Recommendation: The TSA Administrator should establish quantifiable targets for the Surface Transportation Security Inspectors Program's activity-level performance measures. (Recommendation 1)

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

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

Recommendation: The TSA Administrator should update the BASE cybersecurity template to ensure it reflects cybersecurity key practices, including the Detect and Recover functions outlined in the NIST Cybersecurity Framework. (Recommendation 2)

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

Comments: TSA concurred with this recommendation and said it would take steps to implement it by updating the BASE Cybersecurity Security Action Item section to ensure it reflects the NIST Cybersecurity Framework Detect and Recover functions. When we confirm what actions TSA has taken in response to this recommendation, we will provide updated information.

Recommendation: The TSA Administrator should clarify roles and responsibilities for all offices involved in the coordination of surface transportation exercises, including when these offices are to coordinate, as part of the planned revision of the Surface Division's Internal Operating Procedure for I-STEP. (Recommendation 1)

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

Comments: TSA concurred with the recommendation and will develop a standard operating procedure to clarify the roles and responsibilities for all offices involved in the coordination of surface transportation exercises, including when these offices are to coordinate, in conjunction with the planned revision of I-STEP's Surface Division Internal Operating Procedure. As part of this, TSA initiated a Surface Exercise Steering Group in January 2020 to clarify surface roles and responsibilities and to discuss a new approach for coordination of surface exercises. TSA estimates completing these actions by September 30, 2020.

Recommendation: The Executive Director of the Permitting Council should incorporate selected best practices we have identified (maintaining the baseline schedule and conducting a risk analysis) into the Permitting Council's process for developing performance schedules for the infrastructure sectors covered under FAST-41. (Recommendation 1)

Agency: Federal Permitting Improvement Steering Council
Status: Open

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

Recommendation: The Deputy Secretary of Homeland Security should ensure that S&T take steps to more fully incorporate practices for developing milestones within DHS's budget preparation guidance, into the Surface Transportation Explosive Threat Detection program. (Recommendation 1)

Agency: Department of Homeland Security
Status: Open

Comments: In September 2019, GAO reported on a Department of Homeland Security's (DHS) Science and Technology Directorate (S&T) research and development (R&D) program to develop technologies to secure mass transit systems. DHS budget guidance requires S&T to develop results-oriented milestones to track program progress. GAO found that the S&T program's milestones did not clearly link to key activities described in program plans, and thus, were not results oriented. Therefore, we recommended that DHS develop milestones to track its progress developing the technologies that fully adhered to guidance. DHS concurred with our recommendation, and in February 2020, reported that S&T's Finance and Budget Division validated that milestones for the program were compliant with DHS guidance. GAO is currently working with DHS S&T to review documentation related to the validation process in order to close the recommendation..

Recommendation: The Administrator of TSA should develop a mechanism to more routinely and comprehensively share appropriate information on the performance of mass transit security technologies (such as the annual sensor catalog and security technology assessments) with mass transit operators and stakeholders until DHS completes work on a more permanent information sharing resource. (Recommendation 2)

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

Comments: In September 2019, GAO reported on key mechanisms that TSA uses to collaborate and share information on identifying capability gaps and security technologies with stakeholders, including mass transit operators. We found that TSA regularly assesses commercially available technologies, but does not routinely or comprehensively share its results with mass transit operators. Therefore, we recommended that TSA develop a mechanism to routinely and comprehensively share security technology information with mass transit operators. TSA concurred with our recommendation, and in February 2020, reported implementing two of three planned efforts to better share security technology information, including steps to increase distribution of its annual publication on security technologies and to provide regular updates on assessed technologies at routine stakeholder meetings. We will continue to monitor TSA efforts with a third effort in order to close this recommendation.

Recommendation: During the next reauthorization for surface transportation programs, Congress should consider including language in the reauthorization bill that would require DOT to develop and implement transparency measures for DOT's review and selection process for discretionary grants. Such measures should, at a minimum, help to ensure that the evaluation process is clearly communicated, that applications are consistently evaluated, and that the rationale for DOT's decisions are clearly documented. Such measures should be developed in line with Office of Management and Budget guidance, federal internal control standards, and recommended practices for evaluating and selecting discretionary grant awards (Matter for Consideration 1)

Agency: Congress
Status: Open

Comments: As of November 2019, Congress has not enacted a reauthorization measure for surface transportation programs. The current authorization expires on September 30, 2020.

Recommendation: The Secretary of Transportation should ensure that DOT, in its notice of funding opportunity and evaluation plan for each remaining INFRA-funding cycle, clarify the circumstances under which DOT may select applicants to receive requests for additional information. (Recommendation 1)

Agency: Department of Transportation
Status: Open

Comments: As of November 2019, DOT told us that, for the fiscal year 2020 INFRA awards, it plans to provide information in the Notice of Funding Opportunity and evaluation plan explaining under the circumstances under which additional information may be sought from applicants. DOT stated that it plans to complete these actions by March 2020. We will continue to monitor DOT's actions.

Recommendation: The Secretary of Transportation should develop procedures for each remaining INFRA-funding cycle to ensure that when additional information is requested from an applicant, the specific rationale behind the request is documented (for example, to promote geographic diversity among projects), as well as to ensure that DOT documents the rationale if similar projects were not afforded an opportunity to provide additional information. (Recommendation 2)

Agency: Department of Transportation
Status: Open

Comments: As of November 2019, DOT told us it will document the basis for seeking additional information from applicants and describe the procedures for doing so in the evaluation plan for the FY 2020 INFRA awards, which it expects to conclude by September 2020. We will continue to monitor DOT's actions.

Recommendation: The Secretary of Transportation should ensure that DOT provides information to applicants in its notice of funding opportunity for each remaining INFRA-funding cycle regarding: (1) how scores on merit criteria are used, if at all, to determine whether projects advance to the Secretary for selection, and (2) how, if at all, DOT plans to use merit scores to determine which projects should receive an award. (Recommendation 3)

Agency: Department of Transportation
Status: Open

Comments: As of November 2019, DOT told us that, for the fiscal year 2020 INFRA awards, it plans to provide information in the Notice of Funding Opportunity that will more clearly state (1) that projects are advanced to the Secretary based on how they are evaluated against the selection criteria and (2) how evaluations against the selection criteria are used to determine which projects should receive awards. DOT stated that it plans to issue the Notice of Funding Opportunity by March 2020. We will continue to monitor DOT's actions.

Recommendation: The Under Secretary of Transportation for Policy should ensure that the Build America Bureau develop a detailed implementation plan that sets goals and a timeline for the Bureau's continued efforts, fills vacancies in the Bureau, and prioritizes and sequences work to carry out the multiple responsibilities given to the Bureau in the FAST Act. (Recommendation 1)

Agency: Department of Transportation
Status: Open

Comments: As of July 2020, DOT is planning to develop a strategy with goals and objectives to guide the Bureau's work and to complete this action by August 2020. DOT stated it does not plan to create a detailed implementation plan as that would detract from higher priority efforts. We will continue to monitor DOT's actions and the extent to which they fulfill our recommendation.

Recommendation: The Under Secretary of Transportation for Policy should ensure that the Build America Bureau develop performance indicators to assess the Bureau's progress toward meeting its guiding principles or mission as a "one-stop shop." (Recommendation 2)

Agency: Department of Transportation
Status: Open

Comments: As of July 2020, DOT is planning to establish a baseline that tracks the average amount of time that projects spend in each of the key developmental phases to assess how long projects take to reach financial close and to complete this action by August 2020. This planned baseline and measure would align with one of the Bureau's four guiding principles, but additional measures would be needed to gauge its overall progress in meeting the Bureau's other guiding principles. We will continue to monitor DOT's actions and the extent to which they fulfill our recommendation.

Recommendation: The Under Secretary of Transportation for Policy should ensure that the Build America Bureau develop a mechanism to assess the Bureau's application evaluation process for TIFIA and RRIF and identify and address opportunities to improve and further streamline the process. This evaluation should include mechanisms to solicit feedback from project sponsors that sought financing. (Recommendation 3)

Agency: Department of Transportation
Status: Open

Comments: As of July 2020, the Bureau is planning to develop a survey to solicit feedback from project sponsors on their experience with the Bureau and to have an approved survey ready for use by August 2020. We will continue to monitor DOT's actions and the extent to which they fulfill our recommendation.

Recommendation: The Under Secretary of Transportation for Policy should ensure that the Build America Bureau develop and adopt a public statement that outlines DOT's and the Bureau's policy goals and appetite for risk for the TIFIA and RRIF financing programs. (Recommendation 4)

Agency: Department of Transportation
Status: Open

Comments: As of July 2020, DOT is planning to develop a strategy that outlines the Bureau's policy goals, but does not intend to issue a public statement that outlines DOT's and the Bureau's appetite for risk. According to DOT, a risk appetite statement would not be feasible given that the loan programs in the Bureau cover a diverse portfolio of publicly and privately funded projects covering a range of transportation modes that range widely in size, complexity, and financial structure. We informed DOT that we continue to believe that a risk appetite statement is both feasible and needed. DOT plans to provide an updated response in October 2020. We will review the Department's response and continue to monitor its actions and determine the extent to which they fulfill our recommendation.

Recommendation: The Office of Transit Safety and Oversight should develop and communicate a method for how it will monitor the effectiveness of the enforcement authorities and practices of state safety agencies. (Recommendation 2)

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

Comments: DOT concurred with this recommendation. DOT should continue its progress to developing and communicating a methodology for how it will monitor the effectiveness of state safety agencies' enforcement.