Recommendation: The Chairman of FCC should direct and coordinate with the Chief Executive Officer of USAC to comprehensively assess fraud risks to the E-rate program, including implementing their respective plans for developing periodic fraud risk assessments, examining the suitability of existing fraud controls, and compiling fraud risk profiles following the timelines described in this report. The assessments should be informed by the key fraud risks identified in this report from closed court cases, prior risk assessments, and OIG reports, among other sources. (Recommendation 1)

Agency: Federal Communications Commission
Status: Open

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

Recommendation: The Chairman of FCC should ensure that FCC and USAC follow the leading practices in GAO's Fraud Risk Framework when designing and implementing data-analytics activities to prevent and detect fraud as part of their respective antifraud strategies for the E-rate program. (Recommendation 2)

Agency: Federal Communications Commission
Status: Open

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

Recommendation: The Chairman of FCC should direct the Chief Executive Officer of USAC to clearly define and fully document the data fields in all relevant E-rate program computer systems to help improve FCC's ability to understand and use data to manage fraud risks. (Recommendation 3)

Agency: Federal Communications Commission
Status: Open

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

Recommendation: The Chairman of FCC should develop, in coordination with NTIA and other relevant stakeholders, specific and measurable performance goals—with related strategies and measures—to manage spectrum demands associated with 5G deployment. (Recommendation 1)

Agency: Federal Communications Commission
Status: Open

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

Recommendation: The Chairman of FCC should develop specific and measurable performance goals—with related strategies and measures—to determine the effects 5G deployment and any mitigating actions may have on the digital divide. (Recommendation 2)

Agency: Federal Communications Commission
Status: Open

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

Recommendation: The Chairman of FCC should ensure that FCC's Office of Managing Director follows the leading practices in GAO's fraud risk framework related to a dedicated entity's management of its antifraud activities, such as serving as the repository of knowledge on fraud risks and coordinating antifraud initiatives. (Recommendation 1)

Agency: Federal Communications Commission
Status: Open

Comments: As of April 2020, FCC reported that the agency was undertaking further improvements of its fraud risk management program consistent with this recommendation. FCC did not indicate a completion date. We will continue to monitor FCC's progress related to establishing a dedicated antifraud management entity.

Recommendation: The Chairman of FCC should plan regular fraud-risk assessments tailored to the high-cost program and assess these risks to determine the program's fraud risk profile, as provided in GAO's fraud risk framework. (Recommendation 2)

Agency: Federal Communications Commission
Status: Open

Comments: As of April 2020, FCC reported that the agency was working with the Universal Service Administrative Company (USAC), which is the entity responsible for the day-to-day administration of the high-cost program, to implement this recommendation. FCC stated that USAC will conduct a fraud risk assessment of the high-cost program, but did not specify a time-frame for this effort. We will continue to review FCC and USAC's progress toward completing this assessment, and any steps taken to routinize this assessment.

Recommendation: The Chairman of FCC should design and implement an antifraud strategy for the high-cost program with specific control activities, based upon the results of fraud-risk assessments and a corresponding fraud risk profile, as provided in GAO's fraud risk framework. (Recommendation 3)

Agency: Federal Communications Commission
Status: Open

Comments: As of April 2020, FCC reported that the agency was working with the Universal Service Administrative Company (USAC), which is the entity responsible for the day-to-day administration of the high-cost program, to implement this recommendation. FCC reported it will ensure the results of the high-cost program's fraud risk assessment, along with other efforts to implement the GAO fraud risk framework, result in an overall fraud risk strategy. FCC did not indicate a completion date for these efforts, and we will continue to track FCC progress in this area.

Recommendation: The Chairman of FCC should assess the model-based support mechanism to determine the extent to which it produces reliable cost estimates. (Recommendation 4)

Agency: Federal Communications Commission
Status: Open

Comments: As of April 2020, FCC reported that it was considering ways to improve the model-based support mechanism for rate-of-return carriers participating in the high-cost program. FCC did not specify a time-frame for this effort. We will continue to review FCC's efforts related to this recommendation, including FCC efforts, if any, to verify the model's cost estimates.

Recommendation: The Chairman of FCC should consider whether to make use of the model-based support mechanism mandatory depending on the results of the assessment. (Recommendation 5)

Agency: Federal Communications Commission
Status: Open

Comments: As of April 2020, FCC reported that it was considering ways to improve the model-based support mechanism for rate-of-return carriers participating in the high-cost program. FCC indicated that any such improvements may help facilitate the transition of carriers from legacy support mechanisms to the model-based support mechanism. FCC did not provide a time-frame for completion of this effort. We will continue to monitor FCC's progress and efforts in regard to this recommendation.

Recommendation: The Chairman of the Federal Communications Commission should determine and execute a methodology for collecting and analyzing data—such as conducting a new pilot program regarding off-premises wireless access or analyzing other data—to assess the potential benefits, costs, and challenges of making off-premises wireless access eligible for E-rate program support, and publish the results of this analysis. (Recommendation 1)

Agency: Federal Communications Commission
Status: Open

Comments: FCC officials informed us in July 2020 that FCC plans to implement this recommendation by completing an evaluative report on the E-rate pilot program. While FCC planned to implement this recommendation by July 2020, there have been delays related to COVID-19.

Recommendation: The Chairman of FCC should collect data on the extent that tribal entities are obtaining and accessing spectrum and use this information as FCC implements ongoing spectrum initiatives. (Recommendation 1)

Agency: Federal Communications Commission
Status: Open

Comments: As of July 2020, FCC said it will consider ways to collect data on the extent that tribal entities are obtaining and accessing spectrum, including updating application forms to provide for voluntary submission of this information. FCC noted that this is an ongoing activity with no specific completion date.

Recommendation: The Chairman of FCC should analyze data to better understand the extent that unused spectrum licenses exist over tribal lands, such as by analyzing the data for a sample of tribal lands, and as appropriate use this information to inform its oversight of the secondary market. (Recommendation 2)

Agency: Federal Communications Commission
Status: Open

Comments: As of July 2020, FCC indicated that they believe this was implemented by the tribal priority window for the 2.5 GHz spectrum bands, but has yet to provide documentation to GAO. We will continue to monitor FCC actions in this area.

Recommendation: The Chairman of FCC should make information on spectrum-license holders more accessible and easy to understand for interested parties, including tribal entities, to promote their ability to purchase or lease spectrum licenses from other providers. (Recommendation 3)

Agency: Federal Communications Commission
Status: Open

Comments: As of July 2020, FCC said it was engaged in a multi-year project to modernize the Universal Licensing System (ULS), which is the online system that contains electronic records of all wireless spectrum licenses. FCC said it would transition ULS to a new platform that will provide more consistent performance, easier access to information, and enhanced functionality; the ULS modernization is an ongoing activity that FCC believes will be completed by December 2021.

Recommendation: The Secretary of Agriculture should direct the Administrator of RUS to undertake an assessment to identify any regulatory barriers that may unduly impede efforts by tribes to obtain RUS federal grant funds for broadband deployment on tribal lands and implement any steps necessary to address the identified barriers. (Recommendation 1)

Agency: Department of Agriculture
Status: Open

Comments: In April 2020, RUS officials told us that they were documenting their tribal outreach efforts and the feedback collected on tribal needs related to the RUS broadband programs, and that they would provide this information to us when it is complete. Once we receive and review this information, we will update the status of this recommendation.

Recommendation: The Chairman of the Federal Communications Commission should develop and implement methods--such as a targeted data collection--for collecting and reporting accurate and complete data on broadband access specific to tribal lands. (Recommendation 1)

Agency: Federal Communications Commission
Status: Open

Comments: FCC officials said they plan to implement by September 2021. They believe the rec is addressed by the new Digital Opportunity Data Collection (DODC) program and associated platform. FCC agreed that while the DODC is a general information improvement effort, it will also cover tribal lands and address this rec.

Recommendation: The Chairman of the Federal Communications Commission should develop a formal process to obtain tribal input on the accuracy of provider-submitted broadband data that includes outreach and technical assistance to help tribes participate in the process. (Recommendation 2)

Agency: Federal Communications Commission
Status: Open

Comments: FCC believes the Digital Opportunity Data Collection program will satisfy this recommendation in part by the data verification process, which has a crowd-sourced component. The data validation is not specific to tribal input, but FCC believes the process would help verify all data as accurate and thus satisfy our recommendation.

Recommendation: The Chairman of the Federal Communications Commission should obtain feedback from tribal stakeholders and providers on the effectiveness of FCC's 2012 statement to providers on how to fulfill their tribal engagement requirements to determine whether FCC needs to clarify the agency's tribal engagement statement. (Recommendation 3)

Agency: Federal Communications Commission
Status: Open

Comments: On October 24, 2018, FCC announced the appointment of 19 Tribal members and eight FCC members to the FCC's renewed Native Nations Communications Task Force. The Task Force, according to FCC's website, "will help the Commission fulfill its commitment to increase access to broadband and other communications infrastructure deployment and services on Tribal lands." According to FCC officials, FCC has tasked the Native Nations Communications Task Force with helping evaluate the effectiveness of the tribal engagement obligation, and expects the task force to provide FCC with its findings and recommendations by Spring 2020. FCC has yet to provide documentation to GAO to satisfy this recommendation.

Recommendation: To help ensure that any future decisions by FCC regarding its efforts under the Communications Act of 1934 are based on comprehensive analysis, the FCC should, as part of its future annual video competition reports, analyze how the ongoing evolution in the video programming market affects competition in the related market for set-top boxes and devices, including how this evolution affects the extent to which consumer choice for devices to access MVPD content remains a relevant aspect of the competitive environment. (Recommendation 1)

Agency: Federal Communications Commission
Status: Open

Comments: As of January 2020, FCC officials said they are taking steps to implement this recommendation and hope to do so by October 2020.

Recommendation: To more fully address stakeholder concerns and help ensure FirstNet's resources reflect expected changes in responsibilities, FirstNet should request that the Public Safety Advisory Committee's Tribal Working Group fully explore tribal concerns and propose actions, as needed, to address those concerns.

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

Comments: As of March 2020, FirstNet had taken some action in response to this recommendation but had not fully implemented it. Once we confirm that FirstNet has taken additional action, we will provide updated information.

Recommendation: To address control weaknesses and related program-integrity risks we identified in Lifeline, the Chairman of FCC should require Commissioners to review and approve, as appropriate, spending above the budget in a timely manner.

Agency: Federal Communications Commission
Status: Open

Comments: On November 16, 2017, FCC adopted a Notice of Proposed Rulemaking that proposed to adopt a self-enforcing budget mechanism for the Lifeline program. However, as of January 2020, FCC has not yet adopted a decision on this proposal.

Recommendation: To address control weaknesses and related program-integrity risks we identified in Lifeline, the Chairman of FCC should establish time frames to evaluate compliance plans and develop instructions with criteria for FCC reviewers how to evaluate these plans to meet Lifeline's program goals.

Agency: Federal Communications Commission
Status: Open

Comments: According to the FCC as of January 28, 2020, the agency does not currently have a schedule to implement this recommendation.

Recommendation: To address control weaknesses and related program-integrity risks we identified in Lifeline, the Chairman of FCC should develop an enforcement strategy that details what violations lead to penalties and apply this as consistently as possible to all Lifeline providers to ensure consistent enforcement of program violations; the strategy should include a rationale and method for resource prioritization to help maximize the effectiveness of enforcement activities.

Agency: Federal Communications Commission
Status: Open

Comments: FCC's enforcement must remain flexible in order to be responsive to the ever changing variants that Universal Service Fund violations may take. According to the FCC, as with all Commission matters, the Chairman may indicate agency priorities in terms of subject matter, but the Chairman does not dictate which cases the Enforcement Bureau pursues. The Office of the Chairman, in consultation with the Enforcement Bureau, has articulated priorities with respect to enforcement activities in the Lifeline area including, but not limited to: 1. Detection and elimination of willful attempts to defraud the Lifeline Program by claiming support subsidies for ineligible or fictitious subscribers. 2. Detection and elimination of unlawful claims for enhanced support for Tribal areas. 3. Detection and elimination of carrier collections of multiple support subsidies for duplicative subscribers, regardless of the source of duplications. 4. Detection and elimination of carrier failures to de-enroll inactive or ineligible subscribers. The Enforcement Bureau has focused its enforcement efforts in line with these priorities and has taken a number of actions since the publication of GAO-17-538.

Recommendation: To address our findings regarding the USF, the Chairman of FCC should take action to respond to USAC requests for guidance and address pending requests concerning USF contribution requirements to ensure the contribution factor is based on complete information and that USF pass-through charges are equitable.

Agency: Federal Communications Commission
Status: Open

Comments: According to the FCC, the FCC is scheduled to complete implementing this recommendation in December 2021.

Recommendation: To improve RUS's management of the Infrastructure Program, Broadband Program, and Community Connect by more closely following leading practices for broadband loan- and grant-program management, the Secretary of Agriculture should direct RUS to establish and implement procedures to conduct periodic evaluations of completed grant projects to determine the outcomes associated with these projects, and analyze the information gained to assess if any programmatic changes are needed to improve the Community Connect program.

Agency: Department of Agriculture
Status: Open

Comments: As of June 22, 2020, USDA has not provided an update regarding its plans to implement staff procedures for conducting periodic evaluations of completed grant projects to measure the success of meeting the program goals. Once RUS provides an update regarding what actions the agency has taken in response to this recommendation, we will provide updated information.

Recommendation: To improve RUS's management of the Infrastructure Program, Broadband Program, and Community Connect by more closely following leading practices for broadband loan- and grant-program management, the Secretary of Agriculture should direct RUS to establish a timeline for implementing a centralized internal system for staff to obtain relevant and timely program data for use in managing and monitoring loans and grant awards.

Agency: Department of Agriculture
Status: Open

Comments: As of June 22, 2020, RUS has not provided an update on how it will more efficiently manage and monitor RUS loan and grant awards. Once RUS provides an update regarding what actions the agency has taken in response to this recommendation, we will provide updated information.

Recommendation: To improve RUS's management of the Infrastructure Program, Broadband Program, and Community Connect by more closely following leading practices for broadband loan- and grant-program management, the Secretary of Agriculture should direct RUS to develop, update, and maintain complete written policies and procedures for RUS's programs as a way to retain and communicate organizational knowledge internally among agency staff. RUS should determine the critical documentation that should be created or updated, including considering documentation such as loan-application review guidance and employee manuals for each of the three programs.

Agency: Department of Agriculture
Status: Open

Comments: As of June 22, 2020, RUS has not provided an update on how it plans to identify and prioritize critical manuals and instructions that will need to be developed or updated and formulate work plans to develop or update each of them. Once RUS provides an update regarding what actions the agency has taken in response to this recommendation, we will provide updated information.

Recommendation: The FCC should conduct a program evaluation to determine the extent to which the Lifeline program is efficiently and effectively reaching its performance goals of ensuring the availability of voice service for low-income Americans while minimizing the contribution burden on consumers and businesses.

Agency: Federal Communications Commission
Status: Open

Comments: In a 2016 Lifeline modernization order, which FCC adopted March 31, 2016, FCC instructed the Universal Service Administrative Company (USAC) to hire an outside, independent third-party evaluator to complete a program evaluation of the modernized Lifeline program. FCC noted that the program evaluation would enable FCC and the public to have better information about the operation and effectiveness of the Lifeline program. Such an evaluation will likely address our recommendation. FCC's order stipulated that USAC must submit the evaluation's findings to FCC by December 2020. In July 2020, FCC officials told us the evaluation should be complete by October 2020. We will update the status of this recommendation after we receive additional information from FCC.