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Space Acquisitions: Development and Oversight Challenges in Delivering Improved Space Situational Awareness Capabilities, Report to the Subcommittee on Strategic Forces, Committee on Armed Services, House of Representatives
"The United States' growing dependence on space systems makes them vulnerable to a range of threats. DOD [Department of Defense] has undertaken a variety of initiatives to provide space situational awareness (SSA)--the knowledge and characterization of space objects and the environment on which space operations depend. GAO [Government Accountability Office] was asked to (1) review key systems being planned and acquired to provide SSA, and their progress meeting cost, schedule, and performance goals; and (2) determine how much an integrated approach is being used to manage and oversee efforts to develop SSA capabilities. To achieve this, GAO analyzed documentation and interviewed key officials on major SSA development efforts and oversight and management of SSA. This report is an unclassified version of a classified report issued in February 2011. [...] GAO recommends that DOD assure--in approving the Space Fence and JMS [Joint Space Operations Center Mission System] acquisition efforts to initiate product development--that all critical technologies are identified and matured, and that other key risks have been fully assessed. If DOD determines that the programs should move forward with less mature technologies, DOD should assess available backup technologies and additional resources required to meet performance objectives. DOD agreed with the first recommendation and partially agreed with the second. GAO continues to believe DOD should assess required resources earlier than its stated intent."
United States. Government Accountability Office
2011-05-27
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Privacy and Security: Food and Drug Administration Faces Challenges in Establishing Protections for Its Postmarket Risk Analysis System, Report to Congressional Committees
"The Food and Drug Administration (FDA) is responsible for assessing the safety of certain medical products after approval (a process called postmarket risk surveillance). To this end, the Food and Drug Administration Amendments Act of 2007 required that FDA establish a postmarket risk identification and analysis system based on electronic health data. In May 2008, FDA began its Sentinel initiative, intended to fulfill this requirement. Additionally, the Act established a requirement for GAO [Government Accountability Office] to review FDA's planned system. GAO's specific objectives were to (1) describe the current status of FDA's implementation of the Sentinel system and (2) identify the key privacy and security challenges associated with FDA's plans for the Sentinel system. To do so, GAO analyzed available system documentation; reviewed key privacy and security laws, guidance, standards, and practices; and obtained and analyzed the views of privacy and security experts. GAO recommends that the Commissioner of FDA develop a plan, including milestones, for developing the Sentinel system and for addressing privacy and security challenges. In written comments on this report, FDA agreed with GAO's recommendation, but noted concerns with GAO's representation of the program which FDA stated would lead readers to believe that their protected health information was at risk."
United States. Government Accountability Office
2009-06-01
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Troubled Asset Relief Program: Status of Programs and Implementation of GAO Recommendations, Statement of Thomas J. McCool, Director Applied Research and Methods, Testimony Before the Committee on Banking, Housing, and Urban Affairs, U.S. Senate
"This testimony discusses our work on the Troubled Asset Relief Program (TARP), which Congress established on October 3, 2008, in response to the financial crisis that threatened the stability of the U.S. financial system and the solvency of many financial institutions. Under the original TARP legislation, the Department of the Treasury (Treasury) had the authority to purchase or insure $700 billion in troubled assets held by financial institutions. The Secretary of the Treasury extended the authority originally provided under EESA through October 3, 2010. However, the Dodd-Frank Wall Street Reform and Consumer Protection Act (Dodd-Frank Act)--signed into law on July 21, 2010--set a new spending ceiling for TARP, in effect prohibiting Treasury from incurring any additional obligations for programs that had not been initiated prior to June 25, 2010. A broad range of activities have been initiated under TARP. Specific initiatives have injected capital into key financial institutions; implemented programs to address problems in the securitization markets; provided assistance to the automobile industry and American International Group, Inc. (AIG); and offered incentives for modifying residential mortgages, among other things. As TARP passes the 30-month mark, U.S. financial markets appear to be less volatile than they were in 2008. But questions about a sustained economic recovery continue, and certain areas of the economy still face significant challenges. For example, foreclosures and mortgage delinquencies continue to linger and small businesses still face tight credit conditions. As a result, TARP has been transformed into a program that focuses primarily on preserving homeownership and improving financial conditions for small financial institutions and businesses. While many other programs have ended and begun winding down operations and some participating institutions have repaid part or all of their TARP funds, the prospect of repayment from some other institutions, both large and small, remains uncertain. This statement is primarily based on our January 12, 2011, report and focuses on (1) the status of TARP programs; (2) Treasury's progress in implementing an effective management structure for TARP, including staffing the Office of Financial Stability (OFS), overseeing contractors, and establishing a comprehensive system of internal controls; and (3) trends in key relevant economic indicators."
United States. Government Accountability Office
2011-03-17
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Climate Change Issues: Options for Addressing Challenges to Carbon Offset Quality, Report to the Chairman, Committee on Oversight and Government Reform, House of Representatives
"Carbon offsets are reductions in greenhouse gas emissions in one place to compensate for emissions elsewhere. Examples of offset projects include planting trees, developing renewable energy sources, or capturing emissions from landfills. Recent congressional proposals would have limited emissions from utilities, industries, or other 'regulated entities,' and allowed these entities to buy offsets. Research suggests that offsets can significantly lower the cost of a program to limit emissions because buying offsets may cost regulated entities less than making the reductions themselves. Some existing international and U.S. regional programs allow offsets to be used for compliance with emissions limits. A number of voluntary offset programs also exist, where buyers do not face legal requirements but may buy offsets for other reasons. Prior GAO work found that it can be difficult to ensure offset quality--that offsets achieve intended reductions. One quality criterion is that reductions must be 'additional' to what would have occurred without the offset program. This report provides information on (1) key challenges in assessing the quality of different types of offsets and (2) options for addressing key challenges associated with offset quality if the U.S. adopted a program to limit emissions. GAO reviewed relevant literature and interviewed selected experts and such stakeholders as project developers, verifiers, and program officials. This report contains no recommendations."
United States. Government Accountability Office
2011-02
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Nuclear Nonproliferation: More Progress Needed in Implementing Recommendations for IAEA's Technical Cooperation Program, Statement of Gene Aloise, Director Natural Resources and Environment, Testimony Before the Committee on Foreign Affairs, House of Representatives
"A key mission of the International Atomic Energy Agency (IAEA) is promoting the peaceful uses of nuclear energy through its Technical Cooperation (TC) program, which provides equipment, training, fellowships, and other services to its member states. The United States provides approximately 25 percent of the TC program's annual budget. While the vast majority of TC projects have not involved the transfer of sensitive nuclear materials and technology, TC assistance has been provided to countries of proliferation concern. In March 2009, GAO reported on potential proliferation and management concerns related to the program (GAO-09-275). This testimony discusses (1) GAO's findings and recommendations to the Department of State and IAEA in that report and (2) agency progress made to implement those recommendations to address these concerns. This testimony is based on GAO's 2009 report and updated in March 2011 by (1) reviewing documentation on actions taken by State and IAEA in response to the report's recommendations and (2) interviewing State and Department of Energy (DOE) officials. GAO is making no new recommendations at this time and continues to believe that implementation of the recommendations in its March 2009 report could substantially reduce potential proliferation and management concerns related to the TC program."
United States. Government Accountability Office
2011-03-17
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Oil and Gas Leasing: Past Work Identifies Numerous Challenges with Interior's Oversight, Statement of Frank Rusco, Director Natural Resources and Environment, Testimony Before the Committee on Natural Resources, House of Representatives
"The Department of the Interior oversees oil and gas activities on leased federal lands and waters. Revenue generated from federal oil and gas production is one of the largest nontax sources of federal government funds, accounting for about $9 billion in fiscal year 2009. For onshore leases, Interior's Bureau of Land Management (BLM) has oversight responsibilities. For offshore leases, the newly created Bureau of Ocean Energy Management, Regulation, and Enforcement (BOEMRE), has oversight responsibilities. Prior to BOEMRE, the Minerals Management Service's (MMS) Offshore Energy and Minerals Management Office oversaw offshore oil and gas activities, while MMS's Minerals Revenue Management Office collected revenues from all oil and gas produced on federal leases. Over the past several years, GAO has issued numerous recommendations to the Secretary of the Interior to improve the agency's management of oil and gas resources. In 2011, GAO identified Interior's management of oil and gas resources as a high risk issue. GAO's work in this area identified challenges in five areas: (1) reorganization, (2) balancing responsibilities, (3) human capital, (4) revenue collection, and (5) development of existing leases."
United States. Government Accountability Office
2011-03-17
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Nuclear Waste: DOE Needs a Comprehensive Strategy and Guidance on Computer Models That Support Environmental Cleanup Decisions, Report to Congressional Requesters
"The Department of Energy's (DOE) Office of Environmental Management (EM) is responsible for one of the world's largest cleanup programs: treatment and disposal of radioactive and hazardous waste created as a by-product of nuclear weapons production and energy research at sites across the country, such as EM's Hanford Site in Washington State and the Savannah River Site (SRS) in South Carolina. Computer models--which represent physical and biogeochemical processes as mathematical formulas--are one tool EM uses in the cleanups. GAO was asked to (1) describe how EM uses computer models in cleanup decisions; (2) evaluate how EM ensures the quality of its computer models; and (3) assess EM's overall strategy for managing its computer models. GAO analyzed the use of selected models in decisions at Hanford and SRS, reviewed numerous quality assurance documents, and interviewed DOE officials as well as contractors and regulators."
United States. Government Accountability Office
2011-02
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8(A) Program: The Importance of Effective Fraud Prevention Controls, Statement of Gregory D. Kutz, Director Forensic Audits and Investigative Service, Testimony Before the Committee on Small Business and Entrepreneurship, U.S. Senate
"This testimony discusses the results of our prior investigation of the Small Business Administration's (SBA) 8(a) Business Development Program. SBA's 8(a) program, named for a section of the Small Business Act, is a development program created to help small, disadvantaged businesses compete in the American economy and access the federal procurement market. To participate in the program, a firm must be certified as meeting several criteria, including: be a small business as defined by SBA; be unconditionally owned and controlled by one or more socially and economically disadvantaged individuals who are of good character and citizens of the United States; and show potential for success. Upon certification, firms can obtain federal contracts without competing fully and openly for the work. For example, agencies are permitted to enter into sole-source contracts after soliciting and negotiating with only one 8(a) company. They also can participate in restricted competitions for federal contracts, known as set-asides, open to only 8(a) companies. In March 2010, GAO issued two companion reports on the 8(a) program, one focused on internal control procedures and processes that SBA has implemented to ensure that only eligible firms participate in the program and one focused on fraud prevention. This testimony is based on the latter report, and addresses three issues: (1) whether ineligible firms were participating in the 8(a) program, (2) the results of our proactive testing of the application process, and (3) strengths and weaknesses in SBA's fraud prevention system."
United States. Government Accountability Office
2011-03-03
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Influenza Pandemic: Lessons from the H1N1 Pandemic Should Be Incorporated into Future Planning, Report to Congressional Requesters
"The 2009 H1N1 influenza pandemic was the first human pandemic in over four decades, and the Centers for Disease Control and Prevention (CDC) estimate that there were as many as 89 million U.S. cases. Over $6 billion was available for the response, led by the Departments of Health and Human Services (HHS) and Homeland Security (DHS), with coordination provided by the Homeland Security Council (HSC) through its National Security Staff (NSS). In particular, HHS's CDC worked with states and localities to communicate with the public and to distribute H1N1 vaccine and supplies. GAO was asked (1) how HHS used the funding, (2) the key issues raised by the federal response, and (3) the actions taken to identify and incorporate lessons learned. GAO reviewed documents and interviewed officials from five states about their interaction with the federal government. GAO also reviewed documents and interviewed officials from HHS, DHS, the Department of Labor's Occupational Safety and Health Administration (OSHA), NSS, and others, such as associations."
United States. Government Accountability Office
2011-06
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National Preparedness: DHS and HHS Can Further Strengthen Coordination for Chemical, Biological, Radiological, and Nuclear Risk Assessments, Report to the Committee on Homeland Security and Governmental Affairs, U.S. Senate
"The anthrax attacks of 2001 and more recent national reports have raised concerns that the United States is vulnerable to attacks with chemical, biological, radiological, and nuclear (CBRN) agents. Because of the potential consequences of such attacks, members of Congress have expressed the need for the Departments of Homeland Security (DHS) and Health and Human Services (HHS) to coordinate in assessing risks posed by CBRN agents. Government Accountability Office (GAO) was asked to examine how DHS and HHS coordinate on the development of CBRN risk assessments and the extent to which they have institutionalized such efforts. GAO examined relevant laws, presidential directives, collaboration best practices, and internal control standards; analyzed DHS and HHS CBRN risk assessments; and interviewed DHS and HHS officials."
United States. Government Accountability Office
2011-06
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Homeland Defense: Actions Needed to Improve DOD Planning and Coordination for Maritime Operations, Report to Congressional Requesters
"Recent events, such as the seaborne terrorist attack on Mumbai in 2008 and the pirate attack on the Quest in February 2011, highlight maritime threats to the United States. The maritime domain presents a range of potential security threats--including naval forces of adversary nations, piracy, and the use of vessels to smuggle people, drugs, and weapons--which could harm the United States and its interests. The Department of Defense (DOD) has also identified homeland defense as one of its highest priorities. Government Accountability Office (GAO) was asked to determine the extent to which DOD has (1) planned to conduct maritime homeland defense operations, (2) identified and addressed capability gaps in maritime homeland defense, and (3) made progress with interagency partners, such as the U.S. Coast Guard, in addressing information sharing challenges related to maritime domain awareness. To conduct this work, GAO examined national and DOD guidance and interviewed officials from DOD, Joint Staff, combatant commands, the military services, and others."
United States. Government Accountability Office
2011-06
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Combating Terrorism: U.S. Government Strategies and Efforts to Deny Terrorists Safe Haven, Statement of Jacquelyn L. Williams-Bridgers, Managing Director, International Affairs and Trade, Testimony Before the Subcommittee on Oversight, Investigations and Management, Committee on Homeland Security House of Representatives
From the opening statement of Jacquelyn L. Williams-Bridgers: "My testimony today focuses on (1) U.S. national strategies related to addressing terrorist safe havens, (2) terrorist safe havens identified by the Department of State (State) and the threats emanating from these havens, and (3) the extent to which the U.S. government has identified efforts to deny terrorists safe havens. In our report, we found that U.S. national strategies emphasize the importance of denying safe haven to terrorists and that, since 2006, State has annually identified terrorist safe havens in its Country Reports on Terrorism. However, we also found that, although there are multiple reporting requirements, the U.S. government has not provided to Congress a comprehensive, government wide list of its efforts to address terrorist safe havens. We made recommendations to both State and the National Security Council to improve reporting on U.S. efforts to address terrorist safe havens. State agreed with the importance of comprehensive information regarding U.S. efforts to address terrorist safe havens, but did not agree that this information needs to be included in the Country Reports on Terrorism. The National Security Council reviewed the report but provided no comments on the recommendation."
United States. Government Accountability Office
Williams-Bridgers, Jacquelyn
2011-06-03
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Flood Insurance: Public Policy Goals Provide a Framework for Reform, Statement of Orice Williams Brown, Managing Director, Financial Markets and Community Investment, Testimony Before the Committee on Banking, Housing, and Urban Affairs, U.S. Senate
From the opening statement of Orice Williams Brown:"The National Flood Insurance Program (NFIP) has been on Government Accountability Office's(GAO) high-risk list since 2006, when the program had to borrow from the U.S. Treasury to cover losses from the 2005 hurricanes. The outstanding debt is $17.8 billion as of June 2011. This sizeable debt, plus operational and management challenges that GAO has identified at the Federal Emergency Management Agency (FEMA), which administers NFIP, have combined to keep the program on the high-risk list. NFIP's need to borrow to cover claims in years of catastrophic flooding has raised concerns about the program's long-term financial solvency. This testimony (1) discusses ways to place NFIP on a sounder financial footing in light of public policy goals for federal involvement in natural catastrophe insurance and (2) highlights operational and management challenges at FEMA that affect the program. In preparing this statement, GAO relied on its past work on NFIP, including a June 2011 report on FEMA's management of NFIP, which focused on its planning, policies, processes, and systems. The management review included areas such as strategic and human capital planning, acquisition management, and intra-agency collaboration. GAO has made numerous recommendations aimed at improving financial controls, oversight of private insurers and contractors, and FEMA's management of NFIP. Department of Homeland Security (DHS) generally agreed with our recommendations."
United States. Government Accountability Office
Brown, Orice Williams
2011-06-23
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Organized Retail Crime: Private Sector and Law Enforcement Collaborate to Deter and Investigate Theft, Report to the Ranking Member, Subcommittee on Crime, Terrorism, and Homeland Security, Committee on the Judiciary, House of Representatives
"Each year organized groups of professional shoplifters steal or fraudulently obtain billions of dollars in merchandise to resell in an activity known as organized retail crime (ORC). These stolen goods can also be sold on online marketplaces, a practice known as 'e-fencing.' GAO was asked to assess ORC and e-fencing. This report addresses: (1) types of efforts that select retailers, state and local law enforcement, and federal agencies are undertaking to combat ORC; (2) the extent to which tools or mechanisms exist to facilitate collaboration and information sharing among these ORC stakeholders; and (3) steps that select online marketplaces have taken to combat ORC and e-fencing, and additional actions, if any, retailers and law enforcement think may enhance these efforts. GAO reviewed retail-industry documentation, such as reports and surveys, and academic studies related to ORC and efforts to combat it. GAO also interviewed representatives from four major retail associations and five individual retailers, selected for their knowledge of and efforts to combat ORC, as well as eight local law enforcement officials involved in the development of ORC information sharing networks, and Federal Bureau of Investigation (FBI) and U.S. Immigration and Customs Enforcement (ICE) officials. The results are not generalizable, but provided insights on activities related to ORC. GAO is not making any recommendations in this report."
United States. Government Accountability Office
2011-06
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Climate Change: Improvements Needed to Clarify National Priorities and Better Align Them with Federal Funding Decisions, Report to the Ranking Member, Committee on Natural Resources, House of Representatives
"Climate change poses risks to many environmental and economic systems, including agriculture, infrastructure, and ecosystems. Federal law has periodically required the Office of Management and Budget (OMB) to report on federal climate change funding. Government Accountability Office (GAO) was asked to examine (1) federal funding for climate change activities and how these activities are organized; (2) the extent to which methods for defining and reporting climate change funding are interpreted consistently across the federal government; (3) federal climate change strategic priorities, and the extent to which funding is aligned with these priorities; and (4) what options, if any, are available to better align federal climate change funding with strategic priorities. GAO analyzed OMB funding reports and responses to a Web-based questionnaire sent to federal officials, reviewed available literature, and interviewed stakeholders."
United States. Government Accountability Office
2011-05
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Nuclear Regulatory Commission: Oversight of Underground Piping Systems Commensurate with Risk, but Proactive Measures Could Help Address Future Leaks
"All U.S. nuclear power plant sites have had some groundwater contamination from radioactive leaks, and some of these leaks came from underground piping systems. The Nuclear Regulatory Commission (NRC) regulates nuclear power plants to protect public health and the environment from radiation hazards. Government Accountability Office (GAO) was asked to (1) determine experts' opinions on the impacts, if any, of underground piping system leaks on public health and the environment; (2) assess NRC requirements of licensees for inspecting these systems and monitoring and reporting on leaks; (3) identify actions the nuclear power industry, licensees, and NRC have taken in response to leaks; and (4) identify additional NRC requirements, if any, that key stakeholders think could help prevent, detect, and disclose leaks. GAO convened expert discussion groups through the National Academy of Sciences and asked experts to review three case studies, analyzed documents, visited seven plant sites and two NRC regional offices, and interviewed stakeholders."
United States. Government Accountability Office
2011-06
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DOD Weapon Systems: Missed Trade-off Opportunities During Requirements Reviews
"The Weapon Systems Acquisition Reform Act of 2009 (WSARA) directed the Joint Requirements Oversight Council (JROC) to ensure trade-offs among cost, schedule, and performance objectives are considered as part of its requirements review process. WSARA also directed GAO to assess the implementation of these requirements. This report addresses (1) the extent to which the JROC has considered trade-offs within programs, (2) the quality of resource estimates presented to the JROC, and (3) the extent to which the JROC is prioritizing requirements and capability gaps. To do so, Government Accountability Office (GAO) analyzed requirement documents reviewed by the JROC in fiscal year 2010, which identified capability gaps or performance requirements for new major defense acquisition programs. GAO also assessed resource estimates presented to the JROC against best practices criteria in the GAO Cost Estimating and Assessment Guide."
United States. Government Accountability Office
2011-06
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FEMA Flood Maps: Some Standards and Processes in Place to Promote Map Accuracy and Outreach, but Opportunities Exist to Address Implementation Challenges, Report to Congressional Requesters
"The Federal Emergency Management Agency (FEMA), a component of the Department of Homeland Security (DHS), maps flood hazard areas across the country and makes flood insurance available to more than 20,100 communities through the National Flood Insurance Program. From 2003 through 2008, FEMA spent $1.2 billion in a comprehensive effort to update the nation's flood insurance maps. In 2009, FEMA began an annual review of 20 percent of the nation's flood maps, for which Congress allocated $440 million in 2009 and 2010. As requested, GAO [Government Accountability Office] reviewed the actions FEMA has taken to enhance the accuracy of updated flood maps, and FEMA's outreach efforts in conducting flood mapping activities. GAO analyzed FEMA's mapping standards and information systems, tested quality assurance processes, and interviewed FEMA officials and contractors. [...] Among other things, GAO recommends that FEMA establish guidance for validating data, transfer responsibility for verification audits to an independent entity, and establish goals and measures for promoting public acceptance of mapping. FEMA concurred with 10 of the 11 recommendations in this report, but disagreed with transferring verification audit duties to an independent entity because it believes its program management contractor is sufficiently independent. GAO believes this recommendation remains valid as stated in this report."
United States. Government Accountability Office
2010-12-02
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Information Security: Progress Made on Harmonizing Policies and Guidance for National Security and Non-National Security Systems, Report to the Chairwoman, Subcommittee on Government Management, Organization, and Procurement, Committee on Oversight and Government Reform, House of Representatives
"Historically, civilian and national security-related information technology (IT) systems have been governed by different information security policies and guidance. Specifically, the Office of Management and Budget and the Department of Commerce's National Institute of Standards and Technology (NIST) established policies and guidance for civilian non-national security systems, while other organizations, including the Committee on National Security Systems (CNSS), the Department of Defense (DOD), and the U.S. intelligence community, have developed policies and guidance for national security systems. GAO was asked to assess the progress of federal efforts to harmonize policies and guidance for these two types of systems. To do this, GAO reviewed program plans and schedules, analyzed policies and guidance, assessed program efforts against key practices for cross-agency collaboration, and interviewed officials responsible for this effort. [...] GAO is recommending that the Secretary of Commerce and the Secretary of Defense, among other things, update plans for future collaboration, establish timelines for implementing revised guidance, and fully implement key practices for interagency collaboration in the harmonization effort. In comments on a draft of this report, Commerce and DOD concurred with GAO's recommendations."
United States. Government Accountability Office
2010-09-15
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Contractor Integrity: Stronger Safeguards Needed for Contractor Access to Sensitive Information, Report to the Chairman, Subcommittee on Federal Financial Management, Government Information, Federal Services, and International Security, Committee on Homeland Security and Governmental Affairs, U.S. Senate
"In performing agency tasks, contractor employees often require access to sensitive information that must be protected from unauthorized disclosure or misuse. This report assesses the (1) extent to which agency guidance and contracts contain safeguards for contractor access to sensitive information, and (2) adequacy of governmentwide guidance on how agencies are to safeguard sensitive information to which contractors may have access. To conduct this work, GAO identified key attributes involving sensitive-information safeguards, analyzed guidance and met with officials at three agencies selected for their extensive reliance on contractor employees, analyzed 42 of their contract actions for services potentially requiring contractor access to sensitive information, and analyzed the Federal Acquisition Regulation (FAR) and pending FAR changes regarding governmentwide guidance on contractor safeguards for access to sensitive information. [...]. GAO recommends that the Office of Federal Procurement Policy (OFPP) ensure pending changes to the FAR address two additional safeguards for contractor access to sensitive information: the use of nondisclosure agreements and prompt notification of unauthorized disclosure or misuse of sensitive information. In oral comments, OFPP agreed with the recommendations. DHS also concurred with the recommendations, while DOD and HHS had no comment."
United States. Government Accountability Office
2010-09-10
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Bank Secrecy Act: Federal Agencies Should Take Action to Further Improve Coordination and Information-Sharing Efforts, Report to the Permanent Subcommittee on Investigations, Committee on Homeland Security and Governmental Affairs, U.S. Senate
"The legislative framework for combating money laundering began with the Bank Secrecy Act (BSA) in 1970 and most recently expanded in 2001with the USA PATRIOT Act. The Financial Crimes Enforcement Network (FinCEN) administers BSA and relies on multiple federal and state agencies to ensure financial institution compliance. GAO was asked to (1) describe how BSA compliance and enforcement responsibilities are distributed, (2) describe how agencies other than FinCEN are implementing those responsibilities and evaluate their coordination efforts, and (3) evaluate how FinCEN is implementing its BSA responsibilities. Among other things, GAO reviewed legislation, past GAO and Treasury reports, and agreements and guidance from all relevant agencies; and interviewed agency, association, and financial institution officials. GAO recommends that IRS better coordinate examination schedules with state agencies; that FinCEN, the federal financial regulators, and IRS consider developing a mechanism to regularly discuss BSA examinations and procedures across all regulators; and that the FinCEN Director facilitate communication on IRS referrals, and finalize electronic data-access MOUs with state agencies and securities and futures regulators. The federal banking regulators, SEC, CFTC, IRS, and FinCEN agreed to implement the recommendations pertaining to their agencies."
United States. Government Accountability Office
2009-02-18
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National Security: An Overview of Professional Development Activities Intended to Improve Interagency Collaboration, Report to Congressional Committees
"Agencies must engage in a whole-of-government approach to protect the nation and its interests from diverse threats such as terrorism and infectious diseases. However, GAO has reported that gaps in national security staff knowledge and skills pose a barrier to the interagency collaboration needed to address these threats. Training and other professional development activities could help bridge those gaps. GAO [Government Accountability Office] was asked to identify: (1) training and other professional development activities intended to improve the ability of key national security agencies' personnel to collaborate across organizational lines and (2) how these activities were intended to improve participants' collaboration abilities. To address these objectives, GAO asked nine key agencies involved in national security issues to submit information on professional development activities that were explicitly intended to build staff knowledge or skills for improving interagency collaboration. In addition, GAO gathered and analyzed other information such as target audience, participation levels, and participating agencies. GAO also interviewed responsible human capital and training officials. GAO will explore how interagency participation and other factors may influence the success of these activities in a subsequent review. GAO does not have any recommendations in this report. Technical comments from the agencies reviewed were incorporated where appropriate."
United States. Government Accountability Office
2010-11-15
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National Security: An Inventory of Professional Development Activities Intended to Improve Interagency Collaboration and Selected Characteristics by Providing Agency and Type of Activity (GAO-11-109SP, November 2010), an E-supplement to GAO-11-108
"This e-supplement provides an inventory of professional development activities intended to improve the abilities of personnel from key agencies involved in national security issues to collaborate across organizational lines. For each activity, this e-supplement lists, if available, (1) the providing agency; (2) a description of the activity, including the subject matter addressed, participant time commitment, and delivery mode; (3) the population being targeted for participation; and (4) the number of fiscal year 2009 participants. The inventory of activities can be accessed from the Table of Contents link below. The complete inventory is available for download in a comma-separated values (.csv) file or can be viewed in a formatted table. In addition, the information can be viewed in separate tables for each type of activity. 1) training courses and programs-planned learning for acquiring and retaining skills, knowledge, and attitudes; 2) exercise programs-scenario-based training that allows for the development, improvement, or display of specific capabilities or skills; 3) interagency rotational programs-work assignments at a different agency from the one in which the participant is normally employed, with an explicit professional development purpose; 4) Joint Professional Military Education programs-a subset of military career education intended to foster collaboration across service branches, agencies, and countries for a whole-of-government approach to national security; and 5) leadership development programs-professional development programs-with a national security focus-intended to build leadership skills such as communication, teamwork, and staff development. To gather this information, we administered a questionnaire to key agencies involved in national security issues: the Department of Defense (DOD), the Department of State (State), the United States Agency for International Development (USAID), the Department of Homeland Security (DHS), the Department of Treasury (Treasury), the Department of Justice (Justice), the Department of Energy (Energy), the United States Department of Agriculture (USDA), and the Department of Commerce (Commerce). "
United States. Government Accountability Office
2010-11-15
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Quadrennial Homeland Security Review: 2010 Reports Addressed Many Required Elements, but Budget Planning Not yet Completed
"We found that the QHSR [Quadrennial Homeland Security Review] and BUR [Bottom- Up Review] reports provided examples of DHS's [Department of Homeland Security] business lines, but did not include an assessment of the alignment of DHS's management systems, budget and accounting systems, human resource systems, and procurement systems to QHSR mission areas. In addition, neither the QHSR nor the BUR report included an explanation of why the department did not consider it to be appropriate or feasible to assess the alignment of DHS's management systems, budget and accounting systems, human resource systems, and procurement systems to the QHSR mission areas, such as a statement or conclusion that these business lines equally apply to all QHSR missions. Such a statement could have helped to explain how DHS viewed its business lines as supporting all of the QHSR mission goals and objectives. Therefore, we continue to believe that reporting element 5 was 'Addressed in part' by DHS."
United States. Government Accountability Office
2010-12-16
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Export Controls: Agency Actions and Proposed Reform Initiatives May Address Previously Identified Weaknesses, but Challenges Remain
"Each year, billions of dollars in arms and 'dual-use' items--items that have both commercial and military applications--are exported to U.S. allies and strategic partners. To further national security, foreign policy, and economic interests, the U.S. government controls the export of these items. Over the past 10 years, we have reported on numerous weaknesses in the export control system, including poor coordination among the multiple agencies involved, which have led to jurisdictional disputes and enforcement challenges, and the lack of systematic assessment of the overall effectiveness of the export control system. As a result, since 2007 the arms and dual-use export control systems have been included as part of our high-risk area on ensuring the effective protection of technologies critical to U.S. national security interests. We have also called for a strategic reexamination of existing programs within the U.S. export control system to identify needed changes and ensure the advancement of U.S. interests. In August 2009, the President announced that he had directed a comprehensive review of the U.S. export control system and, in April 2010, proposed a framework under which the current system would be streamlined to include a single export control list, a single licensing agency, a single primary enforcement coordination agency, and a single information technology system. The Administration has since provided updates on its reform initiatives, announcing specific actions that are being implemented using a phased approach. In response to your request, we identified the extent to which agencies' actions and the proposed export control framework address the findings of our previous reports on the U.S. export control system in the areas of control lists, licensing, enforcement, and information technology."
United States. Government Accountability Office
2010-11-16
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Climate Change: A Coordinated Strategy Could Focus Federal Geoengineering Research and Inform Governance Efforts, Report to the Chairman, Committee on Science and Technology, House of Representatives
"Policymakers have raised questions about geoengineering--large-scale deliberate interventions in the earth's climate system to diminish climate change or its impacts--and its role in a broader strategy of mitigating and adapting to climate change. Most geoengineering proposals fall into two categories: carbon dioxide removal (CDR), which would remove carbon dioxide (CO2) from the atmosphere, and solar radiation management (SRM), which would offset temperature increases by reflecting sunlight back into space. GAO was asked to examine (1) the state of geoengineering science, (2) federal involvement in geoengineering, and (3) the views of experts and federal officials about the extent to which federal laws and international agreements apply to geoengineering, and any governance challenges. GAO examined relevant scientific and policy studies, relevant domestic laws and international agreements, analyzed agency data describing relevant research for fiscal years 2009 and 2010, and interviewed federal officials and selected recognized experts in the field"
United States. Government Accountability Office
2010-09-23
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Food Safety: FDA's Efforts to Evaluate and Respond to Business Concerns Regarding the Produce Rule
"Although the United States has one of the safest food supplies in the world, foodborne illness is a common public health problem. Some of this illness can be linked to produce. In 2006, for example, an E. coli outbreak associated with baby spinach sickened 205 people and killed 3; in 2011, 147 people fell ill and 33 died as a result of eating melons contaminated with Listeria. Other produce-related outbreaks in recent years have involved cucumbers, alfalfa sprouts, bean sprouts, and packaged salads. The Food and Drug Administration (FDA), an agency within the Department of Health and Human Services (HHS), has responsibility for ensuring the safety of produce, along with many other foods. Overall, FDA is responsible for ensuring the safety of more than 80 per cent of the U.S. food supply.' [...] Some in the produce industry have expressed concerns about the new produce rule standards, including concerns about the scientific basis for standards in such areas as water quality. Some have also expressed concerns about the costs associated with meeting the new standards, particularly for smaller businesses. The Agricultural Act of 2014, also referred to as the 2014 Farm Bill, required that FDA ensure the final produce rule include 'a plan to systematically...develop an ongoing process to evaluate and respond to business concerns.'"
United States. Government Accountability Office
2016-11-28
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Whistleblower Protection: Additional Actions Would Improve Recording and Reporting of Appeals Data, Report to Congressional Committees
"Federal employee whistleblowers--individuals who report violations of law or certain agency mismanagement--may risk reprisals from their agencies. WPEA [Whistleblower Protection Enhancement Act of 2012] seeks to strengthen the rights of and protections for federal whistleblowers. WPEA includes a provision for GAO [Government Accountability Office] to report on the law's implementation. This report (1) describes changes in the number of whistleblower reprisal appeals filed with MSPB [Merit Systems Protection Board], as well as the outcome of appeals, since WPEA's effective date; (2) provides subject matter specialists' views about granting MSPB summary judgment authority for whistleblower cases; and (3) provides subject matter specialists' views about granting jurisdiction for a subset of whistleblower appeals to be decided by a district court of the United States. GAO obtained data from MSPB on whistleblower appeals received and closed from fiscal years 2011 through 2015. This period begins approximately 2 years prior to WPEA's effective date of December 27, 2012, and continues through the end of fiscal year 2015. GAO also conducted six focus groups with subject matter specialists that include whistleblower advocates and agency labor relations officials."
United States. Government Accountability Office
2016-11
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Climate Change: Improved Federal Coordination Could Facilitate Use of Forward-Looking Climate Information in Design Standards, Building Codes, and Certifications, Report to the Honorable Matthew Cartwright, House of Representatives
"Over the last decade, extreme weather cost the federal government more than $320 billion for, among other things, repairs to federal infrastructure, and according to the President's 2017 budget request, these costs may rise as the climate continues to change. GAO's [Government Accountability Office] prior work found that using the best available climate information, including forward-looking projections, can help manage climate-related risks. Federal, state, local, and private decision makers use design standards, building codes, and voluntary certifications in the construction of infrastructure. Standards-developing organizations, such as professional engineering societies, issue standards, model codes, and certifications. GAO was asked to review the use of forward-looking climate information by standards-developing organizations. This report examines (1) what is known about the use of such information in standards, codes, and certifications; (2) challenges standards organizations face to using climate information; and (3) actions federal agencies have taken to address such challenges and additional actions they could take. GAO analyzed laws and policies, reviewed reports, and interviewed representatives from 17 selected organizations and officials from agencies that address climate issues. GAO recommends that NIST [National Institute of Standards and Technology], in consultation with USGCRP [United States Global Change Research Program] and MitFLG [Mitigation Framework Legal Group], convene an ongoing government-wide effort to provide forward-looking climate information to standards organizations. Commerce neither agreed nor disagreed with GAO's recommendation"
United States. Government Accountability Office
2016-11-30
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Commercial Space: FAA Should Examine How to Appropriately Regulate Space Support Vehicles, Report to Congressional Committees
"As the commercial space
transportation industry has grown
significantly in the last decade, a
related industry has emerged that
plans to complement the commercial
space industry by using vehicles called
space support vehicles to conduct
space-related activities, but not launch
into space.
The U.S. Commercial Space Launch
Competitiveness Act of 2015 includes
a provision for GAO [Government Accountability Office] to review the uses
for space support vehicles and
services and any barriers to their use.
This report addresses stakeholder
views on (1) potential uses for space
support vehicles, (2) challenges that
companies may face when attempting
to use these vehicles, and (3) how
these vehicles should be regulated.
GAO reviewed prior GAO and industry
reports, relevant laws and regulations,
and interviewed officials on two
proposals for regulating space support
vehicles. GAO interviewed officials at
FAA and the National Aeronautics and
Space Administration and 37 legal
experts and stakeholders from industry
organizations, launch companies,
space support companies, and
spaceports-identified by agency and
industry officials. The Secretary of the Department of
Transportation (DOT) should direct the
FAA Administrator to fully examine and
document whether the FAA's current
regulatory framework is appropriate for
space support vehicles and, if not,
suggest legislative or regulatory
changes, or both, as applicable. DOT
provided technical comments;
however, it did not comment on the
recommendation at this time."
United States. Government Accountability Office
2016-11
