prompt_front: You are given two reports by the government agency.



Question: Write a one-page summary of the report 1.

Report 1: This report provides an overview of the FY2019 budget request and appropriations for the International Trade Administration (ITA), the U S  International Trade Commission (USITC), and the Office of the United States Trade Representative (USTR)  These three trade-related agencies are funded through the annual Commerce, Justice, Science, and Related Agencies (CJS) appropriations  This report also provides a review of these trade agencies' programs  When comparing the Administration's FY2019 request with FY2018 funding, one may want to consider that the Administration formulated its FY2019 budget request before full-year appropriations for FY2018 were enacted  In this report, FY2018 funding levels reflect the amounts appropriated in the Consolidated Appropriations Act, 2018 ( P L  115-141 ), enacted on March 23, 2018  The Consolidated Appropriations Act, 2018, provided $482 0 million in direct funding for ITA, $93 7 million for USTIC, and a total of $72 6 million for USTR for FY2018  The FY2018 appropriation for the three CJS trade-related agencies totaled $648 3 million  The Consolidated Appropriations Act, 2019, provided $484 0 million in direct appropriations for ITA, $95 0 million in funding for USITC, and a total of $68 0 million for USTR  The FY2019 appropriations for three CJS trade-related agencies totaled $647 0 million, a 0 2% decrease from FY2018 appropriations  See the Appendix for enacted budget authority for the trade-related agencies for FY2009-FY2019  The President submitted his FY2019 budget request to Congress on February 12, 2018  In it, the Administration requested a total of $590 8 million for the three CJS trade-related agencies (see Table 1 )  This request represented an 8 9% decrease in funding from the FY2018 appropriated amount  The request included reduced funding for all three trade agencies: $440 1 million in direct funding for ITA (an 8 7% decrease from the FY2018 appropriation), $87 6 million for USITC (a 6 5% decrease), and $63 0 million for USTR (a 13 2% decrease)  Despite the proposed overall decrease in funding for CJS trade-related agencies, the Administration proposed increasing some trade enforcement activities within ITA and USTR  For ITA, the Administration proposed increasing trade enforcement activities while reducing funding for certain export promotion activities  For USTR, the Administration requested funds to increase staffing; however, the request did not include a request for funding to be drawn from the Trade Enforcement Trust Fund  (For a description of the " Trade Enforcement Trust Fund ," see section below ) The President's budget did not provide a rationale for requesting a decrease in funding for USITC  A more detailed overview of these agencies' FY2019 budget requests is provided below  The House and Senate Appropriations Committees reported their CJS appropriation bills in the spring of 2018  Both committees largely declined the budget cuts requested by the Administration for these three trade agencies  (See Table 1  ) The House Committee on Appropriations reported H R  5952 on May 17, 2018  The House committee bill included a total of $647 6 million for the three trade-related agencies, which was $56 8 million more (9 6%) than the Administration's request and $0 7 million less (-0 1%) than the FY2018-enacted amount  The House committee recommended $480 0 million in direct funding for ITA, $95 0 million for USTIC, and a total of $72 6 million for USTR  The Senate Committee on Appropriations reported S  3072 on June 14, 2018  The Senate bill included a total of $655 6 million for the three agencies, which was $64 8 million (11 0%) more than the Administration's request and $7 3 million (1 1%) more than the FY2018-enacted appropriation  The Senate committee recommended $488 0 million in direct funding for ITA, $95 0 million for USITC, and a total of $72 6 million for USTR  Through February 15, 2019, the CJS trade-related agencies operated under continuing resolutions (CR)—with the exception of a three-week lapse in funding when agencies halted most operations  Congress passed final FY2019 appropriations in the Consolidated Appropriations Act, 2019 ( P L  116-6 ), which was signed into law on February 15, 2019  The act included a total of $647 0 million in funding for the three trade-related agencies—a 0 2% decrease from FY2018 appropriations  For FY2019, the Consolidated Appropriations Act, 2019, included $484 0 million in direct appropriations for ITA (a 0 4% increase from the FY2018 appropriation), $95 0 million in funding for USITC (a 1 4% increase), and a total of $68 0 million for USTR (a 0 2% decrease)  Within the Department of Commerce, ITA's mission is to improve U S  prosperity by strengthening the competitiveness of U S  industry, promoting trade and investment, and ensuring compliance with trade laws and agreements  ITA provides export promotion services; works to enforce and ensure compliance with trade laws and agreements; administers trade remedies such as antidumping and countervailing duties; and provides analytical support for ongoing trade negotiations  ITA went through a major organizational change in October 2013 in which it consolidated four organizational units into three more functionally aligned units: (1) Global Markets; (2) Industry and Analysis; and (3) Enforcement and Compliance  ITA also has a fourth organizational unit, the Executive and Administrative Directorate, which is responsible for providing policy leadership, information technology support, and administration services for all of ITA  ( Table A-1 shows budget amounts for ITA by unit between FY2009 and FY2019 ) For FY2019, the Administration requested $440 1 million for ITA in direct funding, with an additional $11 0 million to be collected in user fees, for a total of $451 1 million in authorized spending  The request for direct funding represents a $41 9 million decrease (-8 7%) from the FY2018-enacted amount ($482 0 million)  According to ITA's budget justification, the Administration proposed increasing ITA's enforcement and compliance efforts in FY2019, while deemphasizing other initiatives, such as export promotion  The Administration specifically proposed closing some domestic and international offices of the United States and Foreign Commercial Service (US&FCS)  The House committee-reported H R  5952 proposed $480 0 million for ITA in direct funding, with an additional $11 0 million to be collected from user fees, for a total of $491 0 million in authorized spending  The amount in direct funding proposed by the House Committee on Appropriations was $39 9 million (9 1%) more than the Administration's request and $2 0 million less (-0 4%) than the FY2018-enacted amount  The Senate committee-reported S  3072 included $488 0 million in direct funding for ITA, with an additional $11 0 million in user fees, for a total of $499 0 million in authorized spending  The amount in direct funding proposed by the Senate Committee on Appropriations was $47 9 million (10 9%) more than the Administration's request and $6 0 million (1 2%) more than the FY2018-enacted amount  The Consolidated Appropriations Act, 2019 ( P L  116-6 ) provided $484 0 million in direct appropriations for ITA, with an additional $11 0 million to be collected in user fees, for a total of $495 0 in authorized spending  The act provided $2 million more (0 4%) in direct appropriations for ITA than the FY2018-enacted amount and $43 9 million more (10 0%) than the Administration's request  ITA's Global Markets (GM) unit is a combination of the United States and Foreign Commercial Service (US&FCS) unit, a program that provides export promotion services to U S  businesses, and SelectUSA, a program that works to attract foreign investment into the United States  Through US&FCS, GM promotes U S  exports by helping U S  exporters research foreign markets and identify opportunities abroad  GM's country and regional experts―in domestic and overseas offices—help to advise U S  companies on market access, local standards, and regulations  The unit also helps to make connections through business-to-business trade shows, fairs, and missions  GM is designed to advance U S  commercial interests by engaging with foreign governments and U S  businesses, identifying and resolving market barriers, and leading efforts that advocate for U S  firms with foreign governments  Through its SelectUSA program, the GM unit also promotes the United States as a destination for foreign investment  (For more on SelectUSA, see section below, " SelectUSA Program  ") For FY2019, the Administration proposed reducing funding for the Global Markets unit  The Administration requested $276 5 million for Global Markets in direct funding, a 13 4% decrease from the FY2018-enacted appropriation  In its FY2019 budget submission, ITA proposed "rescaling export promotion" activities in the GM unit by reducing staff and its domestic and overseas offices, with a total reduction of 133 positions  The budget submission did not indicate how many or which domestic and overseas offices it was proposing to close  The House and Senate Appropriation Committees did not adopt the proposed cuts  The House Appropriations Committee recommended $319 0 million for the Global Markets unit for FY2019  This was $42 5 million (15 4%) more than the Administration's request  According to the committee report, "the recommendation does not adopt the proposal to reduce U S  and Foreign Commercial Service staff or close overseas offices or U S  Export Assistance Centers " The Senate Appropriations Committee report did not provide an exact funding amount, but recommended that ITA "fund US&FCS, and its core mission of export promotion, at the highest possible level in fiscal year 2019, and at no less than the amount provided in fiscal year 2018 " Like the House committee, the Senate committee did not adopt the Administration's proposal to close offices  The Senate committee report specifically noted, "No offices shall be closed in fiscal year 2019 unless the Committee approves a reprogramming request to close such office or offices  Additionally, the Committee will not approve requests to close any domestic offices, called U S  Export Assistance Centers, if such Center is the only one located in a given State " According to the conference report accompanying the Consolidated Appropriations Act, 2019 ( P L  116-6 ), the final agreement for FY2019 appropriations included "no less than $320 million" in funding for Global Markets and required ITA to report quarterly to the Committees on staffing levels within the US&FCS  ITA's Industry and Analysis unit brings together ITA's industry, trade, and economic experts to advance the competitiveness of U S  industries through the development and execution of international trade and investment policies, export promotion strategies, and investment promotion  It develops economic and international policy analysis to improve market access for U S  businesses, and designs and implements trade and investment promotion programs  The unit serves as the primary liaison between U S  industries and the federal government on trade and investment promotion  It administers programs that support small and medium-sized enterprises, such as the Market Development Cooperator Program  For FY2019, the Administration requested $52 3 million for Industry and Analysis  The request is $3 4 million less than the FY2018 funding level  The Administration proposed refocusing some of the unit's priorities away from export promotion and toward trade enforcement  Specifically, the Administration proposed reducing activities related to trade missions, the International Buyer Program, and certified trade fairs, and eliminating Market Development Cooperator Program grants  The House committee proposed $52 0 million for Industry and Analysis  This represented $0 3 million less (-0 5%) than the Administration's request  The Senate committee-reported bill did not include a specific recommendation for Industry and Analysis  The Consolidated Appropriations Act, 2019 ( P L  116-6 ), did not provide an exact funding guidance for Industry and Analysis  The mission of ITA's Enforcement and Compliance unit is to enforce U S  trade laws and ensure compliance with negotiated international trade agreements  It is responsible for enforcing U S  antidumping and countervailing duty (AD/CVD) laws; overseeing a variety of programs and policies regarding the enforcement and administration of U S  trade remedy laws; assisting U S  industry and businesses with unfair trade matters; and administering the Foreign Trade Zone program and other U S  import programs  For FY2019, the Administration requested $90 6 million for the Enforcement and Compliance unit, an increase of $3 1 million (3 6%) from the FY2018-enacted amount  For the requested increase in funding, ITA cited the unit's increasing number of AD/CVD investigations, its new focus on self-initiating AD/CVD cases, and the increased workload due to the tariffs and investigations initiated through Section 232 of the Trade Expansion Act of 1962  The House Appropriations Committee proposed $85 5 million for Enforcement and Compliance  The House committee proposal represented $2 1 million less (-2 3%) than the Administration's request, and $1 0 million (1 1%) more than the FY2018-enacted amount   The Senate Committee on Appropriations recommended $91 5 million for Enforcement and Compliance  The Senate recommendation represented $0 9 million more than the Administration's request and $4 0 million more than the 2018-enacted amount  The Senate committee report noted that the committee was supportive of the Administration's request to self-initiate AD/CVD cases  For FY2019 appropriations, the conference report accompanying the Consolidated Appropriations Act, 2019 ( P L  116-6 ), included $88 5 million for Enforcement and Compliance  This amount was $1 0 million more (1 1%) than the FY2018 funding, and $2 1 million less (-2 1%) than the Administration's request  USITC is an independent, quasi-judicial agency responsible for conducting trade-related investigations and providing independent technical advice related to U S  international trade policy to Congress, the President, and the USTR  The commission (1) investigates and determines whether imports injure a domestic industry or violate U S  intellectual property rights; (2) provides independent tariff, trade, and competitiveness-related analysis to the President and Congress; and (3) maintains the U S  tariff schedule  USITC also serves as a federal resource for trade data and other trade policy information  It makes most of its information and analyses available to the public to promote understanding of competitiveness, international trade issues, and the role that international trade plays in the U S  economy  In addition to the President's budget request for the commission, USITC also has bypass authority to submit its budget directly to Congress without revision by the President, pursuant to Section 175 of the Trade Act of 1975  For FY2019, the President requested $87 6 million for USITC, which represented a $6 1 million decrease (-6 5%) from the FY2018-enacted amount ($93 7 million)  While the President requested a decrease in funding for USITC, the commission's independent budget submission—sent directly to Congress without revision by the President—requested $97 5 million for FY2019, an increase of $3 8 million (4 0%) from the FY2018-enacted amount  USITC cited the increasing number of import injury cases in the previous five years and projected that the caseload would increase further in FY2019  Both the House and Senate committee-reported bills recommended $95 0 million for USITC  This amount was $7 4 million (8 4%) more than the President's request and $1 3 million (1 4%) more than the FY2018-enacted amount  The Consolidated Appropriations Act, 2019 ( P L  116-6 ), provided $95 0 million for USITC, which was $7 4 million (8 4%) more than the President's request and $1 3 million (1 4%) more than the FY2018-enacted amount  USTR, located in the Executive Office of the President, is responsible for developing and coordinating U S  international trade and direct investment policies  USTR is the President's chief negotiator for international trade agreements, including commodity and direct investment negotiations  It negotiates directly with foreign governments to create trade agreements, resolve disputes, and participate in global trade policy organizations such as the World Trade Organization  It also meets with business groups, policymakers, and public interest groups on trade policy issues  In 2018, USTR led the negotiations for the modernization of the North American Free Trade Agreement (NAFTA) and the investigations into Chinese intellectual property practices  In addition to direct appropriations for USTR, supplementary funding for the agency is available through the congressionally established Trade Enforcement Trust Fund  For more detail on the trust fund, see section " Trade Enforcement Trust Fund ," below  For FY2019, the Administration requested $63 0 million for USTR's salaries and expenses, and no additional funding from the Trade Enforcement Trust Fund  The request represents a $9 6 million decrease (-13 2%) from the FY2018-enacted amounts ($72 6 million)  In the Administration's budget request, USTR outlined the Trump Administration's "aggressive trade agenda," and its goals of "(1) defending U S  national sovereignty over trade policy; (2) strictly enforcing U S  trade laws; (3) using all possible sources of leverage to encourage other countries to open their markets to U S  exports of goods and services, and protecting U S  intellectual property rights; and (4) negotiating better trade deals with countries in key markets around the world " Both the House and Senate committee-reported bills recommended a total of $72 6 million for USTR for FY2019  These proposals included $57 6 million for USTR's salaries and expenses and $15 0 million from the Trade Enforcement Trust Fund for enforcement activities authorized in Section 611 of the Trade Facilitation and Trade Enforcement Act of 2015 ( P L  114-125 )  The total proposals were $9 6 million (15 2%) more than the Administration's request, and were equal to the FY2018-enacted amount  The Consolidated Appropriations Act, 2019 ( P L  116-6 ), provided a total of $63 0 million for USTR, which included $53 0 million in salaries and expenses for USTR and an additional $15 0 million to be derived from the Trade Enforcement Trust Fund  The total funding was $4 6 million less (-6 3%) than the FY2018 appropriated amount  Over the past decade, Congress has provided funding for specific trade-related programs, including (1) China trade enforcement and compliance activities; (2) trade promotion and attracting foreign direct investment to the United States through ITA's SelectUSA program; and (3) trade enforcement activities through the Trade Enforcement Trust Fund and the Interagency Center on Trade Implementation, Monitoring, and Enforcement (ICTIME, formerly the Interagency Trade Enforcement Center (ITEC))  Since 2004, Congress has dedicated some of ITA's funding to AD/CVD enforcement and compliance activities with respect to China and other nonmarket economies  ITA's Office of China Compliance was established by the Consolidated Appropriations Act of 2004 ( P L  108-199 )  Its primary role has been to enforce U S  AD/CVD laws and to develop and implement other policies and programs aimed at countering unfair foreign trade practices in China  ITA's China Countervailing Duty Group was established in FY2009 to accommodate the workload that resulted from the application of countervailing duty law to imports from nonmarket economy countries  The Office of China Compliance is within the Enforcement and Compliance unit at ITA  ITA's FY2019 budget justification did not provide a breakdown of funding for its China AD/CVD activities  Both the House and Senate committee-reported bills included $16 4 million from ITA's funding for China AD/CVD enforcement and compliance activities for FY2019  The Consolidated Appropriations Act, 2019 ( P L  116-6 ), provided $16 4 million from ITA's funding for China AD/CVD enforcement and compliance activities for FY2019  This amount was equal to the FY2018-enacted amount  SelectUSA was created in 2011 and is now part of ITA's Global Markets unit  It coordinates investment-related resources across more than 20 federal agencies to (1) promote the United States as an investment market and (2) address investor climate concerns that may impede investment in the United States  The program serves as an information resource for international investors and advocates for U S  cities, states, and regions as investment destinations  ITA's budget justification did not provide a breakdown for requested funding for SelectUSA  The House committee-reported bill did not propose a specific funding amount for SelectUSA  The Senate committee report recommended $10 0 million in funding for SelectUSA, an amount equal to the FY2018-enacted amount  The Senate Committee on Appropriation proposed making funding contingent on (1) SelectUSA updating its protocol to ensure that its programs did not encourage foreign investments by state-owned entities into the United States and (2) SelectUSA reporting its updated protocol to the committee within 30 days of enactment of the bill  According to the conference report accompanying the Consolidated Appropriations Act, 2019 ( P L  116-6 ), the final agreement adopted the Senate committee report language regarding SelectUSA  ITA's Survey of International Air Travelers (SIAT) gathers statistics about air passenger travelers in the United States  These statistics are used across federal agencies, for a variety of purposes, such as to estimate the contribution of international travel to the economy, develop public policy on the travel industry, and forecast staffing needs at consulates and ports of entry  The Administration requested $5 0 million for FY2019 for SIAT to expand the survey and data collection  The Administration proposed that "$5 million in fee revenues collected from the surcharge on international travelers utilizing the Electronic System for Travel Authorization (ESTA) be redirected to fully fund the SIAT " The House committee-reported bill did not include a specific recommendation for SIAT  According to the Senate committee report, the Senate Committee on Appropriations did not adopt the Administration's proposal to seek alternative funding sources for SIAT and "direct[ed] ITA to continue funding SIAT out of its base budget  Within funds provided, ITA [was] encouraged to increase the sample size for SIAT " The Consolidated Appropriations Act, 2019 ( P L  116-6 ), and the accompanying conference report did not provide specific language regarding SIAT  In order to provide additional funding for USTR's trade enforcement activities, Congress established the Trade Enforcement Trust Fund (TETF) in 2016  In Section 611 of the Trade Facilitation and Trade Enforcement Act of 2015 ( P L  114-125 ), Congress set up the trust fund and outlined authorized uses of the funds  According to Section 611(d), USTR can use funds from the TETF to monitor and enforce trade agreements and WTO commitments and to support trade capacity-building assistance to help partner countries meet their free-trade agreement obligations and commitments  USTR can also transfer funds to select federal agencies for trade enforcement activities authorized in Section 611(d) of the Trade Facilitation and Trade Enforcement Act of 2015  For FY2019, the Administration requested no funding to be derived from the TETF; the FY2018-enacted amount was $15 0 million  Both the House and Senate committee bills proposed $15 0 million from the TETF for enforcement activities authorized in Section 611 of the Trade Facilitation and Trade Enforcement Act of 2015  These proposals were equal to the FY2018-enacted amount  The Consolidated Appropriations Act, 2019 ( P L  116-6 ), provided $15 0 million to be derived from the TETF for USTR, for enforcement activities authorized in Section 611 of the Trade Facilitation and Trade Enforcement Act of 2015  This amount is equal to the FY2018-enacted amount  ITEC was established by executive order in 2012 to take a "whole-of-government" approach to monitoring and enforcing U S  trade rights by using expertise from across the federal government  In 2016, the ITEC was succeeded by ICTIME, which Congress established through the Trade Facilitation and Trade Enforcement Act of 2015 ( P L  114-125 )  The executive-established ITEC received its funding through ITA; funding for ICTIME is now appropriated through USTR  ICTIME's purpose is to advance U S  trade policy through strengthened and coordinated enforcement of U S  trade rights  ICTIME investigates potential disputes under the auspices of the World Trade Organization; inspects potential disputes pursuant to bilateral and regional trade agreements to which the United States is a party; and carries out the functions of USTR with respect to the monitoring and enforcement of trade agreements to which the United States is a party  USTR and ITA work closely within the ICTIME to identify issues and develop information in areas of economic importance to U S  industries  The USTR's budget justification did not provide a breakdown for requested funding for ICTIME  The House and Senate committee-reported bills did not include a specific funding amount for ICTIME  The Senate committee report did note that the Senate committee supports ICTIME within the funds provided for USTR  The Consolidated Appropriations Act, 2019 ( P L  116-6 ) and the accompanying conference report also did not provide specific language regarding ICTIME 


Report 2: Safety defect vehicle recalls (auto recalls) are initiated when a defect in a vehicle or vehicle equipment creates an unreasonable safety risk, as determined by NHTSA or a manufacturer  After a recall is initiated, manufacturers are required to provide written notification to vehicle owners via First-Class Mail within 60 days and remedy the defect  Franchised dealers—which sell or lease an auto manufacturer’s new vehicles—perform the recall remedy  Before manufacturers send recall notification letters to affected vehicle owners, NHTSA reviews draft letters and envelopes to ensure they include required information about the safety defect  Required information includes, among other things, a clear description of the safety defect, an evaluation of the risk to vehicle safety, and a statement that the manufacturer will remedy the defect without charge  See appendix II for an example of a notification letter  The number of vehicles affected by safety defect vehicle recalls has increased dramatically since 2011 (see fig  1)  The increase reflects, in part, several large-scale recalls  For example, in 2014, General Motors initiated a recall of over 8 million vehicles with faulty ignition switches  Similarly, according to NHTSA in 2014 and 2015, some passenger vehicle manufacturers began recalling Takata air bag inflators, recalls that have grown to include approximately 34 million vehicles and 19 auto manufacturers  For the Takata recall, NHTSA issued various orders and established a Coordinated Remedy Program under which the agency oversees the supply of remedy parts and risk-based prioritization of vehicles for repair, and manages related recalls with the assistance of an Independent Monitor  The Independent Monitor assesses compliance with the applicable orders issued by NHTSA and makes recommendations aimed at enhancing the remedy program  According to NHTSA’s Strategic Plan 2016–2020, this unprecedented recall activity encouraged the agency to improve its system for identifying and addressing defective vehicles  For example, the plan states that NHTSA’s “vision is to achieve a 100-percent completion rate for every recall by improving communication at every level, at every step of the way ” Thus, according to the plan, NHTSA and the auto industry have committed to identifying and implementing effective strategies to inform consumers of safety defects and envision that their coordination will bolster recall efforts to improve completion rates  NHTSA reported that annual completion rates for passenger vehicle recalls have remained relatively flat, ranging from 63 to 67 percent between calendar year 2011 and calendar year 2014  See appendix III for completion rates by vehicle component and vehicle type  In part, to improve communication and encourage consumers to complete repairs, NHTSA and manufacturers provide auto recall information to the public on their websites  For example, certain motor vehicle manufacturers are required to allow consumers to search a vehicle’s recall remedy status on the Internet using the vehicle identification number (VIN)  NHTSA also provides publicly available auto recall information on its website, including examples of recall notification letters  In December 2016, NHTSA began consolidating its websites into NHTSA gov to provide a single access point for its auto recall content  One of these websites, safercar gov, was once NHTSA’s primary method of communicating auto recall information to consumers; however, the agency is in the process of moving this information to NHTSA gov  NHTSA’s Strategic Plan 2016–2020 states that the agency wants NHTSA gov to be a comprehensive user-friendly platform that serves as the premier source of vehicle safety information by, for example, improving the website’s search capabilities  NHTSA also aims to encourage consumers to use its website’s auto recall information through its communications program  NHTSA’s Office of Communications and Consumer Information (OCCI) is the primary office responsible for implementing the agency’s public communication efforts  OCCI intends to increase public engagement with the agency’s information through its social media channels, such as Instagram, Twitter, and Facebook  The amount OCCI obligated to support the agency’s auto recall efforts has increased from nearly $ 5 million in fiscal year 2011 to about $2 5 million in fiscal year 2016  According to NHTSA officials, these obligations supported various efforts, including public awareness campaigns, an auto recall hotline, advertising agencies, exhibits at auto shows, and NHTSA’s mobile application  As part of our focus group discussion sessions, consumers selected safety risk and convenience as the two most influential factors they considered when using auto recall information to decide whether to complete repairs  All factors considered: During each session, we first asked consumers to describe all the factors they considered  Across the sessions, consumers shared a wide variety of factors including availability of a loaner vehicle, time to schedule and complete the repair, safety risk, and other factors  For example, some consumers had not yet repaired their vehicles because they were “just waiting” for parts to become available  Other consumers considered their previous customer service experiences at the franchised dealership or the distance they would need to travel to complete the repair  For example, one consumer at our rural focus group location told us it would take roughly 2 hours to reach the dealership’s repair shop  Most influential factors considered: After the discussion of all factors, we then asked each consumer to select the single most influential factor they considered  Consumers in the sessions overwhelmingly selected safety risk and convenience as the two most influential factors (see table 1)  More than half of consumers in our focus group discussion sessions selected safety risk as the most influential factor they considered when making repair decisions  They told us that their perception of the risk influenced whether or not they repaired their vehicle  For instance, some consumers stated that they completed repairs immediately, because the risks “sounded serious” or that they considered the defect a “safety concern ” Conversely, some consumers said they did not complete the repairs because the defect “didn’t sound very urgent ” While each recall notification letter is required to include an evaluation of the risk to vehicle safety reasonably related to the defect, consumers in our focus group sessions shared mixed opinions about the quality and clarity of safety risk information included in the notification letter they received  For example, some consumers told us the letter’s safety risk information seemed vague  For instance, one consumer told us the letter’s description of the safety defect did not clearly state the chances of an increased risk of injury and so he “had to figure out on his own ” In addition, some consumers commented that the safety risk information could be more prominent in the notification letter, that the letter could emphasize the severity of the risk, or that the letter could describe the risk in simpler language  However, other consumers stated the notification letter they received adequately described the recall’s safety risk  In June 2011, we recommended that NHTSA modify the requirements for defect notification letters to include additional information to obtain readers’ attention  In 2013, NHTSA responded to our recommendation by requiring manufacturers to include the statement “IMPORTANT SAFETY RECALL” at the top of auto recall notification letters  Focus Group Participant’s Comment “I don't want to be without a car for half the day or stay with my kids all day ” Consumers in our focus group discussion sessions selected convenience as the second most influential factor they considered in making repair decisions  While some consumers described the “hassle” of the repair and being “too busy” to schedule and fix the defect, other consumers told us they repaired their vehicles more easily because, for example, they could take advantage of previously scheduled service appointments to also repair the defect  Also, some consumers in our sessions stated that the letter or notification they received could better address the inconvenience of the recall, for example by including better estimates of how long repairs might take  In addition, some consumers recommended the letter include options for scheduling needed repairs  As we discuss later in the report, NHTSA officials told us they continue to work with auto manufacturers to identify ways to encourage consumers to complete needed repairs, while representatives from some manufacturers we met with described specific steps they have taken to address some of the inconveniences consumers may experience in completing repairs  For example, one manufacturer facilitated a pilot program for a third-party service provider in conjunction with dealers to repair vehicles at the owner’s home or place of work, while another manufacturer told us they work with individual dealers to hold events specifically for recall repairs when consumers can come in to have repairs performed after normal business hours  Industry stakeholders’ use of auto recall information varies because these stakeholders play different roles in the auto recall process  Auto manufacturers are primarily responsible for providing auto recall information to the public and others, including NHTSA and auto dealers  Franchised dealers are responsible for performing the recall remedy for manufacturers and therefore use manufacturer-provided information for that purpose  Specifically, all of the franchised dealers we interviewed told us they identify recalls on new vehicles in their inventory primarily by accessing auto recall information through internal manufacturer databases  These franchised dealers may also use information from third-party providers or publicly available auto recall information on NHTSA’s website to identify recalls affecting used vehicles  Independent dealers—which are not generally authorized by manufacturers to perform recall remedies—may use publicly available auto recall information to identify open recalls  Specifically, 2 of the 3 independent dealers we met with told us they use NHTSA’s VIN look-up tool to search for open recalls affecting vehicles in their inventory before selling them to consumers  However, these dealers told us that the current design of the tool takes too much time to use, because it requires users to search each VIN individually  For example, one dealer told us each search took about 15 seconds to perform, resulting in significant time and cost because the dealership has tens of thousands of vehicles in its inventory  These dealers told us being able to search multiple VINs in a single search (i e , VIN-batch search) could save them time or money  Representatives from the Alliance of Automobile Manufacturers stated they—in coordination with other industry stakeholders—are working with a third-party provider to develop a search tool that would address this concern by enabling VIN-batch searches for use by government agencies, such as state departments of motor vehicles, and commercial entities  The group anticipates the tool will be available in the first half of 2018  Although the vast majority of consumers who participated in our focus group discussion sessions reported a preference to receive auto recall notification by mail, most preferred to receive notifications by at least one additional electronic means such as e-mail, phone calls, and text messages  Eighty of the 94 consumers in our sessions reported a preference for receiving notification by mail, and all but 4 reported actually receiving mailed notification (see fig  2)  However, 69 of the 94 consumers in our sessions also reported a preference for receiving recall notification by electronic means, but only 7 reported actually receiving at least one type of electronic notification  This result suggests a gap between industry recall notification practices and notification preferences for most consumers in our focus groups, especially for younger consumers who were more likely to report a preference for notification by electronic means  For complete results of the questionnaire we administered to consumers for the discussion session, see appendix IV  As we discuss later in this report, in September 2016, NHTSA issued a Notice of Proposed Rulemaking (NPRM) that proposes to require auto manufacturers to notify consumers about auto recalls by electronic means in addition to First-Class Mail  NHTSA officials told us the agency is working with the administration on NHTSA’s regulatory portfolio and priorities, including this rulemaking  Some manufacturers told us they use additional methods to reach consumers, including notifying consumers by electronic means and translating recall information into Spanish  For example, representatives from one manufacturer told us they always notify consumers by e-mail before sending out the required First-Class Mail letter notification  These representatives told us using multiple recall notification means resulted in higher recall completion rates  In addition, eight of the remaining nine manufacturers told us they use supplemental electronic means notification on a case-by-case basis—generally using additional means to improve recall completion rates—while four manufacturers stated they consider safety risk severity when deciding when or how to use additional notification means for individual recalls  Also, representatives from 3 of the 10 manufacturers we spoke with told us they translate the entire mailed notification letter into Spanish  In late 2016, NHTSA launched its redesigned NHTSA gov website, including the auto recall areas consumers assessed during our testing sessions  According to responses to a questionnaire we administered during our testing sessions, 78 of the 94 consumers found the auto recall areas of NHTSA gov either “somewhat” or “very easy” to use (see fig  3)  See appendix V for complete participant responses to the questionnaire we administered to each consumer  To inform the development of the redesigned website, NHTSA worked with a contractor to conduct a usability study in 2015 to evaluate users’ reactions to the agency’s websites, including NHTSA gov  According to agency officials, NHTSA implemented several changes based on the findings from the usability study, including: the creation of a dedicated “recalls” area of NHTSA gov, and the ability for users to access the VIN look-up tool in three different ways—on the homepage, in the “recalls” area, and through direct links either in a NHTSA e-mail for subscribers or from an external website  In addition, NHTSA officials told us that Department of Transportation (DOT) and NHTSA staff meet as needed to discuss the website and consider improvements  For example, the officials said they monitor user searches for the relevance and accuracy of results and adjust the search software to better assist users in finding auto recall information  Officials also told us the agency collects a variety of other information about how visitors use NHTSA gov, including how visitors access the website, and makes adjustments accordingly  For instance, NHTSA incorporated responsive web design as part of the agency’s ongoing consolidation effort—meaning the site is optimized for viewing on desktop, tablet, and mobile devices  In addition to monitoring searches and how visitors access NHTSA gov, NHTSA officials told us they collect and consider online survey data to make website improvements and use web-analytic software to monitor, for example, where visitors choose to exit the website  Officials stated that such monitoring activities have allowed NHTSA to identify and correct problems with NHTSA gov  We did not directly evaluate the accessibility of the auto recall areas of NHTSA gov to ensure the ability of people with physical or mental disabilities to use the website  However, NHTSA officials provided us with an overview of several steps the agency takes to ensure NHTSA gov complies with website accessibility requirements  For example, according to officials, NHTSA subscribes to a service that provides monthly accessibility scans of the agency’s websites  While most consumers in our usability testing sessions generally found the auto recall areas of NHTSA’s website easy to use, some consumers experienced difficulties completing tasks we asked them to perform (see table 2)  Specifically, during each testing session we asked participants to perform tasks using the primary means NHTSA gov provides for consumers to access information about auto recalls affecting their vehicles: searching for auto recalls using their vehicle’s VIN; searching for auto recalls using their vehicle’s year, make, and model; and locating NHTSA’s auto recall notification e-mail subscription service  In addition, an evaluation we requested to corroborate the results of our consumer usability testing, identified similar issues  As discussed below, consumers experienced these difficulties because the auto recall areas of NHTSA gov do not always reflect federal and industry key website usability practices, which describe standards and guidelines for making websites easy to use  Following such practices can assist agencies in creating quality websites while providing the flexibility necessary to meet organizational needs  Website usability is particularly important for agencies, such as NHTSA, that are responsible for conveying safety information to the public  Federal standards for internal control state that agencies should communicate quality information externally and select appropriate methods for communicating with the public  While most consumers in our usability testing sessions found searching for recalls by VIN somewhat or very easy, some consumers found the search results did not provide the information they were seeking  When we asked consumers to perform VIN searches, they generally found the VIN look-up tool easy to use—88 of 94 consumers found searching with a VIN either somewhat or very easy  But some consumers experienced difficulties performing this task  Specifically, some consumers who had had their vehicles repaired expected to find the completed recall on the search results page  However, they were confused because the page is designed to display only open (i e , unrepaired) recalls, not completed (i e , repaired) recalls—leading these consumers to question the accuracy of the results  In addition, the evaluation conducted by website usability professionals found that, when an error occurred during a VIN search, the error message was too difficult to locate on the search results page  The evaluation recommended the error message have greater weight and more prominence on the page  Federal key website usability practices state that agencies should ensure that results of user searches provide the precise information being sought, and in a format matching users’ expectations  When users are confused by search results, or do not immediately find what they are searching for, they become frustrated and may abandon the search or the website entirely  Since NHTSA launched the VIN look-up tool in August 2014, the number of VIN searches performed has increased (see fig  4)  According to NHTSA officials, major increases occurred in mid-2015— when the Takata air bag inflator recalls were announced—and in early 2017, when NHTSA made the VIN look-up tool search function available on NHTSA gov and displayed it prominently on the website  Ensuring the usability of NHTSA’s VIN look-up tool is particularly important because it is the only way on NHTSA gov for a consumer to determine whether their specific vehicle has an open safety recall  Recall Search Using Vehicle Year, Make, and Model Some consumers’ vehicle year, make, and model searches were hampered by the information required to conduct an accurate search, as the content on the website is not always in plain language  We asked consumers to perform a recall search using their vehicles’ year, make, and model, and 78 of 94 consumers found the task to be either somewhat or very easy  However, some consumers found that they did not know enough information about their specific vehicles to feel confident that they were searching for the correct vehicle  For example, a year, make, and model search for a 2009 Toyota Tacoma may ask the consumer to choose among vehicle options, including “2009 TOYOTA TACOMA REGULAR CAB W/SAB RWD/AWD ” Acronyms such as “W/SAB”— which stands for “with side air bags”—may be confusing to consumers  Federal key website usability practices state that federal agencies should write website content using plain language, so website visitors can easily find and use what they need  Focus Group Participant’s Comment “I think [the Recall Notification E-mail System Sign-Up is] poorly placed  I had to scroll to find it  I had to search for it  You want at the top  ” Recall Notification E-mail System Sign-Up Some consumers suggested improvements to make the Recall Notification E-mail System Sign-Up easier to locate on the homepage  NHTSA first made its Recall Notification E-mail System Sign-Up available in March 2008  Of the 94 consumers in our testing sessions, 66 found it either “somewhat” or “very easy” to find the Recall Notification E-mail System Sign-Up—making this the least easy of the three tasks we asked consumers to perform  Specifically, several consumers said the Recall Notification E-mail System Sign-Up should include a clearer description, be easier to find, and be located at the top of the homepage (see fig  5)  These improvements are particularly important because some consumers in our focus group sessions told us that the ability to sign up for auto recall e-mail notifications was the most useful part of the auto recall areas of NHTSA gov  The website evaluation conducted by website usability professionals recommended that NHTSA streamline its homepage with more of a focus on primary website tasks  The evaluation also found that users must move through too many pages to sign up for recall e-mails  Federal key website design and usability practices state that agencies should put important items closer to the top of the page, where users can better locate the information  Key practices also state that agencies should design their websites so users can successfully complete the most common tasks in the fewest number of steps  The website usability difficulties that consumers in our focus groups experienced may be due to the fact that NHTSA has not studied the website’s usability since the agency redesigned NHTSA gov in late 2016 and, therefore, may have been unaware of these difficulties prior to our review  NHTSA plans to conduct a website usability study with consumers after the consolidation effort, discussed above, is complete  However, NHTSA could not provide a general time frame for conducting the study because it has not yet determined when the consolidation effort will be complete  We have previously reported that it is essential for organizations to effectively guide their information technology efforts by establishing timelines to complete them, among other strategic planning best practices  Without establishing a completion date for its website consolidation effort, the website usability difficulties we identified may persist and limit the effectiveness of NHTSA’s primary means of providing consumers with safety recall information about their vehicles on NHTSA gov  In January 2016, NHTSA launched a national advertising campaign encouraging consumers to check for open recalls using the agency’s VIN and year, make, and model look-up tools  Through March 2017, NHTSA spent about $1 million on its Safe Cars Save Lives campaign, which sponsors advertisements on Google, Facebook, and other media platforms  For example, Google might place NHTSA’s advertisement above other search results, when a consumer typed certain keywords— such as “recall,” “airbag recalls,” or “safercar gov”—into the search  NHTSA evaluated the campaign’s effectiveness by monitoring website traffic performance reports to determine how frequently consumers clicked on NHTSA-sponsored advertisements and ultimately searched for open recalls using the agency’s look-up tools  NHTSA also compared results across media platforms and adjusted the campaign’s strategy to improve performance  For example, NHTSA optimized advertisements on mobile devices, since mobile-device users performed more recall searches than other users  According to NHTSA data, the awareness campaign resulted in consumers performing 1 1 million recall searches through March 2017—a cost of about $0 90 per search  Agency data indicate that this cost generally decreased as NHTSA improved the campaign’s strategy  Agency officials told us NHTSA plans to spend another approximately $1 8 million on Safe Cars Save Lives from September 2017 through September 2018 due to the campaign’s effectiveness in raising the public’s awareness about auto recalls

ground_truth: The Consolidated Appropriations Act, 2019 (P.L. 116-6), was signed into law on February 15, 2019. The act included a total of $647.0 million in funding for three trade-related agencies under the Commerce, Justice, Science and Related Agencies (CJS) account—the International Trade Administration (ITA), the U.S. International Trade Commission (USITC), and the office of the United States Trade Representative (USTR). This represents a 0.2% decrease from FY2018 appropriations. For FY2019, the Consolidated Appropriations Act, 2019, included $484.0 million in direct appropriations for ITA (a 0.4% increase from the FY2018 appropriation), $95.0 million in funding for USITC (a 1.4% increase), and a total of $68.0 million for USTR (a 0.2% decrease). The Administration's Request On February 12, 2018, the Trump Administration submitted its FY2019 budget request to Congress. The FY2019 proposal included a total of $590.8 million for the three CJS trade-related agencies, an 8.9% decrease from FY2018 total appropriated amounts for these agencies. The Administration requested reducing funding for all three trade-related agencies. For FY2019, the request included $440.1 million in direct funding for ITA (an 8.7% decrease from the FY2018 appropriation), $87.6 million for USITC (a 6.5% decrease), and $63.0 million for USTR (a 13.2% decrease). Congressional Actions In the spring of 2018, the House and Senate reported FY2019 CJS appropriations bills, which included proposed funding for ITA, USITC, and USTR. The reported bills did not adopt many of the Administration's budget reductions, and instead proposed funding levels that were more similar to the FY2018-enacted amounts. The House Committee on Appropriations reported H.R. 5952 on May 17, 2018. The House proposal recommended a total of $647.6 million for the three CJS trade-related agencies. This proposal was $56.8 million more (9.6%) than the Administration's request, and $0.7 million less (-0.1%) than the FY2018-enacted legislation. The House committee proposed $480.0 million in direct funding for ITA, $95.0 million for USTIC, and a total of $72.6 million for USTR, comprised of $57.6 million for salaries and expenses and an additional $15.0 million from the Trade Enforcement Trust Fund for trade enforcement activities as authorized by the Trade Facilitation and Trade Enforcement Act of 2015 (P.L. 114-125). The Senate Committee on Appropriations reported S. 3072 on June 14, 2018. The Senate committee-reported proposal recommended a total of $655.6 million for the three CJS trade-related agencies. This is $64.8 million (11.0%) more than the Administration's request and $7.3 million (1.1%) more than the FY2018-enacted appropriations. The Senate committee proposed $488.0 million in direct funding for ITA, $95 million for USITC, and a total of $72.6 million for USTR, comprised of $57.6 million for salaries and expenses and an additional $15.0 million from the Trade Enforcement Trust Fund for trade enforcement activities. After three continuing resolutions and a three-week lapse in funding, Congress passed the Consolidated Appropriations Act. 2019 (P.L. 116-6), which was signed into law on February 15, 2019. The act included a total of $647.0 million in funding for the three trade-related agencies, which represented a 0.2% decrease from FY2018 funding levels.

prompt_front: You are given two reports by the government agency.



Question: Write a one-page summary of the report 2.



Report 2:  NHTSA began implementing a mandated 2-year pilot grant program intended to evaluate the feasibility and effectiveness of informing consumers about open auto recalls during state vehicle registration  In September 2016, NHTSA solicited applications to participate in the program, wherein selected states would inform consumers—at no charge—about open recalls using all means that permit consumers to register vehicles within the state (e g , in person, Internet, and mail)  According to NHTSA, only one state applied for the grant  In September 2017, NHTSA awarded the sole applicant $223,000  Under the program, the grantee needs to collect and report program performance data, including the extent to which open recalls have been identified and repaired  In addition, the grantee must report whether certain notification means were more effective than others and what could be done to improve the program  Upon completion of the pilot program, NHTSA is required to evaluate the extent to which open recalls identified have been remedied  Auto manufacturers we met with were generally supportive of the program  Specifically, representatives from 9 of the 10 manufacturers told us that notifying consumers about open recalls during vehicle registration can raise consumer awareness or improve recall completion rates  In September 2016, NHTSA issued a Notice of Proposed Rulemaking (NPRM), which proposes to require auto manufacturers to notify consumers about open recalls by electronic means—such as e-mails, phone calls, and text messages, in addition to First-Class Mail  As we described earlier, auto manufacturers are currently required to notify consumers about safety recalls affecting their vehicles via First-Class Mail  According to NHTSA, the NPRM aims to aid in efficiently and effectively improving recall completion rates, by proposing that manufacturers provide notification using electronic means in addition to First-Class Mail  Consumers in our focus groups as well as auto manufacturers and consumer associations we interviewed generally supported additional notification using electronic means  Consumers in our focus groups: As we discussed earlier, 69 of the consumers in our focus group discussion sessions reported they would prefer to receive additional notification by at least one type of electronic means  However, only 7 consumers actually received such notifications—suggesting a gap between industry notification practices and notification preferences for these consumers  Auto manufacturers: Representatives from 9 of 10 manufacturers we interviewed told us they generally support providing notification using electronic means  Although the NPRM proposes a broad definition of electronic means to give manufacturers flexibility to determine the most effective means, these representatives also shared implementation concerns  For example, representatives from 1 of the 9 manufacturers told us that—although the company collects e- mail addresses from some customers for other purposes—not all customers provide e-mail addresses, and those collected are not always accurate  As we discussed previously, most manufacturers we met with currently use supplemental electronic means notification on a case-by-case basis  Consumer associations: Similarly, both consumer associations we interviewed told us additional electronic notification can help reach consumers who do not complete repairs after receiving initial mailed notification  NHTSA’s proposal would maintain manufacturer reporting requirements, though it may result in additional reporting  This additional information could help the agency evaluate the effectiveness of various means of consumer notification  We previously found that NHTSA may be able to use manufacturers’ data to identify what factors make some recalls more or less successful than others  We recommended that NHTSA use the recall data it collects to analyze particular patterns or trends that may characterize successful recalls and determine whether these factors represent best practices  If the NPRM is finalized, manufacturers would provide NHTSA with representative copies of the newly required electronic notifications, in addition to mailed notifications, and would specify the electronic means used, such as e-mail or text message  According to NHTSA officials, this information could allow the agency to track and evaluate the effectiveness of various notification means used by manufacturers by, for example, comparing completion rates across means—a key step in identifying best practices that could encourage consumers to complete repairs  However, it is too early for NHTSA to conduct such an evaluation, because the agency has not issued a final rule  NHTSA officials told us the agency is working with the administration on NHTSA’s regulatory portfolio and priorities, including this rulemaking  NHTSA has also taken steps to collaborate with industry stakeholders and explore consumer education best practices  For example, in April 2015 NHTSA hosted a day-long workshop that brought together auto industry stakeholders to examine public education of the recall process  During the workshop, participants identified current barriers to the public’s awareness of auto recalls and discussed potential solutions to address them, such as using text messages and social media to communicate with younger consumers and using different delivery methods for recall notices  Similarly, in January 2016 NHTSA and 18 auto manufacturers adopted a set of Proactive Safety Principles to explore and employ new ways to increase safety recall participation rates  For example, NHTSA and auto manufacturers agreed to share industry best practices and policies based on lessons learned from ongoing safety recalls  The Independent Monitor of Takata in conjunction with NHTSA has also issued a set of coordinated communications recommendations based on consumer research, best practices observed during the Takata recall, and discussions with manufacturers  For example, the recommendations encourage manufacturers to: pursue a “multi-touch” communications strategy that employs non- traditional means, such as e-mail and text messages; convey risk in clear, accurate and urgent terms; and include a clear “call to action” designed to facilitate prompt and efficient scheduling of repairs  According to NHTSA officials, the agency relies on auto manufacturers to evaluate the effectiveness of these efforts  However, agency officials told us NHTSA reviews manufacturers communication plans as part of the Takata recall’s Coordinated Remedy Program and provides ongoing recommendations on manufacturers’ communication language, approach, and strategies  With the recent steep increase in safety defect vehicle recalls and continued low recall completion rates, it is vital for consumers to be able to easily access and use publicly available auto recall information  NHTSA has taken important steps to improve its website—which provides safety recall information to consumers—resulting in most consumers in our focus groups finding the website easy to use  However, the difficulties some experienced in attempting to complete essential auto recall tasks demonstrated that NHTSA gov does not always reflect key website usability practices for website design  Although NHTSA plans to conduct a website usability study with consumers after consolidating its websites, it has not determined a completion date for this effort—an essential step for organizations to effectively guide their information technology efforts  Without such a date, the website usability difficulties may persist and limit the effectiveness of NHTSA gov in providing consumers with recall information about their vehicles  By addressing these difficulties in the interim, NHTSA can better assure that consumers obtain this information, which can be vital to their safety  We are making the following two recommendations to NHTSA: The Administrator of NHTSA should determine a completion date for the agency’s website consolidation effort  (Recommendation 1) The Administrator of NHTSA should, while the agency continues its website consolidation effort, take interim steps to improve the usability of the auto recall areas of NHTSA gov by addressing the website usability difficulties we identified  (Recommendation 2) We provided a draft of this report to DOT for review and comment  In its written comments, reproduced in appendix VI, DOT stated that it concurred with our recommendations  The department also provided technical comments, which we incorporated as appropriate  We are sending copies of this report to relevant congressional committees, the Secretary of Transportation, and the Administrator of NHTSA  In addition, the report is available at no charge on the GAO website at http://www gao gov  If you or your staff have any questions about this report, please contact me at (202) 512-2834 or flemings@gao gov  Contact points for our Offices of Congressional Relations and Public Affairs may be found on the last page of this report  GAO staff who made key contributions to this report are listed in appendix VII  This report examines the use of publicly available auto recall information for safety defects affecting passenger vehicles  The report addresses the following objectives: (1) How do consumers and industry stakeholders use publicly available auto recall information? (2) How easy or difficult to use do consumers find the auto recall areas of NHTSA gov? (3) What steps, if any, has the National Highway Traffic Safety Administration (NHTSA) taken to raise consumer awareness about auto recalls and how has NHTSA evaluated the effectiveness of these steps? We define publicly available auto recall information to include information on the auto recall areas of NHTSA gov, such as examples of notification letters that manufacturers mail to consumers  This report focuses on safety defect vehicle recalls affecting passenger vehicles that are initiated when a defect in a vehicle or vehicle equipment creates an unreasonable safety risk, as determined by NHTSA or a manufacturer  To determine how consumers use publicly available auto recall information, we conducted and analyzed transcripts and questionnaires from 12 consumer focus groups we conducted with used and new vehicle owners who had experienced an auto recall in the last 24 months  Each focus group was split into two sessions: (1) a discussion session to explore participants’ thoughts, experiences, and preferences about auto recall information and (2) a website usability testing session  Also, we administered a questionnaire as part of each of these sessions  For the discussion session, we asked consumers about the recall notification process and how they used the recall information, and for the website usability testing session, we asked consumers to fill in a questionnaire during the session itself as they assessed the usability of the auto recall areas of NHTSA’s website  We conducted the 12 focus groups at six locations across the country, with each group including 7 or 8 consumers for a total of 94 participants  Half of the focus groups were comprised of consumers who had completed the repair and the remaining half included consumers who had not completed the repair  We selected the six focus group locations to provide population and geographic dispersion  To ensure geographic dispersion, we selected at least one location in each U S  Census region (see table 3)  To ensure population dispersion, we selected Metropolitan Statistical Areas representing a range of population sizes based on 2015 U S  Census estimates  To ensure our selection included the perspectives of vehicle owners in geographically distant or isolated communities, we also selected a rural location, which we defined as a city or town that has a population of less than 50,000 inhabitants and is not an urbanized area contiguous and adjacent to a city or town that has a population of greater than 50,000 inhabitants  Using information provided by the participants, we selected focus group participants based on age, income, gender, education level, race, and ethnicity to ensure we collected a range of perspectives on auto recall information use  However, since we did not select a representative sample of participants, focus group results are not generalizable to all vehicle owners  During focus group discussion sessions, we asked participants to discuss factors they considered when deciding whether to repair their recalled vehicle and then to select the single most influential factor  Each of the 12 focus group sessions was audio recorded and transcriptions were created; transcripts served as the record for each group  We then evaluated those transcripts using systematic content analysis to identify the factors consumers considered when deciding whether to complete repairs and any suggested improvements to the auto recall communication process  The analysis was conducted in three steps  First, two analysts independently developed a code framework and then worked together to resolve any discrepancies  Second, each transcript was coded independently by analysts using the framework and any discrepancies were resolved by both analysts agreeing on the coding of the associated statement by a participant  Third, if needed, another analyst adjudicated any continued disagreement between coders  Because the transcripts did not include a unique identifier for each focus group participant, we conducted our analysis of focus group session discussions at the group level (i e , of the 12 focus groups we conducted)  We also administered and analyzed a questionnaire as part of each discussion session to quantify responses regarding consumers’ use of auto recall information, including how they received and preferred to receive auto recall notifications  Our analysis of the questionnaire responses was conducted at the individual consumer level (i e , of the 94 consumers who participated)  These focus group sessions were structured, guided by a moderator who used a standardized list of questions to encourage participants to share their thoughts, experiences, and preferences  We also conducted two pretest focus groups at our headquarters and made some revisions to the focus group guide prior to beginning the sessions with consumers  Methodologically, focus groups are not designed to demonstrate the extent of a problem or to generalize results to a larger population or provide statistically representative samples or reliable quantitative estimates  Instead, they are intended to generate in-depth information about the reasons for the focus group participants’ thoughts, experiences, and preferences on specific topics  The projectability of the information produced by our focus group sessions is limited  For example, the information includes only the responses from the vehicle owners from the 12 selected groups and their individual responses to questions we asked  The experiences and preferences expressed may not reflect other vehicle owners’ thoughts and preferences  In addition, while the composition of the groups was designed to ensure a range of age and education levels, among the other criteria mentioned previously, the groups were not constructed using a random sampling method  To determine how industry stakeholders use auto recall information, we interviewed selected auto manufacturers, selected franchised and independent auto dealerships, NHTSA program officials, and other industry stakeholders  Specifically, we interviewed representatives from the following 10 auto manufacturers, selected based on each manufacturer’s sales market share (small, medium, and large), place of ownership (foreign and domestic), and experience with auto recalls (lower to higher based on the average annual number of auto recall campaigns and average market share of each manufacturer from 2010 to 2014) to collect a range of perspectives on how manufacturers use auto recall information: Tesla Motors, Inc  To understand the perspective of auto dealers, we interviewed four franchised dealerships, one in each of the four U S  Census regions where we conducted focus groups with consumers  We also interviewed three independent auto dealerships in two U S  Census regions  The results of these interviews are not generalizable to all auto manufacturers and dealerships, but provide insights about how some industry stakeholders use auto recall information  We conducted interviews with NHTSA program officials to understand NHTSA’s role in the auto recall process  In addition, we interviewed other stakeholders, including the Independent Monitor of Takata, which assists NHTSA in overseeing the Takata recall, as well as officials from consumer associations and other industry groups (see table 4)  To evaluate how easy or difficult consumers find the auto recall areas of NHTSA gov to use, we reviewed various website usability resources to understand federal and industry key website usability practices for making websites easy to use, such as focusing on design and how easily users can find information  In addition, we reviewed federal standards for internal control related to communicating quality information externally  During our usability testing sessions, we asked consumers to attempt to complete auto recall tasks—the primary means NHTSA gov provides for consumers to access information about auto recalls affecting their vehicles—and discuss their experiences  We then compared consumers’ experiences with the usability of the website against these practices  To identify key website usability practices, we analyzed guidance documents from NHTSA and other federal agencies  For example, we analyzed the General Services Administration’s (GSA) and the Department of Health and Human Services’ Research-Based Web Design & Usability Guidelines, which includes quantified, peer-reviewed guidelines intended to help federal agencies improve the design and usability of their information-based websites  We also analyzed GSA’s Requirements for Federal Websites and Digital Services, and the U S  Digital Services Playbook to identify key practices for making websites easy to use  Identified key practices are: (1) design and content— focusing on the layout, headers, and design; (2) navigation—how easily users can find information; (3) clarity—the ability to read and digest content; (4) identity and purpose—whether the site clearly presents its purpose; and (5) accessibility—the ability of people with physical or mental disabilities to use the site  To analyze the results of focus group website testing sessions, we performed a systematic content analysis of the session transcripts using the same content analysis methods described above and an analysis of the questionnaire we administered to each participant during the website usability sessions  Specifically, we analyzed the transcripts from the website usability testing sessions to account for consumers’ experiences, including their initial impressions of the website and any suggested usability improvements  We also analyzed the results of the questionnaire that each participant completed where participants were asked to mark responses regarding their experience including an assessment of the usability of the auto recall areas of NHTSA gov  Our analysis of the results from the questionnaire responses was conducted at the individual consumer level (i e , of the 94 consumers who participated) while our analysis of focus group session discussions was conducted at the group level (i e , of the 12 focus groups we conducted)  To corroborate the results of usability testing sessions we conducted with the consumers in our focus groups, we requested that five website usability professionals from GSA’s Federal User Experience Community conduct an independent evaluation of the auto recall areas of NHTSA gov against federal and industry key website usability practices (described above)  The website usability professionals developed a website usability evaluation form, which they used to individually evaluate the auto recall areas of NHTSA’s website  The website usability professionals then met to form a consensus and provided us with one final group evaluation of the website usability of the auto recall areas of NHTSA gov  Also, although neither our usability testing nor the website usability evaluation conducted by website usability professionals directly addressed accessibility, we interviewed responsible agency officials about how the agency assesses the accessibility of NHTSA gov  We also requested and analyzed website data provided by NHTSA to understand how consumers access and use NHTSA gov  Requested data included the number of subscribers to NHTSA’s Recall Notification E-mail System Sign-up; the number of weekly vehicle identification number (VIN) searches performed on NHTSA gov from August 2014 through May 2017; and NHTSA gov usage data by device (i e , usage by mobile devices, tablets, and desktop computers)  We assessed the reliability of these data by reviewing any supporting documents provided by the agency and interviewing responsible NHTSA officials, and concluded the data were sufficiently reliable for our reporting purposes  While we did not independently review the usability of auto manufacturers’ auto recall websites, we requested and reviewed the results of any audits that NHTSA performed of these websites, including whether the websites met statutory and regulatory requirements for providing auto recall information to the public  We then corroborated any audit findings by reviewing the auto recall websites of the selected auto manufacturers that we interviewed  To determine any steps NHTSA has taken to raise consumer awareness about auto recalls and how NHTSA evaluates the effectiveness of any steps, we reviewed relevant statutes, regulations, and proposed rules, including the Fixing America’s Surface Transportation Act and a Notice of Proposed Rulemaking related to recall notification methods  We also reviewed agency and other documents that describe or evaluate NHTSA’s public awareness activities  For example, we analyzed NHTSA’s strategic planning documents—such as NHTSA’s Strategic Plan 2016–2020—to identify ongoing public awareness activities along with their related goals, objectives, or performance metrics  Similarly, we requested and analyzed any documents NHTSA uses to evaluate the effectiveness of its public awareness activities, including performance reports for NHTSA’s ongoing Safe Cars Save Lives campaign  To assess the reliability of data included in these performance reports— such as VIN searches performed—we reviewed agency documentation and interviewed agency officials about the reliability, accuracy, and completeness of the data and determined the data were sufficiently reliable for our reporting purposes  We reviewed performance management practices as provided in the Government Performance and Results Act of 1993 (GPRA), the GPRA Modernization Act of 2010, and standards for internal control in the federal government to identify any opportunities for improvement  We also performed a literature review to identify any related published articles and research studies  To understand how NHTSA implements and evaluates any public awareness activities, we also interviewed responsible agency officials from NHTSA’s Office of Communications and Consumer Information and other offices  In addition, we discussed NHTSA’s public awareness efforts during interviews with industry stakeholders, including selected auto manufacturers, selected franchised and independent auto dealerships, and other industry stakeholders  We analyzed the results of these interviews along with the focus group discussions we conducted with consumers (discussed above) to identify perspectives on the effectiveness of NHTSA’s public awareness steps  We conducted this performance audit from October 2016 to December 2017 in accordance with generally accepted government auditing standards  Those standards require that we plan and perform the audit to obtain sufficient, appropriate evidence to provide a reasonable basis for our findings and conclusions based on our audit objectives  We believe that the evidence obtained provides a reasonable basis for our findings and conclusions based on our audit objectives  The National Highway Traffic Safety Administration (NHTSA) is required to conduct a biennial analysis of vehicle safety recall completion rates and submit the results of its analysis in a report to certain congressional committees  The report must include, among other things, the annual recall completion rate by vehicle type and vehicle component (such as brakes, fuel systems, and air bags) for each of the 5 years preceding the year the report is submitted  According to NHTSA’s May 2017 report, completion rates for all vehicles combined ranged between 63 percent and 67 percent between calendar year 2011 and calendar year 2014 (see table 5)  However, NHTSA reported wider variation when the recall completion rates are broken down by vehicle type  Similarly, the report found that completion rates for most component categories fall within a range of 60 percent to 75 percent (see table 6)  The annual completion rate is a volume-based, weighted metric, such that the more vehicles affected by the recall, the more weight or influence it has on the computed rate  Focus group participants responded to a questionnaire we administered to collect information on consumers’ auto recall notification preferences during our discussion sessions  Table 7 shows participants’ responses to the administered questionnaire, by age group  We present these responses by age group, because consumers’ notification preferences may vary according to their ages  Focus group participants responded to a questionnaire we administered to collect information on the usability of NHTSA gov during our usability testing sessions  Table 8 shows focus group participants’ responses to the administered questionnaire, by age group  We present these responses by age group, because consumers’ website usability needs or preferences may vary according to their ages  In addition to the individual named above, H  Brandon Haller (Assistant Director); Katherine Blair; Jason Blake; Melissa Bodeau; Alicia Cackley; William Colwell (Analyst in Charge); Lacey Coppage; Elizabeth Dretsch; Jaci Evans; Marcia Fernandez; Sarah Kaczmarek; Malika Rice; Todd Schartung; and Andrew Stavisky made key contributions to this report 
Report 2:  FRA and FTA’s approaches to their rail safety oversight missions each have strengths and limitations, including how the agencies develop safety regulations, conduct inspections, and carry out enforcement  Compared to FRA’s long-standing role in providing safety oversight over railroads, FTA is in the process of implementing significant changes to its program for rail transit safety oversight after being granted new authorities in MAP- 21 and the FAST Act  With respect to regulations, FRA’s extensive and well-established safety regulations are a strength  FTA has made some progress toward developing appropriate safety regulations, such as identifying subjects for potential regulatory action  With respect to inspections, FRA’s use of a risk-based approach to distributing inspection resources is a strength  FTA has sought to address previously identified deficiencies in state safety oversight by recommending that state safety agencies develop risk-based inspection programs  FTA, though, has not provided states guidance for these efforts  With respect to enforcement, FRA’s use of its enforcement authorities is a strength  FTA is also implementing new statutory requirements that state safety agencies have enforcement authorities but does not have a process or methodology to evaluate the effectiveness of these enforcement practices  Extensive and well-established safety regulations are a strength of FRA’s safety oversight program based on studies we reviewed and discussions with rail operators and stakeholder organizations  According to NTSB, FRA’s railroad safety regulations are an important and effective part of its oversight program  Our previous work reported that according to stakeholders, the Railroad Safety Advisory Committee provides a collaborative environment where stakeholders in the rail community work with FRA to identify issues and proposals for safety standards and regulations that improved the quality of railroads’ safety initiatives and fostered a greater level of compliance with safety regulations  This is consistent with views of stakeholders we spoke with, who characterized FRA’s safety regulations as a strength  An industry association told us that FRA’s regulations promote safety by helping to ensure that no operator falls below a minimum threshold for safe operations, while a rail operator told us that federal regulations help to standardize the operating environment and prevent a patchwork of various state regulations  Four stakeholders also characterized the Railroad Safety Advisory Committee, which plays a large role in crafting FRA’s railroad safety regulations, as effective and inclusive  However, based on studies we reviewed and discussions with rail operators’ and stakeholders’ organizations, FRA faces limitations in its efforts to regulate safety across railroad systems that differ from one another and sometimes change more quickly than the federal regulatory process  Five railroad operators and an industry association told us that some of FRA’s safety regulations do not account for differences in railroads or innovation in safety practices, with three railroad operators stating that this approach requires the extensive use of waivers for particular regulations  Further, two railroad operators and a rail transit operator we spoke with stated that additional federal regulations are needed to provide minimum baseline requirements in specific areas of railroad safety such as medical fitness for duty  In 2014, NTSB also found that FRA needs to do more to regulate particular safety issues including medical fitness for duty and signal protection  FRA officials acknowledged that time and resources are two of the primary challenges that the agency faces when developing safety regulations but also noted additional ways in which the agency can require railroads to adopt safety practices  FRA officials described the process of creating or significantly amending a regulation as involving years of work, even before the agency commences with the process of drafting a rule  The officials also noted that the agency has additional tools to compel railroads to adopt safety practices  For example, FRA officials discussed the use of compliance agreements, in which railroads can have fines reduced in exchange for adopting safety measures that go beyond what FRA regulations require  FRA officials are considering the use of performance-based regulations as they update their safety regulations  As noted above, FRA’s proposed regulations regarding passenger equipment safety incorporates performance -based safety requirements, rather than explicit safety targets or tolerances  FRA has promulgated performance-based regulations about the implementation of positive train control, a communications-based system designed to prevent certain types of train accidents, as well as system safety programs that set general safety parameters and thresholds by which successful performance is governed  FRA’s consideration of performance-based regulations is in line with federal guidance  OMB’s Circular A-4 states that performance standards “are generally superior to engineering or design standards because performance standards give the regulated parties the flexibility to achieve regulatory objectives in the most cost-effective way ” Additionally, under Executive Order 12866, agencies should (to the extent permitted by law and where applicable) identify and assess alternative forms of regulation and specify performance objectives, rather than specifying the behavior or manner of compliance that regulated entities must adopt  However, as the language of OMB’s Circular A-4 and Executive Order 12866 suggest that performance-based regulations are not always feasible, studies of performance-based regulations find that as with any other form of regulation, performance-based standards have trade-offs  FRA officials told us that under certain circumstances, performance- based regulations are appropriate for issues regarding design, maintenance, operation, and technology-driven safety requirements  FRA officials we spoke with did not think performance-based standards are appropriate for areas that require standardization  One example is track safety standards, where the need for different operators to use the same equipment precludes a performance-based approach that allows railroads to meet requirements through different means  FRA officials added that a key aspect of the success of performance-based regulations concerns how railroads demonstrate compliance  This concern is consistent with other studies of performance-based regulations, which find that these regulations are most appropriate when regulators have capacity to measure and monitor performance  Though FTA has made progress assessing the state of rail transit safety standards, a limitation of FTA’s rail transit safety oversight program is the lack of federal rail transit safety regulations, which may contribute to inconsistent safety practices across the rail transit industry, according to studies we reviewed and discussions with rail operators and stakeholder organizations  NTSB reported that the structure of FTA’s oversight process leads to inconsistent practices, inadequate standards, and marginal effectiveness  In addition, a 2016 DOT OIG report found that because FTA’s safety standards are voluntary, they are unenforceable  In 2012, FTA gained the authority to issue safety regulations, though it has not done so yet, and NTSB and other stakeholders we spoke with indicated that the lack of such federal safety regulations is a weakness in federal rail transit safety oversight  Despite differences across rail transit systems, there is value in establishing federal rail transit safety regulations, according to stakeholders from all categories of those we interviewed, including a state safety agency, three rail transit operators, a railroad operator, and two industry associations  Some stakeholders identified specific areas that would benefit from federal rail transit regulations  For example, two rail transit agencies called for federal regulations to address operator fatigue  Some of these officials stated that federal rail transit safety regulations could help ensure safety by establishing clear and consistent minimum standards  Officials from a rail transit entity and an industry association stated that voluntary standards are not enough to ensure that transit entities will adopt appropriate safety measures  According to our analysis, a past study, and stakeholders we spoke with, FTA’s ability to develop and implement performance-based regulations is limited by its lack of capacity to collect and analyze rail safety performance data  In 2017, DOT OIG found that data limitations of FTA’s National Transit Database results in limited safety performance criteria in FTA’s National Public Transportation Safety Plan  Further, two rail transit entities as well as a state safety agency we spoke with stated that they face challenges in analyzing data due to either the size of their systems or their capacity  FTA officials told us that they need more data to inform their decisions regarding whether to establish rail transit safety regulations, and also added that a limitation to their ongoing assessment of potential areas for rail transit safety regulation is the concern about public disclosure of safety data provided to FTA and its potential use in private litigation  According to FTA officials, they need more information to do a comprehensive evaluation of efficacy of current safety standards and practices  As required by the FAST Act, FTA has entered into an agreement with the National Academies of Sciences, Engineering, and Medicine, to conduct a study to evaluate whether it is in the public interest to withhold from federal or state court proceedings any information collected by DOT through its public transportation safety program oversight activities  The National Academies of Sciences is expected to complete this study in 2018  FTA is taking positive steps toward developing safety regulations that may address inconsistent safety practices across rail transit operators  FTA officials stated that the agency is considering issuing rail transit safety regulations and also employs additional tools to compel rail transit entities to adopt safety measures  As noted above, FTA is currently studying whether federal regulations are appropriate for specific areas of rail transit safety  Executive Order 12866 and OMB’s Circular A-4 direct federal agencies to consider performance-based regulations when developing regulations  Further, as the Transportation Research Board recently reported, any decision to use performance-based regulations “must take into account the regulator’s own ability to enforce and motivate compliance (through methods such as auditing and field inspections) as well as the capacity of regulated entities to meet their obligations ” FTA officials noted that they are actively engaged with members of the Transportation Research Board in reviewing and discussing these recent findings related to safety regulations for high-hazards industries  In January 2017, FTA issued its National Public Transportation Safety Plan, which FTA officials noted is one component of their transit safety standard development program  According to FTA officials, the plan identifies a list of issue areas that the agency is currently studying to determine whether national regulations are needed  FTA officials also stated that the plan includes “voluntary standards,” which are intended to put the industry “on notice” that federal safety regulations may be proposed in those areas  FTA officials stated that they view the National Public Transportation Safety Plan as iterative and more easily updated compared with official regulations  Additional tools that FTA officials stated the agency employs in its approach to safety oversight include general directives as well as the requirements associated with FTA grants  Based on our assessment and studies we reviewed, a strength of FRA’s safety oversight program is its risk-based approach to distributing inspection resources, which may serve as an example for FTA and state safety agencies  According to NTSB, FRA’s qualified inspectors are a strength of its oversight program  To help target these inspectors to the areas of highest risk, FRA developed the National Inspection Plan, which includes a quantitative model for allocating inspection resources in a way that tries to minimize railroad accidents  This model utilizes data including: (1) accident and incident data that railroads are required to report, (2) data from FRA inspection activity, and (3) information on railroad activities such as train miles and other data  Based on our assessment of FRA’s model, we believe that it can be an appropriate and useful tool for directing its inspection resources based on risk because it relies on statistical methods commonly used to predict the risk of a violation for regulated entities  While we did not review FRA’s entire modeling process, nor did we validate the results it generates, we do believe that FRA’s approach to using these statistical models as a key part of its inspection program is appropriate  However, a potential limitation of FRA’s inspection program is the flexibility granted to individual inspectors and whether the manner and extent to which inspectors implement this discretion may be inconsistent with the risk-based National Inspection Plan  FRA’s National Inspection Plan provides guidance for inspectors about how much time they should spend inspecting individual railroads  According to FRA officials, FRA inspectors have considerable flexibility to deviate from the National Inspection Plan based on their judgment regarding where to more effectively use their resources  FRA officials stated that situations arise that call for deviations in planned inspections  For example, a particular railroad may experience a serious accident and therefore require more oversight from FRA  According to FRA officials, regional offices make these decisions based on their understanding of emerging issues  Inspectors are expected to know their region and decide which locations to go to, and are in part evaluated based on these decisions  When a region’s record of total inspection time spent on a particular railroad differs from the National Inspection Plan by more than 5 percent, the region’s leadership submits an explanation to FRA’s Office of Railroad Safety  This practice, if not monitored, could allow inspectors to deviate from the data-driven model results in ways that undermine the goal of the National Inspection Plan to deploy FRA’s limited resources efficiently and based on risk  However, FRA officials told us that flexibility for individual inspectors is important, and that FRA is continuously monitoring the model’s performance and making changes as appropriate  Further, OECD’s Best Practice Principles for Regulatory Policy note that it is important to ensure “that sufficient flexibility is left to enforcement and inspection officials to adapt their response in proportion to the facts on the ground ” A strength of FTA’s approach to rail transit safety oversight is that it is working to overcome weaknesses in state oversight of rail transit identified in our prior work and stakeholders we spoke with  For example, FTA has noted that in the past some state safety agencies lacked sufficient oversight authorities  To now be certified by FTA, state safety agencies must demonstrate that they have authority to review, approve and oversee the implementation of rail transit operator’s safety plans  Additionally, we have found, and FTA has also noted, that some state safety agencies would benefit from more training and additional staff  To now be certified by FTA, state safety agencies must be capable of directly hiring and developing staff and contract support, as well as have a training plan for certain staff  Though FTA is seeking to implement stronger safety oversight activities, a limitation of its program is that state safety agencies have not received the guidance and support necessary to develop effective inspection programs  FTA does not currently plan to conduct widespread inspections itself and recommends that state safety agencies develop risk-based inspection programs  According to FTA, states have discretion to establish their inspection programs in accordance with their program standards, and are not required to actually conduct inspections as the method of verifying rail transit operators’ compliance with safety rules  However, direct observation, audits, and performance indicator tracking are useful methods for an oversight agency in assessing a regulated entity’s safety culture  Officials we spoke with from selected state safety agencies say that they have received little guidance from FTA on what their risk-based inspection programs should look like  In the materials FTA provided to states, it said that it intends to provide guidance to states on risk-based inspections but did not provide us with a plan or timeline for doing so  Without guidance from FTA, state safety agencies may not develop effective risk-based inspection programs and thus not use their resources efficiently  Effective risk-based inspection programs are particularly important given state safety agencies’ limited resources  We have reported in the past that some state safety agencies lack sufficient resources, including training and staff  Officials from two rail transit operators and all four industry associations we spoke with stated that state safety agencies continue to have limited resources and capacity  Several state safety agencies we spoke with rely on contractors or employees with other responsibilities besides oversight of rail transit to meet their increased oversight responsibilities and achieve certification from FTA  Federal standards for internal control as well as leading practices for regulatory inspections state that agency objectives, including those related to inspections and enforcement, should be clearly communicated  Specifically, federal standards for internal control require that management communicate the necessary quality information to achieve the agency’s objectives  Additionally, the OECD’s Best Practice Principles for Regulatory Policy recommends that governments ensure clarity of rules and processes for enforcement and inspections and clearly articulate rights and obligations of officials  According to OECD, the frequency of inspections and the resources employed should be proportional to the level of risk  A strength of FRA’s safety oversight program is that the agency has and utilizes clear enforcement authority, according to NTSB and stakeholders we spoke with  As previously discussed, FRA has several enforcement tools available when inspectors find that railroads are noncompliant with applicable regulations, including civil penalties, individual liability, compliance orders, and emergency orders  According to NTSB, this array of specific enforcement tools helps ensure safety deficiencies are addressed by railroads  FRA officials also told us that the process of adjudicating civil penalties provides a forum for FRA and railroad officials to meet to discuss safety issues  Four rail operators also told us that FRA’s authority to issue civil penalties is necessary to ensure railroads’ compliance with regulations  However, a potential limitation of FRA’s approach to enforcement is that it is difficult to quantify the effectiveness of FRA’s civil penalties  FRA has reported that it cannot determine whether observable safety improvements are directly attributable to discrete civil penalties or whether the amount of civil penalties has any effect on safety  We have reported in the past about the challenges of determining the effect of penalties on compliance in tax policy, though we also noted that, despite these challenges, some analyses likely would be useful for better understanding the effect of penalties on compliance  FRA also reported, though, that according to the judgments of its inspectors, issuing civil penalties yields observable improvements in safety practices and compliance with the law  Further, according to FRA, though it does not quantify the impact of civil penalties, FRA monitors railroad responses to its enforcement activity and adjusts its oversight as necessary  More broadly, civil penalties are not meant, by themselves, to ensure railroad safety  Instead, FRA reported that it uses its entire regulatory regime as a whole to try and ensure safety  FRA officials also noted that the agency has additional tools, apart from civil penalties, to compel railroads to adopt safety practices  A strength of FTA’s rail transit safety oversight is that it seeks to improve historically weak state safety agency enforcement authorities, as described in our previous report as well stakeholders we spoke with  FTA requires state safety agencies to adopt enforcement authorities that are sufficient to enable states to compel action from rail transit agencies to address identified deficiencies  FTA has also communicated to states that it is focusing its evaluation of each state’s enforcement authorities in two major areas: ensuring that the state can carry out its primary responsibility for rail transit safety in response to (1) an imminent threat to public safety on the rail transit system and (2) a lack of action or non- compliance from the rail transit operator in carrying out certain safety plans  FTA has provided states with examples of the enforcement authorities and policies state safety agencies could establish to address these specific concerns  Authorities to address imminent safety threats may include the authority to suspend rail transit agencies’ operations, inspect and remove deficient equipment or system infrastructure from service, or issue an order requiring the rail transit agency to correct an unsafe condition prior to placing equipment or infrastructure back into passenger service  FTA has also provided state safety agencies with examples of authorities to address a lack of action or cooperation by the rail transit operator, including the authority to withhold or redirect funds, levy civil or criminal fines or penalties, and a formal citation or ticketing program  Though federal law requires that state safety agencies have enforcement authorities over the safety of the rail transit entities they oversee, a limitation of FTA’s approach is that FTA has not developed a method to evaluate the effectiveness of states’ enforcement practices  Certified state safety agencies will be evaluated for continued compliance with FTA regulations every 3 years  This triennial review process (for rail transit safety) seeks to ensure that states are effectively carrying out their responsibilities  While FTA officials told us that they will evaluate state safety agencies’ enforcement during the triennial reviews, FTA has not developed a process or methodology to evaluate whether state enforcement authorities and practices as a whole are effective  Without a method for determining the effectiveness of state safety agencies’ enforcement, FTA may not have the information needed to identify ineffective safety enforcement  As a result, deficiencies may remain for long periods of time, potentially contributing to safety incidents  Federal standards for internal control maintain that agency managers should perform a range of practices that would facilitate the establishment of a system to monitor the effectiveness of agency activities, which in the context of FTA’s mission includes the effectiveness of its rail transit safety oversight  Agency managers should define objectives clearly to enable the identification of risks, establish activities to monitor performance measures and indicators, and externally communicate the necessary quality information to achieve the entity’s objectives  Internal control standards further stipulate that agency managers should perform monitoring activities regarding their internal control system and evaluate the results  To do so, federal standards for internal control state that agency managers should monitor ongoing operations and effectiveness, evaluate the results of this monitoring, and identify any changes that need to be made to achieve improvement in agency operations  The effectiveness of state safety agency enforcement is especially important because questions have been raised about the efficacy of FTA’s own enforcement mechanisms, including its ability to withhold funds from and assume direct control over safety oversight for a rail transit entity  Rail transit operators and industry association representatives we spoke with stated that FTA’s authority to withhold funding from states is overly punitive, and two stakeholders said the FTA needs more precise tools  Officials from an industry association added that withholding funds can be counterproductive, as most state safety agencies are already underfunded and understaffed  FTA officials pointed to examples in which the agency successfully supported state safety agencies in compelling action from rail transit agencies as evidence that the state safety oversight model, in which FTA backs up state safety agencies, is effective  Additionally, officials from numerous state safety agencies and others questioned whether FTA has the capacity to effectively assume direct safety oversight of rail transit operators  FTA has not assumed direct safety oversight of any rail transit operators outside of WMATA, and FTA officials noted that they intend to continue supporting state safety agencies in their oversight wherever possible  The approaches to rail safety oversight utilized by FRA and FTA each have strengths and limitations  However, FTA’s program is currently in transition as the agency implements new authorities and responsibilities provided in federal law  Though FTA has made progress by evaluating existing rail transit safety standards and providing some guidance to states as part of the certification process, limitations in FTA’s approach may still hinder the success of the state-based rail transit safety oversight program  Given the looming 2019 deadline for state safety oversight programs to achieve FTA certification, FTA can improve its efforts to implement its new rail transit safety oversight program  In particular, without guidance from FTA on how to develop and carry out risk-based inspection programs, state safety agencies may not use limited resources efficiently, risking that important safety issues will go undetected  Further, without a method for how it will monitor the effectiveness of states safety agencies’ enforcement, FTA will lack the information needed to identify ineffective state enforcement, which risks allowing safety deficiencies to remain for long periods of time  By providing this additional guidance and direction to the state safety agencies, FTA would help ensure that states are able to effectively identify and resolve rail transit safety issues  We are making the following two recommendations to FTA: The Office of Transit Safety and Oversight should create a plan, with a timeline, for developing guidance for state safety agencies about how to develop and implement a risk-based inspection program  (Recommendation 1) The Office of Transit Safety and Oversight should develop and communicate a method for how it will monitor the effectiveness of the enforcement authorities and practices of state safety agencies  (Recommendation 2) We provided a draft copy of this report to DOT, NTSB, and WMATA for review and comment  In written comments, reproduced in appendix I, DOT agreed with both our recommendations  DOT also provided technical comments, which we incorporated as appropriate  In e-mails, NTSB and WMATA provided technical comments, which we incorporated as appropriate  NTSB noted that we do not discuss the role of system safety initiatives, such as safety management systems, in the FRA and FTA rail safety oversight programs  We agree with NTSB that system safety concepts are increasingly influencing the FRA and FTA approaches to rail safety oversight but, as NTSB also noted, both FRA and FTA lack finalized regulations codifying their approaches to system safety initiatives  Because the extent of rail entities’ implementation of these initiatives varies and is not complete we did not include an assessment of the strengths and limitations of those initiatives in our scope  As agreed with your offices, unless you publicly announce the contents of this report earlier, we plan no further distribution until 30 days from the report date  At that time, we will send copies to the Secretary of Transportation, Chairman of NTSB, General Manager of WMATA, and the appropriate congressional committees  In addition, the report will be available at no charge on GAO’s website at http://www gao gov  If you or your staff have any questions about this report, please contact me at (202) 512-2834 or goldsteinm@gao gov  Contact points for our Offices of Congressional Relations and Public Affairs may be found on the last page of this report  Individuals who made key contributions to this report are listed in appendix II  In addition to the contact named above, Steve Cohen (Assistant Director); Kyle Browning (Analyst in Charge); Melissa Bodeau; Lacey Coppage; Serena Lo; Sean Miskell; and Josh Ormond made key contributions to this report 

ground_truth: The number of vehicles affected by safety defect recalls increased sharply in recent years—from nearly 13 million in 2011 to over 51 million in 2016. Once a defect is identified, auto manufacturers are required to send written notification to vehicle owners by mail. NHTSA also aims to enhance awareness of auto recalls by providing information on its website, NHTSA.gov . The Fixing America's Surface Transportation Act includes a provision requiring GAO to study the use of publicly available safety recall information. This report addresses: (1) how consumers and industry stakeholders use such information and (2) how easy to use do consumers find the auto recall areas of NHTSA.gov, among other objectives. To understand consumers' use of auto recall information and to test website usability, GAO conducted 12 focus groups with 94 consumers who had a recall. Focus groups were held in six locations selected for population and geographic variation. GAO identified key website usability practices and requested an evaluation by website usability professionals. GAO reviewed statutes, regulations, and NHTSA documents, and interviewed industry stakeholders—including 10 manufacturers selected based on sales market share and other factors. Consumers, manufacturers, and auto dealers use publicly available auto recall information differently. For example, the 94 consumers in 12 focus groups that GAO conducted used this information to decide whether to repair their vehicles. These consumers overwhelmingly cited safety risk and convenience as the two most influential factors they considered. Most consumers reported a preference for receiving recall notification by at least one electronic means, such as by e-mail or text message, in addition to mail. However, only 7 of 94 consumers reported receiving electronic notifications, suggesting a gap between the industry's auto recall notification practices and consumers' preferences. (See fig.). In response to a mandate in law, in September 2016, the National Highway Traffic Safety Administration (NHTSA) issued a proposed rule that, if finalized, would require manufacturers to notify consumers about auto recalls by electronic means in addition to mail. Most consumers in GAO's focus group website usability tests found the auto recall areas of NHTSA's website—NHTSA.gov—easy to use; however, some consumers experienced difficulties when asked to complete auto recall related tasks. For example, when consumers attempted to search for recalls affecting their specific vehicles, some found the search results confusing, leading them to question the accuracy of the results. Similarly, some consumers were hampered in searching for recalls by their vehicles' year, make, and model because the website did not always display model options using plain language. GAO found that the auto recall areas of NHTSA.gov do not always reflect federal and industry key website usability practices, and that an independent evaluation conducted by website usability professionals at GAO's request identified similar issues. NHTSA is in the process of consolidating its websites and plans to conduct a website usability study of NHTSA.gov with consumers after the consolidation is complete. However, the agency has not determined a completion date for the consolidation effort—an essential step for organizations to effectively guide their information technology efforts. Without establishing a completion date and taking interim steps to improve the usability of NHTSA.gov, consumers will likely continue to experience difficulties, which may limit the effectiveness of the website's primary means of providing consumers with information about recalls affecting their vehicles. GAO recommends that NHTSA determine a completion date for its website consolidation effort and take interim steps to improve the usability of NHTSA.gov by addressing the website usability difficulties GAO identified. The Department of Transportation concurred with the recommendations.