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

What GAO Found

The FOIA Improvement Act of 2016 expanded the requirement for agencies to proactively disclose certain records—making the records publicly available without waiting for specific requests. Of the three agencies GAO reviewed—Federal Aviation Administration (FAA), Department of Housing and Urban Development (HUD), and Veterans Health Administration (VHA)—only VHA aligned its policies and procedures with applicable Freedom of Information Act (FOIA) proactive disclosure requirements. Although FAA officials stated that the agency has processes to identify and post proactive disclosures, it has not documented these processes. HUD has FOIA regulations, updated in 2017, that address proactive disclosure, but its standard operating procedures have outdated sections that do not reflect statutory requirements.

GAO also found that HUD, VHA, and FAA did not fully comply with the statutory reporting requirements and Department of Justice’s (DOJ) guidance to accurately report proactive disclosures. The FOIA Improvement Act of 2016 requires agencies to report the number of records the FOIA and program offices proactively disclosed each fiscal year. From fiscal years 2017 through 2019, HUD incorrectly reported zero proactive disclosures, while VHA and FAA did not track and report all required categories of proactive disclosures in fiscal year 2019 (see table).

Selected Agencies’ Freedom of Information Act (FOIA) Offices’ Reported Proactive Disclosures

Fiscal year

Federal Aviation Administration

Housing and Urban Development

Veterans Health Administration

2019

8

0

16

2018

89,687

0

0

2017

90,486

0

58

2016

68,046

12

0

Source: FOIA.gov. | GAO-21-254

DOJ’s Office of Information Policy (OIP) is responsible for encouraging agencies’ compliance with FOIA, including overseeing the Annual FOIA Report that agencies submit to OIP. OIP told GAO that it asked agencies that report zero proactive disclosures to confirm that this was accurate, but it did not follow up with these agencies. For example, OIP asked HUD officials to confirm that HUD intentionally reported zero proactive disclosures, but did not ask why HUD had zero proactive disclosures. In addition, GAO’s review of annual FOIA data found that 25 of 118 agencies reported zero proactive disclosures in fiscal years 2018 and 2019. OIP said that agencies with a low volume of requests may have fewer records to proactively disclose. However, by not following up with agencies that report zero proactive disclosures, OIP is not using an available tool that may strengthen its efforts to encourage agencies to make required disclosures.

OIP and National Archives and Records Administration (NARA)’s Office of Government Information Services (OGIS) officials stated that making proactive disclosures accessible is a challenge for agencies. To assist agencies in addressing such challenges, OGIS periodically reviews agencies’ compliance with FOIA and recently issued a report that included strategies for making proactive disclosures accessible.

Why GAO Did This Study

FOIA, enacted into law more than 50 years ago, requires federal agencies to provide the public with access to government records and information, including through proactive disclosures. FOIA proactive disclosures enhance transparency by ensuring that certain information about the operations and activities of the government is publicly available.

GAO was asked to review federal agencies’ efforts to implement FOIA requirements regarding proactive disclosures. This report assesses the extent to which selected agencies (1) aligned their policies and procedures with FOIA requirements, and (2) tracked and reported these disclosures. GAO also assessed the effectiveness of the tools, resources, and oversight provided by DOJ and NARA to address known challenges to agencies’ FOIA compliance.

GAO selected three agencies—FAA, HUD, and VHA—that reflect, among other things, a range in the agency-reported number of FOIA requests received and records proactively disclosed. GAO reviewed DOJ, NARA, FAA, HUD, and VHA documents and interviewed agency officials.

More from:

Hits: 0

News Network

  • US-European Mission Launches to Monitor the World’s Oceans
    In Space
    Sentinel-6 Michael [Read More…]
  • Tuvalu Travel Advisory
    In Travel
    Reconsider travel to [Read More…]
  • Final Defendant Sentenced in $7 Billion Investment Fraud Scheme
    In Crime News
    The former chief of Antigua’s Financial Services Regulatory Commission (FSRC) was sentenced today to 10 years in prison for his role in connection with a $7 billion Ponzi scheme involving the Stanford International Bank (SIB).
    [Read More…]
  • CEO of Medical Device Company Charged in COVID-19 Related Securities Fraud Scheme
    In Crime News
    The chief executive officer (CEO) of a California-based medical device company was indicted by a federal grand jury in connection with an alleged scheme to defraud investors by making false and misleading statements about the purported development of a new COVID-19 test, leading to millions of dollars in investor losses.
    [Read More…]
  • Texas Clinic Owner and Clinic Employee Sentenced to Prison for Conspiring to Unlawfully Prescribe Hundreds of Thousands of Opioids
    In Crime News
    A Houston-area pain clinic owner and a clinic employee who posed as a physician were sentenced to 240 months and 96 months in prison, respectively, today for their roles at a “pill mill” where they and their co-conspirator illegally prescribed hundreds of thousands of doses of opioids and other controlled substances.
    [Read More…]
  • Acting Deputy Assistant Attorney General Robert A. Zink Delivers Remarks at Virtual GIR Live Interactive: Regional Spotlight-North America
    In Crime News
    It’s wonderful to speak with you here this morning. And I’m sorry we can’t do this in person. But I’m still delighted to have the opportunity to be here to say a few words about white-collar criminal enforcement, albeit virtually.
    [Read More…]
  • Statement of the Department of Justice Antitrust Division on the Closing of Its Investigation of London Stock Exchange Group and Refinitiv
    In Crime News
    Assistant Attorney General Makan Delrahim of the Antitrust Division of the U.S. Department of Justice issued the following statement today in connection with the closing of the division’s investigation into the proposed acquisition of Refinitiv by the London Stock Exchange Group (LSEG): “After an extensive review of the proposed transaction, the Antitrust Division determined that the combination of LSEG and Refinitiv is unlikely to result in harm to competition or American consumers.”
    [Read More…]
  • Joint Statement on the Ministerial Meeting on Syria
    In Crime Control and Security News
    Office of the [Read More…]
  • Judge Honors Mother’s Adversity, Sacrifice by Women
    In U.S Courts
    In a highly personal talk, Judge Paula Xinis recounts how two women inspired her career in the law through their different battles with adversity: Sojourner Truth, an abolitionist who escaped from slavery, and Xinis’ mother.
    [Read More…]
  • Shooter pleads guilty
    In Justice News
    A 20-year-old [Read More…]
  • Senior Administration Officials Preview of National Security Advisor Jake Sullivan and Secretary of State Antony J. Blinken’s Trip to Anchorage, Alaska
    In Crime Control and Security News
    Office of the [Read More…]
  • Guinea Travel Advisory
    In Travel
    Reconsider travel to [Read More…]
  • Department of Justice Files Statement of Interest Challenging New Mexico’s More Stringent COVID-19 Capacity Limits on Private Schools than Public Schools
    In Crime News
    The Department of Justice today filed a statement of interest in a New Mexico federal court asserting that the States’ COVID-19 rules limiting private schools to operating at 25% of capacity but allowing public schools to operate at 50% of capacity violate the Equal Protection Clause of the U.S. Constitution.
    [Read More…]
  • On the Loya Jirga in Afghanistan
    In Crime Control and Security News
    Michael R. Pompeo, [Read More…]
  • Statement from Attorney General William P. Barr on Introduction of Lawful Access Bill in the House of Representatives
    In Crime News
    Today, Attorney General William P. Barr issued the following statement on the introduction of a bill in the U.S. House of Representatives that would give law enforcement access to encrypted data with court approval in order to protect user privacy. The legislation was introduced by Representative Ann Wagner.
    [Read More…]
  • Former Government Contractor Sentenced for Role in Bribery and Kickback Scheme
    In Crime News
    A former government contractor was sentenced today for his role in a bribery and kickback scheme where he paid bribes to secure U.S. Army contracts.
    [Read More…]
  • Secretary Pompeo’s Meeting with the Taliban
    In Crime Control and Security News
    Office of the [Read More…]
  • 2020 Census: Census Bureau Needs to Assess Data Quality Concerns Stemming from Recent Design Changes
    In U.S GAO News
    The U.S. Census Bureau (Bureau) responded to COVID-19 in multiple phases. The Bureau first suspended field operations in March 2020 for two successive 2-week periods to promote the safety of its workforce and the public. In April 2020, the Bureau extended this suspension to a total of 3 months for Non-response Follow-up (NRFU), the most labor-intensive decennial field operation that involves hundreds of thousands of enumerators going door-to-door to collect census data from households that have not yet responded to the census. At that time, the Department of Commerce also requested from Congress a 120-day extension to statutory deadlines providing census data for congressional apportionment and redistricting purposes, and the Bureau developed and implemented plans to deliver the population counts by those requested deadlines. The Bureau implemented NRFU in multiple waves between July 16 and August 9, 2020, to ensure that operational systems and procedures were ready for nationwide use. The Bureau considered COVID-19 case trends, the availability of personal protective equipment, and the availability of staff in deciding which areas to start NRFU first. On August 3, 2020, the Bureau announced that, as directed by the Secretary of Commerce, it would accelerate its operational timeframes to deliver population counts by the original statutory deadlines. The U.S. District Court for the Northern District of California in September 2020 issued an injunction that reversed the Secretary's August 2020 directions for design changes and the Bureau's adherence to the statutory deadlines, but the Supreme Court ultimately stayed this injunction in October 2020 and allowed the Bureau to proceed with its August 2020 design changes. As a result, the Bureau shortened NRFU by over 2 weeks and reduced the time allotted for response processing after NRFU from 153 days to 77 days. GAO has previously noted that late design changes create increased risk for a quality census. The Bureau is examining ways to share quality indicators of the census in the near term and has a series of planned operational assessments, coverage measurement exercises, and data quality teams that are positioned to retrospectively study the effects of design changes made in the response to COVID-19 on census data quality. The Bureau is still in the process of updating its plans for these efforts to examine the range of operational modifications made in response to COVID-19, including the August 2020 and later changes. As part of the Bureau's assessments, it will be important to address a number of concerns GAO identified about how late changes to the census design could affect data quality. These concerns range from how the altered time frames have affected population counts during field data collection to what effects, if any, compressed and streamlined post-data collection processing of census data may have on the Bureau's ability to detect and fully address processing or other errors before releasing the apportionment and redistricting tabulations. Addressing these concerns as part of the overall 2020 assessment will help the Bureau ensure public confidence in the 2020 Census and inform future census planning efforts. As the Bureau was mailing out invitations to respond to the decennial census and was preparing for fieldwork to count nonresponding households, much of the nation began closing down to contain the COVID-19 pandemic. In response to the pandemic, the Bureau has made a series of changes to the design of the census. Understanding the chronology of events and the Bureau's decisions, along with the factors and information sources that it considered, can help to shed light on the implications and tradeoffs of the Bureau's response. This report, the first in a series of retrospective reviews on the 2020 Census, examines the key changes that the Bureau made in response to the COVID-19 outbreak and how those changes affect the cost and quality of the census. GAO performed its work under the authority of the Comptroller General to conduct evaluations on the 2020 Census to assist Congress with its oversight responsibilities. GAO reviewed Bureau decision memos, interviewed Bureau officials, and consulted contemporaneous COVID-19 case data for context on the Bureau's COVID-19 response. GAO is recommending that the Bureau update and implement its assessments to address data quality concerns identified in this report, as well as any operational benefits. In its comments, the Department of Commerce agreed with GAO's findings and recommendation. The Bureau also provided technical comments, which GAO incorporated as appropriate. For more information, contact J. Christopher Mihm at (202) 512-6806 or mihmj@gao.gov or Nick Marinos at 202-512-9342 or by email at marinosn@gao.gov.
    [Read More…]
  • Farm Programs: USDA Should Take Additional Steps to Ensure Compliance with Wetland Conservation Provisions
    In U.S GAO News
    What GAO Found The U.S. Department of Agriculture's (USDA) Natural Resources Conservation Service (NRCS) has taken steps to increase the consistency of their determinations about where wetlands exist on farmers' lands. For example, NRCS state offices formed teams to make such determinations in the prairie pothole region (see fig.), which covers parts of Iowa, Minnesota, North Dakota, and South Dakota. These offices also standardized their wetland determination procedures and included more details, such as the types of data that can be used to identify wetland boundaries. Under wetland conservation provisions in federal law, to receive the benefits of certain USDA farm programs, farmers must not convert wetlands to cropland. Wetlands and Cropland in the Prairie Pothole Region NRCS's primary method to ensure compliance with wetland conservation provisions is conducting annual compliance checks of selected tracts of land for farmers in USDA programs. To select tracts, NRCS draws a national random sample. The sample is to include about 1 percent of tracts subject to wetland the provisions nationally, so many tracts are not sampled for years. For 2014 through 2018, NRCS identified fewer than five farmers with wetland conservation violations per year on the approximately 417,000 tracts in North Dakota and South Dakota—the states with the most wetland acres. Agency officials said NRCS has limited resources to conduct more checks. However, some USDA agencies emphasize risk-based criteria, rather than a random sample, in selecting tracts to check for compliance with other provisions. Doing so makes the checks more efficient by targeting the tracts most likely to have violations. If NRCS used a risk-based approach for its compliance checks (e.g., using information on acres cultivated annually on tracts), it could more efficiently ensure compliance with wetland conservation provisions. If NRCS finds violations, USDA's Farm Service Agency (FSA) may withhold program benefits from farmers, or it may grant waivers to farmers who acted in good faith, without intent to commit violations. FSA granted 243 of 301 requests for good-faith waivers from 2010 to 2018, according to FSA data. FSA relies on committees of fellow farmers to decide on waivers by considering factors such as prior violations. GAO found that some committees relied on weak justification to grant waivers even if farmers had prior violations and that FSA had not specified what is adequate justification. By specifying what constitutes adequate justification, FSA could better ensure it provides benefits only to eligible farmers. Why GAO Did This Study Wetlands perform vital ecological functions, and draining them can harm water quality and wildlife habitat. Many wetlands were drained for farming before enactment of wetland conservation provisions in 1985. However, millions of acres of wetlands, known as potholes, remain in the prairie pothole region. NRCS determines where wetlands exist on the land of farmers who participate in USDA farm programs, and it identifies violations of wetland provisions. FSA administers farm program benefits. In 2017, USDA's Office of Inspector General reported that NRCS had implemented wetland determination procedures in the prairie pothole region inconsistently. GAO was asked to review USDA's implementation of wetland conservation provisions in the prairie pothole region. This report examines, among other objectives, the steps NRCS has taken to increase the consistency of wetland determinations and the approaches NRCS and FSA use to ensure compliance with the provisions. GAO reviewed agency manuals, data, and files on wetland determinations and waivers, and interviewed agency officials and stakeholder groups.
    [Read More…]
  • Joint Statement by the Foreign Ministers of China, France, Russia, the United Kingdom, and the United States on the Fiftieth Anniversary of the Treaty on the Non-Proliferation of Nuclear Weapons
    In Crime Control and Security News
    Office of the [Read More…]
  • Federal Employees’ Compensation Act: Comparisons of Benefits in Retirement and Actions Needed to Help Injured Workers Choose Best Option
    In U.S GAO News
    Factors such as the timing of an injury in a career affect how Federal Employees' Compensation Act (FECA) total disability benefits compare to income security from typical federal retirement. The FECA program compensates federal employees for lost wages from work-related injuries, among other benefits. FECA recipients can receive this compensation for as long as their disability continues. At retirement age, they can remain on FECA or, instead, choose to receive their benefits from the Federal Employees Retirement System (FERS). Thus, FECA benefits represent a significant portion of retirement income for some injured federal employees. Through simulations, GAO found that factors such as the length of retirees' careers absent injury affected how similar their hypothetical FECA benefits packages were to their FERS packages in 2018. FERS benefits increase substantially the longer a federal employee works. As a result, median current and reduced FECA packages were greater than the FERS median for retirees with shorter careers absent injury. However, median FECA packages were similar to or less than FERS for retirees with longer careers (see figure). Median FECA Benefits as a Percentage of FERS Benefits by Career Length Absent an Injury For FECA recipients who choose to compare their FECA and FERS benefit options at retirement, estimates for most components of those benefits packages are available. However, the Department of Labor (DOL) does not routinely remind recipients to compare benefits, so they may be unaware of their options or how to consider them. In addition, DOL and the Social Security Administration (SSA) use a manual and highly complex process to calculate one key component of a FECA recipient's compensation in retirement related to Social Security benefits. As a result, estimates of FECA benefits in retirement that include this component are not readily available prior to retirement. These challenges hinder recipients' ability to accurately compare their options and may result in some recipients not choosing their best option at retirement. The President's budgets for fiscal years 2019-2021 have proposed several FECA reforms, including reducing disability compensation at retirement age. In a series of reports published in 2012, GAO analyzed the effects of similar proposed revisions to FECA compensation. GAO was asked to update its FECA and FERS benefit comparisons. This report examines (1) how FERS and total disability FECA benefits at retirement age compare under current and previously proposed reduced FECA compensation rates, and (2) the extent to which FECA recipients have access to information to compare their FECA and FERS benefits options. GAO compared the FERS benefits selected retirees received in 2018 with the hypothetical total disability FECA benefits they would have received from simulated injuries. GAO reviewed agency documents and interviewed officials from DOL, SSA, and other federal agencies. GAO is recommending that DOL remind FECA recipients as they approach retirement to obtain FERS benefit estimates for comparisons with FECA, and that DOL and SSA take steps to modernize and improve their process for calculating and providing information on certain FECA benefits in retirement that would enable recipients to make complete comparisons of retirement options. DOL and SSA concurred with all three recommendations. For more information, contact Cindy Brown Barnes at (202) 512-7215 or brownbarnesc@gao.gov.
    [Read More…]
  • Las Vegas Man Sentenced to Prison for Fraudulent Tax Return Scheme
    In Crime News
    A Las Vegas, Nevada, man was sentenced to 70 months in prison for conspiracy to commit mail and wire fraud, announced Principal Deputy Assistant Attorney General Richard E. Zuckerman, U.S. Attorney Nicholas A. Trutanich for the District of Nevada, and Internal Revenue Service-Criminal Investigation Special Agent in Charge Tara Sullivan.
    [Read More…]
  • Statement of Acting Attorney General Jeffrey A. Rosen on the Death of U.S. Capitol Police Officer Brian D. Sicknick
    In Crime News
    Acting Attorney General Jeffrey A. Rosen issued the following statement:
    [Read More…]
  • Acting Assistant Attorney General Brian C. Rabbitt Delivers Remarks at Shinshu University 2nd White Collar Crime Workshop
    In Crime News
    Good morning. It is my pleasure to be with you today, even if only through a video screen. Thank you very much to Shinshu University and my hosts for your kind invitation to join the list of distinguished speakers, panelists, and participants in today’s important event. It is my great privilege to be here today representing the women and men of the Criminal Division of the U.S. Department of Justice, and I look forward to speaking with you about some of our important work over the past year enforcing the federal criminal laws.
    [Read More…]
  • The Bahamas Travel Advisory
    In Travel
    Do not travel to The [Read More…]
  • Brooklyn Man Pleads Guilty in Manhattan Federal Court to Attempting to Provide Material Support to ISIS
    In Crime News
    The Department of Justice announced that Zachary Clark, a/k/a “Umar Kabir,” a/k/a “Umar Shishani,” a/k/a “Abu Talha,” pleaded guilty to attempting to provide material support to the Islamic State of Iraq and al-Sham (ISIS). Clark pled guilty today in Manhattan federal court before U.S. District Judge Naomi Reice Buchwald. Judge Buchwald is scheduled to sentence Clark on Feb. 9, 2021, at 12:00 p.m.
    [Read More…]
  • Secretary Antony J. Blinken Introductory Remarks for President Biden and Vice President Harris’s Meeting with State Department Employees
    In Crime Control and Security News
    Antony J. Blinken, [Read More…]
  • Readout of The Department of Justice’s Efforts to Combat Hate Crimes Against Asian American and Pacific Island Communities
    In Crime News
    The Department of Justice today held a listening session with more than a dozen Asian American and Pacific Islander (AAPI) community groups as part of its continuing efforts to deter hate crimes and other unlawful acts against the AAPI community.
    [Read More…]
  • Servicemember Rights: Mandatory Arbitration Clauses Have Affected Some Employment and Consumer Claims but the Extent of Their Effects is Unknown
    In U.S GAO News
    Mandatory arbitration clauses in civilian employment contracts and consumer agreements have prevented servicemembers from resolving certain claims in court under two laws that offer protections: the Uniformed Services Employment and Reemployment Rights Act of 1994, as amended (USERRA), and the Servicemembers Civil Relief Act, as amended (SCRA) (see figure). Some courts have held that claims involving mandatory arbitration clauses must be resolved with arbitrators in private proceedings rather than in court. Although we reviewed federal court cases that upheld the enforceability of these clauses, Department of Justice (DOJ) officials said mandatory arbitration clauses have not prevented DOJ from initiating lawsuits against employers and other businesses under USERRA or SCRA. However, DOJ officials noted that these clauses could affect their ability to pursue USERRA claims against private employers on behalf of servicemembers. Servicemembers may also seek administrative assistance from federal agencies, and mandatory arbitration clauses have not prevented agencies from providing this assistance. For example, officials from DOJ, as well as the Departments of Defense (DOD) and Labor (DOL), told us they can often informally resolve claims for servicemembers by explaining servicemember rights to employers and businesses. Examples of Employment and Consumer Protections for Servicemembers Note: USERRA generally provides protections for individuals who voluntarily or involuntarily leave civilian employment to perform service in the uniformed services. SCRA generally provides protections for servicemembers on active duty, including reservists and members of the National Guard and Coast Guard called to active duty. Data needed to determine the prevalence of mandatory arbitration clauses and their effect on the outcomes of servicemembers' employment and consumer claims under USERRA and SCRA are insufficient or do not exist. Officials from DOD, DOL, and DOJ told us their data systems are not set up to track these clauses. Further, no data exist for claims settled without litigation or abandoned by servicemembers. Finally, data on arbitrations are limited because they are often private proceedings that the parties involved agree to keep confidential. Servicemembers are among millions of Americans who enter into contracts or agreements with mandatory arbitration clauses. For example, these provisions may be included in the contracts servicemembers sign when they enter the civilian workforce, obtain a car loan, or lease an apartment. These contracts generally require disputes to be resolved in private proceedings with arbitrators rather than in court. Due to concerns these clauses may not afford servicemembers certain employment and consumer rights, Congress included a provision in the National Defense Authorization Act for Fiscal Year 2020 for GAO to study their effects on servicemembers' ability to file claims under USERRA and SCRA. This report examines (1) the effect mandatory arbitration has on servicemembers' ability to file claims and obtain relief for violations of USERRA and SCRA, and (2) the extent to which data are available to determine the prevalence of mandatory arbitration clauses and their effect on servicemember claims. GAO reviewed federal laws, court cases, and regulations, as well as agency documents, academic and industry research, and articles on the claims process. GAO interviewed officials from DOD, DOL, DOJ, and other agencies, academic researchers, and a range of stakeholders representing servicemembers, businesses, attorneys, and arbitration firms. GAO also identified and evaluated potential sources of data on servicemembers' employment and consumer claims collected by federal agencies and the firms that administer arbitrations or maintained in court records. For more information, contact Kris T. Nguyen at (202) 512-7215 or NguyenTT@gao.gov.
    [Read More…]
  • Deutsche Bank Agrees to Pay over $130 Million to Resolve Foreign Corrupt Practices Act and Fraud Case
    In Crime News
    Deutsche Bank Aktiengesellschaft (Deutsche Bank or the Company) has agreed to pay more than $130 million to resolve the government’s investigation into violations of the Foreign Corrupt Practices Act (FCPA) and a separate investigation into a commodities fraud scheme.
    [Read More…]
  • Doctor Sentenced for Role in Unlawful Distribution of Opioids
    In Crime News
    An Ohio physician was sentenced to two years in prison today for his role in illegally distributing opioids.
    [Read More…]
  • Mortality in State and Federal Prisons, 2001-2018 – Statistical Tables
    In Justice News
    (Publication)
    This report presents detailed statistical tables on mortality in state and federal prisons. It provides information on cause of death; decedent characteristics, and mortality rates of inmate populations.
    4/29/2021, NCJ 255970, E. Ann Carson [Read More…]
  • Former Construction Company Owner Indicted for Defrauding Federal Program Intended for Service-Disabled Veteran-Owned Small Businesses
    In Crime News
    Today, a federal grand jury in San Antonio, Texas, returned an indictment charging the former owner of several companies in the construction industry for his role in a long-running scheme to defraud the United States.
    [Read More…]
  • Disarmament Law and Morality: A Critique
    In Crime Control and Security News
    Dr. Christopher Ashley [Read More…]
  • International Day for the Elimination of Sexual Violence in Conflict
    In Crime Control and Security News
    Antony J. Blinken, [Read More…]
  • Retirement Savings: Federal Workers’ Portfolios Should Be Evaluated For Possible Financial Risks Related to Climate Change
    In U.S GAO News
    What GAO Found Retirement plans' investments, including those of the Thrift Savings Plan (TSP) for federal employees, could be exposed to financial risks from climate change, according to GAO's literature review and interviews with stakeholders knowledgeable about climate change and financial markets. Stakeholders said climate-related events, from natural disasters to changes in government policy, are expected to impact much of the economy and thereby investment returns (see figure). Retirement plans can assess their exposure to these risks by analyzing the potential financial performance of holdings in their portfolios under projected climate change scenarios. How Climate Change Could Impact Retirement Plan Investments GAO reviewed retirement plans in the United Kingdom, Japan, and Sweden that had taken steps to incorporate climate change risks into their plan management. Officials from these plans described using engagement—such as outreach to corporate boards—to encourage companies in which they invest to address their financial risks from climate change. Officials had taken other steps as well, such as incorporating climate change as a financial risk into their policies and practices. Officials communicate information on climate-related investment risks through public disclosures and reports. The agency that oversees TSP, the Federal Retirement Thrift Investment Board (FRTIB), has not taken steps to assess the risks to TSP's investments from climate change as part of its process for evaluating investment options. Officials told us that they use a passive investment strategy and do not focus on risks to a specific industry or company. FRTIB is required by statute to invest TSP's funds passively, however, it has previously identified and addressed investment risks. For example, in the 1990s, FRTIB reviewed its investment policies and recommended adding an international equities fund and a small- and medium-capitalization stock fund, both passively managed, to incorporate classes of assets that it determined were missing from TSP's investment mix. Stakeholders in the financial sector, including an advisory panel to a federal financial regulator, have stated that it is important to consider the investment risks from climate change. Evaluating such risks is also consistent with GAO's Disaster Resilience Framework. Taking action to understand the financial risks that climate change poses to the TSP would enhance FRTIB's risk management and help it protect the retirement savings of federal workers. Why GAO Did This Study Climate change is expected to have widespread economic impacts and pose risks to investments held by retirement plans, including the federal government's TSP. As of November 2020, TSP had 6 million active and retired federal employee participants and nearly $700 billion in assets. GAO was asked to examine how the agency that oversees TSP has addressed its exposure to such risks. This report examines (1) what is known about retirement plans' exposure to climate change-related investment risks, (2) what comparable retirement plans in other countries have done to address risks from climate change and how they communicate this information to the public, and (3) what steps FRTIB has taken to address investment risks from climate change. GAO reviewed relevant literature and interviewed representatives from investment consulting firms and other stakeholders knowledgeable about climate change and its possible financial impacts. GAO reviewed documents and interviewed officials from selected retirement plans for public- and private-sector employees in the United Kingdom, Japan, and Sweden identified as examples of plans that are addressing climate risks. GAO also reviewed TSP documents, and interviewed FRTIB officials.
    [Read More…]
  • 2021 Annual Report: New Opportunities to Reduce Fragmentation, Overlap, and Duplication and Achieve Billions in Financial Benefits
    In U.S GAO News
    What GAO Found GAO identified 112 new actions for Congress or executive branch agencies to improve the efficiency and effectiveness of government. For example: The Office of Management and Budget should improve how agencies buy common goods and services—such as medical supplies and computers—by addressing data management challenges and establishing performance metrics to help save the federal government billions of dollars over the next 5 years, as well as potentially eliminate duplicative contracts. The Internal Revenue Service (IRS) could enhance third-party information reporting to increase compliance with tax laws and raise revenue. GAO has also previously suggested (1) providing IRS with authority—with appropriate safeguards—to correct math errors and to correct errors in cases where information provided by the taxpayer does not match information in government databases and (2) establishing requirements for paid tax return preparers to help improve the accuracy of tax returns they prepare. These actions could help reduce the substantial tax gap and increase revenues. The National Nuclear Security Administration could implement cost savings programs to operate more effectively at its nuclear laboratory and production sites to potentially save hundreds of millions of dollars over approximately a 5-year period. The Department of Defense's payments to privatized housing projects have lessened the financial effects of the housing allowance rate reductions for these projects, but revising the calculation for these payments could potentially result in millions of dollars of savings. Federal agencies could improve coordination of fragmented cybersecurity requirements and related assessment programs for state agencies, potentially minimizing the burden on states and saving millions of dollars in associated federal and state costs. The Department of Health and Human Services (HHS) could improve coordination of its infectious disease modeling efforts to better identify any duplication and overlap among agencies, which could help them to better plan for and more efficiently respond to disease outbreaks. From 2011 to 2021, GAO has identified more than 1,100 actions to reduce costs, increase revenues, and improve agencies' operating effectiveness. GAO's last report in May 2020 said progress made in addressing many of the actions identified from 2011 to 2019 had resulted in approximately $429 billion in financial benefits, including $393 billion that accrued through 2019 and $36 billion that was projected to accrue in future years. Since May 2020, at least tens of billions of dollars in additional financial benefits have been achieved. For example, based on GAO's updates for spring 2021, HHS's changes to spending limit determinations for Medicaid demonstration waivers further reduced federal spending by about $30 billion in 2019. GAO estimates that tens of billions of additional dollars could be saved should Congress and executive branch agencies fully address open actions, including those that have potential financial benefits of $1 billion or more. Why GAO Did This Study The federal government has made an unprecedented financial response to the COVID-19 pandemic. Once the pandemic recedes and the economy substantially recovers, Congress and the administration will need to develop and swiftly implement an approach to place the government on a sustainable long-term fiscal path. In the short term, opportunities exist for achieving billions of dollars in financial savings and improving the efficiency and effectiveness of a wide range of federal programs in other areas. GAO has responded with annual reports to a statutory provision for it to identify and report on federal programs, agencies, offices, and initiatives—either within departments or government-wide—that have duplicative goals or activities. GAO also identifies areas that are fragmented or overlapping, as well as additional opportunities to achieve cost savings or enhance revenue collection. This report discusses the new areas identified in GAO's 2021 annual report—the 11th in this series—and examples of open actions recommended to Congress or executive branch agencies with potential financial benefits of $1 billion or more. To identify what actions exist to address these issues, GAO reviewed and updated select prior work, including matters for congressional consideration and recommendations for executive action. For more information, contact Jessica Lucas-Judy at (202) 512-6806 or lucasjudyj@gao.gov or Michelle Sager at (202) 512-6806 or sagerm@gao.gov.
    [Read More…]
  • University of Miami to Pay $22 Million to Settle Claims Involving Medically Unnecessary Laboratory Tests and Fraudulent Billing Practices
    In Crime News
    The University of Miami (UM) has agreed to pay $22 million to resolve allegations that it violated the False Claims Act by ordering medically unnecessary laboratory tests, and submitting false claims through its laboratory and off campus hospital based facilities (“Hospital Facilities”).
    [Read More…]
  • ISIS Militants Charged With Deaths Of Americans In Syria
    In Crime News
    Two militant fighters for the Islamic State of Iraq and al-Sham (ISIS), a foreign terrorist organization, are expected to arrive in the United States today in FBI custody on charges related to their participation in a brutal hostage-taking scheme that resulted in the deaths of four American citizens, as well as the deaths of British and Japanese nationals, in Syria.
    [Read More…]
  • Justice Department Settles with School District to Resolve Disability Discrimination Complaint
    In Crime News
    The Justice Department today announced that it reached an agreement with Spencer East Brookfield Regional School District in Spencer, Massachusetts to resolve the department’s lawsuit alleging disability discrimination in violation of the Americans with Disabilities Act (ADA).
    [Read More…]
  • Remarks of Assistant Attorney General Eric Dreiband on the Announcement of the Settlement with Amtrak
    In Crime News
    Good afternoon and thank you for joining us.  Today, we are pleased to announce that the Department of Justice and the National Railroad Passenger Corporation — better known as Amtrak — have reached a comprehensive settlement agreement to ensure compliance with the Americans with Disabilities Act (the “ADA”).  Through this agreement, Amtrak has committed to fix inaccessible passenger rail stations across the Country and to pay $2.25 million to passengers with disabilities who have been denied equal access to Amtrak stations between 2013 and today.
    [Read More…]
  • Putting the public in public health: KidneyX COVID-19 Kidney Care Challenge Winners
    In Human Health, Resources and Services
    When COVID-19 hit the [Read More…]
  • Transcript of the Transatlantic Trends 2021 Launch Event: A Conversation with U.S. Deputy Secretary of State Wendy Sherman
    In Crime Control and Security News
    Wendy R. Sherman, Deputy [Read More…]
  • Ukraine Travel Advisory
    In Travel
    Reconsider travel to [Read More…]
  • Guinea’s National Day
    In Crime Control and Security News
    Michael R. Pompeo, [Read More…]
  • Goldman Sachs Charged in Foreign Bribery Case and Agrees to Pay Over $2.9 Billion
    In Crime News
    The Goldman Sachs Group Inc. (Goldman Sachs or the Company), a global financial institution headquartered in New York, New York, and Goldman Sachs (Malaysia) Sdn. Bhd. (GS Malaysia), its Malaysian subsidiary, have admitted to conspiring to violate the Foreign Corrupt Practices Act (FCPA) in connection with a scheme to pay over $1 billion in bribes to Malaysian and Abu Dhabi officials to obtain lucrative business for Goldman Sachs, including its role in underwriting approximately $6.5 billion in three bond deals for 1Malaysia Development Bhd. (1MDB), for which the bank earned hundreds of millions in fees.  Goldman Sachs will pay more than $2.9 billion as part of a coordinated resolution with criminal and civil authorities in the United States, the United Kingdom, Singapore, and elsewhere. 
    [Read More…]
  • National Day of the Federated States of Micronesia
    In Crime Control and Security News
    Michael R. Pompeo, [Read More…]
  • The Gambia Travel Advisory
    In Travel
    Reconsider travel to The [Read More…]
  • Assistant Secretary Schenker’s Travel to Oman and Saudi Arabia
    In Crime Control and Security News
    Office of the [Read More…]
  • Russia and the Assad Regime’s Superficial Support for Syrian Refugees
    In Crime Control and Security News
    Cale Brown, Deputy [Read More…]
  • Finland National Day
    In Crime Control and Security News
    Michael R. Pompeo, [Read More…]
  • Man Arrested for Illegally Entering Office of Speaker of the House
    In Crime News
    Richard Barnett, 60, of Gravette, Arkansas was arrested today in Bentonville, Arkansas on multiple criminal charges related to his alleged unlawful activities earlier this week at the U.S. Capitol Building where he was photographed with his feet up on a desk in the Speaker of the House of Representatives’ office.
    [Read More…]
  • Justice Department Files Disability Discrimination Lawsuit Against Village of Hinsdale, Illinois Under Fair Housing Act
    In Crime News
    The Justice Department today filed a lawsuit against the Village of Hinsdale, Illinois, alleging disability discrimination in violation of the Fair Housing Act.  
    [Read More…]
  • Shop owner admits to illegally selling hummingbirds
    In Justice News
    A businesswoman and her [Read More…]
  • Indictment Charges Alaska Man for Threatening a California Synagogue
    In Crime News
    A federal grand jury in Alaska, returned an indictment charging William Alexander, 49, for threatening to kill the congregants of a California synagogue, the Justice Department announced today.
    [Read More…]
  • Secretary Blinken’s Call with Philippine Secretary of Foreign Affairs Locsin
    In Crime Control and Security News
    Office of the [Read More…]
  • Indonesia Travel Advisory
    In Travel
    Do not travel Indonesia [Read More…]
  • History, Ambition, and Technology: The Chinese Communist Party’s Challenges to U.S. Export Control Policy
    In Crime Control and Security News
    Dr. Christopher Ashley [Read More…]
  • Financial Audit: Office of Financial Stability’s (Troubled Asset Relief Program) FY 2020 and FY 2019 Financial Statements
    In U.S GAO News
    GAO found (1) the Office of Financial Stability's (OFS) financial statements for the Troubled Asset Relief Program (TARP) as of and for the fiscal years ended September 30, 2020, and 2019, are presented fairly, in all material respects, in accordance with U.S. generally accepted accounting principles; (2) OFS maintained, in all material respects, effective internal control over financial reporting for TARP as of September 30, 2020; and (3) no reportable noncompliance for fiscal year 2020 with provisions of applicable laws, regulations, contracts, and grant agreements GAO tested. In commenting on a draft of this report, OFS stated that it is proud to receive an unmodified opinion on its financial statements and its internal control over financial reporting. OFS also stated that it is committed to maintaining the high standards and transparency reflected in these audit results. The Emergency Economic Stabilization Act of 2008 (EESA) that authorized TARP on October 3, 2008, includes a provision for TARP, which is implemented by OFS, to annually prepare and submit to Congress and the public audited fiscal year financial statements that are prepared in accordance with U.S. generally accepted accounting principles. EESA further states that GAO shall audit TARP's financial statements annually. For more information, contact Cheryl E. Clark at (202) 512-3406 or clarkce@gao.gov.
    [Read More…]
  • U.S.-Saudi Arabia Joint Statement Addressing the Climate Challenge
    In Crime Control and Security News
    Office of the [Read More…]