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Army Pacific Pathways: Comprehensive Assessment and Planning Needed to Capture Benefits Relative to Costs and Enhance Value for Participating Units, Report to Congressional Committees [Reissued on November 30, 2016]
From the Highlights: "In accordance with the shift in U.S. strategy and rebalance of military forces to the Asia-Pacific, USARPAC [U.S. Army Pacific] has turned its focus toward rebuilding its expeditionary readiness. To this end, USARPAC launched the Pacific Pathways initiative in 2014, in which it deploys a battalion-sized task force for approximately 90 days to conduct a series of exercises in the Asia-Pacific for the purpose of enhancing readiness and strengthening relationships with allies, among other things. As of September 2016, USARPAC had completed six Pathway operations. House Report 114-102 accompanying a bill for the National Defense Authorization Act for Fiscal Year 2016 included a provision for GAO [Government Accountability Office] to review the Pacific Pathways initiative. This report examines the extent to which the Army has (1) assessed the costs and benefits of Pacific Pathways; and (2) synchronized plans and incorporated training objectives of supporting units to maximize the training value for all participating Army forces. GAO reviewed documents and data and interviewed relevant officials involved in Pacific Pathways. GAO recommends that USARPAC conduct a comprehensive analysis of Pathways' benefits in light of its costs, better synchronize planning, and integrate supporting units' training objectives. DOD partially concurred with the first recommendation and concurred with the other two. DOD said that USARPAC understands the strategic benefits and a comprehensive analysis is not needed. GAO believes that this recommendation is still valid, as discussed in this report." This report was re-issued on 30 November 2016 to correct a section of the highlights portion of the document.
United States. Government Accountability Office
2016-11-14
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State Partnership Program: DOD Should Ensure Partner States Record Completed Activities and Clarify Appropriate Authorities, Report to Congressional Requesters
From the Highlights: "DOD views the SPP [State Partnership Program] as a critical tool for conducting security cooperation activities and establishing and sustaining relationships with international partners. Since 1993, the SPP has expanded from 15 to 93 partner nations across six combatant commands. GAO [Government Accountability Office] was asked to review DOD's oversight and resourcing of the SPP. This report describes 1) how the NGB [National Guard Bureau] has prioritized SPP funding; and evaluates the extent to which: 2) partner states have recorded completed SPP activities in a timely manner, and 3) DOD has addressed SPP stakeholders' understanding about which statutory authorities to apply when conducting SPP activities. [...] GAO is making two recommendations to DOD to prioritize partner states' timely recording of completed SPP activities, and to set a time frame for clarifying the use of statutory authorities that apply to SPP activities. DOD concurred with both recommendations."
United States. Government Accountability Office
2022-07
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Federal Spending Transparency: OIGs Identified a Variety of Issues with the Quality of Agencies' Data Submissions, Report to Congressional Addressees
From the Highlights: "One of the purposes of the DATA Act [Digital Accountability and Transparency Act of 2014] is to increase accountability and transparency of federal spending. The act required OIGs [Offices of Inspector Generals] to issue three reports evaluating the completeness, timeliness, quality, and accuracy of each agency's spending data and its implementation and use of applicable data standards. The act also includes a provision for GAO [Government Accountability Office] to review the OIG reports and to assess and compare the completeness, timeliness, quality, and accuracy of federal agencies' submitted data and their implementation and use of data standards. This is the third GAO review of the OIG reports. This report summarizes the results in the 57 reports OIGs issued on or before December 31, 2021, assessing the quality of agencies' federal spending data. [...] In March 2022, GAO recommended [hyperlink] that Congress consider amending the DATA Act to extend the requirement for OIGs to review the completeness, timeliness, quality, and accuracy of their agencies' data submissions periodically. GAO is not making recommendations in this report."
United States. Government Accountability Office
2022-07
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Servicemember Rights: Mandatory Arbitration Clauses Have Affected Some Employment and Consumer Claims but the Extent of Their Effects is Unknown, Report to Congressional Committees
From the Highlights: "Servicemembers are among millions of Americans who enter into contracts or agreements with mandatory arbitration clauses. For example, these provisions may be included in the contracts servicemembers sign when they enter the civilian workforce, obtain a car loan, or lease an apartment. These contracts generally require disputes to be resolved in private proceedings with arbitrators rather than in court. Due to concerns these clauses may not afford servicemembers certain employment and consumer rights, Congress included a provision in the National Defense Authorization Act for Fiscal Year 2020 for GAO [Government Accountability Office] to study their effects on servicemembers' ability to file claims under USERRA [Uniformed Services Employment and Reemployment Rights Act of 1994] and SCRA [Servicemembers Civil Relief Act]. This report examines (1) the effect mandatory arbitration has on servicemembers' ability to file claims and obtain relief for violations of USERRA and SCRA, and (2) the extent to which data are available to determine the prevalence of mandatory arbitration clauses and their effect on servicemember claims."
United States. Government Accountability Office
2021-02
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Defense Industrial Base: DOD Should Take Actions to Strengthen Its Risk Mitigation Approach, Report to Congressional Committees
From the Government Accountability Office (GAO) Highlights: "A healthy defense industrial base that provides the capacity and capability to produce advanced weapon systems is critical to maintaining U.S. national security objectives. The U.S. industrial base currently consists of over 200,000 companies. Mitigating risks--such as reliance on foreign and single-source suppliers--is essential for DOD to avoid supply disruptions and ensure that the industrial base can meet current and future needs. Since 2017, the White House has issued executive orders directing DOD and other agencies to assess risks to the defense industrial base and high priority supply chains such as semiconductors. Congress also directed DOD to develop an analytical framework for mitigating risks and included a provision for GAO to review DOD's efforts. This report assesses (1) DOD's strategy for mitigating industrial base risks, and (2) the extent to which DOD is monitoring and reporting on its progress in mitigating risks. GAO analyzed DOD policies and reports and interviewed DOD officials. [...] GAO is making six recommendations, including that DOD develop a consolidated and comprehensive strategy to mitigate industrial base risks; develop and use enterprise-wide performance measures to monitor the aggregate effectiveness of its efforts; and report on its progress in mitigating risks. DOD generally concurred with the recommendations and identified some actions to address them."
United States. Government Accountability Office
2022-07-07
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Foreign Trade Zones: CBP Should Strengthen Its Ability to Assess and Respond to Compliance Risks across the Program, Report to the Ranking Member, Committee on Finance, U.S. Senate
From the Highlights: "The FTZ [Foreign Trade Zones] program was established in 1934 to expedite and encourage international trade and commerce. FTZs provide benefits to companies that import foreign goods for distribution or for manufacturing in order to encourage them to maintain and expand their operations in the United States. The total value of foreign and domestic goods admitted to FTZs in 2015 was about $660 billion. CBP [U.S. Customs and Border Protection] is responsible for oversight and enforcement in FTZs, including revenue collection and assessing risk of noncompliance with U.S. laws and regulations. GAO [Government Accountability Office] was asked to review CBP's oversight of FTZs and FTZs' economic impact. This report examines (1) the benefits of the FTZ program to companies operating FTZs and revenues collected from FTZs, (2) what is known about FTZs' economic impact, and (3) CBP's ability to assess and respond to compliance risks across the FTZ program. GAO analyzed CBP documents and data, interviewed agency officials and FTZ operators, and visited five FTZs based on trade volume, industry sector, and FTZ activity. […] GAO makes three recommendations to CBP to strengthen its ability to assess and respond to compliance risks across the FTZ program, including actions to centrally compile FTZ compliance and enforcement data, and to conduct a risk analysis of the FTZ program. CBP concurred with these recommendations and identified steps it will take to address them."
United States. Government Accountability Office
2017-07
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Building Partner Capacity: Inventory of Department of Defense Security Cooperation and Department of State Security Assistance Efforts
From the Document: "Since the terrorist attacks on the United States in September 2001, the U.S. government has engaged in numerous efforts to build the capacity of foreign partners to address security-related threats-an objective that has become increasingly prominent in U.S. national security strategy and foreign policy in recent years. Much of U.S. assistance intended for this purpose has been undertaken as security cooperation efforts by the Department of Defense (DOD) and as security assistance efforts by the Department of State (State), with the help of various implementing partners. However, according to the RAND Corporation (RAND), the rapid growth of legal authorities and programs associated with security cooperation and assistance has led to redundancies, limitations, and gaps. RAND also noted that this rapid growth of legal authorities and programs has led to expanding demands on DOD staff who must navigate through them as well as through unsynchronized processes, resources, programs, and organizations to execute individual initiatives with partner nations. […] We identified 194 DOD security cooperation and State security assistance efforts that may be used to build foreign partner capacity to address security-related threats. […] We determined that DOD has 56 efforts for which the listed associated authorities do not require any State involvement and 87 efforts for which at least one of the listed associated authorities requires some level of State involvement. State has 22 efforts for which the listed associated authorities do not require any DOD involvement and 30 efforts for which at least one of the listed associated authorities require some level of DOD involvement."
United States. Government Accountability Office
2017-03-24
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Trade Enforcement: Information on U.S. Agencies' Monitoring and Enforcement Resources for International Trade Agreements, Report to Congressional Committees
From the Highlights: "Monitoring and enforcing trade agreements is a key element of the U.S. government's efforts to boost exports of U.S. goods and services. The vast majority of U.S. exports, which totaled $2.26 trillion in 2015, are covered by at least one trade agreement to which the United States is a party. These agreements include multilateral World Trade Organization agreements and bilateral or regional FTAs [free trade agreements] with 20 countries. The Office of the U.S. Trade Representative and several other federal agencies share responsibility for monitoring and enforcing partner countries' compliance with trade agreements. The U.S. government also provides trade capacity-building assistance, which includes goals to help partner countries meet their obligations under trade agreements. The Trade Facilitation and Trade Enforcement Act of 2015, Public Law 114-25, includes a provision for GAO [Government Accountability Office] to examine federal agencies' resources to monitor and enforce international trade agreements. This report (1) examines agencies' resources and activities for monitoring and enforcing international trade agreements in fiscal year 2016 and (2) identifies agencies' trade capacity-building projects, active in fiscal year 2016, to assist FTA partner countries in meeting their obligations under these agreements. GAO reviewed agency documents, interviewed agency officials, and analyzed agencies' estimates of resources used to monitor and enforce trade agreements. GAO is making no recommendations in this report."
United States. Government Accountability Office
2017-04
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Cuba: U.S. Policy Changes Increased Engagement with Private Sector, but Agency Information Collection Is Limited, Report to Congressional Requesters
From the Highlights: "In the more than 50 years since it established an embargo on Cuba, the U.S. government has pursued a policy designed to isolate Cuba's communist regime. In December 2014, the President announced a significant change in U.S. policy. Since then, the U.S. government has restored diplomatic relations with Cuba and modified some aspects of the U.S. embargo. The Cuban government has also implemented economic reforms in recent years to allow for certain private sector activity. While much of Cuba's economy is still state-controlled and the U.S. embargo on Cuba remains in place, developments in recent years have created new opportunities for U.S. economic engagement with Cuba. This report examines what is known about (1) the size and scope of the Cuban private sector, (2) the effect of changes to U.S. legal and regulatory restrictions on the Cuban private sector and U.S. businesses, and (3) the extent to which the U.S. government has planned and implemented activities to increase U.S. engagement with the Cuban private sector and expand U.S. economic opportunities in Cuba. GAO [Government Accountability Office] analyzed U.S. government and other assessments of the Cuban private sector, analyzed Cuban government data, interviewed U.S. federal and nonfederal Cuba experts, and conducted fieldwork in Cuba. GAO recommends that State, in consultation with key agencies, take steps to identify and collect information to monitor changes in economic engagement resulting from the shift in U.S. policy. State concurred with the recommendation."
United States. Government Accountability Office
2016-12-15
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Countering ISIS and Its Effects: Key Issues for Oversight, Report to Congressional Addressees
From the Document: "To generate a list of possible key issues to include in this special publication on countering ISIS [Islamic State in Iraq and Syria] and its effects, we reviewed past products about U.S. efforts to counter ISIS by GAO [Government Accountability Office], cognizant agency inspectors general (including the Lead Inspector General for Overseas Contingency Operations), the Congressional Research Service, and research institutions. Working with GAO subject matter experts, we narrowed the list of issues and identified potential oversight questions. We interviewed cognizant agency officials from State, including the office of the Special Presidential Envoy for the Global Coalition to Counter ISIL [Islamic State in Iraq and the Levant]; DOD; DHS; the Department of the Treasury (Treasury); DOJ [Department of Justice], including the Federal Bureau of Investigation; and USAID [United States Agency for International Development]. We also interviewed staff from the Congressional Research Service and several members of the Comptroller General's Advisory Board with extensive national security experience. We used these interviews to refine our key issues, gain updated information, and follow up on actions taken regarding our past recommendations. We then synthesized this information to provide a balanced and comprehensive overview for each issue and pose oversight questions. Further information on our scope and methodologies, as well as data reliability assessments, can be found in the reports referenced in appendix II. We prepared this report under the authority of the Comptroller General to conduct work on his initiative because of broad congressional interest in the oversight and accountability of U.S. funds provided to counter ISIS to assist Congress with its oversight responsibilities."
United States. Government Accountability Office
2017-07-18
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Syrian Refugees: U.S. Agencies Conduct Financial Oversight Activities for Humanitarian Assistance but Should Strengthen Monitoring, Report to Congressional Requesters
From the Highlights: "The ongoing conflict in Syria has created a complex humanitarian crisis, displacing more than 5 million Syrians to neighboring countries. The United States has led the global funding effort to provide humanitarian assistance to people affected by the conflict. GAO [Government Accountability Office] was asked to review humanitarian assistance provided by State, USAID [U.S. Agency for International Development], and their implementing partners to Syrian refugees in the Middle East. This report examines (1) the amount of funding U.S. agencies have obligated and types of assistance provided and (2) the extent to which State [Department of State] and USAID provide financial oversight of such assistance. GAO analyzed State and USAID data; examined a nongeneralizable sample of 33 funding instruments for fiscal years 2015 and 2016 involving 15 implementing partners; analyzed State and USAID oversight activities; interviewed relevant officials, and conducted fieldwork in Lebanon and Jordan, where most of State and USAID's humanitarian assistance funding has been obligated. [...] To improve financial oversight of programs assisting Syrian refugees, GAO recommends that State and USAID identify and implement a mechanism to conduct in-person monitoring visits in countries where security conditions limit such visits by U.S. officials. State and USAID concurred with GAO's recommendations."
United States. Government Accountability Office
2017-10
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Iraqi and Syrian Cultural Property: U.S. Government Committee Should Incorporate Additional Collaboration Practices, Report to Congressional Requesters
From the Highlights: "The conflicts in Iraq and Syria that began in 2003 and 2011, respectively, have led to the destruction, looting, and trafficking of cultural property by Islamic State of Iraq and Syria (ISIS) and others. The United Nations called these events the worst cultural heritage crisis since World War II and reported that ISIS has used the sale of looted Iraqi and Syrian cultural property to support its terrorist activities. Congress authorized and the President imposed import restrictions on archaeological or ethnological material of Iraq in 2008 and Syria in 2016. The act directing Syrian restrictions also includes a sense of Congress that the President should establish an interagency committee to coordinate executive branch efforts on international cultural property protection. GAO [Government Accountability Office] was asked to review U.S. efforts to protect Iraqi and Syrian cultural property. This report examines (1) actions DHS and DOJ [Department of Justice] have taken to enforce U.S. laws and regulations involving restrictions on such property and (2) the extent to which CHCC [Cultural Heritage Coordinating Committee] participants collaborate to protect cultural property. GAO reviewed documents related to 17 DHS- or DOJ-led cultural property investigations, interviewed officials, and assessed the extent of CHCC collaboration using GAO's key practices. GAO recommends that State work with other CHCC participants to (1) develop goals, (2) clarify participants' roles and responsibilities, and (3) document collaborative agreement in the CHCC and its working groups. State concurs with GAO's recommendations."
United States. Government Accountability Office
2017-09
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Export-Import Bank: Status of End-Use Monitoring of Dual-Use Exports as of August 2017
From the Document: "The mission of the Export-Import Bank of the United States (Ex-Im) is to support the export of U.S. goods and services overseas through loans, loan guarantees, and insurance, thereby supporting U.S. jobs. [...] To address these objectives, we reviewed Ex-Im documentation--including Ex-Im guidance, credit agreements, technical operating reports, annual end-use certifications, and database records--and interviewed Ex-Im officials in Washington, D.C. We did not independently verify the information that buyers provided to Ex-Im or assess the effectiveness of Ex-Im's methods to determine end use. However, on the basis of our prior reporting and Ex-Im's confirmation that as of May 2017 no changes had been made to the database used to maintain information on dual-use exports, we determined that Ex-Im's data on the status of dual-use exports were sufficiently reliable for our purposes. We conducted this performance audit from April 2017 to August 2017 in accordance with generally accepted government auditing standards. Those standards require that we plan and perform the audit to obtain sufficient, appropriate evidence to provide a reasonable basis for our findings and conclusions based on our audit objectives. We believe that the evidence obtained provides a reasonable basis for our findings and conclusions based on our audit objectives."
United States. Government Accountability Office
2017-08-29
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Information Technology: Agencies Need to Develop Modernization Plans for Critical Legacy Systems, Report to Congressional Requesters
From the GAO [Government Accountability Office] Highlights: "The federal government plans to spend over $90 billion in fiscal year 2019 on IT [information technology]. About 80 percent of this amount is used to operate and maintain existing IT investments, including aging (also called legacy) systems. As they age, legacy systems can be more costly to maintain, more exposed to cybersecurity risks, and less effective in meeting their intended purpose. GAO was asked to review federal agencies' legacy systems. This report (1) identifies the most critical federal legacy systems in need of modernization and evaluates agency plans for modernizing them, and (2) identifies examples of legacy system modernization initiatives that agencies considered successful."
United States. Government Accountability Office
2019-06
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Overseas Conflicts: U.S. Agencies Have Coordinated Stabilization Efforts but Need to Document Their Agreement, Report to the Chairman, Subcommittee on Regulatory Affairs and Federal Management, Committee on Homeland Security and Governmental Affairs, U.S. Senate
From the Highlights: "The United States has a national security interest in promoting stability in conflict-affected countries to prevent or mitigate the consequences of armed conflict, according to the 2017 National Security Strategy. State, USAID [U.S. Agency for International Development], and DOD have reported that a collaborative government approach is an essential part of maximizing the effectiveness of U.S. efforts in conflict-affected areas. GAO [Government Accountability Office] was asked to review U.S. conflict prevention, mitigation, and stabilization efforts abroad. This report (1) describes examples of conflict prevention, mitigation, and stabilization efforts that U.S. agencies and USIP [U.S. Institute of Peace] conducted in Iraq, Nigeria, and Syria and their goals in fiscal year 2017 and (2) examines the extent to which U.S. agencies and USIP incorporated key collaboration practices to coordinate their efforts. GAO collected data from the agencies and USIP on their efforts and goals in Iraq, Nigeria, and Syria. GAO selected these countries based on U.S. national security interests, among other criteria. GAO reviewed agency and USIP documents, interviewed officials, and conducted fieldwork in Iraq, Nigeria, and Jordan. GAO assessed coordination against key practices identified by GAO to enhance interagency collaboration."
United States. Government Accountability Office
2018-09
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Security Assistance: U.S. Agencies Should Establish a Mechanism to Assess Caribbean Basin Security Initiative Progress, Report to Congressional Requesters
From the Highlights: "The Caribbean region, which shares geographic proximity and common interests with the United States, faces high rates of crime and violence. In 2010, the United States and Caribbean countries formally launched CBSI [Caribbean Basin Security Initiative], which aims to increase citizen safety. GAO [Government Accountability Office] was asked to examine U.S. assistance through CBSI. This report (1) discusses U.S. funding for CBSI activities, (2) examines the extent to which there is a planning and reporting process for CBSI, and (3) examines the extent to which State and USAID [U.S. Agency for International Development] have established objectives and performance indicators to measure progress of their CBSI activities."
United States. Government Accountability Office
2019-02
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Department of State: Integrated Action Plan Could Enhance Efforts to Reduce Persistent Overseas Foreign Service Vacancies, Report to Congressional Requesters
From the Document: "State staffs Foreign Service employees to more than 270 embassies and consulates worldwide to advance U.S. foreign policy and economic interests. In 2009 and 2012, GAO [Government Accountability Office] identified ongoing Foreign Service staffing gaps. GAO was asked to review State's Foreign Service staffing. This report examines (1) vacancies in State's Foreign Service staffing at overseas posts, (2) reported effects of Foreign Service vacancies on diplomatic readiness, and (3) State's efforts to address Foreign Service vacancies."
United States. Government Accountability Office
2019-03
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Tobacco Exports: Agencies Have Implemented Restrictions on Promoting Tobacco Overseas but Additional Actions Could Strengthen Their Efforts, Report to Congressional Requesters
From the Highlights: "The World Health Organization estimates that tobacco use kills over 7 million people each year, more than tuberculosis, HIV/AIDS, and malaria combined. Since the 1990s, Congress has enacted restrictions regarding the use of certain appropriated funds to promote U.S. tobacco exports. GAO [Government Accountability Office] was asked to review the implementation of these restrictions. This report examines (1) guidance select U.S. agencies have issued to implement these restrictions, (2) whether overseas officials from select U.S. agencies were aware of the restrictions and guidance, and (3) select U.S. agencies' implementation of the guidance overseas. GAO reviewed U.S. laws, agency guidance, and internal communications; analyzed Commerce data; and interviewed agency officials in Washington, D.C. and in 24 offices across 11 overseas posts in 9 countries. GAO selected these countries based on criteria that included U.S. tobacco export totals, smoking rates, and geographic dispersion."
United States. Government Accountability Office
2018-12
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Contact Tracing for Air Travel: CDC's Data System Needs Substantial Improvement
From the GAO [Government Accountability Office] Highlights: "The COVID-19 [coronavirus disease 2019] pandemic has underscored the importance of public health measures aimed at controlling the transmission of communicable diseases. Air travel can play a role in quickly spreading communicable diseases across the world and throughout communities. Given this potential, contact tracing for air passengers is an important measure for protecting public health. GAO was asked to examine CDC [Centers for Disease Control and Prevention]'s process for collecting and managing air passengers' contact information to facilitate contact tracing. This report addresses: (1) the factors that affect CDC's ability to collect this information, (2) recent actions CDC has taken to improve the quality of the information it collects, and (3) how effectively it collects and manages this information. GAO reviewed relevant federal documentation, including regulations, orders, technical guidance, and public comments, as well as available CDC data. GAO also interviewed officials from CDC, U.S. Customs and Border Protection, and the Federal Aviation Administration, and selected representatives from the aviation, travel, and public health industries."
United States. Government Accountability Office
2022-07
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Electronic Warfare: DOD Actions Needed to Strengthen Management and Oversight, Report to the Committee on Armed Services, House of Representatives
From the Highlights: "DOD has committed billions of dollars to developing, maintaining, and employing warfighting capabilities that rely on access to the electromagnetic spectrum. According to DOD, electronic warfare capabilities play a critical and potentially growing role in ensuring the U.S. military's access to and use of the electromagnetic spectrum. GAO [Government Accountability Office] was asked to assess the extent to which DOD (1) developed a strategy to manage electronic warfare and (2) planned, organized, and implemented an effective governance structure to oversee its electronic warfare policy and programs and their relationship to cyberspace operations. GAO analyzed policies, plans, and studies related to electronic warfare and cyberspace operations and interviewed cognizant DOD officials. [...] GAO recommends that DOD should (1) include in its future electronic warfare strategy reports to Congress certain key characteristics, including performance measures, key investments and resources, and organizational roles and responsibilities; (2) define objectives and issue an implementation plan for the Joint Electromagnetic Spectrum Control Center; and (3) update key departmental guidance to clearly define oversight roles, responsibilities, and coordination for electronic warfare management, and the relationship between electronic warfare and cyberspace operations. DOD generally concurred with these recommendations, except that the strategy should include performance measures. GAO continues to believe this recommendation has merit."
United States. Government Accountability Office
2012-07
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Federal Information Security: Agencies Need to Correct Weaknesses and Fully Implement Security Programs, Report to Congressional Committees
From the Highlights: "Since 1997, GAO [Government Accountability Office] has designated federal information security as a government-wide high risk area, and in 2003 expanded this area to include computerized systems supporting the nation's critical infrastructure. In February 2015, in its high risk update, GAO further expanded this area to include protecting the privacy of personal information that is collected, maintained, and shared by both federal and nonfederal entities. FISMA [Federal Information Security Management Act] required federal agencies to develop, document, and implement an agency-wide information security program. The act also assigned OMB [Office of Management and Budget] with overseeing agencies' implementation of security requirements. FISMA also included a provision for GAO to periodically report to Congress on (1) the adequacy and effectiveness of agencies' information security policies and practices and (2) agencies' implementation of FISMA requirements. GAO analyzed information security-related reports and data from 24 federal agencies, their inspectors general, and OMB; reviewed prior GAO work; examined documents from OMB and DHS; and spoke to agency officials. GAO is recommending that OMB, in consultation with DHS and others, enhance security program reporting guidance to inspectors general so that the ratings of agency security performance will be consistent and comparable. OMB generally concurred with our recommendation."
United States. Government Accountability Office
2015-09
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2020 Elections: State and Local Perspectives on Election Administration During the COVID-19 Pandemic
From the Highlights: "Election officials faced unprecedented challenges in conducting the 2020 elections during the COVID-19 [coronavirus disease 2019] pandemic. The CARES [Coronavirus Aid, Relief, and Economic Security] Act provided $400 million in grants for states to use to prevent, prepare for, and respond to issues related to the pandemic for the 2020 federal election cycle. The EAC [U.S.
Election Assistance Commission] was responsible for administering the grants. In addition, the EAC serves as a national clearinghouse and resource for the compilation of information and review of procedures with respect to the administration of federal elections. The CARES Act includes a provision for GAO [Government Accountability Office] to report on its ongoing monitoring and oversight efforts related to the COVID-19 pandemic. This report describes (1) the steps states and local jurisdictions took to prepare for and conduct elections in 2020 during the pandemic and the challenges they reported facing, (2) how states and local jurisdictions reported using CARES Act grant funding, and the challenges they reported facing, and (3) what EAC resources and guidance states and local jurisdictions used and their perspectives on such assistance. To address all three objectives, GAO conducted two web-based surveys of election officials. One survey was administered to election offices in all 50 states and the District of Columbia, and achieved a response rate of 84 percent. The other survey was administered to a sample of 829 local election jurisdictions. The survey achieved a weighted response rate of 47 percent, and the design and analysis allows GAO to provide national estimates of the perspectives of local election officials."
United States. Government Accountability Office
2022-07
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Critical Infrastructure Protection: Additional Actions Are Essential for Assessing Cybersecurity Framework Adoption, Report to Congressional Committees
From the Highlights: "Our nation's critical infrastructure includes the public and private systems and assets vital to national security, economic stability, and public health and safety. Federal policy identifies 16 critical infrastructure sectors, including the financial services, energy, transportation, and communications sectors. To better address cyber-related risks to critical infrastructure, in 2014, NIST [National Institute of Standards and Technology] developed, as called for by federal law and policy, 'the Framework for Improving Critical Infrastructure Cybersecurity', a voluntary framework of cybersecurity standards and procedures for industry to adopt. The Cybersecurity Enhancement Act of 2014 included provisions for GAO to review aspects of the cybersecurity standards and procedures in the framework developed by NIST. GAO's [Government Accountability Office] objective was to assess what is known about the extent to which critical infrastructure sectors have adopted the framework. To do so, GAO analyzed documentation, such as sector-specific guidance and tools to facilitate implementation, and interviewed relevant federal and nonfederal officials from the 16 critical infrastructure sectors."
United States. Government Accountability Office
2018-02
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K-12 Education: Characteristics of School Shootings, Report to Congressional Requesters
From the GAO [Government Accountability Office] Highlights: "In addition to the potential loss of life, school shootings can evoke feelings of profound fear and anxiety that disturb a community's sense of safety and security. Questions have been raised about whether schools' approaches to addressing student behavior are a factor in school shootings. These approaches include discipline that removes the offending students from the classroom or school, and preventative approaches meant to change student behaviors before problems arise. GAO was asked to examine school shootings, including the link between discipline and shootings. This report examines 1) the characteristics of school shootings and affected schools, and 2) what is known about the link between discipline and school shootings. To do so, GAO analyzed data on school shootings and school characteristics for school years 2009-10 through 2018-19; and conducted a literature review to identify empirical research from 2009 to 2019 that examined discipline approaches in school, and the effects of these approaches on outcomes of school gun violence, school violence, or school safety. GAO also interviewed selected researchers to gather perspectives about challenges and limitations in conducting research on school discipline and school shootings."
United States. Government Accountability Office
2020-06
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National Nuclear Security Administration: Actions Needed to Clarify Use of Contractor Assurance Systems for Oversight and Performance Evaluation, Report to Congressional Committees
From the Highlights: "The National Nuclear Security Administration (NNSA) is responsible for overseeing the work of seven management and operating (M&O) contractors that execute its programs across eight nuclear security enterprise sites and evaluating their performance. NNSA directed its M&O contractors in 2011 to implement contractor assurance systems (CAS)--systems designed and used by contractors to assure their own performance--that NNSA could also leverage for oversight purposes and thereby improve efficiency. To determine the extent to which to use contractor-generated information made available through CAS, NNSA is to apply a framework for evaluating the risk of contractors' activities, their past performance, and their CAS maturity. GAO was asked to review NNSA's implementation of its framework for using CAS. This report examines the extent to which NNSA has fully established policies and guidance for using information from CAS to (1) oversee M&O contractors and (2) evaluate M&O contractors' performance; and whether NNSA has determined it has sufficient, qualified personnel to implement its framework for using information from CAS for these two purposes. To conduct its work, GAO surveyed all NNSA field offices and analyzed key policies and guidance on NNSA's use of information from CAS. GAO is recommending, among other things, that NNSA develop guidance on using information from CAS to oversee and evaluate M&O contractors, reinstitute a process for evaluating oversight effectiveness, and study staffing needs. NNSA agreed with these recommendations."
United States. Government Accountability Office
2015-05-22
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Management Report: Improvements Are Needed to Enhance the Internal Revenue Service's Internal Control over Financial Reporting
From the Document: "The purpose of this report is to present those internal control deficiencies identified during GAO's audit of IRS's [Internal Revenue Service]fiscal years 2014 and 2013 financial statements for which there are no GAO [Government Accountability Office] recommendations outstanding. Although some of these deficiencies were not discussed in GAO's report on the results of its financial statement audit because they were not considered, either individually or collectively, to be material weaknesses or significant deficiencies, they nonetheless warrant IRS management's attention. This report provides new recommendations to address the internal control issues GAO identified during its fiscal year 2014 audit, and presents the status of recommendations that remained open from prior GAO reports. This report provides 2 new recommendations pertaining to the new control deficiencies that contributed to IRS's continuing material weakness in internal control over unpaid tax assessments and 9 new recommendations related to the other identified deficiencies, for a total of 11 new recommendations. These recommendations are intended to improve IRS's internal controls over its financial management and accountability of resources as well as bring IRS into conformance with its own policies, Standards for Internal Control in the Federal Government, and Office of Management and Budget Circular No. A-123, Management's Responsibility for Internal Control. IRS agreed with all 11 of GAO's new recommendations and stated it is committed to implementing appropriate improvements to ensure that the IRS maintains sound financial management practices."
United States. Government Accountability Office
2015-05-29
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U.S. Parole Commission: Number of Offenders under Its Jurisdiction Has Declined; Transferring Its Jurisdiction for D.C. Offenders Would Pose Challenges, Report to Congressional Requesters
From the Highlights: "U.S. Parole Commission (USPC) was established in 1976, in part to carry out a national parole policy that would govern the release of offenders to community supervision prior to completing their full custody sentences. USPC's budget is just over $13 million for fiscal year 2015. Over time, changes in laws have abolished parole and introduced supervised release--a new form of post-incarceration supervision. As a result, USPC has been reauthorized and has authority to grant and revoke parole for eligible federal and D.C. offenders and to revoke supervised release for D.C. offenders violating the terms of their release. USPC's current authorization is set to expire in 2018. This report addresses (1) changes in the number of offenders under USPC's jurisdiction from fiscal years 2002 through 2014 and (2) the organizational characteristics needed for an entity to feasibly assume jurisdiction of D.C. offenders from USPC, and the feasibility and implications of such a transfer. GAO [Government Accountability Office] analyzed USPC data on federal and D.C. offenders from fiscal years 2002-2014--the most recent years for which reliable data were available--as well as DOJ [Department of Justice] reports on USPC and USPC policies, and determined that the data were sufficiently reliable for our purposes. GAO also discussed with USPC and some of its criminal justice partners the feasibility of transferring USPC's jurisdiction for D.C. offenders and any related challenges."
United States. Government Accountability Office
2015-05-28
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Securities Regulation: SEC Can Further Enhance Its Oversight Program of FINRA, Report to Congressional Committees
From the Highlights: "The securities industry is generally regulated by a combination of federal and industry regulation and oversight. Financial Industry Regulatory Authority (FINRA), a self-regulatory organization, is responsible for regulating securities firms doing business with the public in the United States. The Securities and Exchange Commission (SEC) oversees FINRA's operations and programs. Section 964 of the Dodd-Frank Act mandates the Government Accountability Office (GAO) to triennially review and report on aspects of SEC's oversight of FINRA. GAO issued its first report in May 2012. This report (1) assesses SEC's implementation of a risk-based framework for overseeing FINRA; (2) reviews SEC oversight activities of FINRA operations; and (3) assesses recent inspections of areas listed in Section 964. GAO reviewed and compared SEC documentation on its risk-based oversight with generally accepted risk-management frameworks, and performance management and internal control standards. GAO analyzed SEC inspection procedures for self-regulatory organizations and inspections of four Section 964 areas, against Government Auditing Standards. GAO selected the four inspections partly based on SEC's FINRA risk assessment and frequency of SEC oversight. GAO also interviewed SEC and FINRA officials. SEC should establish specific performance goals and measures, enhance documentation of oversight determinations and changes, and conduct an assessment of internal risks. In response, SEC described the actions they plan to take."
United States. Government Accountability Office
2015-04-30
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Older Adults and Adults with Disabilities: Federal Programs Provide Support for Preventing Falls, but Program Reach is Limited, Report to Congressional Committees
From the Highlights: "Studies report that each year, about one in four older adults--many of whom may also have a disability-- suffers a fall. According to CDC [Centers for Disease Control and Prevention], falls were the leading cause of death from unintentional injury among older adults in 2020. They cost billions of dollars in medical expenses. However, studies also show that assessing and modifying the home environment or using other interventions can help prevent falls. This report examines (1) what federal programs are designed to provide evidence-based falls prevention, home assessments, or home modifications for older adults and adults with disabilities and what do national data indicate about those at greatest risk of falls, (2) what do federal agencies know about how these programs affect participants' health, and (3) to what extent do federal agencies coordinate their efforts and provide consumer information to those at risk of falls. GAO [Government Accountability Office] analyzed CDC falls data from 2020, the most recent data available, and surveyed relevant federal programs. GAO interviewed officials from national aging and disability organizations; and reviewed studies of federal programs, falls prevention resources, and relevant federal laws and regulations. [...] GAO is making three recommendations, including that CDC examine falls data for adults of various ages and that ACL facilitate additional information sharing across federal programs and among its disability network. The agencies concurred with the recommendations."
United States. Government Accountability Office
2022-07
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Nuclear Waste Cleanup: DOE's Efforts to Manage Depleted Uranium Would Benefit from Clearer Legal Authorities, Report to Congressional Committees
From the Highlights: "EM [Office of Environmental Management] is responsible for cleaning up the nuclear waste left behind at two former federal uranium enrichment sites (Portsmouth, in Ohio, and Paducah, in Kentucky). One of the cleanup-related activities is the conversion of DUF6 [depleted uranium hexafluoride]--a highly corrosive by-product of the uranium enrichment process that can be dangerous to human health and the environment--into depleted uranium oxide. This is a more stable chemical form of depleted uranium that can be disposed of or reused. The conversion facilities began operating at Portsmouth in 2010 and Paducah in 2011, but both facilities stopped conversion operations in March 2020 because of the COVID-19 [coronavirus disease 2019] pandemic. Senate Report 117-39 accompanying S. 2792, a bill for the National Defense Authorization Act for Fiscal Year 2022, included a provision for GAO [Government Accountability Office] to review the two conversion facilities. This report examines (1) EM's response to the facilities' COVID-19 shutdown and effects on the facilities' cost and schedule estimates, (2) EM's agreements to provide DUF6 to other entities, and (3) EM's plans for depleted uranium oxide and hydrofluoric acid. GAO reviewed project documentation, transfer and sales agreements, and legislation; and interviewed EM and National Nuclear Security Administration officials, state regulators, and representatives for the disposal facilities. [...] Congress should consider clarifying DOE's [Department of Energy's] authority to sell depleted uranium, as well as any conditions connected to such sales. DOE did not comment on this report."
United States. Government Accountability Office
2022-07
