What GAO Found
According to the Department of Defense’s (DOD) fiscal year (FY) 2021 budget request, DOD spent $2.8 billion on the 29 selected major business information technology (IT) programs in FY 2019. The department also reported that it planned to invest over $9.7 billion on these programs between FY 2020 and FY 2022. In addition, 20 of the 29 programs reported experiencing cost or schedule changes since January 2019. Program officials attributed cost and schedule changes to a variety of reasons, including modernization changes and requirements changes or delays. Seventeen of the 29 programs also reported experiencing challenges associated with the early impacts of the COVID-19 pandemic, including the slowdown of contractors’ software development efforts.
DOD and GAO’s assessments of program risk identified a range of program risk levels and indicated that some programs could be underreporting risks. Specifically, of the 22 programs that were actively using a register to manage program risks, DOD rated nine programs as low risk, 12 as medium risk, and one as high risk. In contrast, GAO rated seven as low risk, 12 as medium risk, and three as high risk. In total, GAO found 10 programs for which its numerical assessments of program risk reflected greater risk than reported by DOD, while DOD had three programs with greater reported risk than GAO. DOD officials noted that differences in risk levels might be associated with a variety of factors, including different risk assessment approaches. However, the differences in risk level GAO identified highlight the need for DOD to ensure that it is accurately reporting program risks. Until the department does so, oversight of some programs could be limited by overly optimistic risk perspectives.
As of December 2020, program officials for the 22 major DOD business IT programs that were actively developing software reported using approaches that may help to limit cost and schedule risks. (See table.)
Selected Software Development and Cybersecurity Approaches That May Limit Risks and Number of Major DOD Business IT Programs That Reported Using the Approach
Software development and cybersecurity approaches that may limit risk
Number of programs that reported using the approach
Using off-the-shelf software
19 of 22
Implementing continuous iterative software development
18 of 22
Delivering software at least every 6 monthsa
16 of 22
Developing or planning to develop a cybersecurity strategy
21 of 22
Conducting developmental cybersecurity testing
16 of 22
Conducting operational cybersecurity testing
15 of 22
Source: GAO analysis of Department of Defense questionnaire responses. | GAO-21-351
aThe Defense Innovation Board encourages more frequent delivery of working software to users for Agile and DevOps practices.
Program officials also reported facing a variety of software development challenges while implementing these approaches. These included difficulties finding and hiring staff, transitioning from waterfall to Agile software development, and managing technical environments. DOD’s continued efforts to address these challenges will be critical to the department’s implementation of modern software development approaches.
DOD has also made organizational and policy changes intended to improve the management of its IT acquisitions, such as taking steps to implement Agile software development and improve data transparency. In addition, to address statutory requirements, DOD has taken steps to remove the department’s chief management officer (CMO) position. However, the department had not yet sufficiently implemented these changes. Officials from many of the 18 programs GAO assessed that reported using Agile development reported that DOD had implemented activities associated with Agile transition best practices to only some or little to no extent, indicating that the department had not sufficiently implemented best practices. For example, 12 of the 18 programs reported that DOD’s life-cycle activities only supported Agile methods to some or little to no extent. Program officials also reported challenges associated with implementing Agile software development. The department has a variety of efforts underway to help with its implementation of Agile software development. DOD officials stated that the department’s transition to Agile will take years and will require sustained engagement throughout DOD.
In addition, DOD has taken steps aimed at improving the sharing and transparency of data it uses to monitor its acquisitions. According to a November 2020 proposal from the Office of the Under Secretary for Acquisition and Sustainment, DOD officials are to develop data strategies and metrics to assess performance for the department’s acquisition pathways. However, as of February 2021, DOD did not have data strategies and had not finalized metrics for the two pathways associated with the programs discussed in this report. Officials said they were working with DOD programs and components to finalize initial pathway metrics. They stated that they plan to implement them in fiscal year 2021 and continue to refine and adjust them over the coming years. Without important data from acquistion pathways and systems, DOD risks not having timely quantitative insight into program performance, including its acquisition reform efforts.
Finally, DOD’s CMO position was eliminated by a statute enacted in January 2021. This position was responsible for key efforts associated with the department’s business systems modernization, which has been on GAO’s High Risk List since 1995. DOD plans to take steps to address the uncertainty associated with the recent elimination of the position.
Why GAO Did This Study
For fiscal year 2021, DOD requested approximately $37.7 billion for IT investments. These investments included major business IT programs, which are intended to help the department carry out key business functions, such as financial management and health care.
The National Defense Authorization Act for Fiscal Year 2019 included a provision for GAO to assess selected IT programs annually through March 2023. GAO’s objectives for this review were to (1) summarize DOD’s reported performance of its portfolio of IT acquisition programs and the reasons for this performance; (2) evaluate DOD’s assessments of program risks; (3) summarize DOD’s approaches to software development and cybersecurity and identify associated challenges; and (4) evaluate how selected organizational and policy changes could affect IT acquisitions.
To address these objectives, GAO selected 29 major business IT programs that DOD reported to the federal IT Dashboard (a public website that includes information on the performance of major IT investments) as of September 2020. GAO reviewed planned expenditures for these programs, from fiscal years 2019 through 2022, as reported in the department’s FY 2021 budget request. It also aggregated program office responses to a GAO questionnaire that requested information about cost and schedule changes that occurred since January 2019 and the early impacts of COVID-19.
GAO also analyzed the risks of the 22 programs that were actively using central repositories known as risk registers to manage program risks. GAO used these registers to create program risk ratings, and then compared its ratings to those of the DOD chief information officer (CIO).
In addition, GAO aggregated DOD program office responses to the questionnaire that requested information about the software and cybersecurity practices used by 22 of the 29 IT programs that were actively developing software. GAO compared the responses to relevant guidance and leading practices.
GAO reviewed selected IT-related organizational and policy changes and reviewed reports and documentation related to the effects of these changes on IT acquisitions. GAO also aggregated program office responses to the questionnaire that requested information about DOD’s implementation of these changes. This included information on DOD’s implementation of best practices as part of its efforts to implement Agile software development. GAO met with relevant DOD officials to discuss each of the topics addressed in this report.
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- Intellectual Property: Additional Agency Actions Can Improve Assistance to Small Businesses and InventorsBy Sam NewsSeptember 28, 2020The U.S. Patent and Trademark Office (USPTO) offers multiple programs that help small businesses and inventors with acquiring intellectual property protections, which can help protect creative works or ideas. These programs, such as the Inventors Assistance Center, are aimed at assisting the public, especially small businesses and inventors, with intellectual property protections. Several stakeholders GAO interviewed said that USPTO programs have been helpful, but they were also not aware of some USPTO programs. Although these programs individually evaluate how they help small businesses and inventors, the agency does not collect and evaluate overall information on whether these programs are effectively reaching out to and meeting the needs of these groups. Under federal internal control standards, an agency should use quality information to achieve its objectives. Without an agency-wide approach to collect information to help evaluate the extent to which its programs serve small businesses and inventors, USPTO may not have the quality information needed to fully evaluate the effectiveness of its outreach and assistance for these groups and thus make improvements where necessary. Although the Small Business Administration (SBA) coordinates with USPTO through targeted efforts to provide intellectual property training to small businesses, it has not fully implemented some statutory requirements that can further enhance this coordination. While SBA and the Small Business Development Centers (SBDCs) coordinate with USPTO programs at the local level to train small businesses on intellectual property protection (see figure), this coordination is inconsistent. For example, two of the 12 SBDCs that GAO interviewed reported working primarily with USPTO to help small businesses protect their intellectual property, but the other 10 did not. The Small Business Innovation Protection Act of 2017 requires SBA and USPTO to coordinate and build on existing intellectual property training programs, and requires that SBA's local partners, specifically the SBDCs, provide intellectual property training, in coordination with USPTO. SBA officials reported that they are in the process of implementing requirements of this act. Incorporating selected leading practices for collaboration, such as documenting the partnership agreement and clarifying roles and responsibilities, could help SBA and USPTO fully and consistently communicate their existing resources to their partners and programs, enabling them to refer these resources to small businesses and inventors. Figure: The Small Business Administration (SBA) and the U.S. Patent and Trademark Office (USPTO) Coordinate at the Local Level, but Are Inconsistent Small businesses employ about half of the U.S. private workforce and create approximately two-thirds of the nation's jobs. For many small businesses, intellectual property aids in building market share and creating jobs. Among the federal agencies assisting small businesses with intellectual property are USPTO, which grants patents and registers trademarks, and SBA, which assists small businesses on a variety of business development issues, including intellectual property. GAO was asked to review resources available to help small businesses and inventors protect intellectual property, and their effectiveness. This report examines, among other things, (1) the extent to which USPTO evaluates the effectiveness of its efforts to assist small businesses and (2) SBA's coordination with USPTO to assist small businesses. GAO analyzed agency documents and interviewed officials who train and assist small businesses. GAO also interviewed stakeholders, including small businesses, and, among other things, reviewed federal internal control standards and selected leading practices for enhancing interagency collaboration. GAO is making four recommendations, including that USPTO develop an agency-wide approach to evaluate the effectiveness of its efforts to help small businesses and inventors, and that SBA document its partnership agreement with USPTO and clarify roles and responsibilities for coordinating with USPTO to provide training. Both agencies agreed with GAO's recommendations. For more information, contact John Neumann, (202) 512-6888, NeumannJ@gao.gov.[Read More…]
- TSA Acquisitions: TSA Needs to Establish Metrics and Evaluate Third Party Testing Outcomes for Screening TechnologiesBy Sam NewsOctober 29, 2020In 2013, the Transportation Security Administration (TSA) introduced the concept of third party testing—having an independent testing entity verify that a security screening system meets certain requirements. The concept is that screening system vendors would take this additional step either prior to submitting their technologies to TSA or if their system failed TSA's test and evaluation process. The goal is for third party testing to reduce the time and resources that TSA spends on its own testing. However, since introduced, TSA has directed only three vendors that failed TSA tests to use third party testing, with varying outcomes. In two other cases, TSA supplemented its test capabilities by using third party testers to determine that systems installed at airports were working properly. TSA officials and industry representatives pointed to several reasons for third party testing's limited use since 2013, such as the cost to industry to use third party testers and TSA's reluctance to date to accept third party test data as an alternative to its own. Despite this, TSA officials told GAO they hope to use third party testing more in the future. For example, in recent announcements to evaluate and qualify new screening systems, TSA stated that it will require a system that fails TSA testing to go to a third party tester to address the identified issues (see figure). Example of Use of Third Party Testing When a System Experiences a Failure in TSA's Testing TSA set a goal in 2013 to increase screening technology testing efficiency. In addition, TSA reported to Congress in January 2020 that third party testing is a part of its efforts to increase supplier diversity and innovation. However, TSA has not established metrics to determine third party testing's contribution toward the goal of increasing efficiency. Further, GAO found no link between third party testing and supplier diversity and innovation. Some TSA officials and industry representatives also questioned third party testing's relevance to these efforts. Without metrics to measure and assess the extent to which third party testing increases testing efficiency, TSA will be unable to determine the value of this concept. Similarly, without assessing whether third party testing contributes to supplier diversity and innovation, TSA cannot know if third party testing activities are contributing to these goals as planned. TSA relies on technologies like imaging systems and explosives detection systems to screen passengers and baggage to prevent prohibited items from getting on board commercial aircraft. As part of its process of acquiring these systems and deploying them to airports, TSA tests the systems to ensure they meet requirements. The 2018 TSA Modernization Act contained a provision for GAO to review the third party testing program. GAO assessed the extent to which TSA (1) used third party testing, and (2) articulated its goals and developed metrics to measure the effects of third party testing. GAO reviewed TSA's strategic plans, acquisition guidance, program documentation, and testing policies. GAO interviewed officials from TSA's Test and Evaluation Division and acquisition programs, as well as representatives of vendors producing security screening systems and companies providing third party testing services. GAO is recommending that TSA develop metrics to measure the effects of third party testing on efficiency, assess its effects on efficiency, and assess whether third party testing contributes to supplier diversity and innovation. DHS concurred with GAO's three recommendations and has actions planned to address them. For more information, contact Marie A. Mak at (202) 512-4841 or MakM@gao.gov.[Read More…]
- CITGO Petroleum Corp. Will Pay Over $19 Million for Injuries to Natural Resources Resulting from its Oil Spill at its Refinery in Lake Charles, LouisianaBy Sam NewsJune 17, 2021Houston, Texas-based CITGO Petroleum Corporation has agreed to pay $19.69 million to resolve federal and state claims for natural resource damages under the Oil Pollution Act and the Louisiana Oil Spill Prevention and Response Act.[Read More…]
- Boeing Charged with 737 Max Fraud Conspiracy and Agrees to Pay over $2.5 BillionBy Sam NewsJanuary 7, 2021The Boeing Company (Boeing) has entered into an agreement with the Department of Justice to resolve a criminal charge related to a conspiracy to defraud the Federal Aviation Administration’s Aircraft Evaluation Group (FAA AEG) in connection with the FAA AEG’s evaluation of Boeing’s 737 MAX airplane.[Read More…]
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- GPS Modernization: DOD Continuing to Develop New Jam-Resistant Capability, But Widespread Use Remains Years AwayBy Sam NewsJanuary 19, 2021The Department of Defense (DOD) is closer to being able to use military code (M-code)—a stronger, more secure signal for the Global Positioning System (GPS) designed to meet military needs. However, due to the complexity of the technology, M-code remains years away from being widely fielded across DOD. M-code-capable receiver equipment includes different components, and the development and manufacture of each is key to the modernization effort. These include: special M-code application-specific integrated circuit chips, special M-code receiver cards, being developed under the Air Force Military GPS User Equipment (MGUE) programs, and the next generation of GPS receivers capable of using M-code signals from GPS satellites. DOD will need to integrate all of these components into different types of weapon systems (see figure for notional depiction of integration for one system). Integration across DOD will be a considerable effort involving hundreds of different weapon systems, including some with complex and unique integration needs or configurations. Global Positioning System User Equipment Integration The Air Force is almost finished—approximately one year behind schedule—developing and testing one M-code card for testing on the Marine Corps Joint Light Tactical Vehicle and the Army Stryker vehicle. However, one card intended for use in aircraft and ships is significantly delayed and missed key program deadlines. The Air Force is revising its schedule for testing this card. The M-code card development delays have had ripple effects on GPS receiver modernization efforts and the weapon systems that intend to use them. For example, an Air Force receiver modernization effort that depends on the new technology will likely breach its schedule and incur additional costs because of the delay. In turn, DOD planned to incorporate that receiver into its F/A-18 fighter aircraft, AV-8B strike aircraft, and the MH-53E helicopter, but it no longer plans to do so because of the delay. DOD has not yet determined the full extent of the development effort to widely integrate and field M-code receivers across the department. The amount of additional development and integration work is expected to vary for each weapon system and could range from a few weeks to several years. DOD is taking steps to enable fielding modernized receivers that use M-code cards by working to identify integration and production challenges. DOD has been developing the capability to use its more jam-resistant military-specific GPS signal for 2 decades. The Air Force launched the first GPS satellite capable of broadcasting the M-code signal in 2005, but is only now completing development of the software and other equipment needed to use it. The GPS modernization effort spans DOD and the military services, but an Air Force program office is developing M-code cards for eventual production and integration into weapon systems. The National Defense Authorization Act for Fiscal Year 2016 included a provision that the Air Force provide quarterly reports to GAO on next-generation GPS acquisition programs, and that GAO brief congressional defense committees. Since 2016, GAO has provided briefings and reported on various aspects of GPS. This report discusses DOD's progress and challenges (1) developing M-code receiver cards, and (2) developing receivers and taking other steps to make M-code-capable receivers available for fielding. GAO reviewed schedules and cost estimates for the Air Force's MGUE programs; military service and DOD M-code implementation data; and test and integration plans for aircraft, ships, and ground vehicles. GAO also reviewed strategies for continued access to microelectronics and interviewed officials from the MGUE programs, military services, and DOD, and representatives from microelectronics developers. For more information, contact Jon Ludwigson at (202) 512-4841 or email@example.com.[Read More…]
- On the Exile of Catholic Archbishop KondrusiewiczBy Sam NewsOctober 13, 2020
- Special Briefing with Deputy Secretary of State for Management and Resources Brian P. McKeon, U.S. Agency for International Development (USAID) Principal Advisor to the Administrator Mark Feierstein, and Experts On the Administration’s Budget Proposal for the Department of State and USAID for Fiscal Year 2022By Sam NewsMay 30, 2021Brian P. McKeon, Deputy [Read More…]
- Prescription Drugs: U.S. Prices for Selected Brand Drugs Were Higher on Average than Prices in Australia, Canada, and FranceBy Sam NewsApril 28, 2021What GAO Found GAO's analysis of 2020 data found that, for 20 selected brand-name prescription drugs, estimated U.S. prices paid at the retail level by consumers and other payers (such as insurers) were more than two to four times higher than prices in three selected comparison countries. The U.S. prices GAO estimated for comparison reflect confidential rebates and other price concessions, which GAO refers to as net prices. Publicly available prices for the comparison countries were gross prices that did not reflect potential discounts. As a result, the actual differences between U.S. prices and those of the other countries were likely larger than GAO estimates. The price differences varied by drug. Specifically, while estimated U.S. net prices were mostly higher than the gross prices in other countries (by as much as 10 times), some were lower. The following figure illustrates comparisons for two of GAO's selected drugs. GAO found similar differences in estimated prices paid by final payers at the manufacturer level. Estimated U.S. Net Prices and Selected Comparison Countries' Gross Prices at the Retail Level for Two Selected Drugs and Package Sizes, 2020 GAO's analysis found consumers' out-of-pocket costs for prescription drugs varied across and within all four countries but likely more within the U.S. and Canada where multiple payers had a role setting prices and designing cost-sharing for consumers, and not all consumers had prescription drug coverage. In Australia and France, prescription drug pricing was nationally regulated and prescription drug coverage was universal; thus, consumers' out-of-pocket costs within these countries for each drug were generally less varied. For example, in Australia, consumers typically paid one of two amounts for prescription drugs—either about 5 or 28 U.S. dollars in 2020. In the U.S., potential out-of-pocket costs for consumers could have varied much more widely depending on the type of coverage they had. For example, for one drug in GAO's analysis, considering only a few coverage options, consumers' out-of-pocket costs in 2020 could have ranged from a low of about 22 to a high of 514 U.S. dollars. GAO provided a draft to the Department of Health and Human Services for review and incorporated the Department's technical comments as appropriate. Why GAO Did This Study While spending on prescription drugs continues to grow worldwide, studies indicate the U.S. spends more than other countries. However, various factors—such as country-specific pricing strategies, confidential rebates to payers, and other price concessions—may obscure the actual prices of prescription drugs. GAO was asked to review U.S. and international prescription drug prices. This report (1) examines how prices at the retail and manufacturer levels in the U.S. compare to prices in three selected comparison countries—Australia, Canada, and France, and (2) provides information on consumers' out-of-pocket costs for prescription drugs in these countries. GAO analyzed 2020 price data for a non-generalizable sample of 41 brand-name drugs among those with the highest expenditures and use in the U.S. Medicare Part D program in 2017. Twenty of these drugs had price data available in all four countries. For U.S. prices, GAO estimated the net prices paid using data from various sources, including estimates of Medicare Part D rebates and other price concessions, and commercially available data. Prices for the selected comparison countries were obtained from publicly available government sources. National prices were not available for Canada, so GAO used the prices from Ontario, Canada's most populous province, as a proxy for Canadian prices. GAO also reviewed country-specific guidance and other relevant information and interviewed researchers, manufacturers, and government officials. For more information, contact John E. Dicken at (202) 512-7114 or firstname.lastname@example.org.[Read More…]
- LymeX: Applying Health+ for Patient-Powered InnovationsBy Sam NewsApril 12, 2021April 12, 2021 By: Alex [Read More…]
- Justice Department Warns About Fake Unemployment Benefit WebsitesBy Sam NewsMarch 4, 2021The Department of Justice has received reports that fraudsters are creating websites mimicking unemployment benefit websites, including state workforce agency (SWA) websites, for the purpose of unlawfully capturing consumers’ personal information.[Read More…]
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- U.S. Leadership on Human Rights and Ending Systemic RacismBy Sam NewsJuly 15, 2021
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- June 23, 2021, letter commenting on AICPA’s Professional Ethics Executive Committee’s Proposed Interpretations and Definition of the AICPA Code of Professional Conduct, Responding to Non-Compliance with Laws and RegulationsBy Sam NewsJune 29, 2021This letter provides GAO's comments on the proposed interpretation and definition entitled Responding to Non-Compliance with Laws and Regulations, which the American Institute of Certified Public Accountants (AICPA) prepared. GAO provides standards for performing high-quality audits of government organizations, programs, activities, and functions and of government assistance received by contractors, nonprofit organizations, and other nongovernment organizations with competence, integrity, objectivity, and independence.1 These standards, often referred to as generally accepted government auditing standards (GAGAS), are to be followed by auditors and audit organizations when required by law, regulation, agreement, contract, or policy. For financial audits, GAGAS incorporates by reference the AICPA's Statements on Auditing Standards. For attestation engagements, GAGAS incorporates by reference the AICPA's Statements on Standards for Attestation Engagements.[Read More…]
- Owner of Brooklyn Ambulance Service Business Pleads Guilty to Not Paying Employment TaxesBy Sam NewsJuly 22, 2021A New York ambulance service business owner pleaded guilty on July 20 to failure to pay employment taxes.[Read More…]
- United States Reaches Proposed Settlement with Ranch Owner to Restore Creek and Wetlands and Pay Damages for TrespassBy Sam NewsMarch 18, 2021The U.S. Department of Justice, U.S. Environmental Protection Agency (EPA) and Bureau of Land Management (BLM) announced that they have reached a proposed settlement with John Raftopoulos, Diamond Peak Cattle Company LLC and Rancho Greco Limited LLC (collectively, the defendants) to resolve violations of the Clean Water Act (CWA) and the Federal Land Policy and Management Act (FLPMA) involving unauthorized discharges of dredged or fill material into waters of the United States and trespass on federal public lands in northwest Moffat County, Colorado.[Read More…]
- Acting Assistant Secretary of State for Consular Affairs Ian Brownlee Travels to Tucson, El Paso, Nogales (Sonora), and Ciudad JuárezBy Sam NewsJuly 19, 2021