A 2010 MOU set mutual goals for VA and IHS collaboration and coordination related to serving AI/AN veterans. Under this MOU, VA has established reimbursement agreements with IHS and tribal health programs to pay for care provided to AI/AN veterans. In 2013 and 2014, GAO issued two reports on VA and IHS implementation and oversight of the MOU. GAO was asked to provide updated information related to the agencies' MOU oversight. This report examines (1) VA and IHS oversight of MOU implementation since 2014, (2) the use of reimbursement agreements to pay for AI/AN veterans' care since 2014, and (3) key issues identified by selected VA, IHS, and tribal health program facilities related to coordinating AI/AN veterans' care. To conduct this work, GAO reviewed VA and IHS documents, reports, and reimbursement data from 2014 through 2018. GAO interviewed VA and IHS officials at the headquarters level, and officials at 15 VA, IHS, and tribal facilities in four states—Alaska, New Mexico, North Carolina, and Oklahoma—selected based on factors including the number of reported AI/AN veterans served, and geographic diversity. GAO also interviewed organizations representing tribes and tribal health programs. The Department of Veterans Affairs (VA) and the Department of Health and Human Services' (HHS) Indian Health Service (IHS) established a memorandum of understanding (MOU) to improve the health status of American Indian and Alaska Native (AI/AN) veterans through coordination and resource sharing among VA, IHS, and tribes. Since GAO's last report on the topic in 2014, VA and IHS have continued to jointly oversee the implementation of their MOU—for example, through joint workgroups and quarterly meetings and reports—but they lack sufficient measures for assessing progress towards MOU goals. Specifically, while the agencies established 15 performance measures, they did not establish targets against which performance could be measured. For example, while the number of shared VA-IHS trainings and webinars is a performance measure, there is no target for the number of shared trainings VA and IHS plan to complete each year. GAO's work on best practices for measuring program performance has found that measures should have quantifiable targets to help assess whether goals and objectives were achieved by comparing projected performance and actual results. VA and IHS officials said they are currently in the process of revising the MOU and updating the performance measures used. However, officials have not indicated that any revised measures will include targets. Total reimbursements by VA for care provided to AI/AN veterans increased by about 75 percent from fiscal year 2014 to fiscal year 2018. This increase mainly reflects the growth in reimbursement from VA to tribal health program facilities—facilities that receive funding from IHS, but are operated by tribes or tribal organizations. Similarly, the number of VA's reimbursement agreements with tribal health programs and the number of AI/AN veterans served under the reimbursement agreements also increased during this period. The VA, IHS, and tribal facility officials GAO spoke with described several key challenges related to coordinating care for AI/AN veterans. For example, facilities reported conflicting information about the process for referring AI/AN veterans from IHS or tribal facilities to VA, and VA headquarters officials confirmed that there is no national policy or guide on this topic. One of the leading collaboration practices identified by GAO is to have written guidance and agreements to document how agencies will collaborate. Without a written policy or guidance about how referrals from IHS and tribal facilities to VA facilities should be managed, the agencies cannot ensure that VA, IHS, and tribal facilities have a consistent understanding of the options available for referrals of AI/AN veterans to VA specialty care. This could result in an AI/AN veteran receiving, and the federal government paying for, duplicative tests if the veteran is reassessed by VA primary care before being referred to specialty care.


A 2014 government report predicted that the rate of violent domestic extremist incidents would increase. In recent years, some high-profile incidents have occurred on federal lands, such as the armed occupation of a FWS wildlife refuge in 2016. Federal land management agencies manage nearly 700 million acres of federal lands and have law enforcement divisions that protect their employees and secure their facilities. GAO was asked to review how land management agencies protect their employees and secure their facilities. For the four federal land management agencies, this report examines, among other things, (1) what is known about the number of threats and assaults against their employees and (2) the extent to which agencies met federal facility security assessment requirements. GAO analyzed available government data on threats and assaults; examined agencies' policies, procedures, and documentation on facility security assessments; compared the agencies' methodologies against ISC requirements; and interviewed land management agency, ISC, and FBI officials. Data from the four federal land management agencies—the Forest Service within the U.S. Department of Agriculture and the Bureau of Land Management (BLM), Fish and Wildlife (FWS), and National Park Service (Park Service) within the Department of the Interior—showed a range of threats and assaults against agency employees in fiscal years 2013 through 2017. For example, incidents ranged from telephone threats to attempted murder against federal land management employees. However, the number of actual threats and assaults is unclear and may be higher than what is captured in available data for various reasons. For example, employees may not always report threats because they consider them a part of the job. Federal Bureau of Investigation (FBI) data for fiscal years 2013 through 2017 also showed that the FBI initiated under 100 domestic terrorism investigations into potential threats against federal land management agencies. The majority of these investigations involved BLM and individuals motivated by anti-government ideologies. The four federal land management agencies have completed some but not all of the facility security assessments on their occupied federal facilities as required by the Interagency Security Committee (ISC). Officials at the four agencies said that either they do not have the resources, expertise, or training to conduct assessments agency-wide. FWS has a plan to complete its assessments, but BLM, the Forest Service, and the Park Service do not. Such a plan could help these agencies address the factors that have affected their ability to complete assessments. The ISC also requires that agencies conduct assessments using a methodology that meets, among other things, two key requirements: (1) consider all of the undesirable events (e.g., arson and vandalism) identified as possible risks to facilities, and (2) assess the threat, vulnerability, and consequence for each of these events. The Forest Service's methodology meets these two requirements and the Park Service's methodology partially meets the requirements, but BLM and FWS have not yet established methodologies for conducting facility security assessments. Without developing a plan for conducting all of the remaining facility security assessments and using a methodology that complies with ISC requirements, agencies may not identify the risks their facilities face or identify the countermeasures—such as security cameras or security gates—they could implement to mitigate those risks.


A supply of enriched uranium is crucial to support the nation's nuclear weapons stockpile and the U.S. Navy, but the infrastructure of several U.S. uranium-processing facilities is outdated. In 2014, NNSA began plans to meet the nation's uranium needs by redirecting processing capabilities to the UPF and to other existing buildings NNSA plans to upgrade at Y-12 in Oak Ridge, Tennessee. The National Defense Authorization Act for Fiscal Year 2013, as amended, includes a provision for GAO to periodically review the UPF. Also, a Senate report accompanying the National Defense Authorization Act bill for fiscal year 2012 provides for GAO to review the independent cost estimates for the UPF. This report, which is GAO's sixth on the UPF, examines (1) the status of the UPF project and plans for starting UPF operations; (2) the extent to which NNSA has followed requirements to obtain independent cost estimates for the UPF, and how NNSA has used information from those estimates; and (3) the extent to which NNSA has made progress in developing uranium program management information since GAO's September 2017 report. GAO reviewed project and program documents on planning, schedule, cost, and implementation, and interviewed program officials. National Nuclear Security Administration (NNSA) documents and officials reported that the new Uranium Processing Facility (UPF) is on schedule and within budget. As of December 2019, three of the seven UPF subprojects were complete, and four were ongoing. NNSA officials told GAO they estimate that construction of the UPF will be complete in 2022 and that they expect to meet NNSA's goal of completing the UPF project for $6.5 billion by the end of 2025. As required, NNSA and its contractor developed a plan for starting operations at the UPF, which officials stated will likely occur in 2026. According to NNSA's plan, attaining full UPF operational capability will be the final step to enable NNSA to stop certain operations in Building 9212—the oldest building with the highest nuclear safety risk at the Y-12 National Security Complex (Y-12)—and turn it over to the Department of Energy (DOE) for final disposition by 2035. In managing the UPF project, NNSA obtained independent cost estimates for the four largest UPF subprojects whose total estimated costs exceeded $100 million. Such estimates are required by DOE policy and to satisfy limitations in appropriations laws. Moreover, based on its review of NNSA documents, GAO found NNSA used those estimates to help inform the UPF's approved cost and schedule baseline estimates. NNSA officials stated that they used information from the independent cost estimate and other sources to help negotiate remaining work with the contractor and finalize the overall UPF's baseline estimates before starting construction. Since GAO last reported on NNSA's broader uranium program in September 2017, NNSA identified and made progress in implementing the uranium program's scope of work that includes capabilities and other activities that are not part of the UPF project but are needed for weapons program. Specifically, NNSA made progress in the following areas: 1. developing process technologies that are expected to increase the efficiency and effectiveness of certain uranium processing capabilities; 2. investing in infrastructure to extend the operational lives of older uranium facilities; and 3. reducing the amount of uranium stored and used in these older uranium facilities. NNSA has also made progress in implementing GAO's 2017 recommendation to develop key management information for the uranium program. Specifically, NNSA developed an integrated master schedule covering the scope of work for the program through fiscal year 2035 and a life-cycle cost estimate that includes program costs through fiscal year 2026. NNSA estimated that, in addition to completing the UPF project for $6.5 billion, the uranium program will spend over $850 million from fiscal years 2016 through 2026 to support modernizing other needed uranium processing capabilities and transitioning out of Building 9212.


Chemistry contributes to virtually every aspect of modern life, and the chemical industry supports nearly 26 percent of the gross domestic product of the United States. While these are positive contributions, chemical processes and production can have negative health and environmental consequences. Mitigating these potential consequences requires thoughtful design and evaluation of the life cycle effects of chemical processes and products. This testimony—based on a 2018 technology assessment, GAO-18-307 —discusses (1) how stakeholders define and assess the sustainability of chemical processes and products, (2) available or developing technologies to make chemical processes and products more sustainable, (3) the roles of the federal government and others in supporting the development and use of more sustainable chemical processes and products, and (4) opportunities and challenges in the field of sustainable chemistry. For the 2018 report, GAO selected for assessment three technology categories—catalysts, solvents, and continuous processing; interviewed stakeholders from various fields, such as government, industry, and academia; convened a meeting of experts on sustainable chemistry technologies and approaches; and surveyed a non-generalizable sample of chemical companies. Stakeholders vary in how they define and assess the sustainability of chemical processes and products; these differences hinder the development and adoption of more sustainable chemistry technologies. However, based on a review of the literature and stakeholder interviews, GAO identified several common themes underlying what sustainable chemistry strives to achieve, including: improve the efficiency with which natural resources are used to meet human needs for chemical products while avoiding environmental harm; reduce or eliminate the use or generation of hazardous substances, minimize the use of non-renewable resources; and consider all life cycle stages when evaluating a product (see figure). There are many technologies available and in development that can improve chemical sustainability at each stage of the chemical life cycle. GAO identified three categories of more sustainable chemistry technologies—catalysts, solvents, and continuous processing. Catalysts are used to make chemical processes run faster or use less material. Without catalysts, many everyday items such as medicines, fibers, fuels, and paints could not be produced in sufficient quantities to meet demand. However, the most common catalysts—including those used in automobile catalytic converters—are rare, nonrenewable metals such as platinum and palladium. Researchers are working to replace such metals with alternatives, including abundant metals (e.g., iron and nickel) where possible. Solvents are used to dissolve other substances so reactions can occur, to separate and purify chemicals, and to clean the equipment used in chemical processes, among other uses. Solvents constitute a large portion of the total volume of chemicals used in industrial chemical processes. However, many conventional solvents are considered hazardous. There are a variety of alternatives that can be used in some situations, including biobased solvents. An alternative to traditional batch processing is continuous processing, which allows chemical reactions to occur as the reaction mixture is pumped through a series of pipes or tubes where reactions take place continuously. Compared to batch processing, this approach can improve product yield, product quality, and process safety while reducing waste and costs. The federal government and other stakeholders play several roles, sometimes in collaboration, to advance the development and use of more sustainable chemistry technologies. The federal government supports research, provides technical assistance, and offers certification programs, while other stakeholders conduct research, develop industry-specific standards, support workforce development development, and address chemicals of concern in consumer products, among other roles. Strategic Implications While using more sustainable options entails challenges--including technological, business, and industry-wide and sector-specific challenges, the field of sustainable chemistry has the potential to inspire new products and processes, create jobs, and enhance benefits to human health and the environment. Stakeholders identified strategic implications of sustainable chemistry and offered a range of potential options and realize the full potential of these technologies, including the following: Breakthrough technologies in sustainable chemistry and a new conceptual framework could transform how the industry thinks about performance, function, and synthesis. An industry consortium, working in partnership with a key supporter at the federal level, could help make sustainable chemistry a priority and lead to an effective national initiative or strategy. Integrating sustainable chemistry principles into educational programs could bolster a new generation of chemists, encourage innovation, and advance achievement in the field. A national initiative that considers sustainable chemistry in a systematic manner could encourage collaborations among industry, academia and the government, similar to the National Nanotechnology Initiative. There are opportunities for the federal government to address industry-wide challenges such as developing standard tools for assessment and a robust definition of sustainable chemistry. Federal agencies can also play a role in demonstrating, piloting, and de-risking some technology development efforts. According to stakeholders, transitioning toward the use of more sustainable chemistry technologies will require national leadership and industry, government, and other stakeholders to work together.


Childhood obesity affects nearly 14 million children aged 2 to 19 years in the United States. Children in low-income families are disproportionately affected, with about 1 in 5 having obesity. Studies suggest that children with obesity are likely to become adults who are overweight or have obesity, which can contribute to poorer health and higher health care expenditures. CDC was designated as the agency to design and manage the project and has awarded grants in three separate phases. GAO was asked to examine the CORD Project, including what has been learned regarding strategies to reduce childhood obesity. In this report, GAO describes 1) the extent to which CDC changed the design of the CORD Project between grant phases, 2) the results of the CORD Project and factors that have affected implementation, and 3) efforts by CDC and others to disseminate results and lessons learned. To conduct this work, GAO reviewed planning and grant documentation for the three CORD phases, published articles about the design of CORD phase 1 and 2, and documentation describing the results of CORD phase 1. GAO also interviewed CDC officials, CORD phase 1 and 2 grantees, and officials from other HHS agencies involved in the design of the CORD Project. HHS provided technical comments on a draft of this report, which GAO incorporated as appropriate. The Centers for Disease Control and Prevention (CDC) has made four key changes to the design of the Childhood Obesity Research Demonstration (CORD) Project between each of the three grant phases. Established by law in 2009, the project provides research grants to develop and implement strategies to reduce obesity among low-income children. One of CDC's design changes, for example, was to modify the scope of the project (i.e., type of strategies implemented by grantees). After CORD phase 1, CDC officials shifted the scope from prevention—through the implementation of strategies in community settings, such as schools, and in health care settings—to the treatment of children who were overweight or had obesity. According to CDC officials, the agency made this change due to the shorter time frame for implementing CORD phase 2 and in response to existing national recommendations related to childhood obesity. CDC also changed the purpose of the project's study design prior to phase 3. Whereas CORD phases 1 and 2 were intended to build knowledge and evidence of effective strategies, CDC modified CORD phase 3 to focus on translating effective strategies into routine use by converting them into a package of materials that others could replicate. To evaluate the effectiveness of CORD phase 1—the only phase that is complete—CDC awarded a grant to an independent entity to aggregate results across the three grantees, and each grantee conducted their own evaluation. The evaluation center and the grantees reported some improvements in children who received CORD 1 strategies. For example, the evaluation center reported small but positive changes in outcomes measured, which included body mass index and fruit and vegetable consumption. These improvements were most often observed among children who received primary care strategies, such as individualized counseling, and children who participated in public health strategies, such as an evidence-based nutritional program, in addition to the primary care strategies. CDC and grantees identified several factors during the first two phases that affected the ability to implement strategies to reduce obesity among low-income children. For example, grantees noted that the preexistence of programs and policies that promoted healthy behaviors positively affected their implementation of CORD strategies. CDC officials identified the turnover of principals and other school or clinic staff as negatively affecting the implementation and suggested that future researchers incorporate staff retraining costs into their strategies as a way to help mitigate this challenge. CDC has taken steps to share CORD design materials and results through published literature, websites, and conferences. It has also coordinated with other Department of Health and Human Services (HHS) offices and agencies to promote the wider adoption of CORD strategies in low-income communities. For example, CDC has collaborated with an office in HHS to fund a project to increase the use of a specific weight management program used in CORD phase 1.


China's growing confidence in asserting itself regionally and internationally, combined with longstanding concerns about whether the United States has the capacity or commitment to remain the region's dominant actor, is leading U.S. allies and partners to adjust their strategic posture. This report seeks to outline some of these changes and to outline the perspectives of Indo-Pacific nations seeking to navigate a changing geopolitical environment, including by recasting their conception of the region to draw in new potential counterweights to China such as India, prioritizing new defense acquisitions to bolster indigenous security capacities, and seeking out new, networked security partnerships. Several Indo-Pacific nations over the past decade have substantially increased defense spending to prepare for new challenges; in some cases they have also sought more extensive roles in shaping the regional security architecture. Some are seeking to develop new intra-Asian security partnerships and strengthen existing strategic relationships. Japan, Australia, and India are among the most active in these regards. The Trump Administration similarly has articulated strategic objectives in an expansive region from East Asia to South Asia and the Indian Ocean, and has increased defense spending. Some actions taken by President Trump, howeverâincluding his questioning of alliance relationships, his opposition to multilateral trade agreements, and possibly his moves to retreat from U.S. security commitments elsewhere in the worldâhave, in the view of many, sent conflicting signals to and undermined confidence in U.S. alliances and partnerships in the Indo-Pacific region. Many observers have pointed to the value of U.S. allies and partners in protecting U.S. security and values and questioned the economic elements of the Administration's Indo-Pacific strategy, arguing that the Administration has not come forward with an adequate replacement to fill the gap in U.S. engagement that was opened when President Trump withdrew from the proposed Trans-Pacific Partnership (TPP) trade agreement. Developing a better understanding of how the United States' Indo-Pacific allies and partners are positioning themselves to adapt to this evolving strategic landscape can inform Congress's oversight of U.S. policies and approaches to the region. It can also aid Congress as it makes funding decisions for U.S. armed forces and foreign assistance or considers strategic aspects of potential trade agreements or other economic initiatives in the region. Within this context Congress may consider a number of questions. What are U.S. allies and partners' perceptions of U.S. power and commitment to the Indo-Pacific? How are these perceptions changing? If these perceptions are negative, how are they affecting U.S. interests and what should be done to change them? How are Indo-Pacific countries responding to China's growing economic influence and military power? What impact has President Trump had on the United States' relationship with key allies and partners in the Indo-Pacific and what effect, if any, has this had on U.S. interests? How have regional states responded to the Trump Administration's Free and Open Indo-Pacific strategy? Is the strategy calibrated to gain regional support to achieve U.S. interests? Is it well understood in the region, and is its implementation sufficient to convince the region of U.S. commitment? If not, what should change, and in what ways? Do new security partnerships in Asia raise policy questions or opportunities in areas such as new arms sales, training, or exercises? This report will compare various nations' approaches to bolstering their collective security through increased defense spending and evolving security networks and strategic linkages, and identify options for the United States, and for Congress specifically in light of answers to the above questions.


Cigarette use remains the leading cause of preventable death in the United States, claiming an estimated 480,000 lives or more each year. Although cigarette use in the United States continues to decline, according to the Centers for Disease Control and Prevention (CDC), 34.2 million American adults smoked cigarettes every day or some days in 2018, and nearly 1.2 million American middle and high school students smoked cigarettes in the past 30 days in 2019. In recent years, electronic nicotine delivery systems (ENDS) have become increasingly popular. ENDS is an umbrella term for various types of electronic tobacco products, including electronic cigarettes (e-cigarettes). An e-cigarette is a battery-operated device typically containing nicotine, flavorings, and other chemicals that, when heated, creates inhalable vapor. According to CDC analyses, 8.1 million American adults used e-cigarettes every day or some days in 2018, and about 5.4 million American middle and high school students used an e-cigarette in the past 30 days in 2019. There has been debate in the public health community regarding the impact of ENDS on public health. Some view ENDS as a safer alternative for adult cigarette smokers, while others are alarmed by increased use among youth. Further, the emergence of e-cigarette, or vaping, product use-associated lung injury (EVALI) that has resulted in 60 deaths and the hospitalization of 2,711 individuals as of January 21, 2020 has raised further concern among public health stakeholders, Congress, and the general public. FDA Regulation of Tobacco Products The Food and Drug Administration (FDA), an agency within the Department of Health and Human Services (HHS), is responsible for regulating the manufacture, marketing, distribution, and sale of tobacco products. FDA's Center for Tobacco Products (CTP)âestablished in 2009 pursuant to the Family Smoking Prevention and Tobacco Control Act of 2009 (TCA; P.L. 111-31 )âis primarily responsible for tobacco product regulation. The TCA amended the Federal Food, Drug, and Cosmetic Act (FFDCA) to establish a new chapter IX ("tobacco products"), which, as enacted, applied to cigarettes, cigarette tobacco, roll-your-own tobacco, and smokeless tobacco. However, FDA has the broad authority to regulate any other tobacco products deemed by the agency to meet the definition of a tobacco product and thus to be subject to chapter IX of the FFDCA. In 2016, pursuant to this authority, FDA promulgated regulations (known as "the deeming rule") that extended the agency's authority over all tobacco products that were not already subject to the FFDCA, including ENDS. Because tobacco products have no reported health benefits, FDA's regulation of these products differs in certain respects from FDA's regulation of medical products (e.g., prescription drugs, medical devices). Similar to medical product manufacturers, tobacco product manufacturers are subject to manufacturer requirements, including payment of user fees and premarket review, among other requirements. However, while medical product manufacturers are generally required to meet a standard of safety and effectiveness to receive premarket approval from FDA, tobacco product manufacturers are instead generally required to meet a standard "appropriate for the protection of public health" to receive marketing authorization. Tobacco product manufacturers, importers, distributors, and retailers are also required to comply with tobacco-specific requirements as a result of the harm that tobacco products pose to human health. Examples of such requirements include the development of tobacco product standards, submission of health information to the agency, and distribution and promotion restrictions, among others. Policy Considerations Both FDA and Congress have taken steps to address regulation of ENDS in light of EVALI and the youth ENDS epidemic. FDA recently finalized a guidance document expressing its enforcement priorities pertaining to certain ENDS products. Some public health stakeholders contend that the policy will not effectively address youth use of ENDS. In parallel, legislation introduced in the 116 th Congress includes more stringent proposals than those planned by FDA to address youth ENDS use, such as banning all flavors in tobacco products (including ENDS). In FY2020 appropriations, Congress enacted provisions raising the federal age of tobacco purchasing from 18 to 21. To apply certain existing FFDCA requirements to tobacco product manufacturers and retailers, such as requiring ENDS manufacturers and importers to pay user fees, Congressional action would need to be taken.


Cleaning up DOE's former uranium enrichment sites will cost billions of dollars and span decades. These sites, near Oak Ridge, Tennessee; Paducah, Kentucky; and Portsmouth, Ohio, are contaminated with radioactive and hazardous materials. EM is responsible for their cleanup. This report examines (1) the extent to which EM has managed cleanup of the GDPs compared with relevant program management leading practices and the status of the cleanup effort; (2) what EM has spent on cleanup at the GDPs, and the extent to which EM's cost estimates for completing GDP cleanup are reliable; and (3) the extent to which the D&D Fund is sufficient to cover EM's estimated cleanup costs of the GDPs and challenges, if any, that could affect the sufficiency of the fund. GAO reviewed relevant legislation and DOE reports to Congress on GDP cleanup; compared program management to relevant leading practices; assessed EM expenditure and cost estimation documents; and interviewed EM and state regulatory officials at the three GDPs. Since 2007, the Department of Energy (DOE) has stated in reports to Congress that it intends to manage its three former gaseous diffusion plants (GDP) in an integrated manner. Also, a Decontamination and Decommissioning (D&D) Fund was established by law to pay for the cleanup costs of the GDP sites, so that DOE's Office of Environmental Management (EM) must coordinate and make trade-offs in its use of resources among the three GDPs. However, EM has managed the cleanup of the three GDPs as three individual sites. In addition, EM is not following relevant leading practices GAO reviewed for managing the cleanup as a program (having a program management plan; a reliable integrated master schedule; and a reliable, integrated, comprehensive life-cycle cost estimate. By managing the three GDPs as an integrated program and following these program management leading practices, EM would have more reasonable assurance that it is taking every opportunity to increase the efficiency and effectiveness of its management activities. EM has reported spending a total of about $15.5 billion on GDP cleanup as of fiscal year 2018. However, EM's cost estimates for completing cleanup at the three sites are not reliable. GAO assessed EM's cost estimates for the GDPs individually by comparing them with best practices for developing high-quality, reliable cost estimates. EM's cost estimates for completing cleanup of the GDPs do not fully or substantially meet all of the characteristics of a reliable cost estimate Until EM ensures that its site-specific cost estimates fully incorporate best practices for cost estimation, EM, DOE, regulators, and Congress will not have the information needed to understand the level of resources required to achieve cleanup of the three GDPs. Under EM's current cost estimates, remaining GDP cleanup costs exceed the balance of the D&D Fund by at least $25 billion and EM faces challenges that could affect cleanup progress and the sufficiency of the fund. For example, DOE's reporting to Congress on the sufficiency of the D&D Fund is based on old financial data, incomplete information, and unclear scope. These limitations reduce the quality of the information Congress receives for making decisions about the sufficiency of the fund and allocating resources to the fund. For example, DOE reported to Congress on the status of the D&D fund and GDP cleanup in May 2019. The report was based on financial data as of September 2016 and on cost estimates prepared in 2013 for one GDP and in 2014 for the other two. Given that DOE estimates the fund will be exhausted in 2020, there is urgency for DOE to communicate current information on the fund on a timely basis to Congress. By regularly reporting on the status of the D&D Fund and cleanup efforts at the three GDPs with current information that contains details on challenges in reaching agreement with regulators and a clear scope of work, DOE will be able to provide better information for congressional decision-making on the sufficiency of the fund.


Cloud computing is a new name for an old concept: the delivery of computing services from a remote location, analogous to the way electricity, water, and other utilities are provided to most customers. Cloud computing services are delivered through a network, usually the internet. Utilities are also delivered through networks, whether the electric grid, water delivery systems, or other distribution infrastructure. In some ways, cloud computing is reminiscent of computing before the advent of the personal computer, where users shared the power of a central mainframe computer through video terminals or other devices. Cloud computing, however, is much more powerful and flexible, and information technology advances may permit the approach to become ubiquitous. As cloud computing has developed, varied and sometimes nebulous descriptions of what it is and what it is not have been commonplace. Such ambiguity can create uncertainties that may impede innovation and adoption. The National Institute of Standards and Technology has developed standardized language describing cloud computing to help clear up that ambiguity: Cloud computing is a model for enabling ubiquitous, convenient, on-demand network access to a shared pool of configurable computing resources (e.g., networks, servers, storage, applications, and services) that can be rapidly provisioned and released with minimal management effort or service provider interaction. This cloud model promotes availability and is composed of five essential characteristics, three service models, and four deployment models. Since 2009, the federal government has been shifting its data storage needs to cloud-based services and away from agency-owned, in-house data centers. This shift is intended to achieve two goals: reduce the total investment by the federal government in information technology (IT), which currently stands at about $90 billion each year, and realize other stated advantages of cloud adoption: efficiency, accessibility, collaboration, rapidity of innovation, reliability, and security. However, challenges remain as agencies shift to cloud services. According to a survey conducted in September 2018, federal IT managers expressed concerns about security in certain cloud environments, the complexity of migrating existing ("legacy") applications to the cloud, a lack of skilled staff to manage certain cloud environments, and uncertain funding. Planning for cloud adoption by federal agencies began with the 2010 publication of "A 25-Point Implementation Plan to Reform Federal IT Management." More recently, in the 2017 "Report to the President on Federal IT Modernization," the Office of Management and Budget (OMB) pledged to update the government's legacy Federal Cloud Computing Strategy ("Cloud First"). Fulfilling this requirement, the Administration developed a new strategy, "Cloud Smart," which was published on September 24, 2018. The new strategy is founded on what the Administration considers the three key pillars of successful cloud adoption: security, procurement, and workforce. In the 116 th Congress, there has been one cloud-related bill introduced and two hearings directly related to cloud computing: The Federal Risk and Authorization Management Program (FedRAMP) Authorization Act ( H.R. 3941 ) was introduced on July 24, 2019, by Representative Gerald Connolly. The bill would formally establish within the General Services Administration a risk management, authorization, and continuous monitoring process consistent with the Federal Information Security Modernization Act of 2014." On July 17, 2019, the House Committee on Government Reform Subcommittee on Government Operations held a hearing, "To the Cloud! The Cloudy Role of FedRAMP in IT Modernization." The purpose of the hearing was to examine the extent to which FedRAMP has reduced duplicative efforts, inconsistencies, and cost inefficiencies associated with the cloud security authorization process. On October 18, 2019, the Committee on Financial Services Task Force on Artificial Intelligence (AI) held a hearing, "AI and the Evolution of Cloud Computing: Evaluating How Financial Data Is Stored, Protected, and Maintained by Cloud Providers." Among other topics, the hearing explored how AI could be used to improve cloud management functions. Additionally, there have been two hearings on the implementation status of the Federal Information Technology Acquisition Reform Act. These hearings provide an update on data center optimization, which is an indication of the extent of agency adoption of cloud computing.


Coal mining and production in the United States during the 20 th century contributed to the nation meeting its energy requirements and left a legacy of unreclaimed lands. Title IV of the Surface Mining Control and Reclamation Act of 1977 (SMCRA, P.L. 95-87 ) established the Abandoned Mine Reclamation Fund. The Office of Surface Mining Reclamation and Enforcement (OSMRE) administers grants from the Abandoned Mine Reclamation Fund to eligible states and tribes to reclaim affected lands and waters resulting from coal mining sites abandoned or otherwise left unreclaimed prior to the enactment of SMCRA. Title IV of SMCRA authorized the collection of fees on the production of coal, which are credited to the Abandoned Mine Reclamation Fund. The use of this funding is limited to the reclamation of coal mining sites abandoned or unreclaimed as of August 3, 1977 (the date of SMCRA enactment). Title V of SMCRA authorized the regulation of coal mining sites operating after the law's enactment. Coal mining sites regulated under Title V are ineligible for grants from the Abandoned Mine Reclamation Fund. The balance of the Abandoned Mine Reclamation Fund is provided by fees collected from coal mining operators based on the volume or value of coal produced, whichever is less. The coal reclamation fee collection authorization in Title IV expires at the end of FY2021. If Congress does not reauthorize the collection of reclamation fees, SMCRA directs the remaining balance of the Abandoned Mine Reclamation Fund to be distributed among states and tribes receiving grants from the fund based on the FY2022 grant amounts. The FY2022 grant amounts would depend on the fees collected in FY2021, and payments from the fund would begin in FY2023, continuing annually until the balance has been expended. As of November 11, 2018, OSMRE reported that the unappropriated balance of the Abandoned Mine Reclamation Fund was approximately $2.3 billion. Reclamation grants to eligible states and tribes receiving grants from the Abandoned Mine Reclamation Fund would continue for some years until the balance is expended if coal reclamation fees are not reauthorized. The balance of the Abandoned Mine Reclamation Fund is several times less than the estimated unfunded reclamation costs. OSMRE recently reported estimates of the unfunded reclamation costs as $12.4 billion. Congress may consider whether and how to fund the remaining unfunded coal reclamation needs. If the fees are reauthorized, the adequacy of those receipts to pay the remaining unfunded reclamation needs would depend in part on decisions made by Congress (e.g., source of funds, duration of the fee extension, and fee rate). Additional factors include the status of domestic coal production, upon which the fees are based, and the potential emergence of additional reclamation needs. As introduced, H.R. 4248 and S. 1193 would amend SMCRA to extend the fee collection authorization at the current fee rates until September 30, 2036. SMCRA also authorizes federal financial assistance to United Mine Workers of America (UMWA) health and pension benefit plans for retired coal miners and family members who are eligible to be covered under those plans. Two sources of federal financial assistance to UMWA plans include interest transfers from the Abandoned Mine Reclamation Fund and supplemental payments from the General Fund of the U.S. Treasury. Should Congress not reauthorize the coal reclamation fees, as the balance from the Abandoned Mine Reclamation Fund is paid down, the interest transfers from the Abandoned Mine Reclamation Fund would make a relatively smaller contribution to the UMWA plans, increasing the reliance on General Fund payments for these plans. In the 116 th Congress, House and Senate versions of the RECLAIM Act ( H.R. 2156 and S. 1232 ) would authorize $1 billion over five years from the unappropriated balance of the Abandoned Mine Reclamation Fund for the reclamation of abandoned coal mining sites as a means of facilitating economic and community development in coal production states. Either of these bills would accelerate the expenditure of the remaining balance of the fund but would not reauthorize the reclamation fee.


Commercial and recreational marine fisheries—including those in the South Atlantic and Gulf of Mexico—are critical to the nation's economy, contributing approximately $99.5 billion to the U.S. gross domestic product in 2016, according to the Department of Commerce. NMFS and the councils may allocate fishing privileges for mixed-use fisheries in federal waters, but establishing and revising such allocations can be complex, in part because of concerns about equity. The Modernizing Recreational Fisheries Management Act of 2018 includes a provision for GAO to review mixed-use fisheries allocations in the South Atlantic and Gulf of Mexico. For these regions, this report examines (1) the extent to which the councils established or revised mixed-use fisheries allocations, (2) key sources of information that may be available for reviewing allocations, and (3) the extent to which the councils have developed processes to help guide such reviews. GAO reviewed NMFS and council policies and other council documents; analyzed information on allocations established and revised; compared council processes to agency guidance and internal control standards; and interviewed NMFS officials, council members and staff, and 46 stakeholders that reflected various interests. Views from these stakeholders are not generalizable. The South Atlantic and Gulf of Mexico regional fishery management councils, with approval from Department of Commerce's National Marine Fisheries Service (NMFS), established and revised allocations to varying degrees for mixed-use fish stocks—fisheries with a combination of commercial and recreational fishing. Regional councils were created by statute to help manage fisheries in federal waters, including allocating—or distributing—fishing privileges, when warranted. Starting in 1985, the South Atlantic council established allocations, generally a percentage of allowable harvest, for 50 of its 51 mixed-use fish stocks and revised most of those at least once. The Gulf of Mexico council established allocations for nine of its 23 mixed-use fish stocks, revising three of those once. Historically, allocations have been largely based on estimates of the commercial and recreational fishing sectors' past use of the resource, according to NMFS. Key sources of information that may be available to help NMFS and the councils review allocations include trends in catch and landings (the amount of fish caught or brought to shore); fish stock assessments; and economic analyses. Each source presents some challenges in supporting allocation decisions, however. For example, NMFS works with states to estimate recreational catch, which provides information about demand, but faces difficulties generating reliable estimates. This is in part because of attributes of the recreational fishing sector, including the greater number of recreational anglers compared with commercial fishing participants. NMFS issued guidance in 2019 to promote consistency in estimating recreational catch data to help improve the quality of the information. The South Atlantic and Gulf of Mexico councils developed processes for when to initiate fish stock allocation reviews, but not for how to conduct those reviews. A 2012 report for NMFS found that reviews had been done inconsistently, and stakeholders were dissatisfied with allocation decision-making. In response, NMFS developed guidance calling for structured and transparent allocation review processes. Both councils established criteria for initiating reviews, such as time-based triggers, and as of December 2019 they had several reviews underway (see figure). In April 2019, the Gulf of Mexico council began convening a workgroup to propose a draft allocation review process, but has not indicated what actions it will take, if any, in response to a proposal. The South Atlantic council postponed any discussions until March 2020. As of December 2019, neither council had a documented process. Documented processes for conducting allocation reviews would provide NMFS with better assurance that the councils carry out upcoming reviews in a structured and transparent manner.


Committee investigations in the House of Representatives can serve several objectives. Most often, an investigation seeks to gather information either to review past legislation or develop future legislation, or to enable a committee to conduct oversight of another branch of government. These inquiries may be called legislative investigations because their legal authority derives implicitly from the House's general legislative power. Much more rarely, a House committee may carry out an investigation to determine whether there are grounds to impeach a federal officialâa form of inquiry known as an impeachment investigation. While the labels "legislative investigation" and "impeachment investigation" provide some context to the objective or purpose of a House inquiry, an investigation may not always fall neatly into one of these categories. This ambiguity has been a topic of interest to many during the various ongoing House committee investigations concerning President Trump. On September 24, 2019, Speaker Pelosi announced that these investigations constitute an "official impeachment inquiry." Although these committee investigations into allegations of presidential misconduct are proceeding, in the Speaker's words, under the "umbrella of [an] impeachment inquiry," most appear to blend lawmaking, oversight, and impeachment purposes. However an investigation is labeled, because the Constitution provides the House with the "sole Power of Impeachment," implementation of the impeachment power, including any ancillary investigative powers, would appear textually committed to the discretion of the House. Yet the House has not established a single, uniform approach to starting impeachment investigations. The process has instead evolved, generally tracking changes the House has made to its committee structure and the investigative authorities conferred to its committees. Although impeachment investigations have often been authorized by a House resolution, they have also been conducted without an explicit authorization. There are still other examples where the House provided express authorization only after a committee had engaged in a "preliminary" impeachment investigation. An impeachment investigation may be more likelyârelative to a traditional legislative investigationâto obtain certain categories of information, especially from the executive branch. For example, it is possible that the significance of an exercise of the impeachment power, in conjunction with a resulting increase in political and public pressure, may itself affect the Executive's compliance decisions. But an impeachment investigation may also have legal impacts. If, in the face of a dispute with the executive branch over access to information, the House chose to seek judicial enforcement of an investigative demand, there appear to be at least three potential ways in which the impeachment power could, relative to a legislative investigation, provide the House with a stronger legal position. An impeachment investigation may (1) improve the likelihood of a court authorizing committee access to grand jury materials; (2) relieve any possible limitations imposed by the requirement that a committee act with a "legislative purpose"; and (3) improve the likelihood that a committee will be able to overcome privilege assertions such as executive privilege. In the past, executive noncompliance with an impeachment investigation has also prompted the investigating committee to recommend to the House an article of impeachment for contempt of Congress. That said, a congressional committee engaged in a legislative investigation could arguably obtain much of the same information as it would during an impeachment inquiry, as both legislative and impeachment investigations constitute an exercise of significant constitutional authority. As a result, while an impeachment investigation may very well increase the House's access to information, House committees may have substantial authority to obtain the information they seek even without reliance on the impeachment power.


Commonly known for protecting the President, the Secret Service also investigates financial and electronic crimes (e.g., counterfeit currency and identity theft). In recent years, Congress and a panel of experts established by the Secretary of Homeland Security have raised concerns that the Secret Service's investigative operations may negatively affect its protective operations. GAO was asked to review the Secret Service's investigative operations. This report examines, among other things, the extent to which the Secret Service's (1) investigative operations support or negatively affect its protective operations; (2) Office of Investigations has developed a plan to combat its priority criminal threats; and (3) staffing model accounts for federal employee compensation limits. GAO analyzed Secret Service data related to investigation and protection activities from 2014 through 2018; conducted semi-structured interviews with current and former special agents and federal prosecutors; and reviewed Secret Service policies and guidance. This is a public version of a sensitive report that GAO issued in September 2019. Information that the Secret Service deemed sensitive has been omitted. The operations of the U.S. Secret Service (Secret Service) Office of Investigations, which conducts criminal investigations into financial and electronic crimes, generally support Secret Service protective operations in a variety of ways. For example, special agents in the Office of Investigations perform temporary protective assignments, such as during presidential campaigns or augment protective operations by securing a site in advance of a visit by a protectee. GAO found that personnel in the Office of Investigations spent 11.2 million hours supporting protective operations from fiscal years 2014 through 2018. Most of the 40 current and former special agents GAO interviewed said that their investigative duties did not negatively affect protection. However, over half identified that they were frequently or sometimes required to work on investigations while assigned to temporary protective operations. Details associated with this topic are sensitive and have been omitted from this report. In December 2017, the Secret Service developed a plan to align its resources to combat what it identified as priority criminal threats (e.g., criminal activity with significant economic and financial impacts). However, available documentation of efforts taken does not consistently demonstrate synchronized efforts across the agency to counter the priority criminal threats, as envisioned in the plan. Further, the Secret Service does not have a systematic approach for identifying cases that address priority criminal threats. Absent a documented process for aligning resources and identifying cases, Secret Service will continue to lack assurance that its resources are aligned to combat its priority threats. The Office of Investigations employs a staffing model to determine how many special agents are needed in its field offices. The staffing model takes into account the number of law enforcement premium pay and standard overtime hours special agents are expected to work. However, it does not consider annual caps on federal employee salaries. As a result, the agency may be underestimating the number of staff needed to meet its workload demands.


A trusted, diverse workforce with the right expertise is critical to ensuring the IC achieves its mission of delivering distinctive, timely insights with clarity, objectivity, and independence. ODNI established the IC CAE program in 2005 to educate highly qualified students of diverse backgrounds and encourage them to pursue careers in the IC. ODNI and DIA have provided 29 colleges a total of 46 IC CAE grants through fiscal year 2018, totaling approximately $69 million through fiscal year 2021. This report evaluates the extent to which (1) DIA has planned and overseen the IC CAE program since 2011 and (2) selected IC elements are participating in the IC CAE program and have clearly defined roles. GAO reviewed IC CAE documentation related to DIA program planning and oversight from 2011 through 2019 and applied key practices of sound planning to evaluate DIA's management of the program. GAO interviewed selected IC elements and IC CAE college officials and reviewed related documentation to assess program planning and implementation. The Defense Intelligence Agency (DIA) has not sufficiently planned and overseen the Intelligence Community (IC) Centers for Academic Excellence (CAE) program—intended to create an increased pool of culturally and ethnically diverse job applicants for the IC—after the program transitioned from the Office of the Director of National Intelligence (ODNI) to DIA in 2011. Specifically, DIA has not applied most of GAO's key practices of sound planning in overseeing the program (see table), thus challenging decision makers' ability to determine the program's return on investment. Specifically, while DIA has developed some short-term goals and plans for the program, DIA has not established results-oriented program goals or an overall strategy that details the agency resources and processes required to achieve the program's mission. Similarly, DIA collected some data for the program and required colleges to provide reports on significant program accomplishments, but these data are not complete or reliable and have not been used to comprehensively evaluate the program's success. As oversight responsibility for the IC CAE program transitions back to ODNI in fiscal year 2020, ODNI will not be able to determine the extent to which the program has been successful in achieving its mission without establishing and documenting goals with targets and milestones; developing strategies to achieve those goals; and defining, collecting, and reporting comprehensive performance measures. Selected IC elements are participating in the IC CAE program to varying degrees, but DIA has not established a process for monitoring and assessing IC elements' participation or clearly defining IC elements' role in the program. The IC CAE program is a collaborative effort that allows IC elements to participate in college events, such as IC CAE recruitment events. However, not all IC elements participate in the program. As IC CAE program manager, DIA has engaged with IC elements in a variety of ways, but this engagement has not resulted in consistent participation among the IC elements. Moreover, program documentation has not clearly defined IC elements' roles and responsibilities for participation. Without a process for monitoring and assessing IC elements' participation and clearly defining roles and responsibilities, ODNI will neither be able to identify reasons for the lack of IC element engagement nor ensure that IC elements are taking advantage of the IC CAE program and its goal of creating a diverse pool of applicants for the IC.


Companies that provide cable television service (cable operators) are subject to regulation at the federal, state, and local levels. Under the Communications Act of 1934, the Federal Communications Commission (FCC or Commission) exercises regulatory authority over various operational aspects of cable service. At the same time, a cable operator must obtain a franchise from the state or local franchising authority for the area in which it wishes to provide cable service. The franchising authority often negotiates various obligations as a condition of granting the franchise. Under the Cable Communications Policy Act of 1984 (Cable Act), cable operators must obtain franchises from state or local franchising authorities, and these authorities may continue to condition franchises on various requirements. Nevertheless, the Cable Act subjects franchising authorities to important limitations. For instance, the Cable Act prohibits franchising authorities from charging franchise fees greater than 5% of a cable operator's gross annual revenue and from "unreasonably" refusing to award a franchise. In a series of orders since 2007, the FCC has interpreted the Cable Act to authorize an expanding series of restrictions on the powers of state and local franchising authorities to regulate cable operators. In particular, these orders clarify (1) when practices or policies by a franchising authority amount to an unreasonable refusal to award a franchise; (2) the types of expenditures that count toward the 5% franchise fee cap; and (3) the extent to which franchising authorities may regulate non-cable services provided by cable operators. Franchising authorities, in turn, have successfully challenged some of the FCC's administrative actions in federal court. The U.S. Court of Appeals for the Sixth Circuit upheld many rules in the FCC's orders, but it also vacated some of the FCC's rules in the 2017 decision in Montgomery County v. FCC . In response to the Montgomery County decision, the FCC adopted a new order on August 1, 2019, which clarifies its interpretations of the Cable Act. Among other things, the order reiterates the FCC's position that in-kind (i.e., non-monetary) expenses, even if related to cable service, may count toward the 5% franchise fee cap and preempts any attempt by state and local governments to regulate non-cable services provided by cable operators. Some localities have criticized the order for hampering their ability to control public rights-of-way and for reducing their ability to ensure availability of public, educational, and government (PEG) programming in their communities. Several cities have filed legal challenges to the order, which will likely involve many complex issues of statutory interpretation and administrative law, along with constitutional questions regarding the FCC's ability to impose its deregulatory policy on states. This report first outlines the FCC's role in regulating cable operators and franchising authorities, beginning with the Commission's approach under the Communications Act through the passage of the Cable Act and its amendments. The report then turns to a discussion of recurring legal issues over the FCC's power over franchising authorities. The report concludes with a discussion of possible legal issues that may arise in current legal challenges to FCC regulations and offers considerations for Congress.


Congress and OMB have taken steps intended to strengthen federal evidence-building activities. In September 2017, a federal commission found that agencies had uneven capacity to support, or did not fully coordinate, a full range of evidence-building activities. GAO was asked to examine the coordination of federal evidence-building activities. This report (1) describes selected agencies' actions that align with direction from Congress and OMB to strengthen evidence-building activities and (2) examines the extent to which selected agencies' processes for coordinating those activities reflect leading practices for collaboration. To address these objectives, GAO reviewed documents and interviewed officials about federal evidence-building activities at five selected agencies. GAO selected these agencies based on the greater number of experiences they had in comparison to other agencies incorporating these activities into the design and implementation of certain programs. GAO assessed their coordination of these activities against four leading practices for collaboration identified in GAO's past work. Federal decision makers need evidence about whether federal programs and activities achieve intended results as they set priorities and consider how to make progress toward national objectives. The five agencies GAO reviewed took actions that align with direction from Congress and the Office of Management and Budget (OMB) to strengthen their evidence-building activities. The five agencies are: the Departments of Education, Health and Human Services (HHS), and Labor (DOL); the Corporation for National and Community Service (CNCS); and the U.S. Agency for International Development. For example, based on a statutory requirement, a majority of grant funding for HHS's Maternal, Infant, and Early Childhood Home Visiting program is to be used for home visiting models with sufficient evidence of their effectiveness. Consistent with this requirement, HHS annually assesses evidence, such as the results of program evaluations, to identify effective home visiting models that grantees can implement. Evidence-building can involve assessing existing evidence, identifying any new evidence needs, and prioritizing when to fulfill those needs. These efforts are fragmented within each of the five agencies—that is, each has multiple organizational units with responsibilities for evidence-building. For example, DOL has established separate units responsible for different sources of evidence—evaluations, performance information, and statistics. Effective collaboration can help agencies manage this fragmentation, and lead to improved results. ; (3) clarifying roles and responsibilities ; and (4) documenting that information in written guidance . However, agencies' processes for determining which new evidence to generate, when, and how (i.e., prioritizing new evidence) did not always reflect the leading practices (see figure).


Congress annually considers 12 regular appropriations measures to provide discretionary funding for federal government activities and operations. For FY2019, appropriations actions spanned two Congresses, between which there was a change in the majority party in the House. The process of drafting, considering, and enacting FY2019 appropriations began in early 2018 and included the House and Senate Appropriations Committees each marking up and reporting all 12 annual appropriations bills by the end of July. Five appropriations bills in the 115 th Congress were enacted into law by the start of the fiscal year. An additional seven appropriations bills remained in various stages of consideration. Continuing resolutions (CRs) were enacted in order to extend funding of government operations covered in these seven bills. The first CR for FY2019 provided funding through December 7, 2018. A second CR provided funding through December 21, 2018. When the second CR expired, funding lapsed for the agencies and activities covered in the remaining seven appropriations bills, and a partial government shutdown ensued. The shutdown ended on January 25, 2019, when the 116 th Congress enacted a third CR to provide funding through February 15, 2019. Appropriations actions were subsequently completed when H.J.Res . 31 , an omnibus measure covering the seven remaining appropriations measures, was signed into law on February 15, 2019 ( P.L. 116-6 ). These and other actions are detailed in this report to provide overview information and a chronology of FY2019 appropriations measures. For information on tracking appropriations and related products, congressional clients may access the CRS FY2019 Appropriations Status Table at https://www.crs.gov/AppropriationsStatusTable .


Congress authorized the establishment of D-SNPs in 2003 to address the unique needs of dual-eligible beneficiaries. For example, D-SNPs are required to provide certain specialized services targeted at the needs of dual-eligible beneficiaries, such as health risk assessments. D-SNPs must have approval of state Medicaid agencies to operate, and states can require D-SNPs to coordinate with Medicaid. Congress included a provision in statute for GAO to review D-SNPs’ integration with state Medicaid programs. This report, among other objectives, (1) describes what is known about selected states’ experiences with aligned enrollment in D-SNPs, and (2) examines CMS’s oversight of aligned enrollment. GAO reviewed relevant federal guidance and internal control standards. GAO also interviewed Medicaid officials in seven selected states and reviewed available documentation. The states (Arizona, Florida, Kansas, New Jersey, Pennsylvania, Tennessee, and Virginia) were selected, in part, for variation in experiences with aligned enrollment. GAO also interviewed officials from CMS, beneficiary groups, and companies that offered D-SNPs and Medicaid MCOs. Dual-eligible beneficiaries are Medicare beneficiaries who are also enrolled in the Medicaid program in their state. In certain states, they may receive both types of benefits through private managed care plans. As of January 2019, about 386,000 such individuals were enrolled in both a private Medicare plan known as a dual-eligible special needs plan (D-SNP) and a Medicaid managed care organization (MCO) that were offered by the same or related companies. This arrangement, known as aligned enrollment, may create opportunities for better coordination between Medicare's acute care services and Medicaid's long-term services and supports, such as nursing facility care or personal care services. Medicaid officials in seven selected states described challenges with aligned enrollment. One challenge cited by officials in six of the states was using D-SNP and Medicare data to implement and evaluate aligned enrollment. For example, officials in one state said they cannot separate D-SNP quality data for just their state, because some D-SNPs report data spanning multiple states to the Centers for Medicare & Medicaid Services (CMS). As of December 2019, CMS officials said they are determining the best way for D-SNPs to report these quality data. CMS has assisted states with aligned enrollment, but lacks quality information on the experiences of dual-eligible beneficiaries who have aligned enrollment through a process known as default enrollment. With default enrollment, states allow automatic assignment of beneficiaries who are enrolled in a Medicaid MCO and are about to become eligible for Medicare to the D-SNP aligned with that MCO. However, CMS's monthly reports on default enrollment do not include information on beneficiaries who choose to disenroll in the first 90 days after being default enrolled, a time frame specified in regulation. According to one beneficiary group, some beneficiaries may disenroll, because they did not realize they were default enrolled and their provider is not in the D-SNP's network. Quality information on the experiences of dual-eligible beneficiaries after default enrollment would allow CMS to better identify the extent to which beneficiaries face challenges and to determine how, if at all, to address the challenges.


Congress chartered Fannie Mae and Freddie Mac, also known collectively as the government-sponsored enterprises (GSEs), to promote homeownership for underserved groups and locations by providing liquidity to the secondary mortgage market. The GSEs specifically facilitate financing for single-family residential mortgages and multifamily (apartment and condominium) construction. After purchasing pools of single-family 30-year fixed rate mortgages, the GSEs retain the credit (default) risks from the whole mortgages and subsequently issue mortgage-backed securities (MBSs), which are bond-like securities. Investors who purchase MBSs are guaranteed a return on their initial principal and interest, but they assume prepayment risk, which is the risk that borrowers prepay their mortgages ahead of schedule. In contrast to the original mortgages (with both credit and prepayment risks attached), the MBSs are relatively more liquid, meaning they can be exchanged for cash more quickly with little change in their quoted prices. If institutional investors from around the globe are willing to hold liquid MBSs, then additional funds are channeled to the nation's mortgage market (particularly to support 30-year fixed rate mortgages). National mortgage rates tend to fall as the supply of funds in this market increases, making homeownership more affordable. The Federal Housing Finance Agency (FHFA), an independent federal government agency created by the Housing Economic and Recovery Act of 2008 (HERA; P.L. 110-289 ), is the GSE's primary supervisor. FHFA regulates the GSEs for prudential safety and soundness and to ensure that they meet their affordable housing mission goals. In September 2008, the GSEs experienced losses that exceeded their statutory minimum capital requirement levels as a result of above-normal mortgage defaults. The GSEs also experienced losses following spikes in short-term borrowing rates that occurred while they were funding long-term assets held in their portfolios. The GSEs subsequently were placed under conservatorship, and the FHFA currently has the powers of management, boards, and shareholders until the GSEs' financial safety and soundness can be restored. In addition, the U.S. Treasury is providing financial support through the Senior Preferred Stock Purchase Agreements (PSPAs) program, which requires the GSEs to pay dividends to Treasury rather than private shareholders while they are under conservatorship. Congressional interest in the GSEs has continued since conservatorship. First, the final costs to the U.S. Treasury (and, by proxy, to U.S. taxpayers) of providing financial support to the GSEs are unknown. Furthermore, the GSEs' future viability could affect the availability of single-family 30-year fixed rate mortgage loan products. Although these mortgage products are arguably popular with borrowers, private lenders may be reluctant to retain in portfolio and fund relatively less liquid mortgagesâwith both credit and prepayment risks attachedâfor several decades. Congressional interest has been reflected by various draft proposals, bills, and oversight hearings on housing finance reform. During the 116 th Congress, the Senate Committee on Banking, Housing, and Urban Affairs released a proposal that would likely affect the GSEs' role in the housing finance system. President Donald J. Trump also released a memorandum directing federal agencies to develop a plan to reform the housing finance system, which includes ending the conservatorships. The FHFA's initiatives have focused primarily on managing the GSEs' liquidity, operational, and credit risks. The FHFA has directed the GSEs to standardize numerous processes to foster greater liquidity in the market for their MBSs. The standardization initiatives may also reduce operational risks, particularly risks associated with data breaches and other technology disruptions. The GSEs are also being required to share more of the credit risk linked to their single-family mortgage purchases with the private sector. The GSEs still face future challenges. For example, recent FHFA initiatives require the GSEs to harmonize their business models, including certain borrower risk characteristics that are eligible for securitization. The GSEs' ability to satisfy their affordable housing goals, therefore, might depend upon the extent to which borrowers with risk characteristics deemed eligible for securitization overlap with those who traditionally face greater difficulty accessing credit. In addition, the GSEs' securitization activities may depend upon certain legal protections that loan originators receive when their mortgages are sold to the GSEs. These protections are granted under what is referred to as the GSE patch, which expires on January 10, 2021. It is unclear how the secondary-market participantsâthe loan originators, the GSEs, and investors in the MBSs issued by the GSEsâwill respond if the GSE patch expires.


Congress determines through legislative action both the size and structure of the federal judiciary. Consequently, the creation of any new permanent or temporary U.S. circuit and district court judgeships must be authorized by Congress. A permanent judgeship , as the term suggests, permanently increases the number of judgeships in a district or circuit, while a temporary judgeship increases the number of judgeships for a limited period of time. Congress last enacted comprehensive judgeship legislation in 1990. Since then, there have been a relatively smaller number of district court judgeships created using appropriations or authorization bills. The Judicial Conference of the United States, the policymaking body of the federal courts, makes biennial recommendations to Congress that identify any circuit and district courts that, according to the Conference, require new permanent judgeships to appropriately administer civil and criminal justice in the federal court system. In evaluating whether a court might need additional judgeships, the Judicial Conference examines whether certain caseload levels have been met, as well as court-specific information that might uniquely affect a particular court. The caseload level of a court is expressed as filings per authorized judgeship, assuming all vacancies on the court are filled. The Judicial Conference's most recent recommendation, released in March 2019, calls for the creation of five permanent judgeships for the U.S. Court of Appeals for the Ninth Circuit (composed of California, eight other western states, and two U.S. territories). The Conference also recommends creating 65 permanent U.S. district court judgeships, as well as converting 8 temporary district court judgeships to permanent status. In making its recommendations to Congress, the Judicial Conference also identifies any courts that might have the most urgent need for new judgeships. These courts are considered, by the Conference, to have extraordinarily high and sustained workloads. In its most recent recommendations, the Conference identified six U.S. district courts it considers to have the most urgent need for new judgeships to be authorized by Congress.


Congress enacted TRIA to help ensure the availability and affordability of commercial property/casualty insurance for terrorism risk and to address potential effects on the economy in the absence of such coverage. Under the TRIA program, which is set to expire December 31, 2027, the government and insurers share losses following a certified act of terrorism. TRIA creates explicit fiscal exposure because the government is legally required to make payments to insurers after such an event, but there also may be some implicit exposure from an expectation of federal spending. To date, Treasury has not certified any acts of terrorism. GAO was asked to examine federal fiscal exposure under the TRIA program. This report (1) examines changes in explicit fiscal exposure under TRIA and how insurers have adjusted to the changes, and (2) describes situations in which implicit fiscal exposures may arise and might become explicit. To conduct this work, GAO reviewed the TRIA statute and related studies, analyzed Treasury data, and interviewed a nongeneralizable sample of insurers of different sizes providing various types of insurance. Terrorism Risk Insurance Act (TRIA) reauthorizations through 2015 have decreased federal fiscal exposure, and insurers have adjusted by managing their increased risk. Changes in the TRIA program that the Department of the Treasury (Treasury) administers—particularly incremental changes since 2015—reduced the government's explicit fiscal exposure from a certified act of terrorism (see figure). For example, by increasing the program trigger—minimum amount of industry-insured losses needed to activate the program—Congress potentially reduced the number of events that qualify for federal payments. As explicit federal fiscal exposure has decreased, insurer exposure has increased. Nevertheless, the market for terrorism risk has remained stable. However, some insurers are uncertain how Treasury defines insured losses for the purposes of calculating whether the program's $200 million trigger or $100 billion cap have been reached. For example, some insurers interpreted insured losses to include the portion of losses policyholders retain, which was different from Treasury's interpretation. Differences in interpretations could lead to disputes between insurers and Treasury following a terrorist event. One purpose of TRIA is to stabilize the market following a terrorist event. Communicating how it would calculate losses toward these program amounts could help Treasury alleviate uncertainty in the insurance market following a terrorist event. The government also has implicit fiscal exposure following a terrorist event, arising from expectations based on current policy or past practices that it may provide assistance, even when it is not legally required to do so. Although the government may not act on these expectations, the government's implicit exposure might become explicit if it chooses not to recoup the full federal share of losses from property/casualty policies, as allowed under TRIA, to prevent further stresses on the insurance market after a major terrorist event; assists companies with uninsured or underinsured losses after a terrorist event or when losses exceed the program cap; covers uninsured losses from a nuclear, biological, chemical, or radiological terrorism event; or assists insurers with losses that did not meet TRIA's trigger for loss sharing, or that were incurred in excluded lines of coverage, such as life and health insurance.


Congress enacted the Military Housing Privatization Initiative in 1996 to improve the quality of housing for servicemembers. DOD is responsible for general oversight of privatized housing projects. However, private-sector developers are responsible for the construction, renovation, maintenance, and repair of about 99 percent of military housing in the United States. Recent reports of hazards, such as mold and pest infestation, have raised questions about DOD's oversight of privatized military housing. Conference Report 115-952 included a provision for GAO to review ongoing issues within privatized housing. This report assesses, among other things, the extent to which OSD and the military departments (1) conduct oversight of privatized housing and (2) have developed and implemented initiatives to improve privatized housing. GAO reviewed policies and guidance; visited a non-generalizable sample of 10 installations; analyzed work order data; and interviewed DOD officials and private partner representatives. The Office of the Secretary of Defense (OSD) and the military departments conduct a range of oversight activities, but some of these activities have been more extensive than others. Specifically, GAO found that: DOD provides reports to Congress on the status of privatized housing, but some data in these reports are unreliable, leading to misleading results. DOD provides periodic reports to Congress on the status of privatized housing, but reported results on resident satisfaction are unreliable due to variances in the data provided to OSD by the military departments and in how OSD has calculated and reported these data. OSD has made progress in developing and implementing a series of initiatives aimed at improving privatized housing. In addition, Congress established several requirements addressing privatization housing reform. However, DOD officials and private partner representatives have identified challenges that could affect implementation of these various initiatives. These include concerns that implementation could have unintended negative impacts on the financial viability of the privatized housing projects. However, DOD has not assessed the risk of the initiatives on project finances.


Congress enacted the Military Housing Privatization Initiative in 1996 to improve the quality of housing for servicemembers. DOD is responsible for general oversight of privatized housing projects. Private-sector developers are responsible for the ownership, construction, renovation, maintenance, and repair of about 99 percent of military housing in the United States. Recent reports of hazards, such as mold and pest infestation, have raised questions about DOD's oversight. This statement summarizes GAO's draft report on privatized housing, which is currently at DOD for review and comment. Specifically, the statement discusses, among other objectives, OSD and the military departments' (1) oversight of privatized military housing and (2) development and implementation of initiatives to improve privatized housing. For its draft report, GAO reviewed policies and guidance; visited a non-generalizable sample of 10 installations representing each military department, among other factors; analyzed work order data; and interviewed DOD officials and private partner representatives. The Office of the Secretary of Defense (OSD) and the military departments conduct a range of oversight activities, but some of these activities have been more extensive than others. Specifically, GAO's draft report notes: The military departments conduct some oversight of the physical condition of housing, but some efforts have been limited in scope. Military departments have authority to conduct oversight of the condition of privatized housing; that oversight generally consists of reviewing a sample of work order requests, visual inspections of housing during change of occupancy, and other point in time assessments. However, GAO found that these efforts are limited in scope. For example, annual interior walk-throughs are limited to just a few homes at some installations, which may not comprehensively reflect the condition of the housing units at those installations. Military departments use performance metrics to monitor private partners, but metrics do not provide meaningful information on the condition of housing. OSD has recently issued guidance to ensure consistency in the framework used to measure project performance. However, the specific indicators used to determine if the metrics are being met do not accurately reflect private partner performance related to the condition of the home. For example, a common indicator is how quickly the private partner responded to a work order, not whether the issue was actually addressed. The military departments and private partners collect maintenance data on homes, but these data are not captured reliably or consistently. The Department of Defense (DOD) is expanding its use of work order data to monitor and track the condition of privatized housing. However, based on GAO's analysis of data provided by all 14 private partners, these data cannot reliably be used for ongoing monitoring of privatized housing because of data anomalies and inconsistent business practices in how these data are collected. DOD provides reports to Congress on the status of privatized housing, but some data in these reports are unreliable, leading to misleading results. DOD provides periodic reports to Congress on the status of privatized housing, but reported results on resident satisfaction are unreliable due to variances in the data provided to OSD by the military departments and in how OSD has calculated and reported these data. OSD and the military departments have made progress in developing and implementing a series of initiatives aimed at improving privatized housing. In addition, Congress established several requirements addressing privatization housing reform. However, DOD officials and private partner representatives have identified challenges that could affect implementation of these various initiatives. These include concerns that implementation could have unintended negative impacts on the financial viability of the privatized housing projects.


Congress established EAS as part of the 1978 deregulation of the U.S. airline industry. Through the EAS program, DOT provides subsidies to airlines to make service available to communities that airlines would otherwise not serve. Since 2010, several statutory changes have limited eligibility for EAS subsidies by, among other things, changing eligibility requirements. In spite of these changes, program costs have continued to rise, prompting questions about whether additional modifications should be made. A provision in the Federal Aviation Administration Reauthorization Act of 2018 directed GAO to examine several aspects of the EAS program. This report discusses, among other objectives, (1) how federal laws enacted since 2010 have affected air service to communities funded through the program; and (2) challenges that communities and air carriers face with EAS, and options for reform. GAO reviewed relevant federal laws, DOT orders, and DOT program data. GAO also interviewed representatives, such as airport managers and local government officials, from 17 communities that have participated in EAS; representatives from 10 of the 11 air carriers that participate in the program; and DOT officials. This report focuses on the EAS program as it operates in the contiguous United States, as there are different rules for EAS in Alaska and Hawaii. Statutory changes since 2010 have reduced the number of communities eligible for subsidized air service through the Essential Air Service (EAS) program; however, the Department of Transportation (DOT) granted waivers to most of the communities that applied, resulting in little change in the number of communities receiving EAS. In 2012, statutory changes limited eligibility for the program in the contiguous United States to those communities receiving EAS in fiscal year 2011. Further statutory changes set a maximum average per-passenger subsidy, and a minimum number of passengers, that some communities would have to meet to retain eligibility. DOT also resumed enforcing the $200 per-passenger subsidy cap for certain communities. While these changes limited eligibility, in some cases the changes also gave DOT the option of providing waivers—most of which DOT granted. Thus, as noted, the overall number of communities receiving EAS remained about the same; however, EAS expenditures increased from $161 million in fiscal year 2010 to $277 million in fiscal year 2018 (see figure). DOT officials said this increase was due, in part, to factors affecting the entire airline industry, such as increased labor wages. Community officials and air carriers GAO interviewed cited several challenges associated with EAS and suggested options for reform. For example, some carriers said it was difficult to find and retain pilots due to an insufficient supply of qualified pilots. At the same time, pilot wages have increased, making it difficult to provide quality service without exceeding the subsidy caps. Some carriers and community officials noted that the $200 subsidy cap has not changed for several years to account for inflation or these increased costs. To address these and other challenges, stakeholders suggested a number of options, such as indexing the $200 subsidy cap to inflation or allowing communities that lost eligibility to re-apply for the program. Several of these reforms would result in additional program costs.


A wildfire known as the Chetco Bar Fire began in the summer of 2017 in southwest Oregon and burned more than 190,000 acres over nearly 4 months. Since the fire began in a national forest, the Department of Agriculture's Forest Service played a key role in managing the firefighting response. Because the fire also threatened other lands, state and private firefighting entities were also involved. GAO was asked to review the Forest Service's response to and the effects of the Chetco Bar Fire. This report describes (1) key events of the Chetco Bar Fire and the Forest Service's firefighting response, (2) key concerns raised by Forest Service officials and stakeholders about the Forest Service's response, and (3) effects of the fire on local communities and resources. GAO reviewed federal documents related to key events and the response, such as incident action plans and daily status summaries; analyzed reports on effects of the fire; and visited burned areas. GAO also interviewed Forest Service, state, and local officials involved in the response, as well as other stakeholders—such as representatives of nongovernmental organizations and community members—to discuss key concerns and effects of the fire. To identify the stakeholders, GAO reviewed documents and interviewed Forest Service officials and stakeholders, who suggested others to interview. The Chetco Bar Fire was first reported in July 2017, burning in the Rogue River-Siskiyou National Forest in Oregon. Because of the remote, steep terrain, initial Forest Service attempts to fight the fire at close range were unsuccessful. The fire grew slowly over the next month. Firefighters, directed by the Forest Service, responded in various ways, such as by constructing “firelines”—clearing vegetation—in an effort to stop the fire's spread. In mid-August, strong, hot winds caused the fire to expand rapidly, from 8,500 acres to more than 90,000 acres over several days, threatening thousands of homes. Firefighters continued constructing firelines and dropped water and retardant on the fire to try to contain it. In September, the weather changed and cooler days and rain moderated the fire. Firefighers fully contained the fire in November (see figure). Forest Service officials and stakeholders raised a number of key concerns about the Forest Service's response to the Chetco Bar Fire. For example, some said that if the Forest Service's response had been more aggressive, it might have kept the fire from growing and threatening homes. Forest Service officials said that in making firefighting decisions, they prioritized firefighter safety and considered the likelihood that a particular response would be successful. The agency has taken steps to improve decision-making for future wildfires, such as developing a tradeoff analysis tool to help decision makers assess firefighting options. Forest Service officials, stakeholders, and documents identifed various effects of the fire. Some of these sources cited negative effects including destruction of six homes, damage to roads and trails, and damage to habitat for the northern spotted owl. However, the fire likely improved habitat for some species, such as woodpeckers that eat beetles that feed on burned trees, according to officials.


Congress established STEP in 2010 to increase small business exports. Through STEP, SBA has awarded about $139 million in grants to state trade offices, which in turn facilitate small business export activities, including participation in trade missions and attendance at trade shows. Congress reauthorized STEP in 2016. GAO was asked to review SBA's management of the program. This report examines the extent to which (1) SBA's STEP grants management process provides reasonable assurance of compliance with selected requirements of applicable law, and (2) SBA has taken steps to address challenges states report in using grant funds to achieve program goals. GAO reviewed the program's authorizing legislation and federal and agency guidance on grants management, analyzed SBA program data, and interviewed SBA officials. GAO also conducted semi-structured interviews with a non-generalizable sample of 12 of the 40 states that received STEP grants in fiscal year 2015, the most recent year for which complete data were available. GAO selected these states on the basis of their low grant fund use rates. The Small Business Administration's (SBA) management of the State Trade Expansion Program (STEP) does not provide reasonable assurance of compliance with some legal requirements. Specifically, the Trade Facilitation and Trade Enforcement Act of 2015 (TFTEA) requirements for STEP include: Proportional distribution requirement. SBA's Office of International Trade (OIT) must distribute grant funds so that the total amount awarded to the 10 states with the highest percentage of eligible small businesses does not exceed 40 percent of the program's appropriation that year. Total match requirement. States must provide a 25 or 35 percent non-federal match to the federal grant amount. Cash match requirement. A state's match cannot be less than 50 percent cash. GAO found that, while OIT has a process to meet the distribution requirement, it does not have a process for documenting that states have met the total match requirement before grant closeout, and does not have a process to determine whether states are meeting the cash match requirement. Without such processes, SBA cannot be reasonably assured that states are contributing per the law's requirements. GAO found that, while OIT has made changes to STEP in response to states' feedback, officials from states with low grant use described ongoing challenges with the program that affect their ability to fully use funds. These challenges include compressed application and award timelines, administrative burden, and poor communication. SBA has not adequately assessed risks to the program, including the risk to achieving program goals posed by some states' low grant fund use rates. Without such an assessment, OIT's ability to support U.S. exporters may be diminished. Further, SBA has not effectively facilitated sharing best practices among states. By doing this, SBA could help states make full use of funds to achieve the program's goals.