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Open Recommendations

Freedom of Information Act: Actions Needed to Improve Agency Compliance with Proactive Disclosure Requirements

GAO-21-254
Mar 17, 2021
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8 Open Recommendations
Agency Affected Recommendation Status
Federal Aviation Administration The FAA Administrator should document proactive disclosure requirements and procedures to clearly establish roles and responsibilities for complying with the FOIA statute and DOT regulations. (Recommendation 1)
Open
When we confirm what actions the agency has taken in response to this recommendation, we will provide updated information.
Department of Housing and Urban Development The HUD Chief FOIA Officer should update HUD proactive disclosure policies, such as its standard operating procedures, to document current requirements, roles, and responsibilities for complying with the FOIA statute and HUD regulations. (Recommendation 2)
Open
When we confirm what actions the agency has taken in response to this recommendation, we will provide updated information.
Department of Housing and Urban Development The HUD Chief FOIA Officer should comply with proactive disclosure requirements, including identifying and electronically posting all records that have been released in response to a FOIA request and requested three or more times. (Recommendation 3)
Open
When we confirm what actions the agency has taken in response to this recommendation, we will provide updated information.
Federal Aviation Administration The FAA Administrator should track the number of proactive disclosures for all required categories and report this information in DOT's <i>Annual FOIA Report</i>. (Recommendation 4)
Open
When we confirm what actions the agency has taken in response to this recommendation, we will provide updated information.
Department of Housing and Urban Development The HUD Chief FOIA Officer should track the number of proactive disclosures and report this information in its <i>Annual FOIA Report</i>. (Recommendation 5)
Open
When we confirm what actions the agency has taken in response to this recommendation, we will provide updated information.
Veterans Health Administration The VA Under Secretary for Health should track the number of proactive disclosures for all required categories and report this information in VA's <i>Annual FOIA Report</i>. (Recommendation 6)
Open
When we confirm what actions the agency has taken in response to this recommendation, we will provide updated information.

Open Data: Agencies Need Guidance to Establish Comprehensive Data Inventories; Information on Their Progress is Limited

GAO-21-29
Oct 08, 2020
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3 Open Recommendations
Agency Affected Recommendation Status
Office of Management and Budget 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)
Open
When we confirm what actions the agency has taken in response to this recommendation, we will provide updated information.
Office of Management and Budget 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)
Open
When we confirm what actions the agency has taken in response to this recommendation, we will provide updated information.
Office of Management and Budget 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)
Open
When we confirm what actions the agency has taken in response to this recommendation, we will provide updated information.

Coast Guard: Actions Needed to Ensure Investments in Key Data System Meet Mission and User Needs

GAO-20-562
Jul 16, 2020
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4 Open Recommendations
Agency Affected Recommendation Status
United States Coast Guard 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)
Open
The Department of Homeland Security concurred with this recommendation and said that it will assess the data errors and inconsistencies reported by program offices and users to address the cause of both in the short-term, or as a long-term strategy for correction. As of January 2021, the Coast Guard reported it had completed a review of data errors and inconsistencies reported by program offices. According to the Coast Guard, it has submitted for preliminary review by the Non-Major Acquisition Oversight Council a MISLE function designed to merge duplicate records. The Coast Guard said that it will reassess data errors and inconsistent entries following completion of the MISLE Merge initiative. The estimated date of completion is December 31, 2021.
United States Coast Guard 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)
Open
The Department of Homeland Security concurred with this recommendation and said that MISLE program managers are reviewing the standardization team's assessment and recommendations for MISLE improvements. As of January 2021, the Coast Guard reported that a Coast Guard Mission Case Management Integrated Product Team is developing a capabilities-based analysis and requirements document for a potential MISLE replacement, to be completed in the second quarter of fiscal year 2021 and the third quarter of fiscal year 2022, respectively. The Coast Guard said that it is too early in the process to provide an estimated completion date.
United States Coast Guard 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)
Open
The Department of Homeland Security concurred with this recommendation and determined in May 2020 that MISLE needs to be replaced. The Coast Guard said that it also established an integrated product team to analyze and document the capability gaps, mission needs, and operational requirements for a case management system to replace MISLE. The team's initial effort is focused on preparing a capabilities-based analysis to provide a comprehensive list of case types, current capabilities, and needs across the wide range of Coast Guard missions and mission support activities. The assessment will provide the foundation for work on a capabilities analysis report and mission needs statement. According to the Coast Guard, the assessment is scheduled for completion in March 2021, and will also determine next steps in the development process, the earliest of which could be completed by August 2021.
United States Coast Guard 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)
Open
The Coast Guard concurred with this recommendation and determined in May 2020 that MISLE needs to be replaced. The Coast Guard said that it also established an integrated product team to analyze and document the capability gaps, mission needs, and operational requirements for a case management system to replace MISLE. The team's initial effort is focused on preparing a capabilities-based analysis to provide a comprehensive list of case types, current capabilities, and needs across the wide range of Coast Guard missions and mission support activities. The assessment will provide the foundation for work on capabilities analysis report and the mission needs statement, and is scheduled for completion in March 2021. According to the Coast Guard, the assessment will also determine next steps in the development process, which includes work on an analysis of alternatives. The Coast Guard said that the earliest estimated date of completion for an analysis of alternatives is December 2021, which will determine the Coast Guard's next step in finding a solution to replace MISLE. The Coast Guard said that, as a result, it is too early to estimate when it can fully implement the recommendation.

Information Management: Selected Agencies Need to Fully Address Federal Electronic Recordkeeping Requirements

GAO-20-59
Mar 30, 2020
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42 Open Recommendations
Agency Affected Recommendation Status
Office of the Archivist 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)
Open
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.
Office of the Archivist The Archivist of the United States should monitor the agencies' progress towards these efforts on a regular basis. (Recommendation 2)
Open
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.
Armed Forces Retirement Home 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)
Open
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.
Armed Forces Retirement Home 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)
Open
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.
Armed Forces Retirement Home 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)
Open
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.
Armed Forces Retirement Home 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)
Open
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.
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