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Federal Chief Information Security Officers: Opportunities Exist to Improve Roles and Address Challenges to Authority, Report to Congressional Requesters
From the Highlights: "Federal agencies face an ever-increasing array of cyber threats to their information systems and information. To address these threats, FISMA 2014 (Federal Information Security Modernization Act) requires agencies to designate a CISO (chief information security officer)--a key position in agency efforts to manage information security risks. GAO (Government Accountability Office) was asked to review current CISO authorities. This report identifies (1) the key responsibilities of federal CISOs established by federal law and guidance and the extent to which federal agencies have defined the role of the CISO in accordance with law and guidance and (2) key challenges of federal CISOs in fulfilling their responsibilities. GAO reviewed agency security policies, administered a survey to 24 CISOs, interviewed current CISOs, and spoke with officials from OMB [Office of Management and Budget]. GAO is making 33 recommendations to 13 agencies to fully define the role of their CISOs in accordance with FISMA 2014. Twelve of the 13 agencies concurred with the recommendations addressed to them. One agency partially concurred or did not concur with the recommendations directed to it. GAO continues to believe that these recommendations are valid and should be implemented as discussed in this report. GAO also recommends that OMB issue guidance for clarifying CISOs' roles in light of identified challenges. OMB partially concurred with the recommendation. GAO maintains that action is needed as discussed further in the report."
United States. Government Accountability Office
2016-08
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Information Technology: Agencies Need to Improve Their Application Inventories to Achieve Additional Savings, Report to Congressional Requesters
From the Highlights: "The federal government is expected to spend more than $90 billion on IT [Information Technology] in fiscal year 2017. This includes a variety of software applications supporting agencies' enterprise needs. Since 2013, OMB [Office of Management and Budget] has advocated the use of application rationalization. This is a process by which an agency streamlines its portfolio of software applications with the goal of improving efficiency, reducing complexity and redundancy, and lowering the cost of ownership. GAO's [Governmental Accountability Office] objectives were to determine (1) whether agencies have established complete application inventories and (2) to what extent selected agencies have developed and implemented processes for rationalizing their portfolio of applications. To do this, GAO [Governmental Accountability Office] assessed the inventories of the 24 CFO Act [Chief Financial Officers] agencies against four key practices and selected six agencies--the Departments of Defense, Homeland Security, the Interior, Labor, and NASA and NSF [National Science Foundation]--due to their IT [Information Technology] spending, among other factors, to determine whether they had processes addressing applications."
United States. Government Accountability Office
2016-09-29
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U.S.-China Cooperation: Bilateral Clean Energy Programs Show Some Results but Should Enhance Their Performance Monitoring, Report to the Chairman, Subcommittee on Europe, Eurasia, and Emerging Threats, Committee on Foreign Affairs, House of Representatives
From the Highlights: "The United States and China lead the world in energy consumption, and both are investing in renewable resources and efforts to increase the efficiency of traditional fossil fuel sources in part to address climate change. In 2014, a congressional commission raised questions about bilateral cooperation between the United States and China on clean energy, including potential internet protocol (IP) risks to U.S. participants involved in collaborative research projects. GAO [Government Accountability Office] was asked to review government-led U.S.-China collaborative initiatives on clean energy. This report examines (1) how much funding U.S. agencies obligated for clean energy cooperation with China, (2) what is known about the results of key programs and the extent to which they follow leading practices in performance monitoring, and (3) the extent to which Department of Energy (DOE) managed risks that Clean Energy Research Center (CERC) participants may face. GAO analyzed funding data, reviewed documents and compiled reported results, interviewed agency officials and participants of key programs, and conducted site visits. GAO is making four recommendations to enhance performance monitoring, including that DOE, U.S. Trade and Development Agency (USTDA), and State each develop targets for program-level performance and track progress against them for the key programs GAO reviewed. The agencies agreed with GAO's recommendations and plan to take actions to address them."
United States. Government Accountability Office
2016-07-05
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Free Trade Agreements: U.S. Partners Are Addressing Labor Commitments, but More Monitoring and Enforcement Are Needed, Report to Congressional Requesters
From the Highlights: "The United States has signed 14 FTAs [Free Trade Agreements], liberalizing U.S. trade with 20 countries. These FTAs include provisions regarding fundamental labor rights in the partner countries. USTR [Office of the U.S. Trade Representative] and DOL [Department of Labor], supported by State, are responsible for monitoring and assisting FTA partners' implementation of these provisions. GAO [Government Accountability Office] was asked to assess the status of implementation of FTA labor provisions in partner countries. GAO examined (1) steps that selected partner countries have taken, and U.S. assistance they have received, to implement these provisions and other labor initiatives and the reported results of such steps; (2) submissions regarding possible violations of FTA labor provisions that DOL has accepted and any problems related to the submission process; and (3) the extent to which U.S. agencies monitor and enforce implementation of FTA labor provisions and report results to Congress. GAO selected CAFTA-DR [Dominican Republic-Central America-United States Free Trade Agreement] and the FTAs with Colombia, Oman, and Peru as representative of the range of FTAs with labor provisions, among other reasons. GAO reviewed documentation related to each FTA and interviewed U.S., partner government, and other officials in five of the partner countries."
United States. Government Accountability Office
2014-11-06
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Nuclear Commerce: Additional Actions Needed to Improve DOE's Export Control Process, Report to Congressional Requesters
From the Highlights: "Encouraging U.S. exports of civilian nuclear products, services, and technology while ensuring they are not used for foreign nuclear weapons programs is a fundamental goal of U.S. policy. Exports of U.S. civilian nuclear technology, assistance, and services are regulated by DOE [Department of Energy] through 10 C.F.R. [Code of Federal Regulations] Part 810. Depending on the importing country and technology, exports can be generally authorized, with no application required, or specifically authorized, in which case the exporter must submit an application to DOE. The Departments of Commerce, Defense, and State, as well as the Nuclear Regulatory Commission, also review the applications, which must finally be approved by the Secretary of Energy. GAO [Government Accountability Office] was asked to examine the Part 810 process. This report examines (1) Part 810 processing times over the last 6 years compared with DOE's targets; (2) the extent to which Part 810's scope is clear and DOE can reasonably assure consistent interpretation; and (3) the extent to which DOE enforces Part 810. GAO analyzed all 89 specific authorizations granted from 2008-2013 and interviewed key agency officials and U.S. nuclear industry representatives. GAO recommends that the Secretary of Energy take several actions to improve the Part 810 process, such as determine whether DOE has legal authority to impose civil penalties, and establish realistic and achievable targets for each stage of the Part 810 process, as well as the overall process. DOE agreed with the recommendations."
United States. Government Accountability Office
2014-10
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U.S.-China Trade: United States has Secured Commitments in Key Bilateral Dialogues, but U.S. Agency Reporting on Status Should Be Improved, Report to Congressional Requesters
From the Highlights: "China is the largest destination for U.S. exports outside North America and also the source of the largest U.S. bilateral trade deficit. The countries engage in two high-level dialogues to address trade barriers and cross-cutting economic issues. These are the JCCT, co-led for the United States by Commerce and USTR [United States Trade Representative], and the economic track of the S&ED [U.S.-China Strategic and Economic Dialogue], led by Treasury. GAO [Government Accountability Office] was asked to review China's bilateral trade commitments made in these dialogues. This report (1) describes trade and investment commitments China has made at the JCCT [U.S.-China Joint Commission on Commerce and Trade] and S&ED; (2) describes U.S. agency tracking of China's implementation of these commitments; and (3) evaluates U.S. agency reporting on implementation. GAO analyzed documents, including public fact sheets stating commitments; interviewed officials, industry representatives, and other experts; used a structured process to categorize commitments; and reviewed reports officials identified as reporting implementation status of commitments. To improve understanding of progress through the bilateral dialogues in increasing access to China's markets, USTR, in conjunction with Commerce and Treasury, should work to improve reporting on China's implementation of JCCT and S&ED trade and investment commitments. In written comments, USTR and Commerce did not directly agree or disagree with the recommendation, but raised several concerns. USTR maintained current reporting is comprehensive and Commerce noted resource constraints. GAO continues to believe improved reporting would benefit policymakers."
United States. Government Accountability Office
2014-02
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Iran: State Leads an Interagency Process to Determine Whether to Impose Sanctions under Section 5(b) of the Iran Sanctions Act
This is a letter from Thomas Melito, Director, International Affairs and Trade of the Government Accountability Office, addressed to Edward R. Royce, Chairman of the House Committee on Foreign Affairs. "Iran's efforts to develop its nuclear program threaten regional and global security and present significant challenges to the United States. The United States and other nations have imposed sanctions on Iran that have adversely affected the Iranian economy. In November 2013, the United States participated in multilateral talks with Iran regarding the possibility of providing sanctions relief if Iran addressed international concerns about its nuclear program. These talks resulted in an agreed-upon joint plan of action to explicitly block near-term Iranian pathways to a nuclear weapon and allow further talks to reach a long-term comprehensive solution. The sanctions relief provided for the duration of the talks is currently scheduled to conclude in July 2014. U.S. sanctions on Iran include those specified in the Iran Sanctions Act of 1996 (Iran Sanctions Act). Section 5(b) of the Iran Sanctions Act authorizes sanctions on persons engaging in various activities that involve weapons of mass destruction or other military capabilities and are related to Iran. You requested that we review how the Department of State (State) has implemented the sanctions provisions in Section 5(b). This report describes the process State and other relevant U.S. agencies use to determine whether to sanction persons under Section 5(b)."
United States. Government Accountability Office
2014-05-23
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Afghanistan: Changes to Updated U.S. Civil-Military Strategic Framework Reflect Evolving U.S. Role
From the Document: "The U.S. Civil-Military Strategic Framework for Afghanistan is intended to articulate the strategic vision guiding U.S. government efforts to achieve U.S. national goals and to facilitate U.S. civilian and military cooperation and partnership in Afghanistan. The Department of State (State) notes that this framework serves as strategic guidance for all U.S. civilian and military personnel serving in Afghanistan. In March 2012, the framework replaced the Integrated Civilian-Military Campaign Plan, which was first signed in August 2009 by the U.S. Ambassador to Afghanistan and the Commanding General, U.S. Forces-Afghanistan. The framework was subsequently updated, in October 2012 and, most recently, in August 2013. The August 2013 version of the framework--likely the final update, according to State officials--shows, among other things, a heightened focus on transition in Afghanistan. The framework defines 'transition' to mean a shift, through the end of 2014, in security responsibility for Afghanistan to Afghan security institutions and the Afghan National Security Forces (ANSF) as well as a shift in U.S. policy toward a more traditional diplomatic and development model. After January 1, 2015, when the last U.S. combat troops are expected to have withdrawn from Afghanistan, the United States plans to continue to support the government of Afghanistan in its efforts to achieve longer-term goals for governance and development. According to State officials, the 2013 revision of the framework was intended to reflect changes in U.S. goals and priorities, better align them with Afghan goals and priorities, and reflect changing circumstances on the ground."
United States. Government Accountability Office
2014-04-01
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Cybersecurity: Bank and Other Depository Regulators Need Better Data Analytics and Depository Institutions Want More Usable Threat Information, Report to Congressional Requesters
From the Highlights: "Depository institutions experienced cyber attacks in recent years that are estimated to have resulted in hundreds of millions of dollars in losses. Depository institution regulators (the Office of the Comptroller of the Currency, the Board of Governors of the Federal Reserve, the Federal Deposit Insurance Corporation, and NCUA [National Credit Union Administration]) oversee information security at these institutions and Treasury coordinates protection of the financial sector. The objectives of this report include examining (1) how regulators oversee institutions' efforts to mitigate cyber threats, and (2) sources of and efforts by agencies to share cyber threat information. GAO [Government Accountability Office] collected and analyzed cyber security studies from private-sector sources. GAO reviewed materials from selected IT examinations (based on regulator, institution size, and risk level). GAO also held three forums with more than 50 members of financial institution industry associations who provided opinions on cyber threat information sharing."
United States. Government Accountability Office
2015-07
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Information Technology Reform: Billions of Dollars In Savings Have Been Realized, But Agencies Need To Complete Reinvestment Plans, Report to Congressional Requesters
From the Highlights: "Beginning in 2010, OMB [Office of Management and Budget] initiated a series of IT reform efforts to consolidate the growing number of data centers and eliminate duplicative spending. In May 2012, the agency began a 'cut and reinvest' effort that required agencies to propose fiscal year 2014 IT reductions and reinvestments. GAO [Government Accountability Office] was asked to review agencies' savings from OMB's IT reform efforts and determine how those savings are being reinvested. The objectives were to (1) assess agencies' progress in achieving savings from their IT reform efforts, (2) evaluate agencies' plans to reinvest their savings, and (3) evaluate how selected agencies have reinvested their savings and governance processes to oversee the reinvestments. GAO assessed 26 agencies' cost savings and avoidance documentation, evaluated 27 agencies' (including the Smithsonian Institution) reinvestment plans against OMB's guidance, and compared 4 of the agencies' governance processes against best practices. The 4 agencies were selected, in part, because they had the highest dollar amounts of proposed IT reinvestments."
United States. Government Accountability Office
2015-09
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International Classification of Diseases: CMS Has Updated Systems and Supported Stakeholders' Efforts to Use New Codes, Report to the Committee on Finance U.S. Senate
From the Highlights: "ICD [International Classification of Diseases] is the standard code set used in the United States to document patient medical diagnoses and inpatient medical procedures. Every claim submitted by health care providers to payers for reimbursement, including those for Medicare programs, includes these codes. CMS [Centers for Medicare & Medicaid Services] is responsible for enforcing the use of ICD codes and is requiring providers to begin using the 10th revision of the codes (ICD-10) on October 1, 2015. Its role in preparing for the transition includes making changes to the agency's information technology systems used to process Medicare fee-for-service claims and supporting stakeholders' efforts to implement changes to the systems they use to submit Medicare claims that are to include ICD-10 data. GAO [Government Accountability Office] was asked to study the actions planned and taken by CMS to support entities' transition to ICD-10. This report discusses (1) CMS's efforts to implement system changes needed for the agency to process claims that include ICD-10 codes, (2) the extent to which CMS's testing and verification actions are sufficient to ensure the system changes are made, and (3) steps CMS is taking to ensure that stakeholders have access to technical support needed to make system changes. To do this, GAO reviewed project documentation and held discussions with Medicare officials, contractors, and selected stakeholder groups that represent providers, health care clearinghouses, and insurers that share claims data with CMS."
United States. Government Accountability Office
2015-09-17
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Information Technology: FDA Has Taken Steps to Address Challenges but Needs a Comprehensive Strategic Plan, Report to Congressional Committees
From the Highlights: "IT [information technology] systems are critical to FDA's [Food and Drug Administration] ability to achieve its mission. GAO [Government Accountability Office] previously reported on limitations in a number of FDA's key IT areas, including data availability and quality, information infrastructure, the ability to use technology to improve regulatory effectiveness, and investment management. GAO recommended FDA take actions to address these limitations, including the development of a comprehensive IT strategic plan to provide direction for modernizing the agency's IT environment. The Food and Drug Administration Safety and Innovation Act of 2012 included a provision for GAO to report on FDA's progress regarding an IT strategic plan and implementation of GAO's prior recommendations. This report provides an assessment of the (1) status of FDA's efforts to develop and implement an IT strategic plan that includes results-oriented goals, activities, milestones, and performance measures; and (2) extent to which FDA has addressed GAO's prior IT-related recommendations. To do so, GAO assessed the agency's 2015 IT strategic plan against best practices for IT management. GAO also reviewed supporting documents regarding FDA's actions on prior recommendations."
United States. Government Accountability Office
2015-12-17
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Electronic Health Records: HHS Needs to Improve Planning and Evaluation of Its Efforts to Increase Information Exchange in Post-Acute Care Settings, Report to Congressional Requester
From the Report: "Many patients who leave hospitals receive care in post-acute settings such as skilled nursing facilities and long-term care hospitals. Exchange of accurate and timely health information is particularly important in these transitions, and technology like EHRs [Electronic Health Records] could help to improve quality and reduce costs. GAO [Government Accountability Office] was asked to review issues related to the use of EHRs in postacute care settings. With regard to post-acute settings, GAO (1) described factors that affect EHR use and electronic exchange of health information and (2) examined HHS [Department of Health and Human Services] efforts to promote EHR use and electronic information exchange. GAO reviewed HHS planning and related documents and best practices for planning identified in prior GAO work. GAO also interviewed HHS officials, and through those interviews and background research identified and interviewed a non-generalizable selection of individuals representing 20 relevant stakeholder groups, including experts, vendors, and professional associations. GAO recommends that HHS (1) evaluate the effectiveness of its key efforts to increase the use of EHRs and electronic information exchange, and (2) comprehensively plan for how to achieve the department's goal regarding the use of EHRs and electronic information exchange in post-acute care settings. HHS concurred with GAO's recommendations."
United States. Government Accountability Office
2017-01-27
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Electronic Health Records: Nonfederal Efforts to Help Achieve Health Information Interoperability, Report to Congressional Requesters
From the Highlights: "EHR [electronic health record] interoperability is viewed by many health care stakeholders as a necessary step toward improving health care. However, interoperability has remained limited. Although the federal government plays a key role in guiding movement toward interoperability, many of the actions are to be completed by nonfederal stakeholders. GAO [Government Accountability Office] was asked to review the status of efforts by entities other than the federal government to develop infrastructure that could lead to nationwide interoperability of health information. This report describes the (1) characteristics of selected nonfederal initiatives intended to facilitate EHR interoperability, and (2) key challenges related to EHR interoperability and the extent to which selected nonfederal initiatives are addressing these challenges. GAO interviewed representatives from 18 selected nonfederal initiatives that were frequently mentioned by stakeholders GAO interviewed, and reflected a range of approaches. GAO reviewed documents from these initiatives as well as other published research."
United States. Government Accountability Office
2015-09-16
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Federal Chief Information Officers: Reporting to OMB Can Be Improved by Further Streamlining and Better Focusing on Priorities, Report to Congressional Requesters
From the Highlights: "Federal agencies annually invest over $80 billion on IT [Information Technology]. As part of overseeing this spending, OMB [Office of Management and Budget] directs federal CIOs [Chief Information Officers] to report on their management of IT in such areas as capital planning and investment management, security, and strategic planning. GAO [Government Accountability Office] was asked to review the usefulness of such CIO reporting requirements. Its objectives were to (1) identify the current IT reporting requirements that agency CIOs are to address for OMB, (2) evaluate the extent to which OMB and agency CIOs use the required information to manage IT, including CIOs' views on the utility of the requirements, and (3) assess any OMB efforts to streamline this reporting. To do so, GAO analyzed OMB memorandums and other guidance to develop a list of CIO requirements and surveyed 24 major agency CIOs on how they used the required information to manage IT. Further, it analyzed OMB documentation and interviewed officials to identify plans to streamline reporting. GAO is recommending that OMB, in collaboration with CIOs, ensure a common understanding of priority IT reforms and their reporting requirements and address proposed reporting improvements and challenges. OMB neither agreed nor disagreed with GAO's recommendations, citing concerns with, among other things, GAO's survey methodology, stating it did not fully support the report's findings and recommendations. GAO believes these concerns are largely unfounded and that its recommendations are still valid."
United States. Government Accountability Office
2015-04-02
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Consumer Finance: Factors Affecting the Financial Literacy of Individuals with Limited English Proficiency, Report to Congressional Committees
From the Highlights: "According to Census data, more than 12 million adults in the United States report they do not speak English well or at all. Proficiency in reading, writing, speaking, and understanding the English language appears to be linked to multiple dimensions of adult life in the United States, including financial literacy--the ability to make informed judgments and take effective actions regarding the current and future use and management of money. The Credit Card Accountability, Responsibility and Disclosure Act of 2009 mandated GAO [Government Accountability Office] to examine the relationship between fluency in the English language and financial literacy. Responding to this mandate, this report examines the extent, if any, to which individuals with limited English proficiency are impeded in their financial literacy and conduct of financial affairs. To address this objective, GAO conducted a literature review of relevant studies, reports, and surveys, and conducted interviews at federal, nonprofit, and private entities that address financial literacy issues and serve people with limited English proficiency. GAO also conducted a series of focus groups with consumers and with staff at community and financial organizations."
United States. Government Accountability Office
2010-05
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Bureau of the Public Debt: Areas for Improvement in Information Security Controls [Updated April 29, 2009]
From the Document: "On April 29, 2009, GAO revised this product to clarify the scope and focus of BPD's [Bureau of the Public Debt] compensating controls with respect to detecting potential misstatements in the Schedule of Federal Debt. [...].As we reported in connection with our audit of the Schedules of Federal Debt for the fiscal years ended September 30, 2008 and 2007, we concluded that BPD maintained, in all material respects, effective internal control relevant to the Schedule of Federal Debt related to financial reporting and compliance with applicable laws and regulations as of September 30, 2008, that provided reasonable assurance that misstatements, losses, or noncompliance material in relation to the Schedule of Federal Debt would be prevented or detected on a timely basis. However, we found deficiencies involving information security controls that we do not consider to be significant deficiencies. [...]. This report presents the control deficiencies we identified during our fiscal year 2008 testing of the general and application information security controls that support key BPD automated financial systems relevant to BPD's Schedule of Federal Debt. This report also includes the results of our follow-up on the status of BPD's corrective actions to address recommendations that were contained in our prior years' audit reports and open as of September 30, 2007. In a separately issued Limited Official Use Only report, we communicated detailed information regarding our findings to BPD management. We also assessed the general and application information security controls over key BPD financial systems that the Federal Reserve Banks (FRB) maintain and operate on behalf of BPD."
United States. Government Accountability Office
Engel, Gary T.
2009-04-28
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Hurricanes Katrina and Rita: Federally Funded Programs Have Helped to Address the Needs of Gulf Coast Small Businesses, but Agency Data on Subcontracting Are Incomplete, Report to the Committee on Small Business and Entrepreneurship, U.S. Senate
From the Highlights: "Hurricanes Katrina and Rita wreaked havoc on small businesses in the Gulf Coast, and much federal assistance has been provided to help these businesses. GAO was asked to describe (1) the amount of assistance provided to Gulf Coast small businesses through the Small Business Administration's (SBA) disaster and Gulf Opportunity (GO) loans, state-administered business assistance programs funded by the Department of Housing and Urban Development's (HUD) Community Development Block Grants (CDBG), and the Economic Development Administration's (EDA) Revolving Loan Fund (RLF) program; (2) the extent to which Gulf Coast small businesses received federal contract funds; and (3) the current state of and improvements in the region's economy. GAO analyzed data on SBA and EDA loans and states' use of supplemental CDBG appropriations, data on prime and subcontracts awarded for hurricane recovery activities, and economic indicators both before and after the hurricanes."
United States. Government Accountability Office
2010-07
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Payments to Counties: More Clarity Could Help Ensure County Expenditures are Consistent with Key Parts of the Secure Rural Schools Act, Report to the Committee on Energy and Natural Resources, U.S. Senate
From the Highlights: "Under the Secure Rural Schools Act, counties with federal lands may elect to receive payments to help stabilize revenues lost because of declining federal timber sales. Under Title III of the act, counties are authorized to use these funds for certain projects related to wildland fire and emergency services on federal lands. Counties received $108 million for Title III projects for fiscal years 2008 through 2011. The act provides oversight roles for the Forest Service and BLM [Bureau of Land Management], requiring them to review counties' certification of their Title III expenditures as they determine to be appropriate and to issue regulations to carry out the purposes of the act. GAO [Government Accountability Office] examined the (1) actions the agencies have taken to oversee county spending under Title III, (2) consistency of selected counties' expenditures with the act, and (3) extent to which counties have followed Title III's administrative requirements. GAO reviewed agency and county documents and interviewed officials from the Forest Service, BLM, and 42 selected counties. If Congress chooses to extend Title III beyond 2012, it should consider making explicit which types of expenditures are and are not allowable. GAO also recommends that the agencies issue regulations or clear guidance specifying the types of allowable county uses of Title III funds. In commenting on a draft of this report, the Forest Service and Interior generally agreed with GAO's findings and recommendation."
United States. Government Accountability Office
2012-07
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Financial Audit: Bureau of the Public Debt's Fiscal Years 2011 and 2010 Schedules of Federal Debt, Report to the Secretary of the Treasury
From the Highlights: "In connection with GAO's [Government Accountability Office] requirement to audit the consolidated financial statements of the U.S. government, GAO audits the Schedules of Federal Debt managed by the Department of the Treasury's (Treasury) Bureau of the Public Debt (BPD) annually to determine whether, in all material respects, (1) the schedules are reliable and (2) BPD maintained effective internal control over financial reporting relevant to the Schedule of Federal Debt. Further, GAO tests compliance with selected provisions of laws related to the Schedule of Federal Debt. Federal debt managed by BPD consists of Treasury securities held by the public and by certain federal government accounts, referred to as intragovernmental debt holdings. Debt held by the public primarily represents the amount the federal government has borrowed from the public to finance cumulative cash deficits. Intragovernmental debt holdings represent federal debt owed by Treasury to federal government accounts-primarily federal trust funds such as Social Security and Medicare-that typically have an obligation to invest their excess annual receipts (including interest earnings) over disbursements in federal securities. GAO is not making recommendations in this report, but will be reporting separately on matters identified during its audit, along with recommendations for strengthening internal controls relevant to the Schedule of Federal Debt. In commenting on a draft of this report, BPD's Commissioner concurred with our conclusions."
United States. Government Accountability Office
2011-11-08
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Defense Acquisitions: Further Action Needed to Improve DOD's Insight and Management of Long- term Maintenance Contracts, Report to the Subcommittee on Readiness, Committee on Armed Services, House of Representatives
From the Highlights: "DOD spends billions annually to maintain its weapon systems and, at times, uses long-term maintenance contracts with a potential period of performance of 5 years or more. These contracts can encourage contractors to invest in new facilities, equipment, and processes, but may hinder DOD's ability to incentivize contractors' performance and control costs, especially in the absence of a competitive environment or if DOD does not acquire access to technical data that can enable DOD to select an alternative maintenance provider. GAO [Government Accountability Office] was asked to evaluate (1) the extent to which DOD uses long-term maintenance contracts, (2) DOD's ability to select alternative maintenance providers, and (3) how these contracts have been structured to incentivize performance and manage cost. GAO reviewed a nongeneralizable sample of 10 long-term contracts to illustrate different maintenance approaches. GAO interviewed program officials and reviewed contract documentation. GAO also reviewed information on eight programs recently reviewed by DOD to determine how these programs addressed technical data needs. GAO recommends that DOD collect information on the extent to which DOD uses long-term maintenance contracts and develop lessons learned regarding the use of incentives and cost-control tools. DOD concurred with each of the recommendations and indicated that it would develop methodologies to implement them."
United States. Government Accountability Office
2012-05
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Commodity Futures Trading Commission: Trends in Energy Derivatives Markets Raise Questions about CFTC's Oversight, Report to Congressional Addressees
From the Highlights: "Prices for four energy commodities--crude oil, heating oil, unleaded gasoline, and natural gas--have risen substantially since 2002. Some observers believe that higher energy prices are the result of changes in supply and demand. Others believe that increased futures trading activity has also contributed to higher prices. This report, conducted under the Comptroller General of the United States' authority, examines (1) trends and patterns in the physical and energy derivatives markets, (2) the scope of the Commodity Futures Trading Commission's (CFTC) regulatory authority over these markets, and (3) the effectiveness of CFTC's monitoring and detection of market abuses and enforcement. For this work, GAO analyzed futures and large trader data and interviewed market participants, experts, and officials at six federal agencies."
United States. Government Accountability Office
2007-10
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Recovery Act: Housing Programs Met Spending Milestones, but Asset Management Information Needs Evaluation, Report to Congressional Committees
From the Highlights: "The Recovery Act required HUD [Department of Housing and Urban Development] to distribute $4 billion to PHAs [public housing authorities] through its Public Housing Capital Fund. Congress also created two programs to provide funds to HFAs [housing finance agencies] to restart stalled projects. This report responds to two ongoing GAO [Government Accountability Office] mandates under the act: to examine states' and localities' use of Recovery Act funds and to report on the quarterly estimates of jobs funded. This report examines the progress PHAs and HFAs made in spending grant funds, the ways the funds were used, and the actions HUD and PHAs took to ensure that recipients spent grants on time and for the intended purposes. It also assesses the quality of job estimates reported by Recovery Act recipients and reports the status of GAO Recovery Act recommendations. GAO visited PHA and HFA-sponsored projects in 7 states and the District of Columbia, interviewed federal and local agency officials, evaluated HUD's and Treasury's monitoring strategies, surveyed 56 HFAs, and analyzed recipient-reported data. GAO recommends that Treasury assess the extent to which HFAs are utilizing information provided to them by project owners to ensure the long-term viability of buildings during the 15- year compliance period. In response to Treasury's comment on the draft recommendation that it assess HFA capacity to conduct asset management after projects are built, GAO clarified the recommendation to specify that Treasury use available information for assessing how HFAs are ensuring long-term viability of buildings. Treasury's views and GAO's response are discussed more fully in the report."
United States. Government Accountability Office
2012-06
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Southwest Border Security: Border Patrol is Deploying Surveillance Technologies but Needs to Improve Data Quality and Assess Effectiveness
From the Highlights: "The southwest border has long been vulnerable to cross-border illegal activity. In fiscal year 2016, Border Patrol apprehended over 409,000 illegal entrants. Border Patrol has employed a variety of land-based surveillance technologies to assist in securing the border. GAO [Government Accountability Office] has reported regularly on CBP's [Customs and Border Protection] progress and challenges deploying surveillance technologies. GAO was asked to review CBP's use of surveillance technology. This report examines (1) the deployment status of surveillance technology programs and the extent to which CBP has developed plans for future technology deployments and (2) what data are available on the contributions of deployed technologies to CBP's border security efforts and the extent to which CBP has assessed technology performance."
United States. Government Accountability Office
2017-11-30
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Supply Chain Security: CBP Needs to Enforce Compliance and Assess the Effectiveness of the Importer Security Filing and Additional Carrier Requirements, Report to the Ranking Member, Committee on Homeland Security, House of Representatives
From the Highlights: "Cargo shipments can present security concerns as terrorists could use cargo containers to transport a weapon of mass destruction or other contraband into the United States. In January 2009, CBP [U.S. Customs and Border Protection], within the Department of Homeland Security (DHS), implemented the ISF [Importer Security Filing] rule. The rule requires importers and vessel carriers to submit information, such as country of origin, to CBP before cargo is loaded onto U.S.-bound vessels. The information is intended to improve CBP's ability to identify high-risk shipments. GAO [Government Accountability Office] was asked to review the ISF program. This report addresses: (1) importers' and carriers' submission rates for ISF rule requirements, (2) CBP's actions to enforce the ISF rule and assess whether enforcement actions have increased compliance, and (3) the extent to which the ISF rule has improved CBP's ability to identify high-risk shipments. GAO, among other things, analyzed CBP's compliance and enforcement data for 2012 through 2015-the most recent data available at the time of GAO's review-and interviewed CBP officials and trade industry members. GAO recommends that CBP (1) enforce the container status messages (CSM) requirement when targeters identify carriers' noncompliance; (2) evaluate the effect of enforcement strategies on compliance at the port level; and (3) collect additional performance information to better evaluate the effectiveness of the ISF program. DHS concurred with the recommendations."
United States. Government Accountability Office
2017-07-20
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Immigration Detention: Additional Actions Needed to Strengthen Management and Oversight of Detainee Medical Care, Report to the Ranking Member, Committee on Homeland Security, House of Representatives
From the Highlights: "DHS is responsible for providing safe, secure, and humane confinement for detained aliens who may be subject to removal or have been ordered removed from the United States. GAO [Government Accountability Office] was asked to examine the provision and oversight of medical care in immigration detention facilities. This report examines the extent to which DHS (1) has processes for administering detainee medical care and maintaining cost information for care, (2) monitors and assesses compliance with medical care standards, and (3) oversees processes to obtain and address complaints about detainee medical care. GAO reviewed ICE [U.S. Immigration and Customs Enforcement] data and information on costs, detention population, standards, and oversight for 165 facilities that held detainees for more than 72 hours in fiscal year 2015. GAO also reviewed complaint processes, interviewed DHS and ICE officials, and visited 12 facilities selected based on detainee population and facility type, among other factors. The visit results are not generalizable, but provided insight to the provision of medical care. […] GAO recommends that DHS, among other things, ensure payments for medical care are supported by authorizations, conduct trend analyses of oversight data, and track all medical complaints received by DHS entities. DHS concurred with the recommendations and identified planned actions to address the recommendations."
United States. Government Accountability Office
2016-02
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Border Security: Actions Needed to Strengthen Performance Management and Planning for Expansion of DHS's Visa Security Program, Report to Congressional Requesters
From the Highlights: "GAO (Government Accountability Office) was asked to review VSP (Visa Security Program). This report examines the extent to which: (1) VSP has contributed to the visa adjudication process, (2) ICE has implemented a system to assess VSP performance, and (3) ICE (U.S. Immigration and Customs Enforcement) has identified and evaluated options to expand VSP to additional posts. GAO analyzed ICE data for each VSP post for fiscal years 2014 through 2016, the most current full-year data available at the time of GAO's study; reviewed documents relating to VSP; and interviewed relevant agency officials. GAO visited 7 VSP posts selected on the basis of workload and other factors, and administered two surveys to consular and VSP officials, respectively, at all VSP posts that were operational at the time the survey was administered."
United States. Government Accountability Office
2018-03-20
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Nuclear Security: CBP Needs to Take Action to Ensure Imported Radiological Material is Properly Licensed, Report to the Ranking Member, Committee on Homeland Security, House of Representatives
From the Highlights: "Thousands of shipments containing radiological material enter the United States each year through airports across the country. Radiological material is used in various medical and industrial applications, and possession requires a license from the Nuclear Regulatory Commission (NRC) or one of the 37 states to which NRC has relinquished licensing authority. Failure to verify the licenses could allow terrorists to acquire radiological material for a dirty bomb, which uses explosives to disperse the material. GAO [Government Accountability Office] was asked to review CBP [U.S. Customs and Border Protection] policies and procedures related to license verification. This report examines, among other things, (1) the extent to which CBP follows its policies and procedures, and (2) the effectiveness of these policies and procedures. GAO reviewed relevant policies and procedures, analyzed CBP data related to radiological material shipments and license verification, interviewed CBP and NRC officials, and selected four airports to visit based on expected traffic of radiological shipments."
United States. Government Accountability Office
2018-01
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Border Patrol: Issues Related to Agent Deployment Strategy and Immigration Checkpoints, Report to Congressional Requesters
From the Highlights: "The Border Patrol has primary responsibility for securing the border between U.S. ports of entry. On the southwest border, Border Patrol deploys agents along the immediate border and in areas up to 100 miles from the border as part of a layered approach known as the defense in depth strategy. Immigration checkpoints, generally located between 25 and 100 miles from the border, are one element of this strategy. GAO [Government Accountability Office] was asked to review the defense in depth strategy. This report addresses: (1) the factors Border Patrol considers in deploying agents, (2) where apprehensions of illegal crossers and seizures of contraband are occurring, and (3) what data show about how checkpoints contribute to apprehensions and seizures, among other objectives. To answer these questions, GAO analyzed Border Patrol documents and data on apprehensions and seizures from fiscal year 2012 through 2016, visited two southwest border sectors, interviewed officials from the other seven southwest border sectors and Border Patrol headquarters, and reviewed prior GAO work on border security."
United States. Government Accountability Office
2017-11
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Customs and Border Protection: Improved Planning Needed to Strengthen Trade Enforcement, Report to Congressional Committees
From the Highlights: "In fiscal year 2015, CBP [U.S. Customs and Border Protection] processed more than $2.4 trillion in imports through more than 300 ports of entry, collecting around $46 billion in revenue. CBP facilitates legitimate trade coming into the United States and enforces U.S. trade laws. CBP is tasked with collecting revenue and identifying harmful and noncompliant imports, such as counterfeit goods and goods that evade duties. In February 2016, Congress passed an Act that included a provision for GAO [Government Accountability Office] to review the effectiveness of CBP's trade enforcement activities. In this report, GAO examines (1) CBP's structure for carrying out trade enforcement, (2) how CBP conducts trade enforcement across its high-risk issue areas and ensures that its enforcement activities are effective, and (3) the extent to which CBP meets its staffing needs for trade enforcement. GAO reviewed agency documents, interviewed agency officials, and conducted field work at ports in Baltimore, Maryland; Los Angeles/Long Beach, California; and New York, New York. GAO selected ports to visit based on factors including volume of imports and number of trade enforcement units at each port. [...] To strengthen its trade enforcement efforts, CBP should (1) include performance targets in its plans covering high-risk issue areas, and (2) develop a long-term hiring plan specific to trade positions that articulates how it will reach its staffing targets. CBP concurred with both recommendations."
United States. Government Accountability Office
2017-06
