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Open Recommendations

Nuclear Waste Cleanup: More Effective Oversight Is Needed to Help Ensure Better Project Outcomes
GAO-24-106716
Jul 31, 2024
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4 Open Recommendations
Agency Affected Recommendation Status
Department of Energy The Secretary of Energy should ensure that the Senior Advisor for the Office of Environmental Management develops or updates relevant guidance for conducting project reviews—including root cause analyses—for EM capital asset projects to include steps for analyzing federal management performance and oversight effectiveness. (Recommendation 1)
Open
When we confirm what actions the agency has taken in response to this recommendation, we will provide updated information.
Department of Energy The Secretary of Energy should ensure that the Senior Advisor for the Office of Environmental Management works with the Director of the Office of Project Management to leverage existing mechanisms to hold applicable contractors accountable for maintaining a compliant EVMS, evaluate if additional mechanisms are needed to hold contractors accountable—such as withholding payment if an EVMS is not compliant—and, if necessary, request authority from Congress to use those mechanisms. (Recommendation 2)
Open
When we confirm what actions the agency has taken in response to this recommendation, we will provide updated information.
Department of Energy The Secretary of Energy should ensure that the Senior Advisor for the Office of Environmental Management evaluates how EM capital asset project officials develop and use lessons learned to determine if new lessons learned are being adequately documented and existing lessons learned are being adequately reviewed, analyzed, and applied, or if further guidance is needed. (Recommendation 3)
Open
When we confirm what actions the agency has taken in response to this recommendation, we will provide updated information.
Department of Energy The Senior Advisor for the Office of Environmental Management should ensure that the Director of EM's Office of Project Management develops a process to determine if EM capital asset projects that meet certain criteria—such as those that are particularly high risk or complex—need additional proactive federal oversight from the beginning of the project's lifecycle. (Recommendation 4)
Open
When we confirm what actions the agency has taken in response to this recommendation, we will provide updated information.

Nuclear Waste Cleanup: Changes Needed to Address Current and Growing Shortages in Mission-Critical Positions
GAO-24-106479
Jul 18, 2024
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11 Open Recommendations
Agency Affected Recommendation Status
Congress To support its ability to conduct oversight, Congress should consider implementing an annual reporting requirement to help ensure EM prioritizes workforce management and addresses recurring workforce problems. Such a requirement could include annual reporting on EM's efforts to implement recommendations and strategies, or additional direction on how EM and DOE should address workforce problems that numerous reports have identified. (Matter 1)
Open
As of August 2024, Congress has not passed legislation that would implement this matter.
Department of Energy The Senior Advisor for EM should revise EM's workforce planning to align with leading practices, including being forward-looking, clearly documenting human capital performance targets and measures, and developing comprehensive succession plans, while also ensuring that internal and external planning documents align. (Recommendation 1)
Open
In a letter responding to our report, the Office of Environmental Management (EM) agreed with our recommendation. EM stated it will revise its Strategic Human Capital Plan to align with leading practices, incorporating forward-looking strategies and clearly define performance targets and measures, as well as develop comprehensive succession plans. EM estimated completing this action by December 2026.
Department of Energy The Secretary of Energy should ensure the Office of the Chief Human Capital Officer and EM review and update their MOA to address key collaboration practices including reviewing and updating guidance, use and access of human capital data, and a regular feedback mechanism to identify and address problems continually as service needs change. (Recommendation 2)
Open
In a letter responding to our report, the Office of Environmental Management (EM) agreed with our recommendation. EM stated that it will collaborate with the Office of the Chief Human Capital Officer to review and update the MOA and engage in regular feedback. EM estimated completing this action by September 2025.
Department of Energy The Senior Advisor for EM should ensure that EM provides guidance and training to hiring and resource managers on the use of all available recruitment, hiring, and retention flexibilities, benefits, and incentives. (Recommendation 3)
Open
In a letter responding to our report, the Office of Environmental Management (EM) agreed with our recommendation. EM stated that it will continue to work with the Shared Service Center to provide comprehensive guidance and training to hiring and resource managers regarding the use of all available recruitment, hiring, and retention flexibilities, benefits, and incentives. EM estimated completing this action by September 2025.
Department of Energy The Senior Advisor for EM should develop and implement a strategy for a multigenerational pipeline, which includes, where appropriate, reclassifying vacant EM positions to cover a broader range of GS levels and prioritizing the use of intern and fellowship programs that provide authority to convert such staff to permanent appointments. (Recommendation 4)
Open
In a letter responding to our report, the Office of Environmental Management (EM) agreed with our recommendation. EM stated that it will reclassify vacant positions to cover a broader range of General Schedule levels and recruit skilled personnel across different career stages, while prioritizing the use of intern and fellowship programs that provide authority to convert staff to permanent appointments. EM estimated completing this action by December 2026.
Department of Energy The Senior Advisor for EM should develop a strategy, based on forwardlooking planning, for using EK and EJ positions across the complex, which, depending on its authority, may be used to propose the authorization of additional EK or EJ positions for EM. (Recommendation 5)
Open
In a letter responding to our report, the Office of Environmental Management (EM) agreed with our recommendation. EM stated that it will develop a strategy involving a comprehensive assessment of current staffing needs, future workforce requirements, and emerging environmental challenges to effectively use EK and EJ positions across the complex. EM estimated completing this action by December 2026.

Nuclear Waste Cleanup: Closer Alignment with Leading Practices Needed to Improve Department of Energy Program Management
GAO-24-105975
Jul 08, 2024
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7 Open Recommendations
Agency Affected Recommendation Status
Department of Energy The Senior Advisor for the Office of Environmental Management should ensure EM strategic plans, roadmaps, and program management plans follow best practices for being comprehensive for the entire EM program and, as applicable, for each site. (Recommendation 1)
Open
When we confirm what actions the agency has taken in response to this recommendation, we will provide updated information.
Department of Energy The Senior Advisor for the Office of Environmental Management should ensure the EM program's integrated master schedule (1) is comprehensive, (2) includes site-level and program-wide interdependencies, and (3) is based on realistic assumptions. (Recommendation 2)
Open
When we confirm what actions the agency has taken in response to this recommendation, we will provide updated information.
Department of Energy The Senior Advisor for the Office of Environmental Management should ensure that, as EM implements its risk management policy, EM follows the seven key processes for a risk management framework. (Recommendation 3)
Open
When we confirm what actions the agency has taken in response to this recommendation, we will provide updated information.
Department of Energy The Senior Advisor for the Office of Environmental Management should ensure EM develops program-wide performance metrics that follow the key components of effective performance metrics, as applicable, such as by developing performance metrics that measure the cost per unit of radioactivity treated. (Recommendation 4)
Open
When we confirm what actions the agency has taken in response to this recommendation, we will provide updated information.
Department of Energy The Senior Advisor for the Office of Environmental Management should ensure that monitoring and change control processes are standardized to facilitate integration and reporting of data EM-wide. (Recommendation 5)
Open
When we confirm what actions the agency has taken in response to this recommendation, we will provide updated information.
Department of Energy The Senior Advisor for the Office of Environmental Management should ensure that, when a site FSLE exceeds a change control threshold that requires the Senior Advisor's approval and a root cause analysis under the Protocol, (1) the site's root cause analysis be accompanied by a corrective action plan and that corrective actions are tracked through completion, (2) an independent review is performed that includes an assessment and validation of the extent to which the corrective actions resolve the root causes identified, and (3) EM report each year on the program impacts of the independent reviews and outcomes of corrective actions, such as through EM's program plan updates. (Recommendation 6)
Open
When we confirm what actions the agency has taken in response to this recommendation, we will provide updated information.

Department of Energy: Actions Needed to Assess U.S. Manufacturing Policy and Protect Technology from Foreign Acquisition
GAO-24-106504
Jun 24, 2024
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6 Open Recommendations
Agency Affected Recommendation Status
Department of Energy To improve DOE's oversight of intellectual property licensing practices, U.S. manufacturing policies, and risk management strategies, we recommend that the Secretary of Energy ensure that the Office of the Assistant General Counsel for Technology Transfer and Intellectual Property develop and implement, in coordination with DOE's Office of Technology Transitions and other relevant offices, a strategy or approach for monitoring and assessing the effects of the U.S. Competitiveness Provision pursuant to its 2021 DEC and identify whether it is achieving progress towards planned performance. (Recommendation 1).
Open
When we confirm what actions the agency has taken in response to this recommendation, we will provide updated information.
Department of Energy To improve DOE's oversight of intellectual property licensing practices, U.S. manufacturing policies, and risk management strategies, we recommend that the Secretary of Energy ensure that the Office of the Assistant General Counsel for Technology Transfer and Intellectual Property provide additional guidance to waiver or modification applicants to help improve transparency on how to demonstrate alternative benefits to the U.S. economy, such as clear examples for approval, as well as communicate expectations for waiver review timelines. (Recommendation 2)
Open
When we confirm what actions the agency has taken in response to this recommendation, we will provide updated information.
Department of Energy To improve DOE's oversight of intellectual property licensing practices, U.S. manufacturing policies, and risk management strategies, we recommend that the Secretary of Energy ensure that the Office of the Assistant General Counsel for Technology Transfer and Intellectual Property provide clarifying information to universities for monitoring compliance with U.S. manufacturing commitments, including guidance on how it interprets "manufactured substantially in the United States." (Recommendation 3)
Open
When we confirm what actions the agency has taken in response to this recommendation, we will provide updated information.
Department of Energy To improve DOE's oversight of intellectual property licensing practices, U.S. manufacturing policies, and risk management strategies, we recommend that the Secretary of Energy ensure that the Office of the Assistant General Counsel for Technology Transfer and Intellectual Property conduct a review of university licensing procedures to ensure that appropriate licensing monitoring and enforcement practices are in place. (Recommendation 4)
Open
When we confirm what actions the agency has taken in response to this recommendation, we will provide updated information.
Department of Energy To improve DOE's oversight of intellectual property licensing practices, U.S. manufacturing policies, and risk management strategies, we recommend that the Secretary of Energy ensure that the Office of the Assistant General Counsel for Technology Transfer and Intellectual Property provide guidance to labs and universities on license provisions and other risk management practices and procedures for monitoring licensee foreign ownership, with consideration of critical and emerging technologies, to encourage consistency across all DOE-funded inventions. (Recommendation 5)
Open
When we confirm what actions the agency has taken in response to this recommendation, we will provide updated information.
Department of Energy To improve DOE's oversight of intellectual property licensing practices, U.S. manufacturing policies, and risk management strategies, we recommend that the Secretary of Energy ensure that the Office of the Assistant General Counsel for Technology Transfer and Intellectual Property develop and implement procedures or a DOE order for labs detailing when counterintelligence reviews of potential and existing licensees are indicated. (Recommendation 6)
Open
When we confirm what actions the agency has taken in response to this recommendation, we will provide updated information.
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