Recommendation: The Secretary of State, in consultation with the Administrator of USAID, should develop performance indicators that would enable State to assess progress toward the strategic objectives and goal of the U.S. conflict minerals strategy going forward. (Recommendation 1)

Agency: Department of State
Status: Open

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

Recommendation: The Acting Director of BLM should develop a documented process to consistently implement the APD prioritization process outlined in Instruction Memorandum 2013-104 at all field offices. (Recommendation 1)

Agency: Department of the Interior: Bureau of Land Management
Status: Open

Comments: The Department of the Interior, on behalf of BLM, did not concur with this recommendation. As of August 2020, BLM has not taken steps to address this recommendation.

Recommendation: The Acting Director of BLM should instruct agency staff to document formal change management processes for the rollout of future AFMSS II modules consistent with leading software development practices. (Recommendation 2)

Agency: Department of the Interior: Bureau of Land Management
Status: Open

Comments: The Department of the Interior, on behalf of BLM, did not concur with this recommendation--although, it did state that it agreed with the premise of the need to further improve its formal change management procedures. As of August 2020, BLM has not taken actions to address this recommendation.

Recommendation: The Acting Director of BLM should document and implement an action plan that identifies potential corrective actions based on previous lessons learned to address any challenges with the rollout of future AFMSS II modules. (Recommendation 3)

Agency: Department of the Interior: Bureau of Land Management
Status: Open

Comments: The Department of the Interior, on behalf of BLM, agreed with this recommendation. In its agency comment letter, the Department said that the BLM AFMSS team would implement adjustments and improvement based on the collected lessons learned. They also stated that upon completion of the last Field Office implementation and conversion to AFMSS II, BLM will conduct a formal program review and an annual operational assessment, which will also present opportunities for annual corrective actions and additional lessons learned considerations. As of August 2020, BLM has not taken actions to address this recommendation.

Recommendation: The Director of BLM should establish outcome-oriented performance measures to assess the effectiveness of the reorganization. (Recommendation 1)

Agency: Department of the Interior: Bureau of Land Management
Status: Open

Comments: The department neither agreed nor disagreed with our recommendation. When we confirm what actions the agency has taken in response to this recommendation, we will provide updated information.

Recommendation: The Director of BLM should develop an implementation plan for the reorganization that includes milestones and deliverables to track and communicate implementation progress. (Recommendation 2)

Agency: Department of the Interior: Bureau of Land Management
Status: Open

Comments: The department neither agreed nor disagreed with our recommendation. When we confirm what actions the agency has taken in response to this recommendation, we will provide updated information.

Recommendation: The Director of BLM should complete a strategic workforce plan that addresses how it will recruit for and fill vacant positions resulting from the relocations. (Recommendation 3)

Agency: Department of the Interior: Bureau of Land Management
Status: Open

Comments: The department neither agreed nor disagreed with our recommendation. When we confirm what actions the agency has taken in response to this recommendation, we will provide updated information.

Recommendation: The Secretary of the Interior should ensure its bureau leadership incorporates key practices for effective agency reforms prior to implementing reorganization activities at other Interior bureaus. (Recommendation 4)

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

Comments: The department neither agreed nor disagreed with our recommendation. When we confirm what actions the agency has taken in response to this recommendation, we will provide updated information.

Recommendation: The Secretary of the Interior should direct BLM to modify its computer program that generates its Bond Review Report to identify all instances in which a state office needs to develop a corrective action plan to address deficiencies, such as an inadequate financial assurance, a late review, or missing data. (Recommendation 1)

Agency: Department of the Interior
Status: Open

Comments: In May 2020, BLM officials stated that they will revise the LR2000 Bond Review Report to identify all instances in which a state office needs to develop a corrective action plan in accordance with BLM policy. They estimate this will be completed by June 2021.

Recommendation: The Secretary of Agriculture should direct the Forest Service to develop a centralized mechanism to record the current estimated cost of reclamation for a mining operation so that this information is readily available for comparison with the financial assurance held. (Recommendation 2)

Agency: Department of Agriculture
Status: Open

Comments: As of July 2020, the agency has made progress in implementing this recommendation. Specifically, the agency has modified the bonding portion of the Natural Resource Manager data system to include required data fields to record the initial bond received, adjustments made to required bonding amount, and date of last annual review when a needed adjustment was determined. The agency has also added a remarks field to record any increase or decrease in the estimated cost of reclamation that resulted in the revised required bond amount. The agency is currently working to update its internal guidance so that staff are aware of the requirement and process to document these items. We agreed to check back on the status of that guidance in early 2021 and will update the recommendation status at that time.

Recommendation: The Director of the Bureau of Land Management should develop a policy to ensure that field offices consistently track exception data.

Agency: Department of the Interior: Bureau of Land Management
Status: Open

Comments: In June 2019, BLM issued a memo called "Documentation and Tracking Requirements for Waiver, Exceptions, and Modifications for Fluid Mineral Exploration and Development Activities." The memo states that BLM is updating its guidance for tracking waivers, exceptions, and modifications of fluid minerals stipulations and Conditions of Approval (COA) to ensure that these requests are consistently processed and documented until BLM completes database enhancements to its Automated Fluid Minerals Support System 2 to perform this function. To ensure consistent documentation, BLM has developed an "Exceptions Tracking Sheet" that BLM staff are to use when making decisions. Information captured on the tracking sheet include: field office, state, U.S. well number, exception decision date, COA or lease stipulation (LS) , category of COA or LS (e.g. air, community, wildlife), and the specific COA or LS involved. Additionally, the associated environmental analyses, documents, and authorized officer's decision must be consistent with guidance found in Chapter IV of BLM's Planning for Fluid Mineral Resources Handbook (H-1624-1). In August 2019, GAO requested additional information to support the implementation of the recommendation. In December 2019, Interior officials stated that it would implement the recommendation by August 2020.

Recommendation: The Director of the Bureau of Land Management should develop bureau-wide written procedures for consistently considering and clearly documenting the information and processes used to make exception decisions.

Agency: Department of the Interior: Bureau of Land Management
Status: Open

Comments: In June 2019, BLM issued a memo called "Documentation and Tracking Requirements for Waiver, Exceptions, and Modifications for Fluid Mineral Exploration and Development Activities." The memo states that BLM is updating its guidance for tracking waivers, exceptions, and modifications of fluid minerals stipulations and Conditions of Approval (COA) to ensure that these requests are consistently processed and documented until BLM completes database enhancements to its Automated Fluid Minerals Support System 2 to perform this function. To ensure consistent documentation, BLM has developed an "Exceptions Tracking Sheet" that BLM staff are to use when making decisions. Information captured on the tracking sheet include: field office, state, U.S. well number, exception decision date, COA or lease stipulation (LS) , category of COA or LS (e.g. air, community, wildlife), and the specific COA or LS involved. Additionally, the associated environmental analyses, documents, and authorized officer's decision must be consistent with guidance found in Chapter IV of BLM's Planning for Fluid Mineral Resources Handbook (H-1624-1). In August 2019, GAO requested additional information to support the implementation of the recommendation. In December 2019, Interior officials stated that it would implement the recommendation by August 2020.

Recommendation: The Director of the Bureau of Land Management should direct field offices to make the results of exception request decisions available to the public, such as on BLM's public website.

Agency: Department of the Interior: Bureau of Land Management
Status: Open

Comments: In July 2019, Interior officials stated that the BLM does not intend to make an exception tracking spreadsheet available to the public. According to Interior officials, the regulations at 43 CFR 3101.1-4 do not require it, and public posting is only applicable to waivers and modifications, not exceptions. Interior's position has been that the public can ask for this information in a Freedom of Information Act (FOIA) request. Interior officials explained that the main concern in making an exception tracking spreadsheet available to the public is that a single consolidated tracking spreadsheet would require constant updates and posting to Interior's website. Since the numbers can change daily, any posted updates would only provide a brief snap shot which will not be meaningful. Interior officials stated that the BLM will aim to address this item in future database design enhancements in order to obtain a permanent tracking solution. We will update this recommendation when we have additional information from BLM.

Recommendation: The Director of the Bureau of Land Management should clarify guidance related to documentation of environmental inspections to ensure that inspections are documented in a manner that indicates whether all permit requirements were checked as part of the inspection.

Agency: Department of the Interior: Bureau of Land Management
Status: Open

Comments: In August 2016, Interior officials stated that three of six corrective actions are substantially complete and that efforts are ongoing to clarify guidance related to documentation of environmental inspections with a target date for implementation of December 31, 2018. In May 2020, Interior officials stated the revised target date for implementation is September 30, 2020, at which time BLM will issue updated policies and procedures.

Recommendation: The Director of the Bureau of Land Management should provide additional guidance to field offices on how to collect and use data collected during monitoring inspections and, in doing so, determine and implement an approach for using the data to assess the effectiveness of the agency's mitigation efforts, including its best management practices.

Agency: Department of the Interior: Bureau of Land Management
Status: Open

Comments: In August 2018, Interior officials stated that efforts to provide guidance to field offices on how to collect and use date are ongoing with correction actions 10 percent complete. In May 2020, officials stated that they have a target date for implementation of December 31, 2020.

Recommendation: To fulfill the role assigned to it under the 1980 Act, the Secretary of Commerce should engage with industry stakeholders and continually identify and assess critical materials needs across a broad range of industrial sectors.

Agency: Department of Commerce
Status: Open

Comments: In December 2016, Commerce provided information on its implementation of the recommendation from GAO-16-699. Commerce stated that it had developed an action plan consisting of the following steps: (1) consulting with relevant offices and agencies, including: OSTP, DOD, the U.S. Geological Survey, DOE, the U.S. International Trade Commission, the Bureau of Industry and Security, the National Institute of Standards and Technology, and the National Oceanic and Atmospheric Administration; (2) determining criteria to be used when it is necessary to collect information to identify and assess critical materials needs; (3) determining appropriate steps, which might include: (a) developing a summary of information that federal agencies currently collect on the domestic and international supply of critical raw materials; (b) soliciting input from a broad range of industries through a Federal Register notice; (c) assessing aggregate information, as allowable under law, that is submitted through the Miscellaneous Tariff Bill process over the course of fiscal year 2017; and (d) consulting with federal advisory groups for advice; (4) determining the audience for collected information and methodology for information dissemination; (5) determining the process for identifying further information collection needs and methodology for disseminating collected information; and (6) determining the timeline and responsibilities for information collection and distribution. In an April 2017 update, Commerce stated that it had identified points of contacts in seven of the eight agencies listed in its action plan and is in the process of contacting them for input. Commerce stated that it hoped to identify an appropriate contact in the eighth agency in the near future. Commerce stated that it had also drafted questions to ask the agencies in order to implement the action plan. Commerce did not provide a timeframe for when it expected to complete implementation of the action plan. In a June 2018 update, Commerce stated that since the change in Administration, Commerce has not been able to identify staff in all agencies to work with, but that Commerce is now in contact with several agencies who are aware of industry needs. Commerce did not provide a timeframe for when it expected to complete execution of its action plan. We requested additional information on Commerce's efforts to implement this recommendation, including plans to solicit industry input, and will update the status of the recommendation based on additional information received.

Recommendation: To enhance the ability of the Executive Office of the President to coordinate federal agencies to carry out the national materials policy outlined in the 1980 Act, and to broaden future applications of the early warning screening methodology, the Subcommittee should take the steps necessary to include potentially critical materials beyond minerals, such as developing a plan or strategy for prioritizing additional materials for which actions are needed to address data limitations.

Agency: Executive Office of the President: Office of Science and Technology Policy
Status: Open

Comments: In September 2017, OSTP provided updated information on its efforts to implement recommendations from GAO-16-699. OSTP stated that "the Subcommittee shares GAO's interest in improving data availability and granularity. However, in some cases, private entities and foreign governments may be unwilling or unable to provide (or even collect) such data. Additionally, the Subcommittee member agencies' financial and personnel resources are limited, and significant additional resources would be required to prioritize and pursue the data for additional materials and critical materials beyond minerals. Without the appropriation of additional resources, the Subcommittee's work on these additional items will be necessarily circumscribed." In its February 2018 report on the updated application of the early warning screening methodology, the Subcommittee stated that it saw the value in analyzing more minerals and non-minerals to help inform policy decisions, but that fulfilling this need will require additional dedicated personnel and financial resources for data collection, analysis, and distribution. In March 2020, OSTP stated that the Subcommittee has explored the possibility of expanding the scope of the early warning screening methodology to include critical materials beyond minerals. According to OSTP, possible expansion candidates include carbon fiber and critical chemicals. OSTP stated that it has initiated a discussion with the Department of Interior (U.S. Geological Survey), who has been leading the methodology development, and the Department of Commerce (Bureau of Economic Analysis) with regard to possible data that would be needed for such an expansion. In August 2020, OSTP stated that the expertise to expand data collection to additional materials of interest exists in the National Minerals Information Center (NMIC) at the U.S. Geological Survey; however, the capacity to expand beyond the current portfolio is not available due to budgetary constraints. We will update this recommendation when we obtain additional information on these efforts.

Recommendation: To improve the effectiveness of the SEC's conflict minerals disclosure rule, the Secretary of Commerce should submit to the appropriate congressional committees a plan outlining steps that Commerce will take, with associated time frames, to (1) assess the accuracy of the independent private sector audits (IPSA) and other due diligence processes described under section 13(p) of the Securities Exchange Act of 1934; (2) develop recommendations for the process used to carry out such audits, including ways to improve the accuracy of the audits and establish standards of best practices for such audits; and (3) acquire the necessary knowledge, skills, and abilities to carry out these responsibilities.

Agency: Department of Commerce
Status: Open
Priority recommendation

Comments: Commerce agreed with this recommendation. In response to this recommendation, Commerce indicated in an October 25, 2016 letter to GAO that it has developed a three-step approach which parallels the three distinct elements of the recommendation. To fully implement this recommendation, Commerce needs to submit the said three-step plan, including associated timeframes for their completion, to the appropriate congressional committees. Section 1502 of the Dodd-Frank Act defines "appropriate committees" to mean the Committee on Appropriations, the Committee on Foreign Affairs, the Committee on Ways and Means, and the Committee on Financial Services of the House of Representatives; and the Committee on Appropriations, the Committee on Foreign Relations, the Committee on Finance, and the Committee on Banking, Housing, and Urban Affairs of the Senate. In a January 2018 email, a Commerce official indicated to GAO that the agency had reviewed the 19 IPSA audits filed by companies in 2016, and the agency plans to complete a review of the 16 IPSA audits filed in 2017 by the end of FY 2018. However, the official noted that the "Department will not undertake the development of recommendations and best practices while the SEC is revising its rule." Commerce cited SEC staff's recent updated guidance and ongoing reviews of the conflict minerals rule, among other things, as their primary reason. However, the SEC staff's updated guidance also clarified that the guidance "does not express any legal conclusion on the rule" and is "subject to any further action that may be taken by the Commission." Therefore, the rule is still in effect, according to SEC staff. We requested a status update in October 2019 and Commerce responded: "In National Association of Manufacturers v. United States SEC, 2017 U.S. Dist. LEXIS 135732 (2017), the District Court for the District of Columbia declared an element of the relevant SEC rule unconstitutional, necessitating that the SEC determine how that decision affects overall implementation of the Conflict Minerals rule. Until the SEC completes its deliberative process, makes such determination, and implements any necessary revisions to the rule, the Department does not intend to undertake additional work under Section 1502 of the Dodd-Frank Wall Street Reform and Consumer Protection Act with regard to the assessment of the accuracy of the audits and other due diligence processes or recommendations regarding the audits. After which point, the Department will assess how the SEC determination and any revisions to the rule affect the Department's plans for implementing GAO's recommendation."

Recommendation: To ensure effective oversight, strengthen internal controls, and address challenges associated with the hardrock mine plan review process, the Secretary of Agriculture should direct the Chief of the Forest Service to issue a rule that establishes a fee structure for hardrock mine plan processing activities and request the authority from the Congress to retain any fees it collects.

Agency: Department of Agriculture
Status: Open

Comments: As of May 2020, the Forest Service said it has the statutory authority to issue a rule that establishes a fee structure, but it does not have the authority to collect and retain fees for hardrock mine plan processing activities. The Forest Service said it worked with the Department of Agriculture and Office of Management and Budget (OMB) to submit a request through the President's Budget for authority from Congress to retain any fees collected from mine operations. The President's Budget for fiscal year 2021, developed by OMB, included such a request to Congress. If Congress grants this authority, the Forest Service said it will issue a rule that establishes a fee structure for hardrock mine operations so it can begin retaining collected fees.

Recommendation: To ensure effective oversight, strengthen internal controls, and address challenges associated with the hardrock mine plan review process, Secretary of the Interior should direct the Director of BLM to issue a rule that assesses fees associated with reviewing hardrock mine plans that involve conducting environmental assessments.

Agency: Department of the Interior
Status: Open

Comments: According to a letter received from the agency in April 2016, BLM expressed concern about whether promulgating a rule to assess cost recovery fees for environmental assessment would result in faster permitting times and noted that such an undertaking may be challenging to complete given resource limitation as a result of other high priority rule making efforts currently underway by BLM. The agency proposed conducting an internal analysis to determine whether requiring cost recovery would result in reduced permitting times and expected that report to be completed by the end of 2017. We contacted the Department of the Interior in April 2020 and it had no new information to provide at that time. We will update the status of this recommendation as more information becomes available.