular A-130 does not address these 12 CIO responsibilities. We will continue to monitor the steps the agency takes to address these requirements.

Recommendation: The Director of the Office of Management and Budget should define the authority that CIOs are to have when agencies report on CIO authority over IT spending. (Recommendation 3)

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

Comments: The agency agreed with the recommendation to define the authority that Chief Information Officers (CIOs) are to have when agencies report on CIO authority over information technology spending. However, as of July 2020, the agency had not updated its definition. We will continue to monitor the steps the agency takes to address this recommendation.

Recommendation: The Secretary of Agriculture should ensure that the department's IT management policies address the role of the CIO for key responsibilities in the six areas we identified. (Recommendation 4)

Agency: Department of Agriculture
Status: Open

Comments: The agency agreed with the recommendation and, in May 2019, the agency revised its departmental policies to address 21 of the 22 responsibility gaps identified in the report. The remaining responsibility is for the Chief Information Officer (CIO) to report annually to the head of the agency on progress made in improving IT personnel capabilities. In particular, while USDA's CIO is required to conduct an annual assessment on IT personnel, there is no indication that the results are reported to the agency head. We will continue to monitor the steps the agency takes to address these requirements.

Recommendation: The Secretary of Commerce should ensure that the department's IT management policies address the role of the CIO for key responsibilities in the five areas we identified. (Recommendation 5)

Agency: Department of Commerce
Status: Open

Comments: The agency agreed with the recommendation and, in October 2018, described a a number of steps it planned to take to address the responsibility gaps identified in the report. We will continue to monitor the steps the agency takes to address these requirements.

Recommendation: The Secretary of Defense should ensure that the department's IT management policies address the role of the CIO for key responsibilities in the five areas we identified. (Recommendation 6)

Agency: Department of Defense
Status: Open

Comments: We will provide updated information when we confirm what actions the agency has taken in response to this recommendation.

Recommendation: The Secretary of Education should ensure that the department's IT management policies address the role of the CIO for key responsibilities in the five areas we identified. (Recommendation 7)

Agency: Department of Education
Status: Open

Comments: We will provide updated information when we confirm what actions the agency has taken in response to this recommendation.

Recommendation: The Secretary of Energy should ensure that the department's IT management policies address the role of the CIO for key responsibilities in the five areas we identified. (Recommendation 8)

Agency: Department of Energy
Status: Open

Comments: The department planned to complete several steps by the end of 2019. When we confirm these actions, we will provide updated information.

Recommendation: The Secretary of Health and Human Services should ensure that the department's IT management policies address the role of the CIO for key responsibilities in the six areas we identified. (Recommendation 9)

Agency: Department of Health and Human Services
Status: Open

Comments: The agency agreed with the recommendation and revised its policies to address three of the 23 responsibility gaps identified in the report. In particular, it has addressed the responsibilities for the Chief Information Officer to: 1) report directly to the agency head or that official's deputy, 2) improve the management of the agency's IT through portfolio review (PortfolioStat), and 3) maintain an inventory of data centers. We will continue to monitor the steps the agency takes to address the remaining responsibilities.

Recommendation: The Secretary of Homeland Security should ensure that the department's IT management policies address the role of the CIO for key responsibilities in the five areas we identified. (Recommendation 10)

Agency: Department of Homeland Security
Status: Open

Comments: The agency agreed with the recommendation, and revised and provided additional departmental directives and delegations to address 19 of the 21 responsibility gaps identified in the report. The remaining responsibilities are for the Chief Information Officer (CIO) to 1) review and approve IT contracts, acquisition plans, or strategies; and 2) ensure that all personnel are held accountable for complying with the agency-wide information security program. In particular, while the DHS CIO has the authority to coordinate with the Chief Acquisition Officer on acquisition strategies, coordination is not the same as reviewing and approving. Regarding holding agency personnel accountable for information security, DHS's Sensitive Systems Policy Directive gives that authority to the heads of DHS's components, rather than the DHS CIO. We will continue to monitor the steps the agency takes to address these requirements.

Recommendation: The Secretary of Housing and Urban Development should ensure that the department's IT management policies address the role of the CIO for key responsibilities in the six areas we identified. (Recommendation 11)

Agency: Department of Housing and Urban Development
Status: Open

Comments: The department indicated that it has work underway to address this recommendation, which it plans to complete in March 2020. When we confirm those actions, we will provide updated information.

Recommendation: The Secretary of the Interior should ensure that the department's IT management policies address the role of the CIO for key responsibilities in the five areas we identified. (Recommendation 12)

Agency: Department of the Interior
Status: Open

Comments: The department planned to review its policies and take corrective actions, as necessary. When we confirm those actions, we will provide updated information.

Recommendation: The Attorney General should ensure that the department's IT management policies address the role of the CIO for key responsibilities in the five areas we identified. (Recommendation 13)

Agency: Department of Justice
Status: Open

Comments: Justice concurred with our recommendation and started work to address it. When we confirm what actions the agency has taken in response to this recommendation, we will provide updated information.

Recommendation: The Secretary of Labor should ensure that the department's IT management policies address the role of the CIO for key responsibilities in the six areas we identified. (Recommendation 14)

Agency: Department of Labor
Status: Open

Comments: Labor has taken a number of steps in response to this recommendation. However, the agency's policies did not address the six key areas of responsibility for CIOs.

Recommendation: The Secretary of State should ensure that the department's IT management policies address the role of the CIO for key responsibilities in the six areas we identified. (Recommendation 15)

Agency: Department of State
Status: Open

Comments: The department has begun changing its policies to address this recommendation. When we review those changes, we will provide updated information.

Recommendation: The Secretary of Transportation should ensure that the department's IT management policies address the role of the CIO for key responsibilities in the five areas we identified. (Recommendation 16)

Agency: Department of Transportation
Status: Open

Comments: DOT agreed with many of the responsibilities in our recommendation, and in September 2019, the agency planned to leverage their technical infrastructure modernization initiative to further define the CIO responsibilities identified in the 18 responsibility gaps identified in the report. When we confirm what actions the agency has taken in response to this recommendation, we will provide updated information.

Recommendation: The Secretary of the Treasury should ensure that the department's IT management policies address the role of the CIO for key responsibilities in the six areas we identified. (Recommendation 17)

Agency: Department of the Treasury
Status: Open

Comments: When we confirm what actions the agency has taken in response to this recommendation, we will provide updated information.

Recommendation: The Secretary of Veterans Affairs should ensure that the department's IT management policies address the role of the CIO for key responsibilities in the four areas we identified. (Recommendation 18)

Agency: Department of Veterans Affairs
Status: Open

Comments: VA agreed with our recommendation and, as of January 2020, is working to address the recommendation. When we confirm what actions the agency has taken in response to this recommendation, we will provide updated information.

Recommendation: The Administrator of the Environmental Protection Agency should ensure that the agency's IT management policies address the role of the CIO for key responsibilities in the six areas we identified. (Recommendation 19)

Agency: Environmental Protection Agency
Status: Open

Comments: EPA neither agreed nor disagreed with our recommendation, but agreed that CIO authorities should be adequately documented in appropriate policies. EPA officials have stated that they continue to work to address this recommendation. When we confirm what actions the agency has taken to address the 20 responsibility gaps identified in the report, we will provide updated information.

Recommendation: The Administrator of the National Aeronautics and Space Administration should ensure that the agency's IT management policies address the role of the CIO for key responsibilities in the six areas we identified. (Recommendation 21)

Agency: National Aeronautics and Space Administration
Status: Open

Comments: NASA concurred with our recommendation and stated that the agency was updating its policies to address the responsibilities identified in the report. When we confirm what actions the agency has taken in response to this recommendation, we will provide updated information.

Recommendation: The Director of the National Science Foundation should ensure that the agency's IT management policies address the role of the CIO for key responsibilities in the five areas we identified. (Recommendation 22)

Agency: National Science Foundation
Status: Open

Comments: NSF agreed with our recommendations, and in February 2020, the agency issued a new CIO Authorities Policy and revised other departmental policies to address 22 of the 23 responsibility gaps identified in the report. The remaining responsibility for the CIO to benchmark agency processes against private and public sector performance has not been established through the agencies' policies. When we confirm what actions the agency has taken in response to the remaining responsibility, we will provide updated information.

Recommendation: The Chairman of the Nuclear Regulatory Commission should ensure that the agency's IT management policies address the role of the CIO for key responsibilities in the five areas we identified. (Recommendation 23)

Agency: Nuclear Regulatory Commission
Status: Open

Comments: NRC disagreed with our recommendation but generally agreed with our findings, and the agency had departmental policies to address three of the 15 responsibilities identified in the report. In March 2020, the agency stated it was identifying the appropriate agency policy to amend to address the remaining responsibility gaps. It anticipated that it would complete those updates by the end of the second quarter of FY 2020. We will continue to monitor the steps the agency takes to address this requirement.

Recommendation: The Director of the Office of Personnel Management should ensure that the agency's IT management policies address the role of the CIO for key responsibilities in the five areas we identified. (Recommendation 24)

Agency: Office of Personnel Management
Status: Open

Comments: OPM agreed with our recommendation. When we confirm what actions the agency has taken in response to this recommendation, we will provide updated information.

Recommendation: The Administrator of the Small Business Administration should ensure that the agency's IT management policies address the role of the CIO for key responsibilities in the five areas we identified. (Recommendation 25)

Agency: Small Business Administration
Status: Open

Comments: SBA agreed with most of our recommendations and, in September 2018, the agency said it is revising its departmental policies to address the responsibility gaps identified in the report. SBA's Data Center Optimization Initiative (DCOI) Strategic Plan's revised in 2019 addresses two of the 19 responsibility gaps identified in the report. When we confirm what actions the agency has taken in response to this recommendation, we will provide updated information.

Recommendation: The Director of OMB should ensure the consistent application of the requirement for respondent time costs, including clarifying instructions for when and how to include fringe benefits. (Recommendation 1)

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

Comments: In April 2019, we requested information from OMB on the agency's implementation of our recommendation but as of May 2019 have not received any status updates. We will continue to monitor OMB's efforts to address our recommendation.

Recommendation: The Director of OMB should review the policies, procedures, and related control activities to ensure that the agency's Paperwork Reduction Act review process is operating effectively. (Recommendation 2)

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

Comments: In April 2019, we requested information from OMB on the agency's implementation of our recommendation but as of May 2019 have not received any status updates. We will continue to monitor OMB's efforts to address our recommendation.

Recommendation: The Secretary of Agriculture should review the policies, procedures, and related control activities to ensure that the agency's Paperwork Reduction Act review process is operating effectively. (Recommendation 3)

Agency: Department of Agriculture
Status: Open

Comments: In June 2019, USDA provided an update on efforts to review its Paperwork Reduction Act (PRA) policies and procedures. To ensure that its PRA process is operating effectively, USDA reviewed and updated its internal guidance on preparing information collection request supporting statements, including sections regarding the calculation of respondent burden hour and cost estimates. This updated guidance encourages consultation with potential respondents to help develop these burden estimates. A new PRA consultation checklist directs agency officials to seek input from individuals outside of USDA regarding the agency's burden estimates for an information collection request, including the validity of the methodology and assumptions used in the estimate calculations. The updated guidance specifies that fringe benefits, such as paid leave, insurance, and retirement contributions, should be included in the wage rates used for respondent burden cost estimates. It also clarifies when roundtrip travel time and costs should be included in burden estimates. According to USDA officials, the agency meets with PRA Coordinators to ensure compliance with the updated guidance. These are positive steps toward improving USDA's burden calculation process. However, USDA has not yet provided evidence of a review or revision of its information collection request review process. A review or revision of this process could help USDA better identify errors in burden estimate calculations prior to the final information collection request being sent to OMB and released to the public.

Recommendation: The Secretary of Health and Human Services should review the policies, procedures, and related control activities to ensure that the agency's Paperwork Reduction Act review process is operating effectively. (Recommendation 5)

Agency: Department of Health and Human Services
Status: Open

Comments: In October 2018, HHS provided a statement of actions it had taken to address this recommendation. HHS stated that it had added reporting tools to its Common Data Element Repository (CDER) Library that could help improve tracking of information related to HHS's Information Collection Requests. HHS also stated that it had launched daily emails to Paperwork Reduction Act (PRA) staff to inform them of Office of Management and Budget (OMB) Notices of Action related to Information Collection Requests. Additionally, HHS released an information collection burden calculator tool in the CDER Library to give PRA staff the ability to create burden tables for consistent use across multiple platforms for a single Information Collection Request. According to HHS officials, this tool incorporates both wages and employee benefits in the burden calculations. As of August 2019, HHS's burden calculator tool has been included as a resource on PRA.Digital.gov, a new OMB website that serves as a PRA knowledge base for federal staff. While these are important steps, we are awaiting additional details on how these changes have affected HHS's PRA review process. We will continue to monitor HHS's progress toward addressing our recommendation.

Recommendation: The Secretary of Health and Human Services should leverage existing consultation with stakeholders and the public to explicitly seek input on the estimated burden imposed by information collections. (Recommendation 6)

Agency: Department of Health and Human Services
Status: Open

Comments: In October 2018, HHS stated that it continues to leverage consultation mechanisms for input on the burdens imposed by information collections. According to the agency, it plans to increase the use of the eRulemaking program's Federal Docket Management System for all information collections, including non-rule Information Collection Requests. HHS also stated it plans to contact stakeholders to discuss potential information collections and receive burden estimates. As of August 9, 2019, we have not received an update about HHS's actions or plans. We will continue to monitor HHS's efforts to address our recommendation.

Recommendation: The Secretary of Transportation should review the policies, procedures, and related control activities to ensure that the agency's Paperwork Reduction Act review process is operating effectively. (Recommendation 7)

Agency: Department of Transportation
Status: Open

Comments: In its September 2018 recommendation implementation update, Department of Transportation (DOT) stated that the department began an internal review of the Paperwork Reduction Act program operations, policy, and guidance. Officials reported that they anticipate issuing an updated policy by September 30, 2019. We will continue to monitor DOT's efforts to address our recommendation.

Recommendation: The Secretary of Transportation should leverage existing consultation with stakeholders and the public to explicitly seek input on the estimated burden imposed by information collections. (Recommendation 8)

Agency: Department of Transportation
Status: Open

Comments: In its September 2018 recommendation implementation update, Department of Transportation (DOT) stated that the department began an internal review of the Paperwork Reduction Act program operations, policy, and guidance. Officials reported that they anticipate issuing an updated policy by September 30, 2019. We will continue to monitor DOT's efforts to address our recommendation.

Recommendation: Congress may wish to consider amending the Paperwork Reduction Act to more explicitly require federal agencies to consult with potential respondents on each information collection beyond the publication of Federal Register notices using efficient and effective consultation methods. (Matter for Consideration 1)

Agency: Congress
Status: Open

Comments: As of July 2019, no relevant legislation has been enacted. We will continue to monitor legislation to see if it addresses our matter for congressional consideration.

Recommendation: The Secretary of Transportation should include enough information in Federal Register notices to allow the public to reasonably calculate or determine the number of respondents, the frequency of response, and the average burden time per response for each information collection activity. (Recommendation 9)

Agency: Department of Transportation
Status: Open

Comments: In its September 2018 recommendation implementation update, Department of Transportation (DOT) stated that the departmental Paperwork Reduction Act (PRA) Officer has reviewed the Notice templates and checklist with DOT component PRA Officers during monthly PRA meetings and has applied additional scrutiny in the review process. DOT officials stated that the department began an internal review of the Paperwork Reduction Act program operations, policy, and guidance that will include additional aids to support Notice development. Officials reported that they anticipate issuing an updated policy by September 30, 2019. We will continue to monitor DOT's efforts to address our recommendation.

Recommendation: The Commissioner of Internal Revenue should leverage existing consultation with stakeholders and the public to explicitly seek input on the estimated burden imposed by information collections. (Recommendation 10)

Agency: Department of the Treasury: Internal Revenue Service
Status: Open

Comments: According to IRS, agency officials met with representatives of external stakeholder organizations on the Information Reporting Program Advisory Committee (IRPAC) to seek input on the burden experience of their participants and the communities they represent. As a result of these discussions, the IRPAC has added the burden experience as defined by the PRA as a monthly agenda topic for the 2019 session. As of September 2019, IRS officials reported that the IRPAC has not yet met in 2019. Once we receive documentation confirming this action, we will update the status of the recommendation accordingly.

Recommendation: The Commissioner of Internal Revenue should include enough information in Federal Register notices to allow the public to reasonably calculate or determine the number of respondents, the frequency of response, and the average burden time per response for each information collection activity. (Recommendation 11)

Agency: Department of the Treasury: Internal Revenue Service
Status: Open

Comments: In October 2018, Internal Revenue Service (IRS) reported that it continues to standardize the review process by developing a checklist that ensures all required elements are included in the Federal Register notice. Agency officials stated that the agency will complete the development and delivery of training for employees with responsibility for PRA compliance in fiscal year 2019. We will continue to monitor IRS's progress toward completing these actions.

Recommendation: The Secretary of the American Battle Monuments Commission should designate a chief FOIA officer at the assistant secretary level or equivalent. (Recommendation 1)

Agency: American Battle Monuments Commission
Status: Open

Comments: American Battle Monument Commission (ABMC) officials stated they are working to implement GAO's recommendations by the end of fiscal year 2020.

Recommendation: The Secretary of the American Battle Monuments Commission should update and publish comprehensive FOIA regulations that include requirements established by law and Justice guidance. (Recommendation 2)

Agency: American Battle Monuments Commission
Status: Open

Comments: American Battle Monument Commission (ABMC) officials stated they are working to implement GAO's recommendations. On February 18, 2020, ABMC published proposed revised FOIA regulations which are pending final rule in the Federal Register.

Recommendation: The Chief Executive Officer and Director of the Broadcasting Board of Governors should update and publish comprehensive FOIA regulations that include requirements established by law and Justice guidance. (Recommendation 3)

Agency: U.S. Agency for Global Media
Status: Open

Comments: The U.S. Agency for Global Media (formally known as the Broadcasting Board of Governors) performed a comprehensive review of its FOIA regulations and updated its regulations in accordance with GAO's recommendation. The agency anticipates publishing proposed updates for notice and comment in spring 2020, followed by a final rule.

Recommendation: The Secretary of DHS should take steps to develop and document a plan that fully addresses best practices with regards to reduction of backlogged FOIA requests. (Recommendation 4)

Agency: Department of Homeland Security
Status: Open

Comments: In April 2018, the Department of Homeland Security initiated a department-wide compliance assessment and stated that it plans to use the results of the assessment to help guide the department in identifying best practices and areas of improvement. The department does not have an estimate for when the plan will be complete.

Recommendation: The Secretary of DOI should take steps to develop and document a plan that fully addresses best practices with regards to reduction of backlogged FOIA requests. (Recommendation 7)

Agency: Department of the Interior
Status: Open

Comments: In August 2018, the Department of Interior informed GAO that the department has created a preliminary backlog reduction plan that includes expanding the use of automation tools, expanding the use of interim responses, and closing the Department's 10 oldest requests. Currently, GAO is awaiting a copy of the Department's backlog reduction plan.

Recommendation: The Chair of EEOC should designate a chief FOIA officer at the assistant secretary level or equivalent. (Recommendation 8)

Agency: Equal Employment Opportunity Commission
Status: Open

Comments: GAO is currently awaiting the agency's response to GAO recommendations..

Recommendation: The Chair of EEOC should take steps to develop and document a plan that fully addresses best practices with regards to reduction of backlogged FOIA requests. (Recommendation 9)

Agency: Equal Employment Opportunity Commission
Status: Open

Comments: GAO is currently awaiting the agency's response to GAO recommendations.

Recommendation: The Attorney General of the United States should take steps to develop and document a plan that fully addresses best practices with regards to reduction of backlogged FOIA requests. (Recommendation 11)

Agency: Department of Justice
Status: Open

Comments: In August 2018, the Department of Justice acknowledged that it plans to reexamine its progress and take steps for continued improvement in reducing its backlog. Currently, GAO is awaiting a response from the Department on a publication date.

Recommendation: The Administrator of NASA should provide agency records of final opinions online. (Recommendation 14)

Agency: National Aeronautics and Space Administration
Status: Open

Comments: In August 2018, NASA agreed to provide agency records of final opinions online. NASA noted that final opinions will be provided online as they are issued and released for public posting. To date, the Department has not posted any final opinions.

Recommendation: The Chairman of NTSB should take steps to develop and document a plan that fully addresses best practices with regards to reduction of backlogged FOIA requests. (Recommendation 16)

Agency: National Transportation Safety Board
Status: Open

Comments: In August 2018, NTSB provided a plan that laid out tasks for reducing its backlog. The plan did not, however provide milestones or dates for when these tasks would be completed. GAO is currently waiting for the finalized backlog FOIA plan.

Recommendation: The Director of OMB should designate a chief FOIA officer at the assistant secretary level or equivalent. (Recommendation 18)

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

Comments: GAO is currently awaiting the agency's response to GAO recommendations.

Recommendation: The Director of Pension Benefit Guaranty Corporation should designate a chief FOIA officer at the assistant secretary level or equivalent. (Recommendation 19)

Agency: Pension Benefit Guaranty Corporation
Status: Open

Comments: The Pension Benefit Guaranty Corporation stated that it has designated the deputy director as the chief FOIA officer. It also noted that the director is at the Senior Level. However, this position is not equivalent to the assistant secretary level identified by GAO.

Recommendation: The President of TVA should ensure its FOIA tracking system is compliant with section 508 requirements. (Recommendation 22)

Agency: Tennessee Valley Authority
Status: Open

Comments: In August 2018, TVA provided a response to GAO's recommendation to ensure their FOIA tracking systems is compliant with section 508 requirements. TVA is currently performing an in-depth assessment of their tracking system to identify where updates can be made to ensure 508 compliance. TVA expects the assessment to be completed by the end of January 2020.

Recommendation: The President of the U.S. African Development Foundation should update and publish comprehensive FOIA regulations that inform a requester of limited unusual circumstances fees. (Recommendation 24)

Agency: African Development Foundation
Status: Open

Comments: U.S. African Development Foundation officials have stated that their FOIA regulations are currently under review and expect them to be published in the first half of calendar year 2020.

Recommendation: The Secretary of Commerce should instruct NIST to fully report the range of challenges in federal patent licensing, such as those outlined in this report, by, for example, leveraging its survey of practices at federal technology transfer offices, past Federal Laboratory Consortium studies, and agency reports and including that information in its summary reports to Congress. (Recommendation 1)

Agency: Department of Commerce
Status: Open

Comments: According to the Department of Commerce, NIST actions in response to the recommendation are in process. In August 2020, Commerce officials stated that the next annual report to the President and Congress was in the review process and is expected to be published this fall.

Recommendation: The Secretary of Commerce should instruct NIST to clarify the link between establishing patent license financial terms and the goal of promoting commercial use, through appropriate means, such as the upcoming rule-making process and updating relevant guidance. (Recommendation 2)

Agency: Department of Commerce
Status: Open

Comments: According to the Department of Commerce, NIST actions in response to the recommendation are in process and the purpose of licensing royalties will be addressed through a related initiative. The expected completion date for this action has been revised to November 2020.

Recommendation: The Secretary of Commerce should instruct NIST to facilitate formal information sharing among the agencies to provide federal labs with information on financial terms in comparable patent licenses, as appropriate. (Recommendation 3)

Agency: Department of Commerce
Status: Open

Comments: According to the Department of Commerce, NIST actions in response to the recommendation are in process. The actions to address it have been discussed by the Interagency Workgroup for Technology Transfer and the FLC, including adding a licensing guide and community of practice for licensing terms to the FLC website. In August 2020, Commerce stated that the expected completion date for this action has been revised to September 2020.

Recommendation: The Secretary of Defense should ensure that the agency or its labs document processes for establishing license financial terms, while maintaining flexibility to tailor the specific financial terms of each license. (Recommendation 4)

Agency: Department of Defense
Status: Open

Comments: DOD officials stated that DoDI 5538.08, which would require military departments and defense agencies to instruct their laboratories to document their licensing processes as appropriate, is in the review process as of August 2020.

Recommendation: The Administrator of CMS, in partnership with the states, should take additional steps to expedite the use of T-MSIS data for program oversight. Such steps should include, but are not limited to, efforts to (1) obtain complete information from all states on unreported T-MSISdata elements and their plans to report applicable data elements; (2) identify and share information across states on known T-MSIS datalimitations to improve data comparability; and (3) implement mechanisms, such as the Learning Collaborative, by whichstates can collaborate on an ongoing basis to improve thecompleteness, comparability, and utility of T-MSIS data.(Recommendation 1)

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

Comments: HHS concurred with this recommendation. As of February 2020, CMS has taken steps to improve T-MSIS data quality, but further efforts are needed to expedite the data's use in oversight. With regard to obtaining complete information from all states, CMS released additional guidance in March 2019, on state compliance with T-MSIS requirements. This guidance includes the need to resolve data issues associated with 12 top priority items and missing data elements, both of which are key for using T-MSIS data. Further, CMS identified an additional 11 top priority items, noting it also expected states to resolve data issues with these items. CMS reports that it has helped resolve data issues related to these 23 top priority items by sending states summary data on compliance with associated reporting requirements. CMS has notified states of their compliance status and asked non-compliant states to submit corrective action plans. However, CMS reports that the level of states' T-MSIS data completeness varies and agency state liaisons and technical assistants continue to work individually with states to identify, prioritize, and resolve key missing data elements. With regard to identifying and sharing information, CMS has made some T-MSIS data available for use through five T-MSIS analytical files, which include data on Medicaid and CHIP enrollment, demographics, service utilization, and payments. Further, CMS has created resources to support researchers in their use of these analytical files, including information on the completeness and accuracy of certain data elements. With regard to implementing mechanisms for collaboration across states, additional CMS action is needed. In particular, CMS's efforts to create a mechanism for states to disseminate information about T-MSIS data and its comparability across states remain limited and the agency has not launched its proposed Learning Collaborative to facilitate ongoing feedback and collaboration. While progress has been made, additional actions, such as establishing mechanisms for ongoing feedback and collaboration across states, are needed to consider this recommendation implemented.

Recommendation: The Administrator of CMS should articulate a specific plan and associated time frames for using T-MSIS data for oversight. (Recommendation 2)

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

Comments: HHS concurred with this recommendation. As of February 2020, CMS has taken steps to articulate guidance to states, but has not outlined a specific plan and associated time frames for using T-MSIS data for oversight. Until CMS takes these actions, the recommendation remains open.

Recommendation: The Director of OMB should continue to provide ongoing technical assistance that significantly contributes to agencies making their own determinations about their DATA Act reporting requirements and monitor agency submissions. (Recommendation 1)

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

Comments: OMB stated in January 2020 that it believes that the assistance it has previously provided to help agencies make their own reporting determinations fulfills the recommendation's intent. However, because we continue to identify instances where agencies had not submitted these data, we continue to believe that OMB needs to follow up with agencies that are not submitting quarterly data to find out why they are not reporting. It also needs to update its list of agencies required to report.

Recommendation: The Director of OMB should clarify and align existing guidance regarding the appropriate definitions agencies should use to collect and report on Primary Place of Performance and establish monitoring mechanisms to foster consistent application and compliance. (Recommendation 2)

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

Comments: OMB has issued or contributed to guidance documents that are intended to help agencies collect and report on "Primary Place of Performance." We believe that providing specific examples of how agencies should approach challenging situations when reporting on this data element for grants would provide further clarity.

Recommendation: The Secretary of the Treasury should reasonably assure that ongoing monitoring controls to help ensure the completeness and accuracy of agency submissions are designed, implemented, and operating as designed. (Recommendation 4)

Agency: Department of the Treasury
Status: Open
Priority recommendation

Comments: In September 2019, Treasury officials stated that they are working to formalize a process for monitoring agency submissions. This process will include (1) emailing agencies prior to submission deadlines to remind them of the approaching submission deadlines; (2) following up with agencies that do not submit required data by the submission deadline and offering technical assistance as needed; and (3) forwarding a list of non-compliant agencies to OMB. GAO will continue to monitor Treasury's efforts to establish monitoring controls to help ensure the completeness and accuracy of the data.

Recommendation: The Secretary of the Treasury should disclose known data quality issues and limitations on the new USAspending.gov. (Recommendation 5)

Agency: Department of the Treasury
Status: Open
Priority recommendation

Comments: As of January 2020, Treasury has made progress by disclosing limitations related to unreported spending, among other things. Treasury is planning a major update to the USAspending.gov website to include more information about known data quality issues. Treasury plans to make this update to the website in the coming months and has an internal target date of June 2020 for completion. When completed, this action will help users make more informed decisions about how to interpret and use the data provided on the website.

Recommendation: The Secretary of Health and Human Services should direct the Administrator of the Centers for Medicare & Medicaid Services to take steps to ensure that state-based marketplace annual sustainability plans, to the extent possible, have complete 5-year budget forecasts. (Recommendation 1)

Agency: Department of Health and Human Services
Status: Open

Comments: HHS did not concur with our recommendation and stated that it had updated its requirement to request 2-year budget forecasts instead of 5-year budget forecasts. In its December 2017 statement of actions, HHS stated that it was working to streamline and simplify its data collection effort as part of the annual sustainability plan. In April 2018, HHS provided a revised 2-year budget forecast template as well as related state marketplace training documentation. As of April 2020, HHS had not provided further documented evidence of its streamlined process using the 2-year budget forecast template or justification that a 5-year budget is not necessary for assessing long-term financial sustainability and state marketplace sustainability risks.

Recommendation: The Secretary of Health and Human Services should direct the Administrator of the Centers for Medicare & Medicaid Services to take steps to ensure that all state-based marketplaces provide required annual financial audit reports which are in accordance with generally accepted government auditing standards. (Recommendation 2)

Agency: Department of Health and Human Services
Status: Open

Comments: HHS concurred with our recommendation and stated in its December 2017 update that it continued to provide technical assistance such as webinars and other trainings on independent financial and programmatic audit submission requirements. In April 2018, HHS provided evidence that it had taken some steps to ensure that state-based marketplaces provide required annual financial audit reports, including draft financial audit procedures, documentation of related training provided to states, and a revised HHS state officer annual review checklist emphasizing financial audit reporting. However as of April 2020, the department had not provided evidence of finalized procedures, examples of checklist usage, or of states providing annual financial audit reports. Further, HHS training documentation stated that state-based marketplaces could provide alternate financial audit reports, such as a state-wide financial audit report, in lieu of a marketplace specific report. It is not clear from the provided evidence that the department has ensured that state-based marketplaces are in compliance with financial audit reporting requirements. We will continue to monitor the department's progress in implementing the recommendation and provide updates when the agency takes further action.

Recommendation: The Secretary of Health and Human Services should direct the Administrator of the Centers for Medicare & Medicaid Services to take steps to ensure that marketplace IT self-sustainability risk assessments are based on fully defined measurable terms, a clear categorization process, and a defined response to high risks. (Recommendation 3)

Agency: Department of Health and Human Services
Status: Open

Comments: HHS concurred with our recommendation and stated in its December 2017 update that it would refine its marketplace self-sustainability risk assessment process to provide greater insight into the state marketplace sustainability efforts and to identify areas where states may need assistance. In April 2018, HHS provided evidence that it had taken some steps to base its risk assessments on fully defined processes. CMS provided documentation of clearly defined and measurable terms used for state marketplace budget analysis. However, HHS did not provide evidence that these defined terms were incorporated into analyses or risk assessments. As of April 2020, CMS has not provided evidence that it took steps to develop a clear categorization process or a defined response to high risks. We will continue to monitor the department's progress in implementing the recommendation and provide updates when the agency takes action.

Recommendation: The Secretary of Health and Human Services should direct the Administrator of the Centers for Medicare & Medicaid Services to take steps to ensure that states develop, update, and follow performance measurement plans that allow the states to continuously identify and assess the most important IT metrics for their state marketplaces. (Recommendation 4)

Agency: Department of Health and Human Services
Status: Open

Comments: HHS partially concurred with our recommendation and stated in its December 2017 update that though each marketplace was accountable for managing and reporting its own IT metrics in accordance with federal and state law, HHS would work with states on the improvement of their management and operations through technical assistance and oversight and accountability measures. As of April 2020, the agency had not yet provided sufficient evidence that it has implemented the recommendation. We will continue to monitor the department's progress in implementing the recommendation and provide updates when the agency takes action.

Recommendation: The Secretary of Health and Human Services should direct the Administrator of the Centers for Medicare & Medicaid Services to take steps to conduct operational analysis reviews and systematically monitor the performance of states' marketplace IT systems using key performance indicators. (Recommendation 5)

Agency: Department of Health and Human Services
Status: Open

Comments: HHS did not concur with our recommendation and stated that it conducted Open Enrollment Readiness Reviews to assess marketplace key performance indicators, which according to CMS officials, are similar to operational analysis reviews. However, as of October 2018, HHS had not provided evidence that the Open Enrollment Readiness Reviewed systematically and comprehensively reported on the key performance indicators or include discussion of other key elements identified in best practices for operational analysis reviews, such as how objectives could be better met, or costs could be saved. As of April 2020, the agency had not yet provided sufficient evidence that it has implemented the recommendation.

Recommendation: The Secretary of Health and Human Services should direct the Administrator of the Centers for Medicare & Medicaid Services to take steps to ensure that metrics collected from states to monitor marketplaces' operational performance link to performance goals and include baselines and targets to monitor progress. (Recommendation 6)

Agency: Department of Health and Human Services
Status: Open

Comments: HHS partially concurred with our recommendation and stated in its December 2017 update that states were responsible for monitoring their own performance measures but HHS would continue to review IT metrics of state marketplaces in the implementation phase of their systems through technical assistance activities and oversight and accountability measures. As of April 2020, the agency had not yet provided sufficient evidence that it has implemented the recommendation. We will continue to monitor the department's progress in implementing the recommendation and provide updates when the agency takes action.

Recommendation: To improve the consistency and effectiveness of governmentwide efforts to reduce the unnecessary use of SSNs and thereby mitigate the risk of identity theft, the Director of OMB should specify elements that agency plans for reducing the unnecessary collection, use, and display of SSNs should contain and require all agencies to develop and maintain complete plans.

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

Comments: As of April 2020, we have not yet received information to validate the agency's actions on this recommendation. Subsequent to the agency stating that is has taken action, we plan to verify whether implementation has occurred.

Recommendation: To improve the consistency and effectiveness of governmentwide efforts to reduce the unnecessary use of SSNs and thereby mitigate the risk of identity theft, the Director of OMB should require agencies to modify their inventories of systems containing personally identifiable information to indicate which systems contain SSNs and use the inventories to monitor their reduction of unnecessary collection and use of SSNs.

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

Comments: As of April 2020, we have not yet received information to validate the agency's actions on this recommendation. Subsequent to the agency stating that is has taken action, we plan to verify whether implementation has occurred.

Recommendation: To improve the consistency and effectiveness of governmentwide efforts to reduce the unnecessary use of SSNs and thereby mitigate the risk of identity theft, the Director of OMB should provide criteria to agencies on how to determine unnecessary use of SSNs to facilitate consistent application across the federal government.

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

Comments: As of April 2020, we have not yet received information to validate the agency's actions on this recommendation. Subsequent to the agency stating that is has taken action, we plan to verify whether implementation has occurred.

Recommendation: To improve the consistency and effectiveness of governmentwide efforts to reduce the unnecessary use of SSNs and thereby mitigate the risk of identity theft, the Director of OMB should take steps to ensure that agencies provide up-to-date status reports on their progress in eliminating unnecessary SSN collection, use, and display in their annual Federal Information Security Modernization Act of 2014 reports.

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

Comments: As of April 2020, we have not yet received information to validate the agency's actions on this recommendation. Subsequent to the agency stating that is has taken action, we plan to verify whether implementation has occurred.

Recommendation: To improve the consistency and effectiveness of governmentwide efforts to reduce the unnecessary use of SSNs and thereby mitigate the risk of identity theft, the Director of OMB should establish performance measures to monitor agency progress in consistently and effectively implementing planned reduction efforts.

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

Comments: As of April 2020, we have not yet received information to validate the agency's actions on this recommendation. Subsequent to the agency stating that is has taken action, we plan to verify whether implementation has occurred.

Recommendation: To improve efforts to promote EHR use and electronic exchange of health information in post-acute care settings, the Secretary of Health and Human Services should direct CMS and ONC to comprehensively plan for how to achieve the department's goal related to the use of EHRs and electronic information exchange in post-acute care settings. This planning may include, for example, identifying specific actions related to post-acute care settings and identifying and considering external factors.

Agency: Department of Health and Human Services
Status: Open

Comments: HHS concurred with this recommendation. As of February 2020, HHS provided information describing actions it has taken to help increase the use of EHRs and electronic information exchange in post-acute care settings. These actions are important, but do not address the comprehensive planning that GAO recommended. To fully implement this recommendation, HHS should provide information to show comprehensive planning for how HHS's specific actions are expected to lead to achieving the goal of increasing the use of EHRs and electronic information exchange in post-acute settings.

Recommendation: To support its strategic and open data goals, the Director of OPM should improve the availability of the EHRI payroll data--for example, by preparing the data for analytics, making them available through online tools such as FedScope, and including them among the EHRI data sources on the OPM website and Data.gov.

Agency: Office of Personnel Management
Status: Open
Priority recommendation

Comments: OPM agreed with the recommendation. In December 2018, OPM told us it will establish a plan to make payroll data available through analytical tools such as FedScope no later than the fourth quarter of fiscal year 2019. To fully implement the recommendation, OPM will need to improve the availability of payroll data-either from the existing EHRI system or the new employee digital record-by ensuring the data are prepared and made available for analytics research.

Recommendation: To improve internal controls for data quality, the Director of OPM should consistently monitor system-generated error and edit check reports and ensure that timely action is taken to address identified issues.

Agency: Office of Personnel Management
Status: Open
Priority recommendation

Comments: OPM agreed with the recommendation. In December 2018, OPM reported that it plans to begin follow-up efforts with agencies and shared service providers on payroll data errors and anomalies and to notify data providers of problems. To fully implement the recommendation, OPM will need to follow up with shared services centers and agencies regarding issues identified with the payroll data they submit to EHRI. These steps will help ensure the quality of historical and current payroll data. They will also ensure that system detected errors are resolved and do not compound over time.

Recommendation: To integrate the payroll data into the larger suite of EHRI databases, the Director of OPM should develop a schedule for executing these plans.

Agency: Office of Personnel Management
Status: Open

Comments: OPM concurred with our recommendation, but has not yet developed a plan for integrating payroll into the larger suite of EHRI databases.

Recommendation: To integrate the payroll data into the larger suite of EHRI databases, the Director of OPM should evaluate existing internal control activities and develop new control activities for EHRI payroll data, such as implementing transactional edit checks that leverage the information in the other EHRI datasets.

Agency: Office of Personnel Management
Status: Open

Comments: While OPM concurred with our recommendation, the agency has not evaluated or implemented, for Payroll data, the control activities and edit checks that are currently used to support the reliability of the other EHRI datasets.

Recommendation: To provide greater transparency in the reporting of FOIA litigation costs, Congress could consider requiring Justice to provide a cost estimate for collecting and reporting information on costs incurred when defending lawsuits in which the plaintiffs prevailed.

Agency: Congress
Status: Open

Comments: As of February 2020, Congress has not yet considered if it plans to amend FOIA regarding the reporting of costs for defending lawsuits in which the plaintiffs prevailed.

Recommendation: Congress could consider amending the act to require Justice to reflect in its Litigation and Compliance reports, changes in the award of attorneys' fees and costs resulting from the appeals process and settlement agreements between agencies and plaintiffs, if deemed to be cost-effective.

Agency: Congress
Status: Open

Comments: As of February 2020, Congress has not yet considered if it plans to amend FOIA to require Justice to make changes to its Litigation and Compliance reports.

Recommendation: To improve the quality of the data published on ForeignAssistance.gov and help ensure consistency in published information, the Secretary of State should, in consultation with the Director of OMB and the USAID Administrator, develop additional guidance that takes into consideration current challenges to updating ForeignAssistance.gov with verified data.

Agency: Department of State
Status: Open
Priority recommendation

Comments: As of May 2020, State had taken some steps to coordinate with OMB and USAID to improve the quality of data reported for ForeignAssistance.gov. Notably, in May 2020, State and USAID submitted a joint report to Congress outlining a plan to consolidate the two federal websites reporting foreign assistance spending--ForeignAssistance.gov (managed by State) and explorer.usaid.gov (managed by USAID). As part of the plan, State and USAID will establish a joint data governance structure to reduce discrepancies in data, bolster the capacity of agencies to submit data, and ensure the accuracy and quality of data. Once the governance structure is finalized, they will send a copy to GAO. GAO will then review this information to assess if it sufficiently addresses GAO's recommendation.

Recommendation: To address weaknesses in the department's financial management systems modernization efforts, the Secretary of HUD should direct the Chief Financial Officer to work with the Chief Information Officer in managing subsequent initiatives to define a high-level depiction of the IT systems anticipated in the future state, a description of the operations that must be performed and who must perform them, and an explanation of where and how the operations are to be carried out.

Agency: Department of Housing and Urban Development
Status: Open

Comments: In its comments on our draft report, HUD neither agreed nor disagreed with our recommendations, but noted that it planned to improve management practices and IT governance for future modernization efforts. In April 2019, HUD reported that the Office of the Chief Information Officer and Office of the Chief Financial Officer had collaborated through an IT technical assessment initiative, identifying four primary financial management modernization initiatives remaining from the New Core Program. In July 2020, HUD officials, including the Deputy Chief Financial Officer, provided a roadmap that defined a high-level depiction of the financial management systems anticipated in the future state. However, the department had not yet completed more detailed plans that (1) identify operations that must be performed and who must perform them and (2) explain where and how operations are to be carried out. We will continue to monitor HUD's efforts to address this recommendation.

Recommendation: To address weaknesses in the department's financial management systems modernization efforts, the Secretary of HUD should direct the Chief Financial Officer to work with the Chief Information Officer in managing subsequent initiatives to develop comprehensive plans for scope, schedule and cost.

Agency: Department of Housing and Urban Development
Status: Open

Comments: In its comments on our draft report, HUD neither agreed nor disagreed with our recommendations, but noted that it planned to improve management practices and IT governance for future modernization efforts. In April 2019, HUD reported that the Office of the Chief Information Officer and Office of the Chief Financial Officer had identified a need to pursue financial management systems modernization. As of July 2020, the department had begun taking action to address this recommendation. Specifically, HUD planned to integrate loan and property management into its current financial management shared service and had begun planning for how to modernize its budget formulation and cost accounting systems. For the budget formulation effort, HUD had developed high-level plans for the scope of the program, planned an implementation schedule, and estimated on the cost for implementation and operating and maintaining the system for two years. We will continue to monitor HUD's efforts to address this recommendation.

Recommendation: To address weaknesses in the department's financial management systems modernization efforts, the Secretary of HUD should direct the Chief Financial Officer to work with the Chief Information Officer in managing subsequent initiatives to ensure requirements are fully documented and traceable.

Agency: Department of Housing and Urban Development
Status: Open

Comments: In its comments on our draft report, HUD neither agreed nor disagreed with our recommendations, but noted that it planned to improve management practices and IT governance for future modernization efforts. In March 2017, the department reported that the Chief Financial Officer and the Chief Information Officer intended to partner on future departmental financial management systems modernization efforts to fully document requirements and trace requirements to the functionality in the modernized system. In April 2019, HUD reported that the Office of the Chief Information Officer and Office of the Chief Financial Officer had identified a need to pursue financial management systems modernization in 4 areas previously identified for the New Core program. As of July 2020, HUD was in the early phases of planning for modernization in these areas. According to officials from the Office of the Chief Financial Officer, the department intended to address this recommendation for budget formulation modernization by developing applicable plans and artifacts for managing requirements from the department's project planning and management framework. However, that effort has not yet started. We intend to continue to follow up on HUD's actions.

Recommendation: The Secretary of HUD should also direct the Deputy Secretary to ensure that the Chief Information Officer takes action to improve IT governance control activities used for monitoring programs and identifying needed corrective actions, and strengthen investment oversight by improving coordination with stakeholders and alignment among IT modernization efforts.

Agency: Department of Housing and Urban Development
Status: Open

Comments: In its comments on our draft report, HUD neither agreed nor disagreed with our recommendations, but noted that it planned to improve management practices and IT governance for future modernization efforts. Since 2016, HUD has revised its IT governance boards, which provide oversight of all its IT investments, including financial management initiatives, several times. While the department has not yet completed those improvement efforts, HUD updated its project planning and management framework to tailor requirements and artifacts for different program types. According to an official from the Office of the Chief Financial Officer, updates to the requirements for shared services projects incorporated lessons learned from the New Core program. In April 2019, HUD reported that the Office of the Chief Information Officer and Office of the Chief Financial Officer had identified a need to pursue financial management systems modernization in 4 areas previously identified for the New Core program. Officials from both offices have described improvements in their coordination and collaboration on efforts to plan for modernization. We intend to continue to follow up on HUD's actions to ensure that planned improvements to governance and oversight mechanisms are effectively implemented and institutionalized.

Recommendation: To help lessen confusion among the public and policy makers regarding federal data on sexual violence, the Director of OMB should establish a federal interagency forum on sexual violence statistics. The forum should consider the broad range of differences across the data collection efforts to assess which differences enhance or hinder the overall understanding of sexual violence in the United States.

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

Comments: At the time of our report, OMB neither agreed nor disagreed with this recommendation but stated that it did not believe convening a forum was the most strategic use of resources because agencies were not far enough along with their data collection efforts. We disagree with OMB's assertion because 7 of the 10 data collection efforts have been in place for more than 10 years, and several have been in place for multiple decades. As of December 2019, OMB has not provided information on any new efforts to establish a federal interagency forum on sexual violence statistics.

Recommendation: To help the department achieve the benefits anticipated from JIE, the Secretary should direct the DOD CIO and other entities, as appropriate, to develop a reliable JIE cost estimate and baseline, consistent with the best practices described in this report.

Agency: Department of Defense
Status: Open

Comments: DOD partially concurred with our recommendation; however, it has not yet implemented it. In its written response to our draft report, DOD stated that its partial concurrence was due to the language we used to introduce the recommendations. Specifically, we stated that the Secretary of Defense should direct the appropriate entities to implement the recommendations. In its comments, DOD stated that the DOD Chief Information Officer (CIO) was responsible for implementing JIE, and referred to a May 2013 memo from the Deputy Secretary of Defense directing DOD components to participate in and implement JIE under the direction of the DOD CIO. In response to DOD's comments, we revised the language used to introduce our recommendations. Specifically, we revised the language to call for the Secretary to direct the DOD CIO and other entities, as appropriate, to take the recommended actions. Since we made our recommendation, the department approved a cost baseline for one of the components of JIE, the Joint Regional Security Stacks (JRSS), and developed a cost estimate for another component, the Enterprise Collaboration and Productivity Services (ECAPS) program. The ECAPS cost estimate was substantially consistent with the practices described in the report. However, the JRSS cost estimate was not developed consistent with the best practices described in the report. Specifically, the department did not demonstrate that the cost estimate was well documented, comprehensive, accurate, and credible. In May 2019, officials in the Office of the DOD CIO stated that it would provide documentation to address the gaps in the JRSS cost estimate; however, as of July 2019, DOD had not provided the documentation. The officials also stated that planning for JIE components other than JRSS and ECAPS had not begun; therefore, there were no other JIE component cost estimates. We will continue to monitor the department's efforts to implement this recommendation.

Recommendation: To help the department achieve the benefits anticipated from JIE, the Secretary should direct the DOD CIO and other entities, as appropriate, to develop a JIE schedule management plan and reliable schedule, consistent with practices described in this report.

Agency: Department of Defense
Status: Open

Comments: DOD partially concurred with our recommendation; however, it has not yet implemented it. In its written response to our draft report, DOD stated that its partial concurrence was due to the language we used to introduce the recommendations. Specifically, we stated that the Secretary of Defense should direct the appropriate entities to implement the recommendations. In its comments DOD stated that the DOD Chief Information Officer (CIO) is responsible for implementing JIE, and referred to a May 2013 memo from the Deputy Secretary of Defense directing DOD components to participate in and implement JIE under the direction of the DOD CIO. In response to DOD's comments we revised the language used to introduce our recommendations. Specifically, we revised the language to call for the Secretary to direct the DOD CIO and other entities, as appropriate, to take the recommended actions. In March 2017, the JIE Executive Committee approved a schedule baseline for the Non-secure Internet Protocol Router network part of the Joint Regional Security Stacks (JRSS) component; however, the schedule was not consistent with the practices described in our report. In addition, In May 2019, officials in the Office of the DOD CIO stated that another JIE initiative, the Enterprise Collaboration and Productivity Services program, had an approved baseline schedule. However, as of July 2019, DOD had not provided the schedule.

Recommendation: To help the department achieve the benefits anticipated from JIE, the Secretary should direct the DOD CIO and other entities, as appropriate, to develop a JRSS schedule management plan and reliable JRSS schedule and schedule baseline, consistent with practices described in this report.

Agency: Department of Defense
Status: Open

Comments: DOD partially concurred with our recommendation; however, it has not implemented it. In its written response to our draft report, DOD stated that its partial concurrence was due to the language we used to introduce the recommendations. Specifically, we stated that the Secretary of Defense should direct the appropriate entities to implement the recommendations. In its comments DOD stated that the DOD Chief Information Officer (CIO) is responsible for implementing JIE, and referred to a May 2013 memo from the Deputy Secretary of Defense directing DOD components to participate in and implement JIE under the direction of the DOD CIO. In response to DOD's comments we revised the language used to introduce our recommendations. Specifically, we revised the language to call for the Secretary to direct the DOD CIO and other entities, as appropriate, to take the recommended actions. In March 2017, the JIE Executive Committee approved a schedule baseline for the Non-secure Internet Protocol Router network component of JRSS; however, the schedule was not consistent with the practices described in our report. In May 2019, officials in the Office of the DOD CIO said that the JRSS schedule had not been re-baselined and the department had not developed a schedule management plan. We will continue to monitor the department's efforts to implement the recommendation.

Recommendation: To help the department achieve the benefits anticipated from JIE, the Secretary should direct the DOD CIO and other entities, as appropriate, to complete an assessment to determine the number of staff and the specific skills and abilities needed to effectively achieve JIE, consistent with the workforce planning practices described in this report.

Agency: Department of Defense
Status: Open

Comments: DOD partially concurred with our recommendation and has taken steps to implement it; however, more needs to be done. In its written response to our draft report, DOD stated that its partial concurrence was due to the language we used to introduce the recommendations. Specifically, we stated that the Secretary of Defense should direct the appropriate entities to implement the recommendations. In its comments, DOD stated that the DOD Chief Information Officer (CIO) is responsible for implementing the Joint Information Environment (JIE), and referred to a May 2013 memo from the Deputy Secretary of Defense directing DOD components to participate in and implement JIE under the direction of the DOD CIO. In response to DOD's comments, we revised the language used to introduce our recommendations. Specifically, we revised the language to call for the Secretary to direct the DOD CIO and other entities, as appropriate, to take the recommended actions. Since we made our recommendation, the department has developed an inventory of cybersecurity knowledge and skills of existing staff. Specifically, we reported in our June 2018 report Cybersecurity Workforce: Agencies Need to Improve Baseline Assessments and Procedures for Coding Positions (GAO-18-466) that the department had developed an assessment that included the percentage of cybersecurity personnel holding certifications and the level of preparedness of personnel without existing credentials to take certification exams. In August 2018, the office of the DOD CIO stated that the department planned to identify work roles of critical need and establish gap assessment and mitigation strategies by April 2019. However, as of July 2019, the department had not provided an update on the status of its efforts to address the recommendation.

Recommendation: To help the department achieve the benefits anticipated from JIE, the Secretary should direct the DOD CIO and other entities, as appropriate, to develop a strategy for conducting JIE security assessments that describes the resources needed to execute the strategy, responsible organizations, and a schedule to complete the assessments.

Agency: Department of Defense
Status: Open

Comments: DOD partially concurred with our recommendation; however, as of August 2018, it has not provided evidence that it has addressed it. In its written response to our draft report, DOD stated that its partial concurrence was due to the language we used to introduce the recommendations. Specifically, we stated that the Secretary of Defense should direct the appropriate entities to implement the recommendations. In its comments, DOD stated that the DOD Chief Information Officer (CIO) is responsible for implementing the Joint Information Environment (JIE), and referred to a May 2013 memo from the Deputy Secretary of Defense directing DOD components to participate in and implement JIE under the direction of the DOD CIO. In response to DOD's comments, we revised the language used to introduce our recommendations. Specifically, we revised the language to call for the Secretary to direct the DOD CIO and other entities, as appropriate, to take the recommended actions. In May 2019, the office of the DOD CIO stated that it had developed a schedule to complete JIE security assessments. However, as of July 2019, the office had not provided the schedule or demonstrated that it has a strategy for conducting JIE security assessments that includes the rest of the elements of our recommendation.

Recommendation: To help the department achieve the benefits anticipated from JIE, the Secretary should direct the DOD CIO and other entities, as appropriate, to develop a reliable Joint Regional Security Stacks (JRSS) cost estimate and baseline, consistent with practices described in this report.

Agency: Department of Defense
Status: Open

Comments: DOD partially concurred with our recommendation; however it has not fully implemented it. In its written response to our draft report, DOD stated that its partial concurrence was due to the language we used to introduce the recommendations. Specifically, we stated that the Secretary of Defense should direct the appropriate entities to implement the recommendations. In its comments, DOD stated that the DOD Chief Information Officer (CIO) is responsible for implementing JIE, and referred to a May 2013 memo from the Deputy Secretary of Defense directing DOD components to participate in and implement JIE under the direction of the DOD CIO. In response to DOD's comments, we revised the language used to introduce our recommendations. Specifically, we revised the language to call for the Secretary to direct the DOD CIO and other entities, as appropriate, to take the recommended actions. Since we made our recommendation, in April 2017, the JRSS program office documented the methodology, ground rules and assumptions, among other things, used to develop the cost estimate we reviewed in our report, and the JIE Executive Committee established the estimate as its JRSS cost baseline. However, the cost estimate documentation was not sufficient to address our recommendation. Specifically, it did not demonstrate that the cost estimate was well documented, comprehensive, accurate and credible. In May 2019, officials in the Office of the DOD CIO stated that it would provide documentation to address the gaps. However, as of July 2019, DOD had not provided the documentation.

Recommendation: To help ensure that agencies report consistent and comparable data on federal spending, the Director of OMB, in collaboration with the Secretary of the Treasury, should provide agencies with additional guidance to address potential clarity, consistency, or quality issues with the definitions for specific data elements including Award Description and Primary Place of Performance and that they clearly document and communicate these actions to agencies providing this data as well as to end-users.

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

Comments: OMB has taken some actions to address this recommendation related to procurement awards, such as adopting a shorter character limit for the "Award Description" element and providing additional guidance for the "Primary Place of Performance" element. However, it needs to provide additional guidance for these data elements related to grant awards to ensure collection of consistent and comparable information.

Recommendation: To increase coordination between various levels of government and reduce duplication of effort, resources, and costs associated with collecting and maintaining accurate address data, Congress should consider assessing the impact of the disclosure restrictions of Section 9 of Title 13 and Section 412 of Title 39 of the U.S. Code in moving toward a national geospatial address database. If warranted, Congress should consider revising those statutes to authorize the limited release of addresses, without any personally identifiable information, specifically for geospatial purposes. Such a change, if deemed appropriate, could potentially result in significant savings across federal, state, and local governments.

Agency: Congress
Status: Open

Comments: No legislative action had been identified as of December 2019. Addressing this action, which GAO suggested in February 2015, could increase coordination between various levels of government and reduce duplication of effort, resources, and costs associated with collecting and maintaining accurate address data.

Recommendation: To improve the management of DHS FOIA requests, the Secretary of DHS should direct the Chief FOIA Officer to improve reporting of FOIA costs by including salaries, employee benefits, non-personnel direct costs, indirect costs, and costs for other offices.

Agency: Department of Homeland Security
Status: Open

Comments: As of August 2020, we have followed up with the department to request documentation but have not yet received evidence of DHS's planned actions to address this recommendation.

Recommendation: To improve the management of DHS FOIA requests, the Secretary of DHS should direct the Chief FOIA Officer to direct USCIS and Coast Guard to fully implement the recommended FOIA processing system capabilities and the section 508 requirement.

Agency: Department of Homeland Security
Status: Open

Comments: As of August 2020, we have followed up with the department to request documentation but have not yet received evidence of DHS's planned actions to address this recommendation.

Recommendation: To improve the management of DHS FOIA requests, the Secretary of DHS should direct the Chief FOIA Officer to determine the viability of re-establishing the service-level agreement between the U.S. Citizenship and Immigration Services (USCIS) and U.S. Immigration and Customs Enforcement to eliminate duplication in the processing of immigration files. If the benefits of doing so would exceed the costs, re-establish the agreement.

Agency: Department of Homeland Security
Status: Open

Comments: As of August 2020, we have followed up with the department to request documentation but have not yet received evidence of DHS's planned actions to address this recommendation.

Recommendation: To improve the completeness and accuracy of data submissions to the USASpending.gov website, the Director of the Office of Management and Budget, in collaboration with Treasury's Fiscal Service, should clarify guidance on (1) agency responsibilities for reporting awards funded by non-annual appropriations; (2) the applicability of USASpending.gov reporting requirements to non-classified awards associated with intelligence operations; (3) the requirement that award titles describe the award's purpose (consistent with our prior recommendation); and (4) agency maintenance of authoritative records adequate to verify the accuracy of required data reported for use by USASpending.gov.

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

Comments: OMB has taken several steps related to this recommendation as of December 2019, but have not fully addressed it. Specifically, working with the Department of the Treasury to implement the DATA Act, OMB took partial action on two aspects of the recommendation and are still considering actions on two others. 1) OMB staff said they continue to deliberate on agency responsibilities for reporting awards funded by non-annual appropriations. 2) OMB staff provided a Frequently Asked Question (FAQ) addressing the applicability of USASpending.gov reporting requirements for recipient information related to classified or sensitive information. GAO reviewed the FAQ and determined that additional guidance is still needed to ensure complete reporting of unclassified awards as required by FFATA. 3) OMB staff have agreed that it will be important to clarify guidance on how agencies can report on award titles that appropriately describes the awards' purposes and noted that they are working on providing additional guidance to agencies as part of their larger DATA Act implementation efforts. 4) OMB released policy guidance in May 2016 (MPM 2016-03) that identifies the authoritative sources for reporting procurement and award data. However, GAO's review of this policy guidance determined that it does not address the underlying source that can be used to verify the accuracy of non-financial procurement data or any source for data on assistance awards.

Recommendation: In light of the agency's declining revenue associated with its basic statutory function and the charging for information that is often freely available elsewhere, Congress should consider examining the appropriateness and viability of the fee-based model under which NTIS currently operates for disseminating technical information to determine whether the use of this model should be continued.

Agency: Congress
Status: Open

Comments: Congress had taken a number of actions that affect the NTIS fee-based model for disseminating technical information. Specifically, for the past 5 fiscal years and in the current Consolidated Appropriations Act, 2020, NTIS is prohibited from charging customers for reports generated by legislative branch offices unless the agency tells the customer how an electronic copy of the report can be accessed or downloaded for free online. The act further states that, if a customer still requires such a report from NTIS, the agency should not charge more than what is needed to recover the cost of processing, reproducing, and delivering the document requested. It remains to be seen whether these requirements will be continued under the yet to be introduced House and Senate bills making appropriations for the Department of Commerce (Commerce) for fiscal year 2021. Congress again has the opportunity to consider legislation that would ensure the assessment of the appropriateness or viability of NTIS functions.

Recommendation: To reduce the cost of the crop insurance program, Congress may wish to consider limiting the subsidy for premiums that an individual farmer can receive each year or reducing the subsidy for all farmers participating in the program, or both limiting and reducing these subsidies.

Agency: Congress
Status: Open

Comments: As of March 2020, Congress has not taken action to implement this matter.

Recommendation: In order to maintain progress in maximizing the efficiency of existing data sources, and to improve the broader efficiency of the federal statistical system and improve communication among agencies and others, the Director of OMB, in consultation with the Chief Statistician, should work with the ICSP, when OMB next updates guidance on agency survey and statistical information collection and dissemination methods, to include additional details on actions agencies can take to meet requirements to identify duplication, to consult with persons outside of the agency, and address other requirements as appropriate.

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

Comments: In March 2020, OMB staff reported that Federal Committee on Statistical Methodology has been developing two new products, featured in the Federal Data Strategy 2020 Action Plan, that they believe will be responsive to this recommendation when completed. They are (1) an update to Statistical Working Paper 22 on statistical disclosure limitation methodology, and (2) guidance on measuring and reporting data quality.

Recommendation: In order to maintain progress in maximizing the efficiency of existing data sources, and to improve the broader efficiency of the federal statistical system and improve communication among agencies and others, the Director of OMB, in consultation with the Chief Statistician, should work with the ICSP to create new methods or enhance existing methods to improve the dissemination of information and resources produced by interagency statistical committees. For example, such enhancements could include increasing the timeliness and availability of information on websites to better capture the full range of products and identify committee priorities.

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

Comments: In March 2020, OMB staff reported that Federal Committee on Statistical Methodology has been developing two new products, featured in the Federal Data Strategy 2020 Action Plan, that they believe will be responsive to this recommendation when completed. They are (1) an update to Statistical Working Paper 22 on statistical disclosure limitation methodology, and (2) guidance on measuring and reporting data quality.

Recommendation: In order to maintain progress in maximizing the efficiency of existing data sources, and to increase the reliability of the information presented on the Reginfo.gov website and in OMB's internal system, the Director of OMB, in consultation with the Chief Statistician, should work with the ICSP to implement quality-control procedures designed to identify and remedy any differences between cost and burden information provided on the website and in the related supporting statement documentation that underlies this information.

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

Comments: OMB staff reported that because it publishes cost and burden information in Federal Register notices, PRA statements, and on RegInfo.gov, the public is able to identify discrepancies and bring them to OMB's attention. We believe that the responsibility to identify these discrepancies should belong to OMB and not the public.

Recommendation: To allow Congress to better oversee management of the nuclear security enterprise and to improve NNSA's management information with respect to the base capabilities necessary to ensure nuclear weapons are safe, secure, and reliable, the Administrator of NNSA should, once the Stockpile Services work breakdown structure reflects a product or capability basis, use this work breakdown structure to develop product/capability cost estimates that adequately justify the congressional budget request for Stockpile Services.

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

Comments: NNSA has significantly improved its work breakdown structure for Stockpile Services. The work breakdown structure now reflects a product or capability basis to a much greater extent than it did previously. NNSA restructured its budget starting with its fiscal year 2021 budget justification materials. GAO, through ongoing work, is continuing to monitor NNSA's development of cost estimates for Stockpile Services products and capabilities that inform future years' budget requests and justifications.