Department of Education

SALARIES AND EXPENSES OVERVIEW

Fiscal Year 2021 Budget Request

CONTENTS

Page

Introduction............................................................................................................................. X-1

FY 2021 Budget Request........................................................................................................ X-2

Participation in Governmentwide E-Government Initiatives ..................................................... X-8

Budget Authority by Account................................................................................................. X-10

Budget Authority by Object Classification.............................................................................. X-11

Full-Time Equivalent (FTE) Employment (Staff Years) by Account........................................ X-12

Full-Time Equivalent (FTE) Employment by Office................................................................ X-13

Detail of Full-time Equivalent (FTE) Employment................................................................. X-14

Organization Chart................................................................................................................ X-15

Locations of Major Administrative Contracts and Current Contractors................................... X-16

Report on the Budget Formulation and Execution Line of Business ...................................... X-17

GAO-IG Act – Table of Open Recommendations.................................................................. X-26

SALARIES AND EXPENSES OVERVIEW

X-1 

INTRODUCTION

The Salaries and Expenses Overview summarizes the administrative costs and staffing for all 

Department of Education accounts. The fiscal year 2021 budget request draws support for 

Departmental administrative costs and full-time equivalent (FTE) employment from funding in 

the following accounts:

• Program Administration (PA),

• Student Aid Administration (SAA), 

• Office for Civil Rights (OCR), 

• Office of Inspector General (OIG), 

• College Housing and Academic Facilities Loans Program (CHAFL), 

• Historically Black College and University Capital Financing Program (HBCUCF), and

• Institute of Education Sciences (IES). 

Greater detail on the funds supporting administrative costs and staffing is provided separately in 

each account’s justification materials.

Department of Education’s Key Programs

Administrative funds support Department programs. Key fiscal year 2021 programs include: 

• The Elementary and Secondary Education for the Disadvantaged Block Grant, for which 

$19.3 billion would help approximately 25 million students in high-poverty schools make 

progress toward State academic standards; 

• Individuals with Disabilities Education Act Part B Grants to States, for which 

$12.9 billion would help States and school districts meet the special education needs of 

7.4 million students with disabilities; 

• Federal Pell Grants, for which $30.3 billion would be made available in need-based 

grants to nearly 7.1 million students enrolled in postsecondary institutions; and 

• Postsecondary student loan programs, which would help provide roughly $134 billion for

new and consolidated Direct Loans to help students and families pay for college. 

Hurricane Education Recovery

On February 9, 2018, the President signed into law, the Bipartisan Budget Act of 2018. The Act 

provided recovery funding in response to Hurricanes Harvey, Irma, and Maria, as well as the 

2017 wildfires. The Department received $2.7 billion to meet the educational needs of 

individuals affected by a covered disaster or emergency. Of that total, $7 million is for 

administrative funding, including $4 million for the Office of Inspector General for oversight of 

activities supported with the recovery activities and funds appropriated, and up to $3 million for 

Program Administration.
SALARIES AND EXPENSES OVERVIEW

X-2 

Also, on June 6, 2019, the President signed into law, the Additional Supplemental 

Appropriations for Disaster Relief Act, 2019. The Act provided additional funding for Hurricane 

Education Recovery for necessary expenses related to the consequences of Hurricanes 

Florence and Michael, Typhoon Mangkhut, Super Typhoon Yutu, and wildfires, earthquakes, 

and volcanic eruptions occurring in calendar year 2018 and tornadoes and floods occurring in 

calendar year 2019 in those areas for which a major disaster or emergency has been declared. 

As part of the $165 million the Department received for assisting in meeting the educational 

needs of individuals affected by a covered disaster or emergency, $3 million is for administrative 

funding, including $2 million for the Office of Inspector General for oversight of activities 

supported with the funds appropriated, and up to $1 million of the funds for Program 

Administration.

FY 2021 BUDGET REQUEST

The Administration’s fiscal year 2021 President’s request for discretionary Salaries and 

Expenses totals $2.539 billion, $138.1 million over the fiscal year 2020 appropriation level. A 

summary of changes by funding account is provided on page X-10. 

The requested fiscal year 2021 increase focuses on key departmental policy and management 

priorities. These include continued IT security improvements to ensure the integrity of the 

Department of Education systems and prevent potential breaches. It also includes the Office of 

Federal Student Aid’s (FSA) transition to the Next Generation Financial Services Environment; 

continual operations for student aid application processing, origination, and disbursement 

operations; and student aid IT system hosting. Funding is also requested for building 

modernization and renovation activities which will reduce the Department’s overall footprint and 

save on future rent costs by vacating existing space. 

The Department is pursuing an innovative strategy to deliver Federal student aid services and 

information to our customers. Next Gen FSA will create an improved, world-class customer 

experience for Federal Student Aid (FSA)'s millions of customers, while creating a more agile, 

flexible servicing model that will streamline FSA's existing operations. Next Gen FSA will 

improve the integrity of the Higher Education Act (HEA) Title IV programs and transform how 

FSA oversees organizations that support its mission.

The key to the Next Gen FSA transformation will be a comprehensive, FSA-branded customer 

engagement layer that will create an environment where the Department’s customers will 

receive clear, consistent information and readily accessible self-service options at every stage 

of the student aid lifecycle. FSA will emphasize a mobile-first, mobile-complete, mobile 

continuous strategy complemented by web, phone, chat, and in-person capabilities. It will 

transform FSA into a trusted source of information and greatly simplify the process of assisting 

customers choose the best options to manage their student debt. In addition, the creation of 

standardized systems, processes, and procedures—combined with the inclusion of clear 

performance expectations tied to explicit contractual incentives and disincentives—is expected 

to simplify oversight of vendor performance and better ensure compliance with consumer 

protection and customer service standards.

The fiscal year 2021 Salaries and Expenses Costs by Category chart on page X-3 provides 

detail on the total Salaries and Expenses request of $2.5 billion by category. 
SALARIES AND EXPENSES OVERVIEW

X-3 

Personnel, 

Compensation & 

Benefits

26.9%, $682.9

Other Non-Personnel

3.3%, $83.3

Overhead

(Rent) 2.7%, $68.6

Non-SAA Contracts

5.5%, $140.2

Student Aid 

Administration 

(SAA) Contracts

61.6%, $1,563.7

FY 2021 Salaries & Expenses Costs by Category

($ in millions)

SUMMARY OF STAFFING AND NON-PERSONNEL COSTS

Staffing

The Department of Education’s programs and responsibilities have grown substantially over the 

past decade. Some of the growth was driven by legislation that added responsibilities or 

required administrative change, including the Student Aid and Fiscal Responsibility Act and the 

move to 100 percent Direct Lending, the Workforce Innovation and Opportunity Act, and the 

Federal Information Technology Acquisition Reform Act. In addition, oversight of the 

Department student loan and grant programs continues to grow. The reauthorized Elementary 

and Secondary Education Act, as amended by the Every Student Succeeds Act, requires the 

Department to provide assistance and flexibility to states and school districts to ensure a 

smooth implementation of the new statute. The Department’s workload has increased as it 

strives to improve oversight of programs and data. 

The Administration’s Budget request for fiscal year 2021 supports 4,028 Full-Time Equivalents 

(FTE) employees, a net increase of 196 FTE above the 2020 appropriation level. The request 

reflects an increase of 39 FTE for Program Administration; 21 FTE for the Office of Inspector 

General (OIG); 3 FTE for the Office for Civil Rights (OCR); and an increase of 133 FTE for 

Student Aid Administration. 

A 10-year history of the Department’s staffing is shown in the following chart:

Department Full-Time Equivalent (FTE) Employment Usage

(FY 2012 – FY 2021)

FY 

2012

FY 

2013

FY 

2014

FY 

2015

FY 

2016 

FY 

2017

FY 

2018

FY 

2019

FY 

2020 

Est.

FY 

2021 

Est.

4,276 4,090 4,027 4,081 4,150 4,107 3,795 3,582 3,832 4,028
SALARIES AND EXPENSES OVERVIEW

X-4 

Department employees are divided between Washington, D.C., headquarters, 11 regional 

offices, and 13 field offices. Most regional and field office staff are in FSA, OIG, and OCR. The 

FSA regional staff offices’ workload is dedicated to oversight of schools participating in the HEA

Title IV programs and performing program reviews of Federal Family Education Loan (FFEL) 

participants including lenders, lender servicers, guaranty agencies, and guaranty agency 

servicers. Additionally, FSA staff conduct program reviews of loan servicers and private 

collection agencies under contract with the Department. OIG staff conducts audits and 

investigations of Department programs and operations. OCR staff investigates civil rights 

complaints and conduct civil rights compliance reviews.

A map of the Department’s staff location of Regional and Field Offices is shown below:

Boston

New York City

Philadelphia

Washington, D.C.

Regional Offices

Field Offices

Location of the Department of Education 

Regional and Field Offices

Seattle

San

Francisco Denver

Kansas

City

Chicago

Atlanta

Dallas

Cleveland Sacramento

Long Beach

Puerto Rico Pembroke 

Pines

Pittsburgh

St. Paul

Austin

Phoenix

Nashville

Ann Arbor

Personnel Compensation and Benefits (PC&B) 

The fiscal year 2021 Request includes $682.9 million for the Department personnel 

compensation and benefits (PC&B) costs, $41.8 million more than the fiscal year 2020 

appropriation level. PC&B funds include salaries, overtime, awards, consultants, benefits for 

current and former personnel, student loan repayments, and transit subsidy benefits. The 

Request covers an increase due to health premiums and FERS contribution rates, and a pay 

raise in 2020 and 2021. Additionally, in support of the President’s Management Agenda 

Workforce Cross-Agency Priority Goal and to carry out the Department’s Agency Workforce 

Fund Plan, the request covers an increase for employee awards by 1 percentage point of nonSenior Executive Service (SES), Senior Level (SL), and Scientific or Professional (ST) pay in 

fiscal year 2021.
SALARIES AND EXPENSES OVERVIEW

X-5 

Non-Personnel Costs

Non-personnel costs cover such items as travel, rent, mail, telephones, utilities, printing, IT, 

contractual services, equipment, supplies, and other departmental services. The total budget 

for non-personnel activities in fiscal year 2021 is $1.8 billion, $96.4 million more than the fiscal 

year 2020 appropriation level. The majority of this increase is attributable to the transition to the 

Next Gen Financial Services Environment and other operational costs of administering Federal 

student financial aid. The Office of the Chief Information Officer and FSA are aligning 

technologies and services common to operating environments managed by each respective 

office.

Departmental Centralized Services

Centralized Services cover common support administrative and IT services for all program and 

staff offices. The funds are managed by the Office of Finance and Operations and the Office of 

the Chief Information Officer. 

Office of Finance and Operations - Central Support Expenses

The Administration is requesting a total of $179.5 million for fiscal year 2021, an increase of 

$20.0 million compared to the fiscal year 2020 appropriation level, to cover the central support 

services that include: rent to the U.S. General Services Administration, building alterations and 

repairs, lease renewal, training, supplies, mail, and physical security for buildings and 

personnel. Major increases include building modernization to reduce future rent costs by 

consolidating office space, EDCAPS grants management system technology refresh

implementation i.e., G5 Modernization, EDCAPS integrated support services, and training. 

Office of the Chief Information Officer – Central Information Technology

The Administration is requesting a total of $95.5 million for fiscal year 2021, a decrease of 

$11.7 million less than the fiscal year 2020 appropriation level, not including a transfer of 

$5 million to the IT System Modernization and Working Capital account. Central IT funds cover 

activities including computer operations, maintenance and improvements; local area network 

operations, initiatives designed to link Department business needs with the best available 

technology; and other commonly shared IT and office automation activities. Major increases 

include IT support for building modernization of headquarters and regional offices and CIO 

Innovations, and ePMO, offset by decreases in Portfolio of Integrated Value-Oriented 

Technologies, and Enterprise Cybersecurity Program.

IT System Modernization – Working Capital Fund

The Administration requests that the Program Administration, Office for Civil Rights, and Office 

of Inspector General Salaries and Expenses accounts be provided the transfer authority 

necessary to make use of the IT Working Capital Fund authorized by the Modernizing 

Government Technology (MGT) Act. The authority would enable the Department to transfer 

1-year administrative funds to an account with a 3-year period of availability for use on IT 

modernization. The estimated transfer amount for fiscal year 2021 is $5 million, from the 

Program Administration account. 
SALARIES AND EXPENSES OVERVIEW

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Getting Payments Right

The Department continues to focus on the integrity of payments made, which includes 

assessing risks associated with improper payments and establishing effective internal controls 

designed to prevent, detect, reduce, and recover improper payments that could otherwise result 

in a monetary loss to the government. 

The 2021 Budget supports ongoing efforts and builds on recent legislative success to identify 

and prevent improper payments in the Pell Grant program. The President recently signed the 

Fostering Undergraduate Talent by Unlocking Resources for Education (FUTURE) Act, which 

will help ensure the accuracy of income information used for determining Pell Grant eligibility. 

One of the primary causes of improper payments in the Pell Grant program is failure to 

accurately verify financial data. The FUTURE Act provides an exception to the Department of 

Education from restrictions of Section 6103 of the Internal Revenue Code to allow the 

Department to more easily receive income tax data from the IRS, thereby simplifying and 

improving the accuracy of Free Application for Federal Student Aid filing by prepopulating 

certain fields. This exception will also allow borrowers to more easily recertify their income to 

stay enrolled in Income Driven Repayment plans. The FUTURE Act closely reflects the 

proposal to reduce improper payments put forth in the President’s 2020 Budget. 

The Department of Education will also continue to utilize sophisticated statistical techniques to 

more efficiently target student aid recipients for verification of eligibility for aid as well as target 

its program compliance reviews at schools with the greatest risks of improper payments. Pell 

Grant improper payments that result in monetary loss are most frequently the result of 

administrative errors by schools, including distribution of funds to ineligible students or in 

incorrect amounts based on a students’ eligibility. 

In addition to the ongoing administrative actions the Department is taking, the 2021 Budget 

includes a legislative proposal to further reduce improper payments in the Pell Grant program. 

The Budget proposes to bar someone from receiving another Pell Grant if they have been 

awarded three consecutive Pell Grants without earning any credits. This will prevent the 

fraudulent practice of people going from school to school, enrolling long enough to receive a 

reimbursement but not pursuing any credits. This proposal would reduce Pell Grant 

discretionary program costs by $164 million and mandatory outlays by $38 million over 

10 years. 

As part of its ongoing oversight activities, FSA conducts periodic recertification of all schools’ 

eligibility and loss of school eligibility activities, assesses millions of dollars through final 

program review and audit determinations, and places schools with serious violations on 

heightened cash monitoring for disbursements. In addition, FSA’s Enforcement Unit debars 

individuals from receiving assistance or benefits from any Federal Agency as a result of 

financial aid fraud or other criminal convictions.

As part of its efforts to address risks related to the integrity of payments, beginning in fiscal year 

2019, the Department started monitoring the outlays of six grant programs receiving funding for 

disaster relief. According to Implementation of Internal Controls and Grant Expenditures for the 

Disaster-Related Appropriations, Office of Management and Budget (OMB) Memorandum 
SALARIES AND EXPENSES OVERVIEW

X-7 

M-18-14, any disaster related program with $10 million or more in outlays in a given fiscal year 

is deemed susceptible to significant improper payments. Programs susceptible to significant 

improper payments shall produce and report an improper payment estimate. In fiscal year 

2020, the Department identified three programs: the Immediate Aid to Restart School 

Operations Program, the Temporary Emergency Impact Aid for Displaced Students Program, 

and the Emergency Assistance to Institutions of Higher Education Program that exceeded the 

$10 million threshold in fiscal year 2019 disbursements. It is anticipated that there will be 

additional disaster related programs that will exceed the thresholds set by OMB M-18-14 and 

require the Department to develop a statistically valid and rigorous improper payment estimation 

methodology. The Department will continue to select and analyze statistical payment samples 

to estimate the percentage and dollar value of improper payments for each program’s 

disbursements associated with supplemental disaster relief funding. Additionally, the 

Department will continue to assess the improper payment risk of all of its programs to determine 

whether any should be designated as high-risk and susceptible to significant improper 

payments.

The Department continues to refine the Payment Integrity Monitoring Application (PIMA), which 

enables the detection of anomalies in grant payment data. Integrity checks are created in PIMA 

based on policy-related business cases for potential improper payment detection. Case 

management files are established within the application for follow-up investigation by process 

owners to validate improper payments and determine root causes.

Continuous Diagnostics and Mitigation

The Department has increased its focus on cybersecurity. 

The Continuous Diagnostics and Mitigation (CDM) Program, a Governmentwide program

centrally managed by the Department of Homeland Security (DHS), is intended to create a 

common baseline of cybersecurity capability and protection across the Federal Government. 

The program provides Federal Departments and Agencies with CDM-certified capabilities and 

tools that identify and prioritize cybersecurity risks on an ongoing basis and enable 

cybersecurity personnel to mitigate the most significant problems first. The CDM tools also 

allow Departments and Agencies to better manage their IT assets, helping to reduce their 

overall attack surface.

Historically, it has taken Agencies days or weeks to detect cybersecurity incidents in their 

environment. Once fully deployed, the CDM Program will shorten this timeframe to hours and 

minutes.

The CDM tools provide near real-time awareness of the Department’s networks and 

environments. Data from the tools are automatically ingested into an individual dashboard at 

the Department. The Agency Dashboard provides current visibility into the Department’s overall 

security posture based on a 72-hour data currency. With the full implementation of CDM, 

summary data from the individual Agency dashboards across the Federal Government will be

aggregated into one Federal-level dashboard with planned synchronization every 8 hours. The

Federal Dashboard is maintained by the DHS CDM Program and allows DHS to monitor and 

respond to Federal cybersecurity threats and incidents quickly and efficiently.
SALARIES AND EXPENSES OVERVIEW

X-8 

The CDM-specific line items, as required by the recent FISMA guidance OMB memorandum

M-20-04 signed November 19, 2019, are provided below:

ACCOUNT LINE-ITEM AMOUNT

Program Administration Enterprise Cybersecurity Program $2,000,000

FSA – Student Aid Administration FSA Cybersecurity Program 994,000

Institute of Education Sciences 

(IES)

IES Support, EDFacts, Sample Survey, 

Educational Assessment 6,300,000

Total 9,294,000

Advertising Contracts and Expenditures

The Department is providing actual expenditures for fiscal year 2019 and expected expenditures 

for fiscal years 2020 and 2021, (shown on the table below) for (1) all contracts for advertising 

services; and (2) contracts for the advertising services of (a) socially and economically 

disadvantaged small business concerns (as defined in section 8(a)(4) of the Small Business Act 

(15 U.S.C. 637(a)(4)); and (b) women- an minority owned businesses.

Fiscal Year Amount

FY 2019 $3,024,267

FY 2020 3,114,995

FY 2021 3,239,595

Participation in Governmentwide E-Government Initiatives

The Department is actively participating in a number of Governmentwide e-Government 

initiatives and lines of business designed to make it easy for citizens and businesses to interact 

with the Government, save taxpayer dollars, and streamline citizen-to-Government 

communications. The Department budgeted a total of $2.3 million in fiscal year 2020 and 

requests $2.3 million in fiscal year 2021 for these initiatives.

The Request includes support for the following initiatives/lines of business noted in the chart 

below: 
SALARIES AND EXPENSES OVERVIEW

X-9 

(in whole dollars)

Governmentwide E-Government

Initiative/Line of Business FY 2020

FY 2021

Request

Budget Line of Business $110,000 $120,000

E-Rulemaking 146,000 170,008

Financial Management Line of Business 231,000 231,000

Geospatial Line of Business 25,000 25,000

GovBenefits.gov* 265,000 265,000

Grants.gov 423,000 436,000

Human Resource Management Line of Business 69,000 69,000

Integrated Awards Environment* 918,000 918,000

Performance Management Line of Business 80,000 80,000

USAJOBS 30,000 31,000

Total 2,297,000 2,346,008 

NOTE: Funding for initiatives marked with an asterisk * is from the Student Aid Administration account; 

funding for all other initiatives/lines of business is from the Program Administration account. 
SALARIES AND EXPENSES OVERVIEW

X-10

Department of Education

Budget Authority by Account

(dollars in thousands) 

ACTIVITY

2019 

Appropriation

2020 

Appropriation

2021 

Request

Change 

from 2020

to 2021

Program Administration:

Salaries and Expenses $430,000 $430,000 $433,723 $3,723

Building Modernization 0 0 15,000 15,000

Office for Civil Rights 125,000 130,000 130,000 0

Office of Inspector General 61,143 63,000 68,019 5,019

Subtotal, Departmental Management 616,143 623,000 646,742 23,742 

Student Aid Administration:

Salaries and Expenses 698,943 911,843 1,148,604 236,761

Servicing Activities 980,000 857,100 734,705 -122,395

Subtotal, Student Aid Administration account 1,678,943 1,768,943 1,883,309 114,366 

Administrative costs from program accounts:

College Housing and Academic Facilities Loans 435 435 435 0

Historically Black College and University Capital 

Financing 334 334 334 0

Institute of Education Sciences:

National Assessment Governing Board 7,745 7,745 7,745 0

National Board for Education Sciences 93 155 155 0 

Subtotal, Program accounts 8,607 8,669 8,669 0 

Total, Salaries and Expenses 2,303,693 2,400,612 2,538,720 138,108 
SALARIES AND EXPENSES OVERVIEW

X-11

Department of Education

Budget Authority by Object Classification

(dollars in thousands) 

Object class 

no. Object Class

2019

Appropriation

2020 

Appropriation

2021 

Request

Change from 

2020 to 2021

11.10 Full-time permanent $445,634 $468,951 $497,017 $28,066

11.31 Full-time temporary 3,899 6,925 5,143 -1,782

11.32 Part-time 783 1,448 1,469 21

11.33 Consultants 265 283 287 4

11.51 Overtime 1,430 566 842 276

11.52 Awards 6,476 6,938 10,374 3,436

subtotal row Subtotal, Personnel Comp. 458,487 485,111 515,132 30,021 

12.00 Benefits 151,201 155,353 167,072 11,719

12.15 Student Loan Repayment 52 22 22 0

13.01 Benefits for former personnel 674 674 674 0

subtotal row Subtotal, Benefits 151,927 156,049 167,768 11,719

21.00 Travel 8,870 8,887 8,722 -165

22.00 Transportation of things 0 0 0 0

23.10 Rental Payments to GSA 75,731 69,849 67,166 -2,683

23.31 Communications 1,122 1,222 1,274 52

23.32 Postage/fees 195 206 204 -2

subtotal row Subtotal, 23 77,048 71,277 68,644 -2,633 

24.00 Printing & Reproduction 1,940 1,067 1,066 -1

25.10 Advisory and Assistance Svcs 10,717 8,587 8,915 328

25.21 Other Services 934,597 1,016,052 975,925 -40,127

25.22 Training/Tuition/Contracts 5,959 6,229 7,407 1,178

25.23 Field Readers 0 27 34 7

25.30 Goods/Services from Gov't 70,624 69,457 59,795 -9,662

25.40 Operations/Maint of Facilities 1 0 0 0

25.71 Operations/Maint of Equipment 1,556 1,528 1,535 7

25.72 IT Services/Contracts 576,279 567,295 706,460 139,165

subtotal row Subtotal, 25 1,599,733 1,669,175 1,760,071 90,896 

26.00 Supplies 1,005 1,004 1,114 110

31.01 IT Equipment/Software 2,306 2,839 2,927 88

31.03 Other Equipment 1,257 477 429 -48

subtotal row Subtotal, 31 3,563 3,316 3,356 40 

32.00 Building Alterations 1,120 4,726 12,847 8,121

43.01 Interest and Dividends 0 0 0 0 

total row Total, Budget Authority 2,303,693 2,400,612 2,538,720 138,108 

total row Total, Pers. Comp. & Ben. 610,414 641,160 682,900 41,740

total row Total, Non-Personnel 1,693,279 1,759,452 1,855,820 96,368
SALARIES AND EXPENSES OVERVIEW

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Department of Education

Full-Time Equivalent (FTE) Employment (Staff Years) by Account

ACCOUNT 2019 Actual

2020 

Appropriation

2021 

Request

Change 

from 2020

to 2021

Program Administration 1,500 1,542 1,581 39

Office for Civil Rights 508 589 592 3

Office of Inspector General 241 231 252 21

Subtotal, Departmental Management 2,222 2,362 2,425 63

Student Aid Administration 1,343 1,451 1,584 133

FTE funded from program accounts:

College Housing and Academic Facilities Loans 2 2 2 0

Historically Black College and University Capital 

Financing 2 2 2 0

Institute of Education Sciences:

Insti tute of Education Sciences: National Assessment Governing Board 13 14 14 0

Insti tute of Education Sciences: National Board for Education Sciences 0 1 1 0

Subtotal, Program Accounts 17 19 19 0 

Total, FTE 3,582 3,832 4,028 196
SALARIES AND EXPENSES OVERVIEW

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Department of Education

Full-Time Equivalent (FTE) Employment by Office

OFFICE 2019 Actual

2020 

Predicted Level

2021

Request

Change from 

2020 to 2021

Career, Technical and Adult Education 67 66 66 0

Chief Information Officer 97 90 105 15

Civil Rights 508 589 592 3

Communications and Outreach 82 88 82 -6

Elementary and Secondary Education 233 245 250 5

English Language Acquisition, Language 

Enhancement, and Academic Achievement for 

Limited English Proficient Students 14 14 14 0

Federal Student Aid 1,232 1,320 1,453 133

Finance and Operations 359 415 433 18

General Counsel 104 109 110 1

Inspector General 214 231 252 21

Institute of Education Sciences 154 158 160 2

Legislation and Congressional Affairs 16 16 14 -2

National Assessment Governing Board 13 14 14 0

National Board for Education Sciences 0 1 1 0

Planning, Evaluation, and Policy Development 55 57 59 2

Postsecondary Education 154 157 166 9

Secretary 87 73 66 -7

Special Education and Rehabilitative Services 175 175 179 4

Under Secretary 18 14 12 -2

Total, FTE 3,582 3,832 4,028 196
SALARIES AND EXPENSES OVERVIEW

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Department of Education

Detail of Full-time Equivalent (FTE) Employment

Detail of Full-time Equivalent (FTE) 2019 Actual 2020 Appropriation 2021 Request

Executive level I................................................. 1 1 1

Executive level II................................................ 2 3 3

Executive level III............................................... 0 1 1

Executive level IV.............................................. 6 7 7

Executive level V............................................... 1 1 1 

Executive level AD............................................. 1 1 1

Subtotal...................................................... 11 14 14

Total - EX Salary................................. $1,827,700 $2,484,050 $2,508,400

Senior Executive Service............................. 74 86 86

Subtotal - ES1 ........................................... 74 86 86

Total - ES Salaries............................. $13,221,012 $15,458,500 $15,609,000

AL..................................................................... 1 1 1

AD..................................................................... 278 348 340

ED/EI................................................................ 3 4 4

GL.................................................................... 3 3 3

GS/GM-15........................................................ 429 424 425

GS/GM-14......................................................... 851 844 844

GS/GM-13......................................................... 960 941 942

GS-12................................................................ 673 632 634

GS-11................................................................ 116 111 112

GS-10................................................................ 0 0 0

GS-9.................................................................. 89 92 94

GS-8.................................................................. 27 28 28

GS-7.................................................................. 46 49 52

GS-6.................................................................. 10 10 10

GS-5.................................................................. 6 8 8

GS-4.................................................................. 17 19 19

GS-3.................................................................. 0 1 1

GS-2.................................................................. 2 2 2

GS-1.................................................................. 0 0 0

Subtotal...................................................... 3,512 3,516 3,519

Total full-time equivalent employment, 

end of year.......................................... 3,597 3,616 3,619

Full-time equivalent (FTE) 

usage.................................................. 3,582 3,823 4,018

Average ES salary............................................ $178,662 $179,750 $181,500

Average GS/GM grade..................................... 11.9 11.6 11.6

Average GS/GM salary..................................... $120,471 $123,558 $126,483

1 FY 2019 includes 4 FSA SES positions. FY 2020 and FY 2021 include 10 FSA SES positions.
SALARIES AND EXPENSES OVERVIEW

X-15

Organization Chart

Operating Structure for Policy and Reporting Guidance
X-16

X-16

7 Denver

9 Colorado Springs

Department of Education

Locations of Major Administrative Contracts

and Current Contractors

2 Plano

10 El Paso

11 San Antonio

5,10 Lawrence

9 Boise

5, 10 Coralville,

10 London, KY

10,11 Monticello, KY

10

Montgomery

1,4,9,10,11 Washington, DC

10 

Hattiesburg

2 Bethesda, MD

2, 8 Columbia

3* Madison

3* Lincoln

3* 

Chesterfield

11 Niagara Falls

5 Venice

3* Salt 

Lake 

City

3* Concord, NH

3* Knoxville

3* Harrisburg, PA

3* Warrendale

3* Oklahoma City

3* Wilmington, DE

10 Aurora

Note: An asterisk represents a headquarters location for loan servicing contracts. Additional locations can be found in the Student Aid 

Administration Congressional Justification.

1 Financial Management System (FSA)

2 PIVOT (OCIO) 

3 Loan Servicers (FSA)

4 OCR CRDC Survey (OCR)

5 National Student Loan Data System (FSA)

6 System Security Authorizations (FSA)

7 Payroll/Personnel Processing Center (OFO)

11 Piscataway, NJ

5,11 Arlington, VA

1 McLean

2 Oakton

9 Clarksville

2 Sterling

3*,10 Falls Church

6 Reston

2,9 Herndon

10 Manassas

2 Chantilly

11 Columbus, GA

8 Education Department Central Automated Processing Systems (EDCAPS)(OFO)

9 Next Generation Data Center (FSA)

10 Application and Eligibility Determination System, FSA Customer Contact Center, and 

FSA Feedback and Ombudsman System (FSA)

11 Title IV Origination and Disbursement System (FSA)

Locat ions of Major A dmin istrative Contract s and Current Co ntractors
SALARIES AND EXPENSES OVERVIEW

X-17

Report on the Budget Formulation and Execution Line of 

Business 

Required by Division D, Section 737(d) of the Consolidated Appropriations Act, 2008, P.L. 110-

161

The U.S. Department of Education assumed the role as the first Managing Partner for the 

Budget Line of Business (Budget LoB) in the fall of 2006. The focus of the Budget LoB is to 

build a “budget of the future” by promoting information-sharing across Government Agency 

budget offices, as well as building a “community of practice.” Through this collaboration, the 

budget community has been identifying best practices for all aspects of budget formulation and 

execution. The Budget LoB strives to find solutions linking budget formulation, execution, 

planning, performance, and financial management information.

The goals of the Budget LoB are to: 

• Improve the efficiency and effectiveness of Agency and central processes for formulating 

and executing the Federal Budget; 

• Improve capabilities for analyzing and presenting budget, execution, planning, and 

financial information in support of decision making; and

• Enhance the effectiveness of the Federal budgeting workforce

Budget LoB anticipates 10-year savings of over $200 million Governmentwide due to 

efficiencies gained through collaboration and increased use of technology. Many Agency 

budget offices do not have automated systems to support budget formulation and execution 

activities. Agencies rely on basic office software and manual processes. Budget LoB’s goal is 

to reduce time spent by budget personnel on manual processes and increase time spent on 

high priority analytical activities (via increased use of technology, improved processes, and a 

better equipped workforce).

Budget LoB is a mixed lifecycle investment. Activities and solutions under development by 

Budget LoB workgroups are at different stages within the development lifecycle. Products 

under development are listed in the Objectives and Benefits table below and include 

implementation or projected implementation dates.

The following tables display the objectives and benefits, risks, costs, and Agency contributions 

to Budget LoB.
SALARIES AND EXPENSES OVERVIEW

X-18

Objectives and Benefits: Technology

Capability Objectives and Benefits

Technology

Technology

Collaboration 

Improves the efficiency and effectiveness of Government activities through 

the ready accessibility of information, and the ability to collaborate remotely 

both within an Agency (i.e., collaboration with regional and field staff) and 

across Federal Agencies (i.e., collaboration of each Agency with OMB and 

other Agencies on shared programs).

Current products include the MAX Federal Community and MAX Desktop 

and meetings.max.gov (a secure online meeting capability).

Current Status: The MAX Federal Community, a cross-agency collaboration 

platform, provides increased information sharing, collaboration, and 

knowledge management securely across the Federal Government, as well 

as within each Agency. With over 250,000 members (up from approximately 

238,000 in December 2018), the MAX Federal Community is the largest 

Government operated collaboration site. 

Technology

Data Collection & 

Tracking

Improves OMB and Agency efficiency and effectiveness in carrying out the 

numerous required budget data exercises. Benefits apply to both central 

budget exercises (i.e., those required of Agencies by OMB) and exercises at 

the departmental or Agency level (i.e., those requested by central offices of 

Agency regional and field offices). Agency benefits include increased data 

collection capabilities, reduced errors, and reduced time spent manually 

consolidating and publishing data.

Current products include web-based data collection tools, specifically MAX 

Collect and MAX JIRA Forms, used for central budget exercises and for 

Agency use in the collection of budget briefings, questions for the record, 

performance management, apportionments, allotments, and other budget 

data. MAX Survey is a basic data collection capability also available on 

MAX.gov.

Current Status: Budget LoB data collection tools have demonstrated 

significant value to the budget community by automating the collection of 

data for dozens of centralized exercises related to earmarks, continuing 

resolutions, questions for the record, and across-the-board reductions. The 

MAX Collect tool provides even greater benefit by enabling Agency budget 

offices to automate their own data collection exercises. Agencies are now 

using the tool to facilitate a broad range of data calls and data collection 

exercises. In recent years, the Budget LoB developed MAX JIRA Forms, 

which provides a much simpler and far more powerful user interface for 

collecting and reporting on data. With the de-commission of MAX Collect 

Forms over the past year, the Budget LoB transitioned all remaining Collect 

Forms exercises to MAX JIRA, which provides a more customizable 

interface and additional capabilities desired by Agency budget offices, like 

customized notifications, view access, and a clean user interface. MAX 

Survey is used to quickly gather and analyze information via tokenized 

surveys.
SALARIES AND EXPENSES OVERVIEW

X-19

Capability Objectives and Benefits

Technology

Technology

Knowledge 

Management

Improves the ability of Agencies to locate and access information, increases 

the availability and comprehensiveness of data, and improves the ability of 

the budgeting community to manage the impending retirement of key 

personnel. Database-driven products such as the MAX Federal Community, 

MAX Collect, and MAX JIRA enhance knowledge management capabilities 

by capturing “knowledge” as it is generated, simply as a by-product of these 

tools.

Technology

Agency Budget 

Formulation and 

Execution Tools

Provides a cost-effective strategy for Agencies that do not have budget 

formulation and execution applications, or have outdated applications, to 

quickly improve their effectiveness through automation. This effort 

encourages common and integrated solutions that are usable 

Governmentwide.

Products include the Budget Formulation and Execution Manager system

(BFEM), the first shared budget formulation system by the Department of 

Treasury; the Departmental E-Budgeting System (DEBS), a shared offering 

from the Department of Labor; the Decision Matrix for budget systems 

evaluation (full systems evaluations); the Budget Capability Self-Assessment 

Tool (BC SAT); the MAX A-11 Data Transfer and Rule Validation project; 

and a common Budget Office Solutions catalog. The Decision Matrix allows 

Agencies to define their specific budget system requirements and evaluates 

the capability and maturity of six Agency and three commercial budget 

systems against those requirements. The BC SAT has provided several 

Agencies with comprehensive resource listings to further help them with 

strategic planning and resourcing. 

Current Status: The MAX A-11 Rule Validation team supports processes, 

methodologies, and standards to enable Agencies to exchange data with 

OMB's MAX A-11 system through the use of multiple ‘services’, greatly 

improving the process, eliminating large amounts of manual data entry, and 

enabling availability of account level information on a real-time basis. The 

Budget LoB continues to support Treasury’s BFEM, Labor’s DEBS and 

EPA’s BFS systems as they provide customer Agencies with enhanced 

connections to OMB’s MAX budget system. 

Technology

Analytical Tools

Enhances Federal capabilities for analyzing budget formulation, execution, 

planning, performance, and financial information. This enables more 

complete, thorough, and timely analysis, which will, in turn, provide policy 

decision-makers with improved understanding of policy option impacts and 

alternatives. 

Current products include the MAX Analytics tool suite, including CTools, 

IdealFed, and BIRT, which create custom charts and graphs for analysis, 

and associated tools built upon the analytics core. 

Current Status: MAX Analytics integrates with Budget LoB data collection 

and collaboration tools, enabling charts that update automatically as new 
SALARIES AND EXPENSES OVERVIEW

X-20

Capability Objectives and Benefits

Technology

data is entered. Agencies have been using MAX Analytics to dynamically 

display the results of their data collections and to transform how they use 

analytics to manage problems. The Budget LoB continues to work with 

Agencies to include the most relevant and useful capabilities in the tool 

suite. Several Agencies (OMB, DOJ, DOL, etc.) are now utilizing MAX 

Analytics to drive decision making based upon analysis not previously 

possible.

Technology

Budget Execution 

and Financial 

Management 

Integration

Improves the quality and integrity of information, data flows, and reporting in 

budget formulation and execution, especially in regard to its touch points 

with financial management. Identifying common business processes and 

data standards will form the basis for requirements for use in developing 

budget systems, as well as closer alignment with financial management 

systems. Current products include Governmentwide process maps for 

budget execution and budget formulation and the web-based Budget 

Execution training module, Budget Formulation training module, and 

Appropriations Law training module. 

Current Status: The training modules are in use throughout the budget 

community. Over 10,300 individuals have accessed the self-paced online 

training module courses, which have an estimated return on investment to 

date of over 7,220 percent and a savings of over $8.66 million.

Technology

Document 

Production

Enables Agency budgeting personnel to move from clerical to analytical 

functions, increasing Agency analytical resource availability. Many Agency 

budget staff work countless hours to incorporate late-breaking policy data 

changes in high-visibility publications. Often, many changes must be 

simultaneously made in multiple documents for different stakeholders. 

Document production capabilities exist in Treasury and Labor’s shared 

service budget systems, as well as in the MAX Collect Tool, and in a recently 

released service allowing budget personnel to develop their own reporting 

templates.

Objectives and Benefits: Governance

Capability Objectives and Benefits

Governance

Governance

Program 

Management Office 

(PMO)

Serves as a central coordination point for Governmentwide collaboration and 

sharing of technologies and processes. The Program Management Office 

(PMO) allows resources across Government to be leveraged for cost 

savings. In this way, costs are reduced, economies of scale are achieved, 

and risks in developing and buying Agency budget tools are reduced through 

a coordinated combination of approaches that include: sharing common 

budget formulation components, purchasing commonly used software that 

has been proven in multiple Agencies, and purchasing services from other 

Agencies.
SALARIES AND EXPENSES OVERVIEW

X-21

Capability Objectives and Benefits

The PMO will support enhanced efficiency, effectiveness, quality, knowledge 

management, presentation, collaboration, and flexibility within the Budget 

LoB. Currently, the PMO supports monthly Task Force meetings, bi-annual 

conferences, and apportionment, budget formulation, questions for the 

record, and credit subsidy workgroups, which are open to the entire federal 

budget community. These meetings and events are designed to share 

information on budget community solutions, trainings, and best practices.

Governance

Process 

Improvements

Allows for the development of system requirements and guidelines for tools 

that are modular in nature (can be used as part of any system) and available 

for use by multiple Agencies. Accounts for the importance of flexibility in the 

budgeting process and acts as a set of standards that are essential for the

automated exchange of budget data with Treasury and OMB, as well as 

Agency financial management systems. 

Current products include numerous updates to the MAX Federal Community, 

MAX Collect, MAX Analytics, and MAX JIRA as well as implementation of 

MAX Authentication services at 16 Agencies with work underway to support

additional Agencies with “single sign-on” capabilities. 

Governance

Service Module 

Standardization

Encourages reusability and interoperability of budget systems across 

Agencies to achieve significant cost savings through a "build once, use 

often" philosophy. Service module registration via the PMO will help ensure 

that Agencies are aware of existing services so that duplicative investments 

are not made.

Objectives and Benefits: Human Capital

Capability Objectives and Benefits

Human Capital

Human Capital 

Budget Human 

Capital

Enhances the effectiveness of the existing budgeting workforce and 

encourages participation from other professions within Government, the 

private sector, and universities. The Budget LoB provides a central venue 

for the budget community, OPM, and the Council of Human Capital Officers 

to grow the appeal of Federal Budgeting as a career by combining Agency 

efforts to define budget career paths, core competencies, leadership 

development, certification programs, and sharing of ideas in areas such as 

succession planning, retention and recruitment.

Products include recommendations on core competencies and proficiency 

levels; the bi-annual Forum devoted to bringing together budget 

professionals from across the Federal Government to broaden their 

understanding of the tools and training opportunities available to their budget 

offices; and training curricula for budget analysts, as well as no-cost training 

courses for budget staff and self-paced training modules. More are planned 

for fiscal year 2021. 

Current status: Thousands of Government employees have participated in

training through in-class, web-based, or facilitated online training sessions 

hosted by the Budget LoB. Regular panel discussions feature OMB or 
SALARIES AND EXPENSES OVERVIEW

X-22

Capability Objectives and Benefits

senior Agency budget staff focusing on specific budgeting related topics and

have been attended by over 4,120 individuals since the Department began 

hosting them. Brownbag discussion groups focusing on a deeper 

understanding of budget execution and on the Budget Career Road Map 

have been attended by over 1,760 people. An in-depth course focusing on 

Basic Budget Processes, first offered in 2013 and held 25 times, generally 

has a waiting list and has had strong participation from over 620 attendees. 

All of these opportunities are offered to Federal employees free of charge.

Risks

Type of 

Risk 1

Risk Description Mitigation Approach

Other Technology Maintaining ability to develop 

and field highest-quality IT 

services in the midst of rapid 

expansion of use without 

accompanying equal 

increase in available 

resources.

Work with product leads to encourage 

continued focus on quality and meeting 

requirements, implement updated 

procedures. Engage Agencies for more 

participation in development, fielding, 

and maintenance of solutions.

Other Management 

Oversight

Agency budget offices do not 

make use of the range of 

Budget LoB products and 

services available to them—

risk is unrealized cost 

avoidance/cost savings. 

Develop metrics and assess tools 

capabilities and whether they are 

optimized for Agency budget office use. 

1 Types of risk are categorized as either significant or other. If significant risks occur, they have substantial impact on 

the ability of the Line of Business to succeed. Other risks, while potentially serious, may not significantly impact the 

Line of Business and its ability to succeed.
SALARIES AND EXPENSES OVERVIEW

X-23

X-23

Line of Business IT Costs (dollars in thousands)

Costs by 

project 2012 2013 2014 2015 2016 2017 2018 2019 2020 2021

Planning $125 $116 $78 $95 $95 $95 $95 $95 $100 $120

Acquisition 350 375 178 265 265 265 265 265 371 421

Operations & 

Maint. 700 781 919 1105 1055 955 955 955 900 1080

Govt FTE 

Costs 238 244 100 100 100 100 100 100 100 100

 Total 1,413 1,516 1,275 1,565 1,515 1,415 1,415 1,415 1,471 1,721

FTE 2 2 1 1 1 1 1 1 1 1
SALARIES AND EXPENSES OVERVIEW

X-24

X-24

Anticipated Contributions to the Budget LoB by Agency (dollars in thousands)

AGENCY FY 2019 FY 2020 FY 2021

Department of Agriculture $110 $110 $120

Department of Commerce 110 110 120

Department of Defense--Military 110 110 120

Department of Education (direct funds) 110 110 120

Department of Energy 110 110 120

Department of Health and Human Services 110 110 120

Department of Homeland Security 110 110 120

Housing and Urban Development 110 110 120

Department of the Interior 110 110 120

Department of Justice 110 110 120

Department of Labor 110 110 120

Department of State 110 110 120

Department of Transportation 110 110 120

Department of the Treasury 110 110 120

Department of Veterans Affairs 110 110 120

US Army Corps of Engineers-Civil Works 80 80 80

Environmental Protection Agency 110 110 120

General Services Administration 110 110 120

National Aeronautics and Space Administration 110 110 120

National Science Foundation 110 110 120

USAID 110 110 120

Office of Personnel Management 110 110 120

Small Business Administration 55 55 60

Securities and Exchange Commission 0 0 60

Social Security Administration 55 55 60

Office of National Drug Control Policy 55 55 60
SALARIES AND EXPENSES OVERVIEW

X-25

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SALARIES AND EXPENSES OVERVIEW

X-26

GAO-IG Act – Table of Open Recommendations 

The following table satisfies the requirements of the Good Accounting Obligation in Government 

(GAO–IG) Act (P.L. 115-414).
X-27

X-27

ACN

Rec 

No. Audit Title Issuer

Final 

Report 

Issue Date Office

Audit 

Status Recommendation Text

Rec 

Status Status

GAO15-84 1 

Managing for Results: 

Selected Agencies 

Need to Take 

Additional Efforts to 

Improve Customer 

Service

GAO 10/24/2014 FSA Resolved

The Secretary of Education should direct Federal Student Aid's Chief 

Operating Officer, to improve Federal Student Aid's customer service 

standards and feedback review, to: (1) ensure standards are easily 

publicly available, (2) develop a feedback mechanism that includes 

guidance or criteria for service providers to elevate customer feedback 

to identify the need for and to make service improvements.

Resolved

The Corrective Action 

Plan has been developed 

and the recommendation 

is being implemented.

GAO15-314 1 

Higher Education: 

Better Management 

of Federal Grant and 

Loan Forgiveness 

Programs for 

Teachers Needed to 

Improve Participant 

Outcomes

GAO 3/26/2015 FSA Resolved

To enhance participation in and strengthen management of federal 

student aid programs for teachers, the Secretary of Education should 

direct Federal Student Aid's Chief Operating Officer to explore and 

implement ways to raise awareness about the TEACH Grant and the 

loan forgiveness programs.

Completed

Action has been taken. 

The recommendation 

remains open until all 

other recommendations 

have been complete. 

GAO15-314 2 

Higher Education: 

Better Management 

of Federal Grant and 

Loan Forgiveness 

Programs for 

Teachers Needed to 

Improve Participant 

Outcomes

GAO 3/26/2015 FSA Resolved

To enhance participation in and strengthen management of federal 

student aid programs for teachers, the Secretary of Education should 

direct Federal Student Aid's Chief Operating Officer to take steps to 

determine why participants are not able to meet TEACH Grant service 

requirements and examine ways to address those challenges.

Resolved

The Corrective Action 

Plan has been developed 

and the recommendation 

is being implemented.

GAO15-314 3 

Higher Education: 

Better Management 

of Federal Grant and 

Loan Forgiveness 

Programs for 

Teachers Needed to 

Improve Participant 

Outcomes

GAO 3/26/2015 FSA Resolved

To enhance participation in and strengthen management of federal 

student aid programs for teachers, the Secretary of Education should 

direct Federal Student Aid's Chief Operating Officer to review the 

underlying cause of the known erroneous conversions to ensure steps 

Education has taken are sufficient to address the problem, and 

establish time frames for transferring the approximately 2,600 loan 

conversions currently with other loan servicers.

Resolved

The Corrective Action 

Plan has been developed 

and the recommendation 

is being implemented.

GAO15-314 4 

Higher Education: 

Better Management 

of Federal Grant and 

Loan Forgiveness 

Programs for 

Teachers Needed to 

Improve Participant 

Outcomes

GAO 3/26/2015 FSA Resolved

To enhance participation in and strengthen management of federal 

student aid programs for teachers, the Secretary of Education should 

direct Federal Student Aid's Chief Operating Officer to review the 

TEACH grant-to-loan conversion dispute process and disseminate to 

appropriate audiences clear, consistent information on it, including 

that recipients have an option to dispute, how to initiate a dispute, and 

the specific criteria considered in the adjudicating process.

Resolved

The Corrective Action 

Plan has been developed 

and the recommendation 

is being implemented.

GAO15-314 5 

Higher Education: 

Better Management 

of Federal Grant and 

Loan Forgiveness 

Programs for 

Teachers Needed to 

Improve Participant 

Outcomes

GAO 3/26/2015 FSA Resolved

To enhance participation in and strengthen management of federal 

student aid programs for teachers, the Secretary of Education should 

direct Federal Student Aid's Chief Operating Officer to establish 

program performance measures for the TEACH Grant and the loan 

forgiveness programs to assess against established goals and to 

inform program administration.

Completed

Action has been taken. 

The recommendation 

remains open until all 

other recommendations 

have been complete. 
X-28

X-28

ACN

Rec 

No. Audit Title Issuer

Final 

Report 

Issue Date Office

Audit 

Status Recommendation Text

Rec 

Status Status

GAO15-663 1 

Federal Student 

Loans: Education 

Could Do More to 

Help Ensure 

Borrowers Are Aware 

of Repayment and 

Forgiveness Options

GAO 9/17/2015 FSA Completed

To help ensure that Income-Based Repayment, Pay As You Earn, and 

Public Service Loan Forgiveness serve their intended beneficiaries to 

the greatest extent possible, the Secretary of Education should take 

steps to consistently and regularly notify all borrowers who have 

entered repayment of income-driven repayment plan options, 

including Income-Based Repayment and Pay As You Earn.

Completed

GAO reviewed the 

supporting 

documentation; the 

Department is gathering 

additional supporting 

documentation before 

the recommendation will 

be closed.

GAO15-663 2 

Federal Student 

Loans: Education 

Could Do More to 

Help Ensure 

Borrowers Are Aware 

of Repayment and 

Forgiveness Options

GAO 9/17/2015 FSA Completed

To help ensure that Income-Based Repayment, Pay As You Earn, and 

Public Service Loan Forgiveness serve their intended beneficiaries to 

the greatest extent possible, the Secretary of Education should take 

steps to examine borrower awareness of Public Service Loan 

Forgiveness and increase outreach about the program as needed.

Completed

GAO reviewed the 

supporting 

documentation; the 

Department is gathering 

additional supporting 

documentation before 

the recommendation will 

be closed.

GAO16-

196T

1 

Federal Student 

Loans: Key 

Weaknesses Limit 

Education’s 

Management of 

Contractors

GAO 11/18/2015 FSA Resolved

To strengthen management of the Direct Loan Program and ensure 

good customer service for borrowers, the Secretary of Education 

should direct the Office of Federal Student Aid's Chief Operating 

Officer to review its methods of providing instructions and guidance to 

servicers, identifying areas to improve clarity and sufficiency, and 

ensure consistent delivery of instructions and guidance to ensure 

program integrity and improve service to borrowers. For example, the 

Department could consider implementing a detailed, common 

servicing manual for the Direct Loan program.

Resolved

The Corrective Action 

Plan has been developed 

and the recommendation 

is being implemented.

GAO16-

196T

2 

Federal Student 

Loans: Key 

Weaknesses Limit 

Education’s 

Management of 

Contractors

GAO 11/18/2015 FSA Resolved

To strengthen management of the Direct Loan Program and ensure 

good customer service for borrowers, the Secretary of Education 

should direct the Office of Federal Student Aid's Chief Operating 

Officer to implement a more rigorous methodology for selecting 

recorded calls between servicers and borrowers to review, including a 

clearer definition of the sample servicers should select, a sample that 

targets more critical and more frequent types of calls, and a 

verification process to ensure integrity of the call selection process.

Completed

Action has been taken. 

The recommendation 

remains open until all 

other recommendations 

have been complete. 

GAO16-

196T

3 

Federal Student 

Loans: Key 

Weaknesses Limit 

Education’s 

Management of 

Contractors

GAO 11/18/2015 FSA Resolved

To strengthen management of the Direct Loan Program and ensure 

good customer service for borrowers, the Secretary of Education 

should direct the Office of Federal Student Aid's Chief Operating 

Officer to better document call monitoring results to allow analysis of 

trends over time and facilitate the sharing of complete and consistent 

information from these efforts with FSA management.

Completed

Action has been taken. 

The recommendation 

remains open until all 

other recommendations 

have been complete. 

GAO16-523 1 

Federal Student 

Loans: Education 

Could Improve Direct 

Loan Program 

Customer Service 

and Oversight

GAO 6/22/2016 FSA Resolved

To help address Education's strategic goal of providing superior 

customer service to borrowers, and to strengthen oversight of the 

Direct Loan program, the Secretary of Education should develop a 

minimum standard that specifies core call center operating hours to 

provide borrowers, including those on the West Coast, with improved 

access to servicers.

Resolved

The Corrective Action 

Plan has been developed 

and the recommendation 

is being implemented.

GAO16-523 2 Federal Student 

Loans: Education GAO 6/22/2016 FSA Resolved To help address Education's strategic goal of providing superior customer service to borrowers, and to strengthen oversight of the Resolved The Corrective Action Plan has been developed 
X-29

X-29

ACN

Rec 

No. Audit Title Issuer

Final 

Report 

Issue Date Office

Audit 

Status Recommendation Text

Rec 

Status Status

Could Improve Direct 

Loan Program 

Customer Service 

and Oversight

Direct Loan program, the Secretary of Education should ensure the 

new unified borrower complaint tracking system includes 

comprehensive and comparable information on the nature and status 

of borrower complaints made to both Education and servicers, to allow 

Education to track trends and better manage the program to 

effectively meet borrower needs.

and the recommendation 

is being implemented.

GAO16-523 3 

Federal Student 

Loans: Education 

Could Improve Direct 

Loan Program 

Customer Service 

and Oversight

GAO 6/22/2016 FSA Resolved

To help address Education's strategic goal of providing superior 

customer service to borrowers, and to strengthen oversight of the 

Direct Loan program, the Secretary of Education should evaluate and 

make needed adjustments to Direct Loan servicer performance 

metrics and compensation to improve assessment, including using 

baseline data, and alignment with Federal Student Aid's strategic 

goals aimed at superior customer service and program integrity, and 

to ensure that the assignment of new loans to servicers takes program 

compliance into account.

Resolved

The Corrective Action 

Plan has been developed 

and the recommendation 

is being implemented.

GAO17-45 1 

Social Security 

Offsets: 

Improvements to 

Program Design 

Could Better Assist 

Older Student Loan 

Borrowers with 

Obtaining Permitted 

Relief

GAO 12/20/2016 FSA Resolved

To improve program design for Social Security offsets and related 

relief options, the Secretary of Education should inform affected 

borrowers of the suspension of offset and potential consequences if 

the borrower does not take action to apply for a TPD discharge. Such 

information could include notification that interest continues to accrue 

and that offsets may resume once their disability benefits are 

converted to retirement benefits.

Completed

Action has been taken. 

The recommendation 

remains open until all 

other recommendations 

have been complete. 

GAO17-45 2 

Social Security 

Offsets: 

Improvements to 

Program Design 

Could Better Assist 

Older Student Loan 

Borrowers with 

Obtaining Permitted 

Relief

GAO 12/20/2016 FSA Resolved

To improve program design for Social Security offsets and related 

relief options, the Secretary of Education should revise forms sent to 

borrowers already approved for a TPD discharge to clearly and 

prominently state that failure to provide annual income verification 

documentation during the 3-year monitoring period will result in loan 

reinstatement.

Resolved

The Corrective Action 

Plan has been developed 

and the recommendation 

is being implemented.

GAO17-45 3 

Social Security 

Offsets: 

Improvements to 

Program Design 

Could Better Assist 

Older Student Loan 

Borrowers with 

Obtaining Permitted 

Relief

GAO 12/20/2016 FSA Resolved

To improve program design for Social Security offsets and related 

relief options, the Secretary of Education should evaluate the 

feasibility and benefits of implementing an automated income 

verification process, including determining whether the agency has the 

necessary legal authority to implement such a process.

Completed

Action has been taken. 

The recommendation 

remains open until all 

other recommendations 

have been complete. 

GAO17-45 4 

Social Security 

Offsets: 

Improvements to 

Program Design 

Could Better Assist 

GAO 12/20/2016 FSA Resolved

To improve program design for Social Security offsets and related 

relief options, the Secretary of Education should inform borrowers 

about the financial hardship exemption option and application process 

on the agency's website, as well as the notice of offset sent to 

borrowers.

Completed

Action has been taken. 

The recommendation 

remains open until all 

other recommendations 

have been complete. 
X-30

X-30

ACN

Rec 

No. Audit Title Issuer

Final 

Report 

Issue Date Office

Audit 

Status Recommendation Text

Rec 

Status Status

Older Student Loan 

Borrowers with 

Obtaining Permitted 

Relief

GAO17-45 5 

Social Security 

Offsets: 

Improvements to 

Program Design 

Could Better Assist 

Older Student Loan 

Borrowers with 

Obtaining Permitted 

Relief

GAO 12/20/2016 FSA Resolved

To improve program design for Social Security offsets and related 

relief options, the Secretary of Education should implement an annual 

review process to ensure that only eligible borrowers are exempted 

from offset for financial hardship on an ongoing basis.

Resolved

The Corrective Action 

Plan has been developed 

and the recommendation 

is being implemented.

GAO17-555 1 

Higher Education: 

Education Should 

Address Oversight 

and Communication 

Gaps in Its Monitoring 

of the Financial 

Condition of Schools

GAO 10/5/2017 FSA Resolved

To improve oversight of school finances and provide better 

information to schools and the public about its monitoring efforts, the 

Chief Operating Officer of the Office of Federal Student Aid should 

update the composite score formula to better measure schools' 

financial conditions and capture financial risks.

Completed

Action has been taken. 

The recommendation 

remains open until all 

other recommendations 

have been complete. 

GAO17-555 2 

Higher Education: 

Education Should 

Address Oversight 

and Communication 

Gaps in Its Monitoring 

of the Financial 

Condition of Schools

GAO 10/5/2017 FSA Resolved

To improve oversight of school finances and provide better 

information to schools and the public about its monitoring efforts, the 

Chief Operating Officer of the Office of Federal Student Aid should 

improve guidance to schools about how the financial composite score 

is calculated, for example, by updating current guidance to include 

explanations about common areas of confusion and misinterpretation 

for schools.

Resolved

The Corrective Action 

Plan has been developed 

and the recommendation 

is being implemented.

GAO17-555 3 

Higher Education: 

Education Should 

Address Oversight 

and Communication 

Gaps in Its Monitoring 

of the Financial 

Condition of Schools

GAO 10/5/2017 FSA Resolved

To improve oversight of school finances and provide better 

information to schools and the public about its monitoring efforts, the 

Chief Operating Officer of the Office of Federal Student Aid should 

increase the transparency of public data on schools' financial health 

by publicly listing the final composite score for each school.

Completed

Action has been taken. 

The recommendation 

remains open until all 

other recommendations 

have been complete. 

A17-

R0002 1 

FY 2017 FSA 

Financial Statement 

Audit

OIG 11/13/2017 FSA Resolved

(Significant) 1. We recommend FSA's Chief Administration Officer 

develop and implement a monitoring process over FSA's personnel 

security activities to ensure investigations and reinvestigations are 

prioritized for personnel with sensitive system access within the 

Department.

Resolved

The Corrective Action 

Plan has been developed 

and the recommendation 

is being implemented.

A17-

R0002 1 

FY 2017 FSA 

Financial Statement 

Audit

OIG 11/13/2017 FSA Resolved

(Significant) 1. We recommend that the FSA Chief Operating Officer 

continue to execute the corrective actions as outlined in FSA's project 

plan to comply with the timing requirement for the referral of 

delinquent non-tax debts.

Resolved

The Corrective Action 

Plan has been developed 

and the recommendation 

is being implemented.

A17-

R0002 1 

FY 2017 FSA 

Financial Statement 

Audit

OIG 11/13/2017 FSA Resolved

(Significant) 1. We recommend the FSA Chief Financial Officer 

support the efforts of the Director, Budget Service to develop and 

document the Department's process, policies and procedures for the 

Completed

Action has been taken. 

The recommendation 

remains open until all 
X-31

X-31

ACN

Rec 

No. Audit Title Issuer

Final 

Report 

Issue Date Office

Audit 

Status Recommendation Text

Rec 

Status Status

authorization, design, development, testing, approval and 

implementation of new models and model enhancements.

other recommendations 

have been complete. 

A17-

R0002 2 

FY 2017 FSA 

Financial Statement 

Audit

OIG 11/13/2017 FSA Resolved

(Significant) 2. We recommend the FSA Chief Financial Officer 

support the efforts of the Director, Budget Service to document the 

Department's process, policies, procedures and related controls for 

managing the operation and use of approved models.

Completed

Action has been taken. 

The recommendation 

remains open until all 

other recommendations 

have been complete. 

A17-

R0002 2 

FY 2017 FSA 

Financial Statement 

Audit

OIG 11/13/2017 FSA Resolved

(Significant) 2. We recommend the FSA CISO work with the 

Department CISO to strengthen and refine the process for holding 

system owners and information system security officers accountable 

for remediation of control deficiencies and ensuring that the 

appropriate security posture is maintained for Department and FSA 

information systems.

Completed

Action has been taken. 

The recommendation 

remains open until all 

other recommendations 

have been complete. 

A17-

R0002 3 

FY 2017 FSA 

Financial Statement 

Audit

OIG 11/13/2017 FSA Resolved

(Significant) 3. We recommend the FSA Chief Financial Officer 

support the efforts of the Director, Budget Service to enhance the 

process to capture model risks, update the assessment of risks 

related to each model, and document how that assessment impacts 

the Department's prioritization of corrective actions, and requisite level 

of controls, validation and monitoring over each model.

Completed

Action has been taken. 

The recommendation 

remains open until all 

other recommendations 

have been complete. 

A17-

R0002 4 

FY 2017 FSA 

Financial Statement 

Audit

OIG 11/13/2017 FSA Resolved

(Significant) 4. We recommend the FSA Chief Financial Officer 

support the efforts of the Director, Budget Service to document and 

enhance the Department's processes, policies, procedures and 

related controls for the periodic review, validation and approval of the 

Department's models at the assumption, model and program level.

Completed

Action has been taken. 

The recommendation 

remains open until all 

other recommendations 

have been complete. 

A17-

R0002 5 

FY 2017 FSA 

Financial Statement 

Audit

OIG 11/13/2017 FSA Resolved

(Significant) 5. We recommend the FSA Chief Financial Officer 

support the efforts of the Director, Budget Service to document the 

overall review and conclusions drawn related to the evaluation of the 

results of model performance reviews and validation procedures 

performed.

Completed

Action has been taken. 

The recommendation 

remains open until all 

other recommendations 

have been complete. 

A17-

R0002 6 

FY 2017 FSA 

Financial Statement 

Audit

OIG 11/13/2017 FSA Resolved

(Significant) 6. We recommend the FSA Chief Financial Officer 

support the efforts of the Director, Budget Service to ensure modeling 

risks are considered in connection with the Department's enterprise 

risk management program.

Completed

Action has been taken. 

The recommendation 

remains open until all 

other recommendations 

have been complete. 

A17-

R0002 7 

FY 2017 FSA 

Financial Statement 

Audit

OIG 11/13/2017 FSA Resolved

(Significant) 7. We recommend the FSA Chief Financial Officer ensure 

modeling risks are considered in connection with FSA's enterprise risk 

management program.

Completed

Action has been taken. 

The recommendation 

remains open until all 

other recommendations

have been complete. 

I04-

R0003 1 

FSA Borrower 

Defense to 

Repayment Loan 

Discharge Process

OIG 12/8/2017 FSA Resolved

(Significant) We recommend the Chief Operating Officer for FSA -1. 

Request approval from the Acting Under Secretary to resume the 

review, approval, and discharge processes for claims qualifying under 

the seven established categories, including claims that have been 

flagged for approval.

Completed

Action has been taken. 

The recommendation 

remains open until all 

other recommendations 

have been complete. 

I04-

R0003 1 FSA Borrower 

Defense to OIG 12/8/2017 FSA Resolved

(Significant) We recommend the Chief Operating Officer for FSA- 1. 

Implement an information system that (a) maintains quality information 

regarding borrower defense claims, process status, and decision 

Resolved

Action has been taken. 

The recommendation 

remains open until all 
X-32

X-32

ACN

Rec 

No. Audit Title Issuer

Final 

Report 

Issue Date Office

Audit 

Status Recommendation Text

Rec 

Status Status

Repayment Loan 

Discharge Process

outcomes; (b) allows for claim data queries for all stages of claim 

review; and (c) contains controls to protect the integrity of the claims 

data.

other recommendations 

have been complete. 

I04-

R0003 2 

FSA Borrower 

Defense to

Repayment Loan 

Discharge Process

OIG 12/8/2017 FSA Resolved

(Significant) We recommend the Chief Operating Officer for FSA— -2. 

Request approval from the Acting Under Secretary to resume 

consideration and determination of whether additional categories of 

claims with common facts qualify for discharge.

Completed

Action has been taken. 

The recommendation 

remains open until all 

other recommendations 

have been complete. 

I04-

R0003 3 

FSA Borrower 

Defense to

Repayment Loan 

Discharge Process

OIG 12/8/2017 FSA Resolved

(Significant) We recommend the Chief Operating Officer for FSA— -3. 

Ensure consistent documentation of the review and approval of legal 

memoranda or other findings used to justify discharges.

Completed

Action has been taken. 

The recommendation 

remains open until all 

other recommendations 

have been complete. 

I04-

R0003 4 

FSA Borrower 

Defense to

Repayment Loan 

Discharge Process

OIG 12/8/2017 FSA Resolved

(Significant) We recommend the Chief Operating Officer for FSA— - 

4. Confirm and document OGC advice on the (1) discharge of Everest 

and WyoTech job placement misrepresentation rate claims and (2) the 

amount of relief for all job placement rate misrepresentation claims.

Completed

Action has been taken. 

The recommendation 

remains open until all 

other recommendations 

have been complete. 

I04-

R0003 5 

FSA Borrower 

Defense to

Repayment Loan 

Discharge Process

OIG 12/8/2017 FSA Resolved

(Significant) We recommend the Chief Operating Officer for FSA— - 

5. Establish and document policies and procedures for reviewing and 

making determinations on unique or other claims for which FSA has 

no associated legal memorandum.

Resolved

Action has been taken. 

The recommendation 

remains open until all 

other recommendations 

have been complete. 

I04-

R0003 6 

FSA Borrower 

Defense to

Repayment Loan 

Discharge Process

OIG 12/8/2017 FSA Resolved

(Significant) We recommend the Chief Operating Officer for FSA— - 

6. Document and maintain readily available evidence for all quality 

control reviews.

Completed

Action has been taken. 

The recommendation 

remains open until all 

other recommendations 

have been complete. 

I04-

R0003 7 

FSA Borrower 

Defense to

Repayment Loan 

Discharge Process

OIG 12/8/2017 FSA Resolved

(Significant) We recommend the Chief Operating Officer for FSA— -

7. Establish and document policies and procedures for discharging 

loans associated with approved claims with certain characteristics. 

These characteristics include (a) borrowers enrolled in multiple 

programs and at least one program is eligible for relief, (b) the 

borrower received a loan disbursement after the school closed, (c) the 

discharge is impacted by a State’s statute of limitations, and (d) the 

borrower’s loan is a Federal Family Education Loan program loan or a 

Perkins loan.

Resolved

The Corrective Action 

Plan has been developed 

and the recommendation 

is being implemented.

I04-

R0003 8 

FSA Borrower 

Defense to

Repayment Loan 

Discharge Process

OIG 12/8/2017 FSA Resolved

(Significant) We recommend the Chief Operating Officer for FSA— - 

8. Establish and document policies and procedures for closing out and 

issuing decisions on borrower defense claims flagged for denial.

Resolved

The Corrective Action 

Plan has been developed 

and the recommendation 

is being implemented.

I04-

R0003 9 

FSA Borrower 

Defense to

Repayment Loan 

Discharge Process

OIG 12/8/2017 FSA Resolved

(Significant) We recommend the Chief Operating Officer for FSA— -

9. Establish timeframes for the claim’s intake, claims review, loan 

discharge, and claims denial processes and develop controls to 

ensure timeframes are met.

Resolved

The Corrective Action 

Plan has been developed 

and the recommendation 

is being implemented.

GAO18-121 1 Federal Student Aid: 

Better Program GAO 12/15/2017 FSA Completed The Secretary of Education should direct the Chief Operating Officer of FSA to establish and document a procedure for the destruction of Completed GAO reviewed the supporting 
X-33

X-33

ACN

Rec 

No. Audit Title Issuer

Final 

Report 

Issue Date Office

Audit 

Status Recommendation Text

Rec 

Status Status

Management and 

Oversight of 

Postsecondary 

Schools Needed to 

Protect Student 

Information

records contained in electronic systems in accordance with approved 

disposition schedules.

documentation; the 

Department is gathering 

additional supporting 

documentation before 

the recommendation will 

be closed.

GAO18-121 2 

Federal Student Aid: 

Better Program 

Management and 

Oversight of 

Postsecondary 

Schools Needed to 

Protect Student 

Information

GAO 12/15/2017 FSA Completed The Secretary of Education should direct the Chief Operating Officer 

of FSA to ensure staff receive records management training annually. Completed

GAO reviewed the 

supporting 

documentation; the 

Department is gathering 

additional supporting 

documentation before 

the recommendation will 

be closed.

GAO18-121 3 

Federal Student Aid: 

Better Program 

Management and 

Oversight of 

Postsecondary 

Schools Needed to 

Protect Student 

Information

GAO 12/15/2017 FSA Completed

The Secretary of Education should direct the Chief Operating Officer 

of FSA to conduct the triennial assessment of the FSA records 

management program.

Completed

GAO reviewed the 

supporting 

documentation; the 

Department is gathering

additional supporting 

documentation before 

the recommendation will 

be closed.

GAO18-121 4 

Federal Student Aid: 

Better Program 

Management and 

Oversight of 

Postsecondary 

Schools Needed to 

Protect Student 

Information

GAO 12/15/2017 FSA Completed

The Secretary of Education should direct the Chief Operating Officer 

of FSA to ensure that privacy impact assessments address all 

required elements.

Completed

GAO reviewed the 

supporting 

documentation; the 

Department is gathering 

additional supporting 

documentation before 

the recommendation will 

be closed.

GAO18-121 5 

Federal Student Aid: 

Better Program 

Management and 

Oversight of 

Postsecondary 

Schools Needed to 

Protect Student 

Information

GAO 12/15/2017 FSA Completed

The Secretary of Education should direct the Chief Operating Officer 

of FSA to ensure that information security-related policies and 

procedures are reviewed at least annually, in accordance with FSA 

policy; updated as needed; and approved by security officials.

Completed

GAO reviewed the 

supporting 

documentation; the 

Department is gathering 

additional supporting 

documentation before 

the recommendation will 

be closed.

GAO18-121 6 

Federal Student Aid: 

Better Program 

Management and 

Oversight of 

Postsecondary 

Schools Needed to 

Protect Student 

Information

GAO 12/15/2017 FSA Completed

The Secretary of Education should incorporate into its program review 

process the review of postsecondary schools' information security 

program requirements.

Completed

GAO reviewed the 

supporting 

documentation; the 

Department is gathering 

additional supporting 

documentation before 

the recommendation will 

be closed.
X-34

X-34

ACN

Rec 

No. Audit Title Issuer

Final 

Report 

Issue Date Office

Audit 

Status Recommendation Text

Rec 

Status Status

GAO18-121 7 

Federal Student Aid: 

Better Program 

Management and 

Oversight of 

Postsecondary 

Schools Needed to 

Protect Student 

Information

GAO 12/15/2017 FSA Completed

The Secretary of Education should update its regulation to include 

protections of personal information as an element of a school's ability 

to demonstrate its administrative capability.

Completed

GAO reviewed the 

supporting 

documentation; the 

Department is gathering 

additional supporting 

documentation before 

the recommendation will 

be closed.

A19-

R0003 1 

Review of FSA 

Contractor Security 

Screening Process

OIG 4/17/2018 FSA Resolved

(Significant) We recommend that the Chief Operating Officer for FSA:

2.1 Identify and begin tracking all active contractor employees 

assigned to FSA contracts, along with their risk level and any IT 

access, to ensure that all contractor employees have undergone 

security screenings at appropriate risk levels as required by 

Department policy. For those who have not, take immediate action to 

complete the security screenings and/or deny further access to 

Department facilities, systems, and information until appropriate 

security screenings are completed or required screening information is 

submitted. Alert the Department CISO of the condition.

Resolved

The Corrective Action 

Plan has been developed 

and the recommendation 

is being implemented.

A19-

R0003 1 

Review of FSA 

Contractor Security 

Screening Process

OIG 4/17/2018 FSA Resolved

(Significant) We recommend that the Chief Operating Officer for FSA: 

1.1 Ensure that staff involved in the contractor personnel security 

screening process are aware of and comply with the Directive 

requirements, to include any subsequent updates to the requirements, 

and fulfill their responsibilities for processing security screenings.

Resolved

The Corrective Action 

Plan has been developed 

and the recommendation 

is being implemented.

A19-

R0003 2 

Review of FSA 

Contractor Security 

Screening Process

OIG 4/17/2018 FSA Resolved

(Significant) We recommend that the Chief Operating Officer for FSA:

1.2 Develop written policies and procedures to comply with the 

Directive, to include explanations of the key duties to be performed by 

specific FSA staff, requirements of the contract positions and risk 

designation process including the use of Position Designation 

Records, and other internal requirements for the FSA contractor 

personnel security screening process, as well as contractor employee 

departure procedures. 

Resolved

The Corrective Action 

Plan has been developed 

and the recommendation 

is being implemented.

A19-

R0003 2 

Review of FSA 

Contractor Security 

Screening Process

OIG 4/17/2018 FSA Resolved

(Significant) We recommend that the Chief Operating Officer for FSA:

2.2 Determine through system security audit logs and other 

appropriate validation processes, if there were instances of 

unauthorized access to Department information and systems and 

report appropriately, at a minimum to the Department's CISO.

Completed

Action has been taken. 

The recommendation 

remains open until all 

other recommendations 

have been complete. 

A19-

R0003 3 

Review of FSA 

Contractor Security 

Screening Process

OIG 4/17/2018 FSA Resolved

(Significant) We recommend that the Chief Operating Officer for FSA:

1.3 Have appropriate FSA staff develop and approve complete 

position category listings and associated risk level designations for all 

contractor positions on each contract, through FSA justification of 

position responsibilities and access, and through reconciliation of 

current contract position risk levels and any available position risk 

level designation records.

Completed

Action has been taken. 

The recommendation 

remains open until all 

other recommendations 

have been complete. 

A19-

R0003 3 

Review of FSA 

Contractor Security 

Screening Process

OIG 4/17/2018 FSA Resolved

(Significant) We recommend that the Chief Operating Officer for FSA:

2.3 Ensure that security screenings and reinvestigations are initiated 

within the timeframes established by the Directive. Resolved

The Corrective Action 

Plan has been developed 

and the recommendation 

is being implemented.
X-35

X-35

ACN

Rec 

No. Audit Title Issuer

Final 

Report 

Issue Date Office

Audit 

Status Recommendation Text

Rec 

Status Status

A19-

R0003 4 

Review of FSA 

Contractor Security 

Screening Process

OIG 4/17/2018 FSA Resolved

(Significant) We recommend that the Chief Operating Officer for FSA:

1.4 Ensure that screenings are initiated at the appropriate risk level 

based on the contractor employee's position risk level that was 

classified and approved by FSA.

Completed

Action has been taken. 

The recommendation 

remains open until all 

other recommendations 

have been complete. 

A19-

R0003 4 

Review of FSA 

Contractor Security 

Screening Process

OIG 4/17/2018 FSA Resolved

(Significant) We recommend that the Chief Operating Officer for FSA:

2.4 Ensure that all contractor employees complete the appropriate 

screening steps before receiving access to IT systems or Department 

sensitive or Privacy Act-protected information.

Completed

Action has been taken. 

The recommendation 

remains open until all 

other recommendations 

have been complete. 

A19-

R0003 5 

Review of FSA 

Contractor Security 

Screening Process

OIG 4/17/2018 FSA Resolved

(Significant) We recommend that the Chief Operating Officer for FSA:

1.5 Coordinate with OM to learn the adjudication results of current 

contractor employees assigned to FSA contracts to ensure that all 

contractor employees either have a screening initiated or have been 

appropriately cleared to work on Department contracts.

Completed

Action has been taken. 

The recommendation 

remains open until all 

other recommendations 

have been complete. 

A19-

R0003 5 

Review of FSA 

Contractor Security 

Screening Process

OIG 4/17/2018 FSA Resolved

(Significant) We recommend that the Chief Operating Officer for FSA:

2.5 Ensure that contractor employees review and sign applicable 

Rules of Behavior for IT systems they are accessing.

Completed

Action has been taken. 

The recommendation 

remains open until all 

other recommendations 

have been complete. 

A19-

R0003 6 

Review of FSA 

Contractor Security 

Screening Process

OIG 4/17/2018 FSA Resolved

(Significant) We recommend that the Chief Operating Officer for FSA:

1.6 Monitor the screening status of contractor employees until final 

OM adjudication decisions are made.

Completed

Action has been taken. 

The recommendation 

remains open until all 

other recommendations 

have been complete. 

A19-

R0003 6 

Review of FSA 

Contractor Security 

Screening Process

OIG 4/17/2018 FSA Resolved

(Significant) We recommend that the Chief Operating Officer for 

FSA:2.6 Ensure that ISSOs maintain and exercise access approval 

rights over any IT systems that contain or can access sensitive 

Department data, whether owned by the Department or by the 

contractor, and modify applicable contracts accordingly to reflect the 

FSA ISSO approval rights.

Completed

Action has been taken. 

The recommendation 

remains open until all 

other recommendations 

have been complete. 

A19-

R0003 7 

Review of FSA 

Contractor Security 

Screening Process

OIG 4/17/2018 FSA Resolved

(Significant) We recommend that the Chief Operating Officer for FSA:

1.7 Maintain all information and records required by the Directive, to 

include up-to-date listings of all contractor employees assigned to 

FSA contracts and records of OM adjudication decisions for all 

contractor employees assigned to FSA contracts.

Completed

Action has been taken. 

The recommendation 

remains open until all 

other recommendations 

have been complete. 

A19-

R0003 7 

Review of FSA 

Contractor Security 

Screening Process

OIG 4/17/2018 FSA Resolved

(Significant) We recommend that the Chief Operating Officer for FSA:

2.7 Ensure that any contractor employees with discontinued or 

rejected investigations have all access to sensitive Department 

information, including any IT access, discontinued until appropriate 

screening steps have been completed. Alert the Department CISO 

should this condition exist.

Resolved

The Corrective Action 

Plan has been developed 

and the recommendation 

is being implemented.

A19-

R0003 8 

Review of FSA 

Contractor Security 

Screening Process

OIG 4/17/2018 FSA Resolved

(Significant) We recommend that the Chief Operating Officer for FSA:

1.8 Ensure that all contractor employee departures are reported to 

OM as required and inform contractor companies on a regular basis of 

Resolved The Corrective Action 

Plan has been developed 
X-36

X-36

ACN

Rec 

No. Audit Title Issuer

Final 

Report 

Issue Date Office

Audit 

Status Recommendation Text

Rec 

Status Status

their responsibility to notify FSA of contractor employee departures. 

Also ensure that contractors provide PIV cards to the COR upon 

contractor employee departure, as required.

and the recommendation 

is being implemented.

A19-

R0003 8 

Review of FSA 

Contractor Security 

Screening Process

OIG 4/17/2018 FSA Resolved

(Significant) We recommend that the Chief Operating Officer for FSA:

2.8 Ensure that all non-U.S. citizens, current and prospective, are 

permitted to work on Department contracts only after appropriate 

steps have been taken with regard to waiver documentation, as 

required by the Directive. 

Completed

Action has been taken. 

The recommendation 

remains open until all 

other recommendations 

have been complete. 

A19-

R0003 9 

Review of FSA 

Contractor Security 

Screening Process

OIG 4/17/2018 FSA Resolved

(Significant) We recommend that the Chief Operating Officer for FSA:

2.9 Ensure that FSA staff are aware of and have an understanding of 

their responsibilities and applicable policies and procedures.

Completed

Action has been taken. 

The recommendation 

remains open until all 

other recommendations 

have been complete. 

GAO18-163 1 

Federal Student 

Loans: Actions 

Needed to Improve 

Oversight of Schools' 

Default Rates

GAO 4/30/2018 FSA Resolved

The Chief Operating Officer of the Office of Federal Student Aid 

should increase the transparency of the data Education publicly 

reports on school sanctions by adding information on the number of 

schools that are annually sanctioned and the frequency and success 

rate of appeals.

Resolved

The Corrective Action 

Plan has been developed 

and the recommendation 

is being implemented.

GAO18-518 1 

Cybersecurity: Office 

of Federal Student 

Aid Should Take 

Additional Steps to 

Oversee Non-School 

Partners' Protection 

of Borrower 

Information

GAO 9/17/2018 FSA Resolved

The Secretary of Education should enroll loan servicers in FSA's 

continuous monitoring program and, in the interim, require these 

entities to report the results of security controls testing at an FSAdefined frequency.

Completed

Action has been taken. 

The recommendation 

remains open until all 

other recommendations 

have been complete. 

GAO18-518 2 

Cybersecurity: Office 

of Federal Student 

Aid Should Take 

Additional Steps to 

Oversee Non-School 

Partners' Protection 

of Borrower 

Information

GAO 9/17/2018 FSA Resolved

The Secretary of Education should enroll private collection agencies in 

FSA's continuous monitoring program, and, in the interim, require 

these entities to test all controls at an FSA-defined frequency and 

regularly report the results.

Completed

Action has been taken. 

The recommendation 

remains open until all 

other recommendations 

have been complete. 

GAO18-518 3 

Cybersecurity: Office 

of Federal Student 

Aid Should Take 

Additional Steps to 

Oversee Non-School 

Partners' Protection 

of Borrower 

Information

GAO 9/17/2018 FSA Resolved

The Secretary of Education should modify FSA's agreements with 

guaranty agencies to specify a required baseline of security controls 

based on the impact level of the information shared with these 

agencies, as determined by FSA.

Resolved

The Corrective Action 

Plan has been developed 

and the recommendation 

is being implemented.

GAO18-518 4 

Cybersecurity: Office 

of Federal Student 

Aid Should Take 

Additional Steps to 

Oversee Non-School 

GAO 9/17/2018 FSA Resolved

The Secretary of Education should establish a process for continuous 

monitoring of guaranty agencies' implementation of security and 

privacy requirements between on-site assessments, to include testing 

all controls at an FSA-defined frequency and regularly reporting 

results.

Completed

Action has been taken. 

The recommendation 

remains open until all 

other recommendations 

have been complete. 
X-37

X-37

ACN

Rec 

No. Audit Title Issuer

Final 

Report 

Issue Date Office

Audit 

Status Recommendation Text

Rec 

Status Status

Partners' Protection 

of Borrower 

Information

GAO18-518 5 

Cybersecurity: Office 

of Federal Student 

Aid Should Take 

Additional Steps to 

Oversee Non-School 

Partners' Protection 

of Borrower 

Information

GAO 9/17/2018 FSA Resolved

The Secretary of Education should include specific security and 

privacy requirements in agreements with the Federal Family 

Education Loan (FFEL) Program lenders based on FSA's 

categorization of the information shared with the lenders.

Completed

Action has been taken. 

The recommendation 

remains open until all 

other recommendations 

have been complete. 

GAO18-518 6 

Cybersecurity: Office 

of Federal Student 

Aid Should Take 

Additional Steps to 

Oversee Non-School 

Partners' Protection 

of Borrower 

Information

GAO 9/17/2018 FSA Resolved

The Secretary of Education should develop policies and procedures to 

gain assurance that FFEL lenders have appropriate security and 

privacy controls in place and that these controls are being regularly 

tested and monitored.

Completed

Action has been taken. 

The recommendation 

remains open until all 

other recommendations 

have been complete. 

GAO18-547 1 

Public Service Loan 

Forgiveness: 

Education Needs to 

Provide Better 

Information for the 

Loan Servicer and 

Borrowers

GAO 9/27/2018 FSA Resolved

The Chief Operating Officer of the Office of Federal Student Aid 

should develop a timeline for issuing a comprehensive guidance and 

instructions document for PSLF servicing. This could involve 

developing a new servicing manual or expanding upon the PSLF 

servicer's existing processing handbook.

Resolved

The Corrective Action 

Plan has been developed 

and the recommendation 

is being implemented.

GAO18-547 2 

Public Service Loan 

Forgiveness: 

Education Needs to 

Provide Better 

Information for the 

Loan Servicer and 

Borrowers

GAO 9/27/2018 FSA Resolved

The Chief Operating Officer of the Office of Federal Student Aid 

should provide additional information to the PSLF servicer and 

borrowers to enhance their ability to determine which employers 

qualify for PSLF. This could involve Education developing an 

authoritative list of qualifying employers or improving the PSLF 

servicer's existing database and making this information available to 

borrowers.

Resolved

The Corrective Action 

Plan has been developed 

and the recommendation 

is being implemented.

GAO18-547 3 

Public Service Loan 

Forgiveness: 

Education Needs to 

Provide Better 

Information for the 

Loan Servicer and 

Borrowers

GAO 9/27/2018 FSA Resolved

The Chief Operating Officer of the Office of Federal Student Aid 

should standardize the information the PSLF servicer receives from 

other loan servicers to ensure the PSLF servicer obtains more 

consistent and accurate payment information for borrowers pursuing

PSLF.

Resolved

The Corrective Action 

Plan has been developed 

and the recommendation 

is being implemented.

GAO18-547 4 

Public Service Loan 

Forgiveness: 

Education Needs to 

Provide Better 

Information for the 

Loan Servicer and 

Borrowers

GAO 9/27/2018 FSA Resolved

The Chief Operating Officer of the Office of Federal Student Aid 

should ensure that borrowers receive sufficiently detailed information 

from the PSLF servicer to be able to identify any errors in the 

servicer's counts of qualifying payments, including information on 

whether or not each payment qualified toward forgiveness.

Resolved

The Corrective Action 

Plan has been developed 

and the recommendation 

is being implemented.
X-38

X-38

ACN

Rec 

No. Audit Title Issuer

Final 

Report 

Issue Date Office

Audit 

Status Recommendation Text

Rec 

Status Status

GAO17-675 1 

Small Business 

Contracting: Actions 

Needed to 

Demonstrate and 

Better Review 

Compliance with 

Select Requirements 

for Small Business 

Advocates

GAO 10/5/2017 OCFO Completed

To address demonstrated noncompliance with section 15(k) of the 

Small Business Act, as amended, the Secretary of Education should 

comply with sections 15(k)(3) and (k)(11) or report to Congress on 

why the agency has not complied, including seeking any statutory 

flexibilities or exceptions believed appropriate.

Completed

GAO reviewed the 

supporting 

documentation; the 

Department is gathering 

additional supporting 

documentation before 

the recommendation will 

be closed.

A17-

R0001 1 FY 2017 Ed Financial 

Statement Audit OIG 11/13/2017 OCFO Resolved

(Significant) 1. We recommend that the Secretary of Education work 

with the Federal Student Aid Chief Operating Officer to continue to 

execute the corrective actions as outlined in FSA's project plan to 

comply with the timing requirement for the referral of delinquent nontax debts.

Resolved

The Corrective Action 

Plan has been developed 

and the recommendation 

is being implemented.

A17-

R0001 1 FY 2017 Ed Financial 

Statement Audit OIG 11/13/2017 OCFO Resolved

(Significant) 1. We recommend the Director, Budget Service develop 

and document the Department's process, policies and procedures for 

the authorization, design, development, testing, approval and 

implementation of new models and model enhancements.

Completed

Action has been taken. 

The recommendation 

remains open until all 

other recommendations 

have been complete. 

A17-

R0001 1 FY 2017 Ed Financial 

Statement Audit OIG 11/13/2017 OCFO Resolved

(Significant) 1. We recommend the Principal Deputy Assistant 

Secretary Office of Management implement a monitoring process over 

the personnel security activities to ensure investigations and 

reinvestigations are prioritized for personnel with sensitive system 

access within the Department.

Completed

Action has been taken. 

The recommendation 

remains open until all 

other recommendations 

have been complete. 

A17-

R0001 2 FY 2017 Ed Financial 

Statement Audit OIG 11/13/2017 OCFO Resolved

(Significant) 2. We recommend the Department CISO work with the 

FSA CISO to strengthen and refine the process for holding system 

owners and information system security officers accountable for 

remediation of control deficiencies and ensuring that the appropriate 

security posture is maintained for Department and FSA information 

systems.

Completed

Action has been taken. 

The recommendation 

remains open until all 

other recommendations 

have been complete. 

A17-

R0001 2 FY 2017 Ed Financial 

Statement Audit OIG 11/13/2017 OCFO Resolved

(Significant) 2. We recommend the Director, Budget Service 

document the Department's process, policies, procedures and related 

controls for managing the operation and use of approved models.

Completed

Action has been taken. 

The recommendation 

remains open until all 

other recommendations 

have been complete. 

A17-

R0001 3 FY 2017 Ed Financial 

Statement Audit OIG 11/13/2017 OCFO Resolved

(Significant) 3. We recommend the Director, Budget Service enhance 

the process to capture model risks, update the assessment of risks 

related to each model, and document how that assessment impacts 

the Department's prioritization of corrective actions, and requisite level 

of controls, validation and monitoring over each model.

Completed

Action has been taken. 

The recommendation 

remains open until all 

other recommendations 

have been complete. 

A17-

R0001 4 FY 2017 Ed Financial 

Statement Audit OIG 11/13/2017 OCFO Resolved

(Significant) 4. We recommend the Director, Budget Service 

document and enhance the Department's processes, policies, 

procedures and related controls for the periodic review, validation and 

approval of the Department's models at the assumption, model and 

program level.

Completed

Action has been taken. 

The recommendation 

remains open until all 

other recommendations 

have been complete. 

A17-

R0001 5 FY 2017 Ed Financial Statement Audit OIG 11/13/2017 OCFO Resolved (Significant) 5. We recommend the Director, Budget Service document the overall review and conclusions drawn related to the Completed Action has been taken. The recommendation 
X-39

X-39

ACN

Rec 

No. Audit Title Issuer

Final 

Report 

Issue Date Office

Audit 

Status Recommendation Text

Rec 

Status Status

evaluation of the results of model performance reviews and validation 

procedures performed.

remains open until all 

other recommendations 

have been complete. 

A17-

R0001 6 FY 2017 Ed Financial 

Statement Audit OIG 11/13/2017 OCFO Resolved

(Significant) 6. We recommend the Director of Budget Service ensure 

modeling risks are considered in connection with the Department's 

enterprise risk management program.

Completed

Action has been taken. 

The recommendation 

remains open until all 

other recommendations 

have been complete. 

GAO16-494 1 

IT Dashboard: 

Agencies Need to 

Fully Consider Risks 

When Rating Their 

Major Investments

GAO 6/22/2016 OCIO Resolved

To better ensure that the Dashboard ratings more accurately reflect 

risk, the Secretaries of the Departments of Agriculture, Education, 

Energy, Health and Human Services, the Interior, State, and Veterans 

Affairs; and the Director of the Office of Personnel Management 

should direct their CIOs to factor active risks into their IT Dashboard 

CIO ratings.

Resolved

The Corrective Action 

Plan has been developed 

and the recommendation 

is being implemented.

GAO16-494 2 

IT Dashboard: 

Agencies Need to 

Fully Consider Risks 

When Rating Their 

Major Investments

GAO 6/22/2016 OCIO Resolved

To better ensure that the Dashboard ratings more accurately reflect 

risk, the Secretaries of the Departments of Defense, Education, and 

Homeland Security; and the Commissioner of the Social Security 

Administration should direct their CIOs to update their CIO ratings at 

least as frequently as required in OMB's guidance.

Completed

Action has been taken. 

The recommendation 

remains open until all 

other recommendations 

have been complete. 

GAO16-494 3 

IT Dashboard: 

Agencies Need to 

Fully Consider Risks 

When Rating Their 

Major Investments

GAO 6/22/2016 OCIO Resolved

To better ensure that the Dashboard ratings more accurately reflect 

risk, the Secretaries of the Departments of Agriculture, Commerce, 

Defense, Education, Energy, Health and Human Services, Homeland 

Security, State, Transportation, the Treasury, Veterans Affairs; the 

Administrator of the Environmental Protection Agency; and the 

Commissioner of the Social Security Administration should direct their 

CIOs to ensure that their CIO ratings reflect the level of risk facing an 

investment relative to that investment's ability to accomplish its goals.

Resolved

The Corrective Action 

Plan has been developed 

and the recommendation 

is being implemented.

GAO16-511 1 

Information 

Technology: 

Agencies Need to 

Improve Their 

Application 

Inventories to 

Achieve Additional 

Savings

GAO 10/18/2016 OCIO Completed

To improve federal agencies' efforts to rationalize their portfolio of 

applications, the heads of the Departments of Agriculture, Commerce, 

Education, Energy, Health and Human Services, Housing and Urban 

Development, the Interior, Labor, State, Transportation, the Treasury, 

and Veterans Affairs; and heads of the Environmental Protection 

Agency; National Aeronautics and Space Administration; National 

Science Foundation; Nuclear Regulatory Commission; Office of 

Personnel Management; Small Business Administration; Social 

Security Administration; and U.S. Agency for International 

Development should direct their Chief Information Officers (CIOs) and

other responsible officials to improve their inventories by taking steps 

to fully address the practices we identified as being partially met or not 

met.

Completed

GAO reviewed the 

supporting 

documentation; the 

Department is gathering 

additional supporting

documentation before 

the recommendation will 

be closed.

A11-

R0001 1 FY 2017 FISMA Audit OIG 10/31/2017 OCIO Completed

(Significant) 3.1 We recommend that the Deputy Secretary and Chief 

Operating Officer require OCIO and FSA to incorporate additional 

measures to, at a minimum, achieve Level 3 Consistently 

Implemented status of the Identity and Access Management program.

Completed

Action has been taken. 

The documentation is 

undergoing review before 

the audit is closed.

A11-

R0001 1 FY 2017 FISMA Audit OIG 10/31/2017 OCIO Completed (Significant) 4.1 We recommend that the Deputy Secretary require OCIO to incorporate additional measures to, at a minimum, achieve Completed Action has been taken. The documentation is 
X-40

X-40

ACN

Rec 

No. Audit Title Issuer

Final 

Report 

Issue Date Office

Audit 

Status Recommendation Text

Rec 

Status Status

Level 3 Consistently Implemented status of the Security Training 

program.

undergoing review before 

the audit is closed.

A11-

R0001 1 FY 2017 FISMA Audit OIG 10/31/2017 OCIO Completed

(Significant) 5.1 We recommend that the Deputy Secretary and the 

Chief Operating Officer require OCIO and FSA to incorporate 

additional measures to, at a minimum, achieve Level 4 Managed and 

Measurable status of the ISCM program.

Completed

Action has been taken. 

The documentation is 

undergoing review before 

the audit is closed.

A11-

R0001 1 FY 2017 FISMA Audit OIG 10/31/2017 OCIO Completed

(Significant) 6.1 We recommend that the Deputy Secretary require 

OCIO to incorporate additional measures to, at a minimum, achieve 

Level 3 Consistently Implemented status of the Incident Response 

program.

Completed

Action has been taken. 

The documentation is 

undergoing review before 

the audit is closed.

A11-

R0001 1 FY 2017 FISMA Audit OIG 10/31/2017 OCIO Completed

(Significant) 7.1 We recommend that the Deputy Secretary and Chief 

Operating Officer require OCIO and FSA to incorporate additional 

measures to, at a minimum, achieve Level 3 Consistently 

Implemented status of the Contingency Planning program.

Completed

Action has been taken. 

The documentation is 

undergoing review before 

the audit is closed.

A11-

R0001 1 FY 2017 FISMA Audit OIG 10/31/2017 OCIO Completed

(Significant) 1.1 We recommend that the Deputy Secretary require 

OCIO to incorporate additional measures to, at a minimum, achieve 

Level 4 Managed and Measurable status of the Risk Management 

program.

Completed

Action has been taken. 

The documentation is 

undergoing review before 

the audit is closed.

A11-

R0001 1 FY 2017 FISMA Audit OIG 10/31/2017 OCIO Completed

(Significant) 2.1 We recommend that the Deputy Secretary and Chief 

Operating Officer require that OCIO and FSA incorporate additional 

measures to, at a minimum, achieve Level 3 Consistently 

Implemented status of the Configuration Management program.

Completed

Action has been taken. 

The documentation is 

undergoing review before 

the audit is closed.

A11-

R0001 2 FY 2017 FISMA Audit OIG 10/31/2017 OCIO Completed

(Significant) 2.2 We recommend that the Deputy Secretary and Chief 

Operating Officer require that OCIO and FSA immediately correct or 

mitigate the vulnerabilities identified during the vulnerability 

assessment.

Completed

Action has been taken. 

The documentation is 

undergoing review before 

the audit is closed.

A11-

R0001 2 FY 2017 FISMA Audit OIG 10/31/2017 OCIO Completed

(Significant) 3.2 We recommend that the Deputy Secretary and Chief 

Operating Office require OCIO and FSA to ensure, in cooperation with 

the Office of Management, that background investigations are 

conducted (1) before granting access to Departmental and FSA 

systems and (2) to ensure the correct level of access is granted.

Completed

Action has been taken. 

The documentation is 

undergoing review before 

the audit is closed.

A11-

R0001 2 FY 2017 FISMA Audit OIG 10/31/2017 OCIO Completed

(Significant) 4.2 We recommend that the Deputy Secretary require 

OCIO to ensure that contractors fulfill mandatory training requirements 

before accessing Departmental systems.

Completed

Action has been taken. 

The documentation is 

undergoing review before 

the audit is closed.

A11-

R0001 2 FY 2017 FISMA Audit OIG 10/31/2017 OCIO Completed

(Significant) 6.3 We recommend that the Deputy Secretary require 

OCIO to establish a specific training curriculum for key personnel who 

respond to incidents when they occur.

Completed

Action has been taken. 

The documentation is 

undergoing review before 

the audit is closed.

A11-

R0001 2 FY 2017 FISMA Audit OIG 10/31/2017 OCIO Completed

(Significant) 7.2 We recommend that the Deputy Secretary require 

OCIO to ensure that skill assessments are being measured at the 

enterprise level.

Completed

Action has been taken. 

The documentation is 

undergoing review before 

the audit is closed.

A11-

R0001 2 FY 2017 FISMA Audit OIG 10/31/2017 OCIO Completed

(Significant) 1.2 We recommend that the Deputy Secretary require 

OCIO to ensure that "Information Technology Security General 

Support Systems and Major Applications Inventory Guidance, Version 

1.0" is updated.

Completed

Action has been taken. 

The documentation is 

undergoing review before 

the audit is closed.
X-41

X-41

ACN

Rec 

No. Audit Title Issuer

Final 

Report 

Issue Date Office

Audit 

Status Recommendation Text

Rec 

Status Status

A11-

R0001 2 FY 2017 FISMA Audit OIG 10/31/2017 OCIO Completed

5.2 We recommend that the Deputy Secretary require OCIO to 

automate its capabilities for monitoring the security controls 

effectiveness and overall implementation of the ISCM Roadmap.

Completed

Action has been taken. 

The documentation is 

undergoing review before 

the audit is closed.

A11-

R0001 3 FY 2017 FISMA Audit OIG 10/31/2017 OCIO Completed

(Significant) 2.3 We recommend that the Deputy Secretary and Chief 

Operating Officer require that OCIO and FSA ensure POA&Ms are 

created to remedy infrastructure vulnerabilities identified in the hosting 

data center environments.

Completed

Action has been taken. 

The documentation is 

undergoing review before 

the audit is closed.

A11-

R0001 3 FY 2017 FISMA Audit OIG 10/31/2017 OCIO Completed

(Significant) 3.3 We recommend that the Deputy Secretary and Chief 

Operating Officer require OCIO and FSA to prohibit contractors from 

granting access to FSA systems without approval by the Department.

Completed

Action has been taken. 

The documentation is 

undergoing review before 

the audit is closed.

A11-

R0001 3 FY 2017 FISMA Audit OIG 10/31/2017 OCIO Completed

(Significant) 5.3 We recommend that the Deputy Secretary require 

OCIO to ensure that ISCM stakeholders with designated roles and 

responsibilities are properly educated and engaged.

Completed

Action has been taken. 

The documentation is 

undergoing review before 

the audit is closed.

A11-

R0001 3 FY 2017 FISMA Audit OIG 10/31/2017 OCIO Completed

(Significant) 6.4 We recommend that the Deputy Secretary require 

OCIO to ensure that incidents are submitted to US-CERT within the 

required timeframe and all incidents identified as Categories 1 through 

4 to the OIG that could possibly relate to cyber fraud.

Completed

Action has been taken. 

The documentation is 

undergoing review before 

the audit is closed.

A11-

R0001 3 FY 2017 FISMA Audit OIG 10/31/2017 OCIO Completed

(Significant) 7.3 We recommend that the Deputy Secretary require 

OCIO to ensure that contingency plans, BIAs, and results of 

contingency plan testing are documented in a consistent and timely 

manner.

Completed

Action has been taken. 

The documentation is 

undergoing review before 

the audit is closed.

A11-

R0001 3 FY 2017 FISMA Audit OIG 10/31/2017 OCIO Completed

Significant) 1.3 We recommend that the Deputy Secretary require 

OCIO to ensure that all contracts are reviewed and reevaluated to 

ensure that required access and security language is included.

Completed

Action has been taken. 

The documentation is 

undergoing review before 

the audit is closed.

A11-

R0001 4 FY 2017 FISMA Audit OIG 10/31/2017 OCIO Completed

(Significant) 2.4 We recommend that the Deputy Secretary require 

OCIO to at a minimum, enforce TLS 1.1 or higher as the only 

connection for all Department connections. (Repeat 

Recommendation from FY 2016 and FY 2015)

Completed

Action has been taken. 

The documentation is 

undergoing review before 

the audit is closed.

A11-

R0001 4 FY 2017 FISMA Audit OIG 10/31/2017 OCIO Completed

(Significant) 3.4 We recommend that the Deputy Secretary and Chief 

Operating Officer require OCIO and FSA to enforce a two-factor 

authentication configuration for all user connections to systems and/or 

applications housing personally identifiable information.

Completed

Action has been taken. 

The documentation is 

undergoing review before 

the audit is closed.

A11-

R0001 4 FY 2017 FISMA Audit OIG 10/31/2017 OCIO Completed

(Significant) 5.4 We recommend that the Deputy Secretary require 

OCIO to ensure all Information System Security Officers establish and 

use CSAM accounts, and that required points of contacts are 

identified.

Completed

Action has been taken. 

The documentation is 

undergoing review before 

the audit is closed.

A11-

R0001 4 FY 2017 FISMA Audit OIG 10/31/2017 OCIO Completed

(Significant) 7.4 We recommend that the Deputy Secretary require 

OCIO to ensure that contingency plans include all required 

information.

Completed

Action has been taken. 

The documentation is 

undergoing review before 

the audit is closed.

A11-

R0001 4 FY 2017 FISMA Audit OIG 10/31/2017 OCIO Completed

(Significant) 1.4 We recommend that the Deputy Secretary require 

OCIO to establish a centralized tracking process for maintaining all 

active websites for the Department.

Completed Action has been taken. 

The documentation is 
X-42

X-42

ACN

Rec 

No. Audit Title Issuer

Final 

Report 

Issue Date Office

Audit 

Status Recommendation Text

Rec 

Status Status

undergoing review before 

the audit is closed.

A11-

R0001 5 FY 2017 FISMA Audit OIG 10/31/2017 OCIO Completed (Significant) 5 We recommend that the Deputy Secretary require 

OCIO to ensure the completion of Phase 2 of the CDM program. Completed

Action has been taken. 

The documentation is 

undergoing review before 

the audit is closed.

A11-

R0001 5 FY 2017 FISMA Audit OIG 10/31/2017 OCIO Completed

(Significant) 2.5 We recommend that the Deputy Secretary require 

OCIO to discontinue the use of or develop a justification for using 

unsupported operating systems, databases, and applications. 

(Repeat Recommendation from FY 2015)

Completed

Action has been taken. 

The documentation is 

undergoing review before 

the audit is closed.

A11-

R0001 5 FY 2017 FISMA Audit OIG 10/31/2017 OCIO Completed

(Significant) 3,5 We recommend that the Deputy Secretary require 

OCIO to ensure the Department's ICAM strategy is fully implemented 

to ensure that the Department meets full Federal Government 

implementation of ICAM.

Completed

Action has been taken. 

The documentation is 

undergoing review before 

the audit is closed.

A11-

R0001 6 FY 2017 FISMA Audit OIG 10/31/2017 OCIO Completed

(Significant) 2.6 We recommend that the Deputy Secretary require 

OCIO to ensure that all existing websites and services are accessible 

through a secure connection as required by OMB M-15-13.

Completed

Action has been taken. 

The documentation is 

undergoing review before 

the audit is closed.

A11-

R0001 6 FY 2017 FISMA Audit OIG 10/31/2017 OCIO Completed

(Significant) 3.6 We recommend that the Deputy Secretary require 

OCIO to ensure that the network access control solution is fully 

implemented to ensure identification and authentication of devices 

connected to the network. (Repeat Recommendation from FY 2016, 

FY 2015, and FY 2014)

Completed

Action has been taken. 

The documentation is 

undergoing review before 

the audit is closed.

A11-

R0001 7 FY 2017 FISMA Audit OIG 10/31/2017 OCIO Completed

(Significant) 2.7 We recommend that the Deputy Secretary require 

OCIO to configure all websites to display warning banners when 

user’s login to Departmental resources.

Completed

Action has been taken. 

The documentation is 

undergoing review before 

the audit is closed.

A11-

R0001 7 FY 2017 FISMA Audit OIG 10/31/2017 OCIO Completed

(Significant) 3.7 We recommend that the Deputy Secretary require 

OCIO to create POA&Ms to remedy database vulnerabilities for all 

database vulnerabilities identified.

Completed

Action has been taken. 

The documentation is 

undergoing review before 

the audit is closed.

A11-

R0001 8 FY 2017 FISMA Audit OIG 10/31/2017 OCIO Completed

(Significant) 2.8 We recommend that the Chief Operating Officer 

require FSA to ensure that all websites and portals hosting personally 

identifiable information are configured not to display clear text.

Completed

Action has been taken. 

The documentation is 

undergoing review before 

the audit is closed.

A11-

R0001 8 FY 2017 FISMA Audit OIG 10/31/2017 OCIO Completed

(Significant) 3.8 We recommend that the Chief Operating Officer 

require FSA to establish a process for identifying, managing, and 

tracking activity of privileged user accounts.

Completed

Action has been taken. 

The documentation is 

undergoing review before 

the audit is closed.

A11-

R0001 9 FY 2017 FISMA Audit OIG 10/31/2017 OCIO Completed

(Significant) 2.9 We recommend that the Chief Operating Officer 

require FSA to eliminate the use of Social Security numbers as an 

authentication element when logging onto FSA websites by requiring 

the user to create a unique identifier for account authentication. 

(Repeat Recommendation from FY 2014)

Completed

Action has been taken. 

The documentation is 

undergoing review before 

the audit is closed.

GAO18-93 1 

Federal Chief 

Information Officers: 

Critical Actions 

GAO 8/7/2018 OCIO Completed

The Secretary of Education should ensure that the department's IT 

management policies address the role of the CIO for key 

responsibilities in the five areas we identified.

Completed Action has been taken. 

The documentation is 
X-43

X-43

ACN

Rec 

No. Audit Title Issuer

Final 

Report 

Issue Date Office

Audit 

Status Recommendation Text

Rec 

Status Status

Needed to Address 

Shortcomings and 

Challenges in 

Implementing 

Responsibilities

undergoing review before 

the audit is closed.

A11-

S0001 1 FY 2018 FISMA OIG 10/31/2018 OCIO Resolved

(Significant) 1.1 We recommend that the Deputy Secretary and Chief 

Operating Officer require that OCIO and FSA incorporate additional 

measures to, at a minimum; achieve Level 4 Managed and 

Measurable status of the Risk Management program. (Repeat 

Recommendation from FY 2017)

Resolved

The Corrective Action 

Plan has been developed 

and the recommendation 

is being implemented.

A11-

S0001 1 FY 2018 FISMA OIG 10/31/2018 OCIO Resolved

(Significant) 2.1 We recommend that the Deputy Secretary and Chief 

Operating Officer require that OCIO and FSA incorporate additional 

measures to, at a minimum; achieve Level 3 Consistently 

Implemented status of the Configuration Management program. 

(Repeat Recommendation from FY 2017)

Resolved

The Corrective Action 

Plan has been developed 

and the recommendation 

is being implemented.

A11-

S0001 1 FY 2018 FISMA OIG 10/31/2018 OCIO Resolved

(Significant) 3.1 We recommend that the Deputy Secretary and Chief 

Operating Officer require OCIO and FSA to incorporate additional 

measures to, at a minimum; achieve Level 3 Consistently 

Implemented status of the Identity and Access Management program. 

(Repeat Recommendation from FY 2017)

Resolved

The Corrective Action 

Plan has been developed 

and the recommendation 

is being implemented.

A11-

S0001 1 FY 2018 FISMA OIG 10/31/2018 OCIO Resolved

(Significant) 4.1 We recommend that the Deputy Secretary and the 

Chief Operating Officer require OCIO and FSA to incorporate 

additional measures to, at a minimum; achieve Level 3 Consistently 

Implemented status of the Data Protection and Privacy program.

Resolved

The Corrective Action 

Plan has been developed 

and the recommendation 

is being implemented.

A11-

S0001 1 FY 2018 FISMA OIG 10/31/2018 OCIO Resolved

(Significant) 5.1 We recommend that the Deputy Secretary require 

OCIO to incorporate additional measures to, at a minimum, achieve 

Level 3 Consistently Implemented status of the Security Training 

program. (Repeat Recommendation from FY 2017)

Resolved

The Corrective Action 

Plan has been developed 

and the recommendation 

is being implemented.

A11-

S0001 1 FY 2018 FISMA OIG 10/31/2018 OCIO Resolved

(Significant) 6.1 We recommend that the Deputy Secretary and the 

Chief Operating Officer require OCIO and FSA to incorporate 

additional measures to, at a minimum; achieve Level 3 Consistently 

Implemented status of the ISCM program. (Repeat Recommendation 

from FY 2017)

Resolved

The Corrective Action 

Plan has been developed 

and the recommendation 

is being implemented.

A11-

S0001 1 FY 2018 FISMA OIG 10/31/2018 OCIO Resolved

(Significant) 7.1 We recommend that the Deputy Secretary require 

OCIO to incorporate additional measures to, at a minimum; achieve 

Level 3 Consistently Implemented status of the Incident Response 

program. (Repeat Recommendation from FY 2017)

Resolved

The Corrective Action 

Plan has been developed 

and the recommendation 

is being implemented.

A11-

S0001 1 FY 2018 FISMA OIG 10/31/2018 OCIO Resolved

(Significant) 8.1 We recommend that the Deputy Secretary and Chief 

Operating Officer require OCIO and FSA to incorporate additional 

measures to, at a minimum; achieve Level 4 Managed and 

Measurable status of the Contingency Planning program. (Repeat 

Recommendation from 2017)

Resolved

The Corrective Action 

Plan has been developed 

and the recommendation 

is being implemented.

A11-

S0001 2 FY 2018 FISMA OIG 10/31/2018 OCIO Resolved

(Significant) 1.2 We recommend that the Deputy Secretary and Chief 

Operating Officer require that OCIO and FSA ensure the 

completeness of individual corrective action plans for elements 

Completed

Action has been taken. 

The recommendation 

remains open until all 
X-44

X-44

ACN

Rec 

No. Audit Title Issuer

Final 

Report 

Issue Date Office

Audit 

Status Recommendation Text

Rec 

Status Status

including remediation officials assigned, costs associated to remediate 

the weakness, and starting dates to remediate the weakness.

other recommendations 

have been complete. 

A11-

S0001 2 FY 2018 FISMA OIG 10/31/2018 OCIO Resolved

(Significant) 2.2 We recommend the Deputy Secretary and Chief 

Operating Officer require that OCIO and FSA migrate to Transport 

Layer Security 1.2 or higher as the only connection for all Department 

connections. (Repeat Recommendation from FY 2015, 2016, and 

2017)

Resolved

The Corrective Action 

Plan has been developed 

and the recommendation 

is being implemented.

A11-

S0001 2 FY 2018 FISMA OIG 10/31/2018 OCIO Resolved

(Significant) 3.2 We recommend that the Deputy Secretary and Chief 

Operating Officer require OCIO and FSA to ensure that position risk 

designations are documented for background investigations. Completed

Action has been taken. 

The recommendation 

remains open until all 

other recommendations 

have been complete. 

A11-

S0001 2 FY 2018 FISMA OIG 10/31/2018 OCIO Resolved

(Significant) 4.2 We recommend that the Deputy Secretary require 

OCIO to ensure that the Handbook for Protection of Sensitive but 

Unclassified Information is updated.

Completed

Action has been taken. 

The recommendation 

remains open until all 

other recommendations 

have been complete. 

A11-

S0001 2 FY 2018 FISMA OIG 10/31/2018 OCIO Resolved

(Significant) 5.2 We recommend that the Deputy Secretary require 

OCIO to ensure that contractor employees fulfill mandatory training 

requirements before accessing Department systems. (Repeat 

Recommendation from FY 2017)

Completed

Action has been taken. 

The recommendation 

remains open until all 

other recommendations 

have been complete. 

A11-

S0001 2 FY 2018 FISMA OIG 10/31/2018 OCIO Resolved

(Significant) 6.2 We recommend that the Deputy Secretary require 

OCIO to automate its capabilities for monitoring the security controls 

effectiveness and overall implementation of the ISCM Roadmap. 

(Repeat Recommendation from FY 2017)

Resolved

The Corrective Action 

Plan has been developed 

and the recommendation 

is being implemented.

A11-

S0001 2 FY 2018 FISMA OIG 10/31/2018 OCIO Resolved

(Significant) 7.2 We recommend that the Deputy Secretary require 

OCIO to ensure that incidents are consistently submitted to US-CERT 

and the OIG within the required timeframe and all incidents are 

consistently categorized. (Repeat Recommendation from FY 2017)

Resolved

The Corrective Action 

Plan has been developed 

and the recommendation 

is being implemented.

A11-

S0001 2 FY 2018 FISMA OIG 10/31/2018 OCIO Resolved

(Significant) 8.2 We recommend that the Deputy Secretary and Chief 

Operating Officer require OCIO and FSA to ensure that contingency 

planning documentation and results of contingency plan testing are 

documented consistently and timely. (Repeat Recommendation from 

FY 2012, 2014, and 2015)

Completed

Action has been taken. 

The recommendation 

remains open until all 

other recommendations 

have been complete. 

A11-

S0001 3 FY 2018 FISMA OIG 10/31/2018 OCIO Resolved

(Significant) 1.3 We recommend that the Deputy Secretary and the 

Chief Operating Officer require that OCIO and FSA ensure that all 

contracts are reviewed and include all applicable privacy, security, 

and access provisions. (Repeat Recommendation from FY 2017)

Completed

Action has been taken. 

The recommendation 

remains open until all 

other recommendations 

have been complete. 

A11-

S0001 3 FY 2018 FISMA OIG 10/31/2018 OCIO Resolved

(Significant) 2.3 We recommend that the Deputy Secretary require 

OCIO to ensure that the configuration of 40 websites to be routed 

through a trusted internet connection or managed trusted internet 

protocol service.

Resolved

The Corrective Action 

Plan has been developed 

and the recommendation 

is being implemented.
X-45

X-45

ACN

Rec 

No. Audit Title Issuer

Final 

Report 

Issue Date Office

Audit 

Status Recommendation Text

Rec 

Status Status

A11-

S0001 3 FY 2018 FISMA OIG 10/31/2018 OCIO Resolved

(Significant) 3.3 We recommend that the Deputy Secretary and Chief 

Operating Officer require OCIO and FSA to enforce a two-factor 

authentication configuration for all user connections to systems and 

applications. (Repeat Recommendation from FY 2011, 2012, 2013, 

2014, 2015, 2016 and 2017)

Resolved

The Corrective Action 

Plan has been developed 

and the recommendation 

is being implemented.

A11-

S0001 3 FY 2018 FISMA OIG 10/31/2018 OCIO Resolved

(Significant) 4.3 We recommend that the Deputy Secretary require 

OCIO to ensure the Department's Breach Response Plan is tested 

annually.

Completed

Action has been taken. 

The recommendation 

remains open until all 

other recommendations 

have been complete. 

A11-

S0001 3 FY 2018 FISMA OIG 10/31/2018 OCIO Resolved

(Significant) 5.3 We recommend that the Deputy Secretary require 

OCIO to define and implement a process to track contractors' initial 

access to the Department's network.

Completed

Action has been taken. 

The recommendation 

remains open until all 

other recommendations 

have been complete. 

A11-

S0001 3 FY 2018 FISMA OIG 10/31/2018 OCIO Resolved

(Significant) 6.3 We recommend that the Deputy Secretary require 

OCIO to ensure that ISCM stakeholders with designated roles and 

responsibilities are properly educated and engaged. (Repeat 

Recommendation from FY 2017)

Resolved

The Corrective Action 

Plan has been developed 

and the recommendation 

is being implemented.

A11-

S0001 3 FY 2018 FISMA OIG 10/31/2018 OCIO Resolved

(Significant) 7.3 We recommend that the Deputy Secretary require 

OCIO to enable incident response tools and technologies to function 

on an enterprise basis.

Resolved

The Corrective Action 

Plan has been developed 

and the recommendation 

is being implemented.

A11-

S0001 3 FY 2018 FISMA OIG 10/31/2018 OCIO Resolved

(Significant) 8.3 We recommend that the Deputy Secretary require 

OCIO to ensure that skills are being measured at the enterprise level 

to begin full reporting to the Office of Personnel Management by April 

2019. (Repeat Recommendation from 2017)

Completed

Action has been taken. 

The recommendation 

remains open until all 

other recommendations 

have been complete. 

A11-

S0001 4 FY 2018 FISMA OIG 10/31/2018 OCIO Resolved

(Significant) 2.4 We recommend that the Deputy Secretary require 

OCIO to ensure that all existing websites and services are accessible 

through a secure connection as required by OMB M-15-13. (Repeat 

Recommendation from FY 2017)

Resolved

The Corrective Action 

Plan has been developed 

and the recommendation 

is being implemented.

A11-

S0001 4 FY 2018 FISMA OIG 10/31/2018 OCIO Resolved

(Significant) 3.4 We recommend that the Deputy Secretary require 

OCIO to finalize Departmental Directive OM: 5-101, "Personnel 

Security Screening Requirements for Contractor Employees."

Resolved

The Corrective Action 

Plan has been developed 

and the recommendation 

is being implemented.

A11-

S0001 4 FY 2018 FISMA OIG 10/31/2018 OCIO Resolved

(Significant) 4.4 We recommend that the Deputy Secretary require 

OCIO to ensure that Privacy Impact Assessments are reviewed every 

two years.

Completed

Action has been taken. 

The recommendation 

remains open until all 

other recommendations 

have been complete. 

A11-

S0001 4 FY 2018 FISMA OIG 10/31/2018 OCIO Resolved

(Significant) 5.4 We recommend that the Deputy Secretary require 

OCIO to ensure that user accounts are suspended timely when users 

do not complete required training.

Completed

Action has been taken. 

The recommendation 

remains open until all 

other recommendations 

have been complete. 
X-46

X-46

ACN

Rec 

No. Audit Title Issuer

Final 

Report 

Issue Date Office

Audit 

Status Recommendation Text

Rec 

Status Status

A11-

S0001 4 FY 2018 FISMA OIG 10/31/2018 OCIO Resolved

(Significant) 7.4 We recommend that the Deputy Secretary require 

OCIO to ensure that data loss prevention technologies work as 

intended for the blocking of sensitive information transmission.

Resolved

The Corrective Action 

Plan has been developed 

and the recommendation 

is being implemented.

A11-

S0001 4 FY 2018 FISMA OIG 10/31/2018 OCIO Resolved

(Significant) We recommend that the Deputy Secretary require OCIO 

to ensure all information authorizing officials, information system 

owners, and information system security officers establish and use 

accounts within the Cyber Security Assessment and Management 

tool, and that required points of contacts are identified. (Repeat 

Recommendation from FY 2017)

Completed

Action has been taken. 

The recommendation 

remains open until all 

other recommendations 

have been complete. 

A11-

S0001 5 FY 2018 FISMA OIG 10/31/2018 OCIO Resolved

(Significant) 2.5 We recommend that the Chief Operating Officer 

require FSA to discontinue the use of unsupported operating systems, 

databases, and applications. (Repeat Recommendation from FY 

2015 and 2017)

Completed

Action has been taken. 

The recommendation 

remains open until all 

other recommendations 

have been complete. 

A11-

S0001 5 FY 2018 FISMA OIG 10/31/2018 OCIO Resolved

(Significant) 3.5 We recommend that the Deputy Secretary require 

OCIO to fully implement the Department's ICAM strategy to ensure 

that the Department meets full Federal Government implementation of 

ICAM. (Repeat Recommendation from FY 2017)

Resolved

The Corrective Action 

Plan has been developed 

and the recommendation 

is being implemented.

A11-

S0001 5 FY 2018 FISMA OIG 10/31/2018 OCIO Resolved

(Significant) 5.5 We recommend that the Deputy Secretary require 

OCIO to implement the process for identifying employees with 

significant security responsibilities and ensure role-based training is 

provided.

Resolved

The Corrective Action 

Plan has been developed 

and the recommendation 

is being implemented.

A11-

S0001 5 FY 2018 FISMA OIG 10/31/2018 OCIO Resolved

(Significant) 6.5 We recommend that the Deputy Secretary require 

OCIO to ensure the completion of Phases 1 and 2 of the Continuous 

Diagnostics and Mitigation program. (Repeat Recommendation from 

FY 2017)

Resolved

The Corrective Action 

Plan has been developed 

and the recommendation 

is being implemented.

A11-

S0001 6 FY 2018 FISMA OIG 10/31/2018 OCIO Resolved

(Significant) 2.6 We recommend that the Chief Operating Officer 

require FSA to eliminate the use of Social Security numbers as an 

authentication element when logging onto FSA websites by requiring 

the user to create a unique identifier for account authentication. 

(Repeat Recommendation from FY 2014 and 2017)

Completed

Action has been taken. 

The recommendation 

remains open until all 

other recommendations 

have been complete. 

A11-

S0001 6 FY 2018 FISMA OIG 10/31/2018 OCIO Resolved

(Significant) 3.6 We recommend that the Deputy Secretary require 

OCIO to ensure the Network Access Control solution is configured to 

disallow users to reconnect devices after being blocked.

Completed

Action has been taken. 

The recommendation 

remains open until all 

other recommendations 

have been complete. 

A11-

S0001 6 FY 2018 FISMA OIG 10/31/2018 OCIO Resolved

(Significant) 5.6 We recommend that the Deputy Secretary require 

OCIO to implement the process for formal skill assessments of 

employees' educational level and experience to begin full reporting to 

the Office of Personnel Management by April 2019.

Completed

Action has been taken. 

The recommendation 

remains open until all 

other recommendations 

have been complete. 

A11-

S0001 7 FY 2018 FISMA OIG 10/31/2018 OCIO Resolved

(Significant) 2.7 We recommend that the Chief Operating Officer 

require FSA to ensure that all websites and portals hosting personally 

identifiable information are configured not to display clear text. 

(Repeat Recommendation from FY 2014 and 2017)

Completed

Action has been taken. 

The recommendation 

remains open until all 

other recommendations 

have been complete. 
X-47

X-47

ACN

Rec 

No. Audit Title Issuer

Final 

Report 

Issue Date Office

Audit 

Status Recommendation Text

Rec 

Status Status

A11-

S0001 7 FY 2018 FISMA OIG 10/31/2018 OCIO Resolved

(Significant) 3.7 We recommend that the Deputy Secretary require 

OCIO to ensure access agreements--in particular non-disclosure 

agreements for privileged users with access to sensitive information, 

and Rules of Behavior acknowledgements--are documented for users 

accessing Department and FSA systems.

Completed

Action has been taken. 

The recommendation 

remains open until all 

other recommendations 

have been complete. 

A11-

S0001 8 FY 2018 FISMA OIG 10/31/2018 OCIO Resolved

(Significant) 2.8 We recommend that the Chief Operating Officer 

require FSA to immediately correct or mitigate the vulnerabilities 

during the vulnerability assessment. (Repeat Recommendation from 

FY 2015 and 2017)

Completed

Action has been taken. 

The recommendation 

remains open until all 

other recommendations 

have been complete. 

A11-

S0001 8 FY 2018 FISMA OIG 10/31/2018 OCIO Resolved

(Significant) 3.8 We recommend that the Deputy Secretary require 

OCIO to ensure that terminated individual's network access is 

removed timely.

Completed

Action has been taken. 

The recommendation 

remains open until all 

other recommendations 

have been complete. 

A11-

S0001 9 FY 2018 FISMA OIG 10/31/2018 OCIO Resolved

(Significant) 3.9 We recommend that the Chief Operating Officer 

require FSA to establish a process for identifying, managing, and 

tracking activity of privileged user accounts. (Repeat 

Recommendation from FY 2017)

Completed

Action has been taken. 

The recommendation 

remains open until all 

other recommendations 

have been complete. 

A11-

S0001 10 FY 2018 FISMA OIG 10/31/2018 OCIO Resolved

(Significant) 3.10 We recommend that the Chief Operating Officer 

require FSA to configure all websites to display warning banners when 

user’s login to Departmental resources and ensure that banners 

include approved warning language. (Repeat Recommendation from 

FY 2017)

Completed

Action has been taken. 

The recommendation 

remains open until all 

other recommendations 

have been complete. 

A11-

S0001 11 FY 2018 FISMA OIG 10/31/2018 OCIO Resolved

(Significant) 3.11 We recommend that the Chief Operating Officer 

require FSA to create corrective action plans to remedy database 

vulnerabilities for all database vulnerabilities identified. (Repeat 

Recommendation from FY 2017)

Completed

Action has been taken. 

The recommendation 

remains open until all 

other recommendations 

have been complete. 

A11-

S0001 12 FY 2018 FISMA OIG 10/31/2018 OCIO Resolved

(Significant) 3.12 We recommend that the Chief Operating Officer 

require FSA to validate the inactivity settings to ensure sessions are 

timing out after 30 minutes of inactivity. (Repeat Recommendation 

from FY 2011, 2012, and 2015)

Completed

Action has been taken. 

The recommendation 

remains open until all 

other recommendations 

have been complete. 

GAO18-425 1 

High School Sports: 

Many Schools 

Encouraged Equal 

Opportunities, but 

Education Could 

Further Help Athletics 

Administrators under 

Title IX

GAO 6/11/2018 OCR Completed

The Department of Education's Assistant Secretary for Civil Rights 

should determine the extent to which Title IX coordinators at the K-12 

level are aware of and using the tools recommended in OCR's 

existing guidance and any barriers preventing their use of this 

guidance, and use this information in OCR's efforts to encourage 

them to work with athletics administrators on ensuring equal athletic 

opportunities.

Completed

GAO reviewed the 

supporting 

documentation; the 

Department is gathering 

additional supporting 

documentation before 

the recommendation will 

be closed.

GAO18-466 1 

Cybersecurity 

Workforce: Agencies 

Need to Improve 

Baseline 

GAO 6/14/2018 OCR Resolved

The Secretary of Education should include requirements to assign 

code "000" to positions that do not perform IT, cybersecurity, and 

cyber-related functions in departmental procedures.

Resolved

The Corrective Action 

Plan has been developed 

and the recommendation 

is being implemented.
X-48

X-48

ACN

Rec 

No. Audit Title Issuer

Final 

Report 

Issue Date Office

Audit 

Status Recommendation Text

Rec 

Status Status

Assessments and 

Procedures for 

Coding Positions

A02-

M0012 1

Audit of Charter and 

Education 

Management 

Organizations

OIG 9/29/2016 OESE Resolved

(Significant) We recommend that the Delegated Deputy Secretary -

1.1 Convene a formal oversight group including high level 

representatives from the following offices: Office of the Deputy 

Secretary, OESE, OSERS, OII, and the Office of the Chief Financial 

Officer. The oversight group would determine the most appropriate 

manner to conduct an analysis and assessment of the risks to 

Department programs posed by charter schools with CMOs. The 

assessment would consider actions appropriate to the Department's 

Federal role to assist SEAs, LEAs and charter school authorizers to 

fulfill their obligations for oversight of Federal funding. Such actions 

would include, but not be limited to the recommendations that follow. 

Completed

Action has been taken. 

The recommendation 

remains open until all 

other recommendations 

have been complete. 

A02-

M0012 2

Audit of Charter and 

Education 

Management 

Organizations

OIG 9/29/2016 OESE Resolved

(Significant) We recommend that the Delegated Deputy Secretary -

1.2 Provide further guidance to SEAs that offers a general strategy 

for performing a minimum level of monitoring, risk assessment, and 

mitigation procedures related to charter school contractual 

relationships with CMOs. 

Resolved

The Corrective Action 

Plan has been developed 

and the recommendation 

is being implemented.

A02-

M0012 3

Audit of Charter and 

Education 

Management 

Organizations

OIG 9/29/2016 OESE Resolved

(Significant) We recommend that the Delegated Deputy Secretary -

1.3 Develop modifications to program monitoring protocols for Title I, 

IDEA, CSP grants, and other programs to assist Federal grantees in 

meeting their monitoring and oversight responsibilities with respect to 

CMOs. 

Completed

Action has been taken. 

The recommendation 

remains open until all 

other recommendations 

have been complete. 

A02-

M0012 4

Audit of Charter and 

Education 

Management 

Organizations

OIG 9/29/2016 OESE Resolved

(Significant) We recommend that the Delegated Deputy Secretary -

1.4 Work with external partners and interest groups to help SEAs and 

other authorizers consider risks to Federal funds in their evaluation of 

proposals for charter schools, including the consideration of what is an 

acceptable level of risk related to charter school relationships with 

CMOs. 

Completed

Action has been taken. 

The recommendation 

remains open until all 

other recommendations 

have been complete. 

A02-

M0012 5

Audit of Charter and 

Education 

Management 

Organizations

OIG 9/29/2016 OESE Resolved

(Significant) We recommend that the Delegated Deputy Secretary -

1.5 Collaborate and coordinate with the Office of the Chief Financial 

Officer's Post Audit Group to update the OMB Circular A-133 

Compliance Supplement to include procedures to determine whether 

the SEA and LEA, as appropriate, have internal controls to ensure 

that charter schools with relationships with CMOs have effective 

controls to mitigate financial risks, provide for accountability over 

Federal funds, and mitigate performance risks. 

Completed

Action has been taken. 

The recommendation 

remains open until all 

other recommendations 

have been complete. 

GAO16-645 1

Female Genital 

Mutilation/Cutting: 

Existing Federal 

Efforts to Increase 

Awareness Should 

Be Improved

GAO 12/20/2016 OESE Resolved

To make the best use of federal resources directed toward combating 

FGM/C in the United States, the Attorney General and the Secretaries 

of Education, Health and Human Services, Homeland Security, and 

State should each develop a written plan that describes the agency's 

approach for conducting education and outreach to key stakeholders 

in the United States regarding FGM/C.

Completed

Action has been taken. 

The recommendation 

remains open until all 

other recommendations 

have been complete. 

GAO16-645 2

Female Genital 

Mutilation/Cutting: 

Existing Federal 

GAO 12/20/2016 OESE Resolved

To make the best use of federal resources directed toward combating 

FGM/C in the United States, the Attorney General and the Secretaries 

of Education, Health and Human Services, Homeland Security, and 

Resolved The Corrective Action 

Plan has been developed 
X-49

X-49

ACN

Rec 

No. Audit Title Issuer

Final 

Report 

Issue Date Office

Audit 

Status Recommendation Text

Rec 

Status Status

Efforts to Increase 

Awareness Should 

Be Improved

State should each communicate the plan with other relevant federal 

agencies and stakeholder groups, as appropriate.

and the recommendation 

is being implemented.

GAO17-400 1 

K-12 Education: 

Education Needs to 

Improve Oversight of 

Its 21st Century 

Program

GAO 4/26/2017 OESE Resolved

The Secretary of Education should direct the Office of Academic 

Improvement to expand its performance measures for the 21st 

Century program to address all program objectives. Specifically, 

Education should establish performance measures related to key 

behavioral, including student attendance and disciplinary incidents, 

and socio-emotional outcomes.

Resolved

The Corrective Action 

Plan has been developed 

and the recommendation 

is being implemented.

GAO17-400 2 

K-12 Education: 

Education Needs to 

Improve Oversight of 

Its 21st Century 

Program

GAO 4/26/2017 OESE Resolved

The Secretary of Education should direct the Office of Academic 

Improvement to conduct federal-level data checks on the accuracy of 

21st Century program data submitted by states. Such checks could 

test for logical relationships between fields. Education should also 

publicly disclose and address any data limitations it identifies, as 

appropriate.

Completed

Action has been taken. 

The recommendation 

remains open until all 

other recommendations 

have been complete. 

GAO17-400 3 

K-12 Education: 

Education Needs to 

Improve Oversight of 

Its 21st Century 

Program

GAO 4/26/2017 OESE Resolved

The Secretary of Education should direct the Office of Academic 

Improvement to provide written, non-regulatory guidance to states on 

developing and conducting high-quality 21st Century state evaluations 

to help address the difficulties states face in measuring program 

performance and effectiveness.

Completed

Action has been taken. 

The recommendation 

remains open until all 

other recommendations 

have been complete. 

GAO17-400 4 

K-12 Education: 

Education Needs to 

Improve Oversight of 

Its 21st Century 

Program

GAO 4/26/2017 OESE Resolved

The Secretary of Education should direct the Office of Academic 

Improvement to use the information it collects from its monitoring visits 

and ongoing interactions with states to share effective practices 

across states for sustaining their 21st Century programs once 

program funding ends. This information could be shared using existing 

mechanisms such as Education's meetings with 21st Century state 

coordinators.

Completed

Action has been taken. 

The recommendation 

remains open until all 

other recommendations 

have been complete. 

GAO18-233 1 

Emergency 

Management: 

Federal Agencies 

Could Improve 

Dissemination of 

Resources to 

Colleges

GAO 4/30/2018 OESE Resolved

The Secretary of Education, in collaboration with other agencies 

through the planned interagency working group or another 

mechanism, should identify further opportunities to more effectively 

publicize resources to reach additional colleges.

Resolved

The Corrective Action 

Plan has been developed 

and the recommendation 

is being implemented.

GAO18-382 1 

K-12 Education: Lead 

Testing of School 

Drinking Water Would 

Benefit from 

Improved Federal 

Guidance

GAO 7/17/2018 OESE Resolved

The Assistant Secretary for Elementary and Secondary Education 

should improve the usability of Education's websites to ensure that the 

states and school districts can more easily find and access federal 

guidance to address lead in school drinking water, by taking actions 

such as clarifying which links contain guidance; highlighting new or 

important guidance; improving their websites' search function; and 

categorizing guidance.

Resolved

The Corrective Action 

Plan has been developed 

and the recommendation 

is being implemented.

GAO18-382 2 

K-12 Education: Lead 

Testing of School 

Drinking Water Would 

Benefit from 

Improved Federal 

Guidance

GAO 7/17/2018 OESE Resolved

The Assistant Secretary for Elementary and Secondary Education 

should collaborate with EPA to encourage testing for lead in school 

drinking water. This effort could include disseminating EPA guidance 

related to lead testing and remediation in schools or sending letters to 

states to encourage testing in all school districts that have not yet 

done so.

Resolved

The Corrective Action 

Plan has been developed 

and the recommendation

is being implemented.
X-50

X-50

ACN

Rec 

No. Audit Title Issuer

Final 

Report 

Issue Date Office

Audit 

Status Recommendation Text

Rec 

Status Status

A19-

Q0002 1 

Department 

Oversight of Indian 

Education Formula 

Grants

OIG 9/28/2018 OESE Resolved

(Significant) We recommend that the Assistant Secretary for OESE: 

1.1 Ensure that OIE management and the OIE Formula Team 

develop, finalize, and implement detailed written policies and 

procedures on monitoring grantees' performance toward achieving the 

program's goals and objectives, to include ensuring grantees submit 

all requested documentation, documenting conclusions with regard to 

adequacy of grantee performance in areas reviewed as well as overall 

conclusions on whether grantees are meeting program objectives, 

requesting and timely following up on corrective actions when needed, 

and that such monitoring is used to assist grantees in making 

progress in meeting those goals and objectives.

Resolved

The Corrective Action 

Plan has been developed 

and the recommendation 

is being implemented.

A19-

Q0002 2 

Department 

Oversight of Indian 

Education Formula 

Grants

OIG 9/28/2018 OESE Resolved

(Significant) We recommend that the Assistant Secretary for OESE: 

1.2 Ensure that OIE management and the OIE Formula Team 

develop, finalize, and implement detailed written policies and 

procedures for monitoring grantees' use of funds, to include ensuring 

documentation related to expenditures is submitted and reviewed to 

verify that funds are being used for allowable activities and that 

resulting conclusions are documented and applicable corrective 

actions are requested and timely followed up on.

Resolved

The Corrective Action 

Plan has been developed 

and the recommendation 

is being implemented.

A19-

Q0002 3 

Department 

Oversight of Indian 

Education Formula 

Grants

OIG 9/28/2018 OESE Resolved

(Significant) We recommend that the Assistant Secretary for OESE: 

1.3 Ensure that OIE management and the OIE Formula Team 

develop, finalize, and implement detailed written policies and 

procedures regarding the student count verification process to ensure 

that student counts are being appropriately verified and documented, 

and any issues are proactively identified.

Resolved

The Corrective Action 

Plan has been developed 

and the recommendation 

is being implemented.

A19-

Q0002 4 

Department 

Oversight of Indian 

Education Formula 

Grants

OIG 9/28/2018 OESE Resolved

(Significant) We recommend that the Assistant Secretary for OESE: 

1.4 Ensure that OIE management and the OIE Formula Team 

develop, finalize, and implement detailed written policies and 

procedures for developing monitoring plans that consider multiple risk 

factors. In doing so, consider requesting Entity Risk Review reports 

for grantees from RMS as suggested by OESE's Guidance for OESE 

Monitoring Plans for grant programs with a large number of grantees.

Resolved

The Corrective Action 

Plan has been developed 

and the recommendation 

is being implemented.

A19-

Q0002 5 

Department 

Oversight of Indian 

Education Formula 

Grants

OIG 9/28/2018 OESE Resolved

We recommend that the Assistant Secretary for OESE: 1.5 

Encourage OIE management to conduct research on best practices 

employed by similarly situated programs, such as other formula grant 

programs at the Department with large numbers of grantees, and 

consider adapting and/or adopting practices that may be used to 

better oversee and monitor Indian Education Formula Grant program 

grantees.

Resolved

The Corrective Action 

Plan has been developed 

and the recommendation 

is being implemented.

A19-

Q0002 6 

Department 

Oversight of Indian 

Education Formula 

Grants

OIG 9/28/2018 OESE Resolved

(Significant) We recommend that the Assistant Secretary for OESE: 

1.6 Ensure that OIE management and the OIE Formula Team receive 

necessary training and guidance so they are prepared to adequately 

manage the responsibilities of effectively overseeing grantees.

Resolved

The Corrective Action 

Plan has been developed 

and the recommendation 

is being implemented.

A19-

Q0002 7 Department Oversight of Indian OIG 9/28/2018 OESE Resolved We recommend that the Assistant Secretary for OESE: 1.7 Ensure that OIE management and the OIE Formula Team are aware of and Resolved The Corrective Action Plan has been developed 
X-51

X-51

ACN

Rec 

No. Audit Title Issuer

Final 

Report 

Issue Date Office

Audit 

Status Recommendation Text

Rec 

Status Status

Education Formula 

Grants

comply with existing standards for grant file documentation that align 

with Department policies.

and the recommendation 

is being implemented.

A19-

Q0002 8 

Department 

Oversight of Indian 

Education Formula 

Grants

OIG 9/28/2018 OESE Resolved

We recommend that the Assistant Secretary for OESE: 1.8 Require 

the OIE Formula Team to identify desktop monitoring reports with 

open or unresolved items and conduct necessary follow-up with 

grantees to close out the monitoring reports.

Resolved

The Corrective Action 

Plan has been developed 

and the recommendation 

is being implemented.

A19-

Q0002 9 

Department 

Oversight of Indian 

Education Formula 

Grants

OIG 9/28/2018 OESE Resolved

(Significant) We recommend that the Assistant Secretary for OESE: 

1.9 Ensure that OIE management develops, finalizes, and 

implements detailed written policies and procedures for reviewing 

APRs, to include ensuring all APRs are received and uploaded to the 

grant files, reviewing progress toward achieving project objectives, 

following up with grantees when necessary, and appropriately 

documenting related communications.

Resolved

The Corrective Action 

Plan has been developed 

and the recommendation 

is being implemented.

A19-

Q0002 10

Department 

Oversight of Indian 

Education Formula 

Grants

OIG 9/28/2018 OESE Resolved

We recommend that the Assistant Secretary for OESE: 1.10 Ensure 

that APR and GPRA data are analyzed to identify areas for 

improvement and that such analysis is used so that appropriate 

actions can be taken to help improve program performance.

Resolved

The Corrective Action 

Plan has been developed 

and the recommendation 

is being implemented.

A19-

Q0002 11

Department 

Oversight of Indian 

Education Formula 

Grants

OIG 9/28/2018 OESE Resolved

We recommend that the Assistant Secretary for OESE: 1.11 Ensure 

OIE management adequately communicates to program staff 

expectations related to monitoring, to include defined roles and 

responsibilities, to help ensure the effective and uniform monitoring of 

Indian Education Formula Grant program grantees.

Resolved

The Corrective Action 

Plan has been developed 

and the recommendation 

is being implemented.

A19-

Q0002 12

Department 

Oversight of Indian 

Education Formula 

Grants

OIG 9/28/2018 OESE Resolved

We recommend that the Assistant Secretary for OESE: 1.12 Review 

the management and staff structure and resources of OIE and make 

changes, as appropriate, to ensure that proper oversight and 

monitoring of Indian Education Formula Grant program grantees is 

conducted.

Completed

Action has been taken. 

The recommendation 

remains open until all 

other recommendations 

have been complete. 

A02-

M0011 1 

Nationwide Audit of 

Oversight of Closed 

Charter Schools

OIG 9/28/2018 OII Resolved

(Significant) We recommend that the Deputy Secretary coordinate 

with the Assistant Secretary for OESE, the Assistant Secretary of 

OSERS and Acting Assistant Deputy Secretary for OII to - 1. Develop 

a risk assessment that identifies SEAs that fund charter schools and 

considers the risks to Federal funds associated with charter school 

closures and monitor SEAs based on this assessment, focusing on 

those elements of the charter school closure process that pose the 

most risk.

Resolved

The Corrective Action 

Plan has been developed 

and the recommendation 

is being implemented.

A02-

M0011 2 

Nationwide Audit of 

Oversight of Closed 

Charter Schools

OIG 9/28/2018 OII Resolved

(Significant) We recommend that the Deputy Secretary coordinate 

with the Assistant Secretary for OESE, the Assistant Secretary of 

OSERS and Acting Assistant Deputy Secretary for OII to - 2. Review 

guidance issued by the Department to determine whether it 

adequately addresses issues related to Federal grant closeout, 

disposition of assets purchased with Federal funds, and protection 

and maintenance of student records for closed charter schools, and 

either modify the current guidance or issue new guidance as 

appropriate.

Resolved

The Corrective Action 

Plan has been developed 

and the recommendation 

is being implemented.

A02-

M0011 3 

Nationwide Audit of 

Oversight of Closed 

Charter Schools

OIG 9/28/2018 OII Resolved

(Significant) We recommend that the Deputy Secretary coordinate 

with the Assistant Secretary for OESE, the Assistant Secretary of 

OSERS and Acting Assistant Deputy Secretary for OII to - 3. Work 

Resolved The Corrective Action 

Plan has been developed 
X-52

X-52

ACN

Rec 

No. Audit Title Issuer

Final 

Report 

Issue Date Office

Audit 

Status Recommendation Text

Rec 

Status Status

with SEAs to develop and implement effective charter school closure 

procedures. In doing so, identify and share best practices and 

relevant requirements for SEAs regarding Federal grant closeout, 

disposition of assets purchased with Federal funds, and protection 

and maintenance of student records to ensure that charter schools 

that are identified for closure by the responsible State and local 

entities are closed in an appropriate manner.

and the recommendation 

is being implemented.

GAO18-491 1 

Grants Workforce: 

Actions Needed to 

Ensure Staff Have 

Skills to Administer 

and Oversee Federal 

Grants

GAO 9/20/2018 OM Completed

The Secretary of Education should establish a process to monitor and 

evaluate Education's grants training at the central office level. This 

process should include (1) a method for identifying all employees 

working on grants across the agency, and (2) oversight procedures to 

evaluate the sufficiency of sub-agencies' grants training efforts 

including the incorporation of leading practices related to assessing 

competencies, training approaches, accountability, and training 

results.

Completed

GAO reviewed the 

supporting 

documentation; the 

Department is gathering 

additional supporting 

documentation before 

the recommendation will 

be closed.

A19-

P0008 1 

Review of the 

Contractor Security 

Clearance Process

OIG 9/20/2018 OM Resolved

(Significant) We recommend that the Assistant Secretary for 

Management: 1.1 Develop and distribute written policies and 

procedures that include (1) new Federal and Department 

requirements for the contractor personnel security screening process 

established since the issuance of the Directive in 2010, and (2) 

existing Department practices for the screening process that have 

been informally approved by OM but are not addressed in current 

written policies and procedures. 

Completed

Action has been taken. 

The recommendation 

remains open until all 

other recommendations 

have been complete. 

A19-

P0008 2 

Review of the 

Contractor Security 

Clearance Process

OIG 9/20/2018 OM Resolved

(Significant) We recommend that the Assistant Secretary for 

Management: 1.2 Periodically review the security screening process 

and assess the need to update policy accordingly. Develop and 

distribute interim guidance as necessary.

Completed

Action has been taken. 

The recommendation 

remains open until all 

other recommendations 

have been complete. 

A19-

P0008 3 

Review of the 

Contractor Security 

Clearance Process

OIG 9/20/2018 OM Resolved

(Significant) We recommend that the Assistant Secretary for 

Management: 1.3 Require POs to develop internal procedures for the 

contractor personnel security screening process, review the POdeveloped procedures for compliance with the Directive, review any 

modifications to PO procedures, and maintain the procedural 

documents provided by POs.

Resolved

The Corrective Action 

Plan has been developed 

and the recommendation 

is being implemented.

A19-

P0008 4 

Review of the 

Contractor Security 

Clearance Process

OIG 9/20/2018 OM Resolved

(Significant) We recommend that the Assistant Secretary for 

Management: 1.4 Develop a process to ensure POs receive and 

maintain notification of all final adjudication determinations, both 

favorable and unfavorable, for each individual contractor employee 

who has received a security screening.

Resolved

The Corrective Action 

Plan has been developed 

and the recommendation 

is being implemented.

A19-

P0008 5 

Review of the 

Contractor Security 

Clearance Process

OIG 9/20/2018 OM Resolved

We recommend that the Assistant Secretary for Management: 1.5 

Establish an appropriate role for OM in the contract position and risk 

designation process, in coordination with PO and OCFO staff, and 

ensure requirements for position risk designation tools and 

documentation requirements are adequately communicated.

Completed

Action has been taken. 

The recommendation 

remains open until all 

other recommendations 

have been complete. 

A19-

P0008 6 

Review of the 

Contractor Security 

Clearance Process

OIG 9/20/2018 OM Resolved

We recommend that the Assistant Secretary for Management: 1.6 

Ensure that all elements of the security screening process, including 

initiation, adjudications, and reinvestigations are conducted within 

Resolved The Corrective Action 

Plan has been developed 
X-53

X-53

ACN

Rec 

No. Audit Title Issuer

Final 

Report 

Issue Date Office

Audit 

Status Recommendation Text

Rec 

Status Status

required timeframes. Align Directive requirements with applicable 

OPM metrics.

and the recommendation 

is being implemented.

A19-

P0008 7 

Review of the 

Contractor Security 

Clearance Process

OIG 9/20/2018 OM Resolved

We recommend that the Assistant Secretary for Management: 1.7 

Review the staff structure and resources of Personnel Security and 

make changes, as appropriate, to ensure timely processing of security 

screenings and that proper oversight and guidance of the 

Department's contractor personnel security screening process is 

provided.

Completed

Action has been taken. 

The recommendation 

remains open until all 

other recommendations 

have been complete. 

A19-

P0008 8 

Review of the 

Contractor Security 

Clearance Process

OIG 9/20/2018 OM Resolved

(Significant) We recommend that the Assistant Secretary for 

Management: 1.8 Coordinate with POs to reconcile current Security 

Manager data with PO records on individual contractor employees for 

information such as contractor employee name, contractor company, 

assigned contract number, employment status, and departure date as 

applicable. Periodically reconcile Security Manager data with PO 

records. 

Completed

Action has been taken. 

The recommendation 

remains open until all 

other recommendations 

have been complete. 

A19-

P0008 9 

Review of the 

Contractor Security 

Clearance Process

OIG 9/20/2018 OM Resolved

(Significant) We recommend that the Assistant Secretary for 

Management: 1.9 Require information necessary for tracking the 

status of contractor employees' security screenings and employment 

on Department contracts to be entered into Security Manager, to 

include contractor company and contract number.

Completed

Action has been taken. 

The recommendation 

remains open until all 

other recommendations 

have been complete. 

A19-

P0008 10

Review of the 

Contractor Security 

Clearance Process

OIG 9/20/2018 OM Resolved

We recommend that the Assistant Secretary for Management: 1.10 

Review the current access of PO staff to Security Manager to 

determine if granting further access to key staff could help ensure the 

reliability of Security Manager data, and then grant access

accordingly. 

Completed

Action has been taken. 

The recommendation 

remains open until all 

other recommendations 

have been complete. 

A19-

P0008 11

Review of the 

Contractor Security 

Clearance Process

OIG 9/20/2018 OM Resolved

We recommend that the Assistant Secretary for Management: 1.11 

Develop comprehensive training for the contractor personnel security 

screening process that covers process requirements and the 

responsibilities of key PO officials and staff, to include use of Security 

Manager and the Position Designation Tool. Require all applicable 

staff to attend.

Completed

Action has been taken. 

The recommendation 

remains open until all 

other recommendations 

have been complete. 

GAO12-560 1 

Higher Education: 

Improved Tax 

Information Could 

Help Families Pay for 

College

GAO 5/18/2012 OPE Resolved

To help ensure individuals who are eligible to claim a higher education 

tax expenditure are aware of their eligibility and the benefit they may 

receive, the Commissioner of Internal Revenue and the Secretary of 

Education should work together to (1) identify characteristics of tax 

filers who are not claiming a higher education tax expenditure when 

they appear to be eligible for one and possible reasons for this, and 

(2) use this information to identify strategies to improve information 

provided to eligible students and families.

Completed

Action has been taken. 

The recommendation 

remains open until all 

other recommendations 

have been complete. 

GAO12-560 2 

Higher Education: 

Improved Tax 

Information Could 

Help Families Pay for 

College

GAO 5/18/2012 OPE Resolved

To provide federal policymakers information on the relative 

effectiveness of Title IV programs and higher education tax 

expenditures, the Secretary of Education should take advantage of 

opportunities presented by recent and anticipated substantive 

program changes to sponsor and conduct evaluative research into the 

effectiveness of Title IV programs and higher education tax 

expenditures at improving student outcomes.

Resolved

The Corrective Action 

Plan has been developed 

and the recommendation 

is being implemented.
X-54

X-54

ACN

Rec 

No. Audit Title Issuer

Final 

Report 

Issue Date Office

Audit 

Status Recommendation Text

Rec 

Status Status

GAO15-59 1 

Higher Education: 

Education Should 

Strengthen Oversight 

of Schools and 

Accreditors

GAO 12/22/2014 OPE Resolved

To ensure that accreditors are reliable authorities on educational 

quality, we recommend that the Secretary of Education consider 

further evaluating existing accreditor standards to determine if they 

effectively address educational quality in key areas, such as student 

achievement. In carrying out this evaluation, Education could consider 

whether there are additional actions it could take, within the scope of 

its existing authority, to assess accreditor standards on an ongoing 

basis, and if appropriate, Education could develop a legislative 

proposal to expand its authority to assess accreditor standards.

Completed

Action has been taken. 

The recommendation 

remains open until all 

other recommendations 

have been complete. 

GAO15-59 2 

Higher Education: 

Education Should 

Strengthen Oversight 

of Schools and 

Accreditors

GAO 12/22/2014 OPE Resolved

To strengthen Education’s oversight of schools, we recommend that 

the Secretary of Education ensure that Education staff consistently 

review, record, and respond to accreditor sanction information, and 

clarify its guidance on how the agency will respond to specific 

accreditor sanctions.

Completed

Action has been taken. 

The recommendation 

remains open until all 

other recommendations 

have been complete. 

GAO15-59 3 

Higher Education: 

Education Should 

Strengthen Oversight 

of Schools and 

Accreditors

GAO 12/22/2014 OPE Resolved

To further strengthen Education’s oversight of schools, we 

recommend that the Secretary of Education determine how Education 

can consistently leverage available accreditor sanction data for 

oversight of schools to ensure it can systematically prioritize 

sanctioned schools for program review.

Completed

Action has been taken. 

The recommendation 

remains open until all 

other recommendations 

have been complete. 

GAO15-59 4 

Higher Education: 

Education Should 

Strengthen Oversight 

of Schools and 

Accreditors

GAO 12/22/2014 OPE Resolved

To strengthen Education’s oversight of accreditors through the 

recognition review process, we recommend that the Secretary of 

Education draw upon accreditor data to determine whether accreditors 

are consistently applying and enforcing their standards to ensure that 

the education offered by schools is of sufficient quality. For example, 

Education could systematically use available information related to the 

frequency of accreditor sanctions or could do additional analyses, 

such as comparing accreditor sanction data with Education’s 

information on student outcomes, to inform its recognition reviews

Resolved

The Corrective Action 

Plan has been developed 

and the recommendation 

is being implemented.

GAO15-598 1 

Teacher Preparation 

Programs: Education 

Should Ensure States 

Identify LowPerforming Programs 

and Improve 

Information-Sharing

GAO 7/23/2015 OPE Completed

The Secretary of Education should develop a risk-based, costeffective strategy to verify that states are implementing a process for 

assessing whether any teacher preparation programs are lowperforming.

Completed

GAO reviewed the 

supporting 

documentation; the 

Department is gathering 

additional supporting 

documentation before 

the recommendation will 

be closed.

GAO15-598 2 

Teacher Preparation 

Programs: Education 

Should Ensure States 

Identify LowPerforming Programs 

and Improve 

Information-Sharing

GAO 7/23/2015 OPE Completed

The Secretary of Education should study the usefulness of Title II data 

elements for policymakers and practitioners, and, if warranted, 

develop a proposal for Congress to eliminate or revise any statutorily 

required elements that are not providing meaningful information.

Completed

GAO reviewed the 

supporting 

documentation; the 

Department is gathering 

additional supporting 

documentation before 

the recommendation will 

be closed.

GAO15-598 3 

Teacher Preparation 

Programs: Education 

Should Ensure States 

GAO 7/23/2015 OPE Completed

The Secretary of Education should identify potential limitations in the 

Title II data and consistently disclose these limitations in the reports, 

websites, and data tables the agency uses to distribute the results. 

Completed

GAO reviewed the 

supporting 

documentation; the 
X-55

X-55

ACN

Rec 

No. Audit Title Issuer

Final 

Report 

Issue Date Office

Audit 

Status Recommendation Text

Rec 

Status Status

Identify LowPerforming Programs 

and Improve 

Information-Sharing

This could include more detailed information about data elements 

where definitions vary substantially from state to state or teacher 

preparation program to teacher preparation program.

Department is gathering 

additional supporting

documentation before 

the recommendation will 

be closed.

GAO15-598 4 

Teacher Preparation 

Programs: Education 

Should Ensure States 

Identify LowPerforming Programs 

and Improve 

Information-Sharing

GAO 7/23/2015 OPE Completed

The Secretary of Education should develop and implement 

mechanisms to systematically share information about teacher 

preparation program quality with relevant Department of Education 

program offices and states (including state Independent Standards 

Boards).

Completed

GAO reviewed the 

supporting 

documentation; the 

Department is gathering 

additional supporting 

documentation before 

the recommendation will 

be closed.

GAO17-574 1 

Higher Education: 

Students Need More 

Information to Help 

Reduce Challenges 

in Transferring 

College Credits

GAO 10/4/2017 OPE Completed

To help improve students' access to information so that they can 

make well-informed transfer decisions, the Secretary of Education 

should require schools to (1) disclose the list of schools with which 

they have articulation agreements online if the school has a website, 

and (2) clearly inform students, on the school's website if it has one, 

when no articulation agreements on credit transfer are in place. If the 

department determines that it does not have the authority to require 

this, it should nonetheless encourage schools to take these actions 

(through guidance or other means).

Completed

Action has been taken. 

The recommendation 

remains open until all 

other recommendations 

have been complete. 

GAO17-574 2 

Higher Education: 

Students Need More 

Information to Help 

Reduce Challenges 

in Transferring 

College Credits

GAO 10/4/2017 OPE Completed

To help improve students' access to information so that they can 

make well-informed transfer decisions, the Secretary of Education 

should provide students and their families with general transfer 

information, for example by developing a consumer guide and posting 

it on Education's website or augmenting transfer information already 

provided on the website, to help increase awareness of key 

considerations when transferring schools.

Completed

Action has been taken. 

The recommendation 

remains open until all 

other recommendations 

have been complete. 

A09-

R0003 1 

Department 

Recognition and 

Oversight of 

Accreditors

OIG 6/27/2018 OPE Resolved

We recommend that the Assistant Secretary for OPE -- 1.1 Require 

the OPE Accreditation Group to use risk-based procedures and 

readily available information to identify the specific schools and an 

appropriate number of schools that each agency must use as 

evidence to demonstrate that it had effective mechanisms for 

evaluating a school's compliance with accreditation standards before 

reaching an accreditation decision.

Resolved 

The Corrective Action 

Plan has been developed 

and the recommendation 

is being implemented.

A09-

R0003 1 

Department 

Recognition and 

Oversight of 

Accreditors

OIG 6/27/2018 OPE Resolved

We recommend that the Assistant Secretary for OPE -- 2.1 Require 

the OPE Accreditation Group to adopt a risk-based methodology, 

using readily available information, to identify high-risk agencies and 

prioritize its oversight of those agencies during the recognition period.

Resolved

The Corrective Action 

Plan has been developed 

and the recommendation 

is being implemented.

A09-

R0003 2 

Department 

Recognition and 

Oversight of 

Accreditors

OIG 6/27/2018 OPE Resolved

We recommend that the Assistant Secretary for OPE -- 1.2 Require 

the OPE Accreditation Group to adopt written policies and procedures 

for evaluating agency recognition petitions that incorporate the 

elements of Recommendation 1.1 and address specific 

documentation requirements to include each selected school's 

complete self-study report and the agency's site visit report and 

decision letter.

Resolved

The Corrective Action 

Plan has been developed 

and the recommendation 

is being implemented.
X-56

X-56

ACN

Rec 

No. Audit Title Issuer

Final 

Report 

Issue Date Office

Audit 

Status Recommendation Text

Rec 

Status Status

GAO18-455 1 

Historically Black 

Colleges and 

Universities: Action 

Needed to Improve 

Participation in 

Education’s HBCU 

Capital Financing 

Program

GAO 8/17/2018 OPE Resolved

As Education develops the required HBCU Capital Financing Program 

outreach plan, the Executive Director of the program should include in 

the plan (1) ways to increase outreach to individual HBCUs so that 

HBCU officials are informed of the program; (2) steps to coordinate 

directly with state university systems to specifically address state-level 

challenges to participation and share potential solutions to increase 

public HBCU participation; and (3) ways to further leverage the 

designated bonding authority in its efforts.

Completed

Action has been taken. 

The recommendation 

remains open until all 

other recommendations 

have been complete. 

GAO18-455 2 

Historically Black 

Colleges and 

Universities: Action 

Needed to Improve 

Participation in 

Education’s HBCU 

Capital Financing 

Program

GAO 8/17/2018 OPE Resolved

The Executive Director of the HBCU Capital Financing Program 

should lead an agency effort to analyze various Capital Financing 

Program loan modifications, including the effects of the loan 

deferments authorized in the 2018 Consolidated Appropriations Act as 

well as other potential modifications, to assess the potential benefits 

to HBCUs participating in the program, the potential cost of these 

options to the government, and their effect on the program's overall 

financial stability.

Resolved

The Corrective Action 

Plan has been developed 

and the recommendation 

is being implemented.

GAO17-22 1 

Federal Student 

Loans: Education 

Needs to Improve Its 

Income-Driven 

Repayment Plan 

Budget Estimates

GAO 12/1/2016 OPEPD Resolved

The Secretary of Education should assess and improve, as 

necessary, the quality of data and methods used to forecast borrower 

incomes and revise the forecasting method to account for inflation in 

estimates.

Resolved

The Corrective Action 

Plan has been developed 

and the recommendation 

is being implemented.

GAO17-22 2 

Federal Student 

Loans: Education 

Needs to Improve Its 

Income-Driven 

Repayment Plan 

Budget Estimates

GAO 12/1/2016 OPEPD Resolved

The Secretary of Education should obtain data needed to assess the 

impact of income recertification lapses on borrower payment amounts 

and adjust estimated borrower repayment patterns as necessary.

Completed

Action has been taken. 

The recommendation 

remains open until all 

other recommendations 

have been complete. 

GAO17-22 3 

Federal Student 

Loans: Education 

Needs to Improve Its 

Income-Driven 

Repayment Plan 

Budget Estimates

GAO 12/1/2016 OPEPD Resolved

The Secretary of Education should complete efforts to incorporate 

repayment plan switching into the agency's redesigned student loan 

model, and conduct testing to help ensure that the model produces 

estimates that reasonably reflect trends in Income-Driven Repayment 

plan participation.

Completed

Action has been taken. 

The recommendation 

remains open until all 

other recommendations 

have been complete. 

GAO17-22 4 

Federal Student 

Loans: Education 

Needs to Improve Its 

Income-Driven 

Repayment Plan 

Budget Estimates

GAO 12/1/2016 OPEPD Resolved

The Secretary of Education should, as a part of the agency's ongoing 

student loan model redesign efforts, add the capability to produce 

separate cost estimates for each Income-Driven Repayment plan and 

more accurately reflect likely repayment patterns for each type of loan 

eligible for these plans.

Resolved

The Corrective Action 

Plan has been developed 

and the recommendation 

is being implemented.

GAO17-22 5 

Federal Student 

Loans: Education 

Needs to Improve Its 

Income-Driven 

Repayment Plan 

Budget Estimates

GAO 12/1/2016 OPEPD Resolved

The Secretary of Education should more thoroughly test the agency's 

approach to estimating Income-Driven Repayment plan costs, 

including by conducting more comprehensive sensitivity analysis on 

key assumptions and adjusting those assumptions (such as the 

agency's Public Service Loan Forgiveness participation assumption) 

to ensure reasonableness.

Completed

Action has been taken. 

The recommendation 

remains open until all 

other recommendations 

have been complete. 
X-57

X-57

ACN

Rec 

No. Audit Title Issuer

Final 

Report 

Issue Date Office

Audit 

Status Recommendation Text

Rec 

Status Status

GAO17-22 6 

Federal Student 

Loans: Education 

Needs to Improve Its 

Income-Driven 

Repayment Plan 

Budget Estimates

GAO 12/1/2016 OPEPD Resolved

The Secretary of Education should publish more detailed Income 

Driven Repayment plan cost information-- beyond what is regularly 

provided through the President's budget--including items such as total 

estimated costs, sensitivity analysis results, key limitations, and 

expected forgiveness amounts.

Completed

Action has been taken. 

The recommendation 

remains open until all 

other recommendations

have been complete. 

A09-

R0008 1 

OCPO'S Controls 

Over the Processing 

of FERPA Complaints

OIG 11/26/2018 OPEPD Resolved

We recommend that the Acting Assistant Secretary of the Office of 

Management require the Privacy Office to--

1.1 Allocate appropriate resources to the Compliance Office based on 

the stated priority of reducing or eliminating the investigation backlog 

so that FERPA complaints are resolved in a timely manner.

Completed

Action has been taken. 

The recommendation 

remains open until all 

other recommendations 

have been complete. 

A09-

R0008 2 

OCPO'S Controls 

Over the Processing 

of FERPA Complaints

OIG 11/26/2018 OPEPD Resolved

We recommend that the Acting Assistant Secretary of the Office of 

Management require the Privacy Office to--

1.2 Work with the Office of General Counsel to resolve outstanding 

policy issues that impede the Compliance Office's ability to investigate 

certain FERPA complaints.

Resolved

The Corrective Action 

Plan has been developed 

and the recommendation 

is being implemented.

A09-

R0008 3 

OCPO'S Controls 

Over the Processing 

of FERPA Complaints

OIG 11/26/2018 OPEPD Resolved

We recommend that the Acting Assistant Secretary of the Office of 

Management require the Privacy Office to--1.3 Implement an effective 

FERPA complaint tracking system that allows the Compliance Office 

to account for and track all complaints it receives, including the status 

and outcome of each complaint, and that provides an effective 

mechanism for reliable performance measurement and reporting.

Completed

Action has been taken. 

The recommendation 

remains open until all 

other recommendations 

have been complete. 

A09-

R0008 4 

OCPO'S Controls 

Over the Processing 

of FERPA Complaints

OIG 11/26/2018 OPEPD Resolved

We recommend that the Acting Assistant Secretary of the Office of 

Management require the Privacy Office to--

1.4 Use reliable performance data to design and implement 

appropriate performance standards for the Compliance Office as a 

whole and for individual personnel responsible for handling 

complaints.

Completed

Action has been taken. 

The recommendation 

remains open until all 

other recommendations 

have been complete. 

A09-

R0008 5 

OCPO'S Controls 

Over the Processing 

of FERPA Complaints

OIG 11/26/2018 OPEPD Resolved

We recommend that the Acting Assistant Secretary of the Office of 

Management require the Privacy Office to--

1.5 Investigate all complaints that meet the criteria requiring 

investigation and do not place complaints into an "inactive" status.

Completed

Action has been taken. 

The recommendation 

remains open until all 

other recommendations 

have been complete. 

A09-

R0008 6 

OCPO'S Controls 

Over the Processing 

of FERPA Complaints

OIG 11/26/2018 OPEPD Resolved

We recommend that the Acting Assistant Secretary of the Office of 

Management require the Privacy Office to--

1.6 Revise processes for resolving FERPA complaints to ensure 

effective and appropriate communication with the complainant, to 

include providing dismissal notifications, updates, and responses to 

inquiries in a timely manner and recording all communication in the 

tracking system.

Completed

Action has been taken. 

The recommendation 

remains open until all 

other recommendations 

have been complete. 

A09-

R0008 7 

OCPO'S Controls 

Over the Processing 

of FERPA Complaints

OIG 11/26/2018 OPEPD Resolved

We recommend that the Acting Assistant Secretary of the Office of 

Management require the Privacy Office to--

1.7 Design and implement a risk-based approach to processing and 

resolving FERPA complaints, where complaints deemed highest risk 

are prioritized. Risk can be evaluated based on the subject matter of 

the complaint, the severity of risk to student privacy, the number of 

students affected, or other relevant factors.

Completed

Action has been taken. 

The recommendation 

remains open until all 

other recommendations 

have been complete. 
X-58

X-58

ACN

Rec 

No. Audit Title Issuer

Final 

Report 

Issue Date Office

Audit 

Status Recommendation Text

Rec 

Status Status

A09-

R0008 8 

OCPO'S Controls 

Over the Processing 

of FERPA Complaints

OIG 11/26/2018 OPEPD Resolved

We recommend that the Acting Assistant Secretary of the Office of 

Management require the Privacy Office to--

1.8 Review and evaluate its current policies and procedures for 

processing FERPA complaints to ensure they are complete and 

appropriate.

Completed

Action has been taken. 

The recommendation 

remains open until all 

other recommendations 

have been complete. 

GAO14-390 1 

Special Education: 

Improved 

Performance 

Measures Could 

Enhance Oversight of 

Dispute Resolution

GAO 9/25/2014 OSERS Resolved

Based on GAO's review, the Secretary of Education should direct the 

Office of Special Education Programs to increase transparency 

regarding the timeliness of due process hearing decisions for 

Congress and better target its monitoring and technical assistance to 

states, revise its performance measure to collect information from 

states on the amount of time that extensions add to due process 

hearing decisions.

Completed

Action has been taken. 

The recommendation 

remains open until all 

other recommendations 

have been complete. 

GAO14-390 2 

Special Education: 

Improved 

Performance 

Measures Could 

Enhance Oversight of 

Dispute Resolution

GAO 9/25/2014 OSERS Resolved

Based on GAO's review, the Secretary of Education should direct the 

Office of Special Education Programs to assist its oversight of dispute 

resolution, take steps to improve the comparability of parental 

involvement data while minimizing the burden to states, and use the 

data for better management decision making. Steps to consider could 

include establishing and requiring that states follow standard data 

collection and analysis procedures.

Resolved

The Corrective Action 

Plan has been developed 

and the recommendation 

is being implemented.

GAO17-352 1 

Youth with Autism: 

Federal Agencies 

Should Take 

Additional Action to 

Support TransitionAge Youth

GAO 5/4/2017 OSERS Completed

To determine whether IDEA's current transition age requirement 

allows youth with disabilities, including those with ASD, the time 

needed to plan and prepare for the transition to adult life, the 

Secretary of Education should examine outcomes for students when 

transition services begin at age 16 and the merits and implications of 

amending IDEA to lower the age at which school districts are to begin 

providing transition services to students with disabilities, such as 14.

Completed

Action has been taken. 

The recommendation 

remains open until all 

other recommendations 

have been complete. 

GAO17-352 2 

Youth with Autism: 

Federal Agencies 

Should Take 

Additional Action to 

Support TransitionAge Youth

GAO 5/4/2017 OSERS Completed

To implement the goals and policy priorities of the 2020 Federal Youth 

Transition Plan, the Federal Partners in Transition (FPT) workgroup--

the Secretaries of HHS, Education, Department of Labor, and the 

Commissioner of the Social Security Administration--should develop a 

long-term implementation plan that includes milestones and specific 

agency roles and assignments.

Completed

GAO reviewed the 

supporting 

documentation; the 

Department is gathering 

additional supporting 

documentation before 

the recommendation will 

be closed.

GAO18-94 1 

Private School 

Choice: Federal 

Actions Needed to 

Ensure Parents Are 

Notified About 

Changes in Rights for 

Students with 

Disabilities

GAO 11/30/2017 OSERS Completed

The Assistant Secretary for Special Education and Rehabilitative 

Services should review information provided by states related to 

changes in federal special education rights when a parent places a 

student with a disability in a private school and work with states to 

correct inaccurate information.

Completed

GAO reviewed the 

supporting 

documentation; the 

Department is gathering 

additional supporting 

documentation before 

the recommendation will 

be closed.

GAO18-171 1 

Workforce Innovation 

and Opportunity Act: 

Federal Agencies' 

Collaboration 

Generally Reflected 

GAO 2/8/2018 OSERS Completed

The Assistant Secretaries of Education's Office of Career, Technical, 

and Adult Education and Office of Special Education and 

Rehabilitative Services should work with DOL and HHS to fully identify 

and address their technology resource needs by (1) jointly identifying 

and prioritizing requirements for online collaboration tools, including 

Completed

Action has been taken. 

The recommendation 

remains open until all 

other recommendations 

have been complete. 
X-59

X-59

ACN

Rec 

No. Audit Title Issuer

Final 

Report 

Issue Date Office

Audit 

Status Recommendation Text

Rec 

Status Status

Leading Practices, 

but Could Be 

Enhanced

those related to security, (2) determining which online tools would best 

meet their needs, and (3) leveraging their resources to support greater 

use of those tools.

GAO18-171 2 

Workforce Innovation 

and Opportunity Act: 

Federal Agencies' 

Collaboration 

Generally Reflected 

Leading Practices, 

but Could Be 

Enhanced

GAO 2/8/2018 OSERS Completed

The Assistant Secretaries of Education's Office of Career, Technical, 

and Adult Education and Office of Special Education and 

Rehabilitative Services should formally document agreements with 

DOL and HHS about how the collaboration operates and how the 

agencies share resources. (

Completed

GAO reviewed the 

supporting 

documentation; the 

Department is gathering 

additional supporting 

documentation before 

the recommendation will 

be closed.

GAO18-502 1 

Students with 

Disabilities: 

Additional Information 

from Education Could 

Help States Provide 

Pre-Employment 

Transition Services

GAO 1/1/2019 OSERS Resolved

Education agreed with this recommendation and stated that it would 

establish projected timeframes for providing states with additional 

information on allowable expenditures for the provision of 

preemployment transition services. Education also stated that it 

intends to provide states with additional information in at least two 

forums before the end of calendar year 2018 and to review and 

analyze previous guidance provided to states on allowable 

expenditures.

Resolved

The Corrective Action 

Plan has been developed 

and the recommendation 

is being implemented.

GAO18-502 2 

Students with 

Disabilities: 

Additional Information 

from Education Could 

Help States Provide 

Pre-Employment 

Transition Services

GAO 1/1/2019 OSERS Resolved

Education disagreed with this recommendation, in large part, because 

there is no statutory provision authorizing the agency to identify such 

states. Nevertheless, Education stated that it is taking some steps as 

part of its ongoing monitoring of the VR program to provide assistance 

to states that have not updated their interagency agreements. This is 

consistent with the intention of our recommendation, but we believe 

more could be done. The agency also noted that it would continue to 

offer and provide technical assistance if it becomes known through the 

onsite monitoring of the VR program or through other means that 

states have not updated their interagency agreements between VR 

agencies and state educational agencies. In addition, its Rehabilitation 

Services Administration (RSA) and Office of Special Education 

Programs will provide information related to sources of technical 

assistance, as appropriate, to VR agencies and state educational 

agencies. While these steps may be helpful, given the number of 

states that have not updated and finalized their agreements and the 

length of time Education officials say they will take to complete this 

round of monitoring where Education asks state VR agencies about 

these agreements, additional action by Education may be needed to 

help states more efficiently and effectively coordinate services to 

students with disabilities.

Completed

Action has been taken. 

The recommendation 

remains open until all 

other recommendations 

have been complete. 

GAO18-502 3 

Students with 

Disabilities: 

Additional Information 

from Education Could 

Help States Provide 

Pre-Employment 

Transition Services

GAO 1/1/2019 OSERS Resolved

Education disagreed with this recommendation believing it is 

premature to develop a timeline for the dissemination of best 

practices. The agency stated that the identification of "best" practices, 

meaning those that are clearly supported by a body of evidence 

derived from valid and reliable research findings, is still emerging as 

states implement the requirements. Education stated that as RSA 

identifies best practices through its monitoring and technical 

Resolved

The Corrective Action 

Plan has been developed 

and the recommendation 

is being implemented.
X-60

X-60

ACN

Rec 

No. Audit Title Issuer

Final 

Report 

Issue Date Office

Audit 

Status Recommendation Text

Rec 

Status Status

assistance activities, it will, in collaboration with its Office of Special 

Education Programs, consider when and how best to disseminate this 

information to state VR and educational agencies. With regard to 

including specific timeframes and activities in a written plan, by 

detailing the specific steps Education is taking and plans to take along 

with the amount of time it expects them to take, Education would be 

better positioned to complete those steps in a timely manner and meet 

the statutory requirement that Education highlight best state practices 

and support state agencies.

GAO18-577 1 

Vocational 

Rehabilitation: 

Additional Federal 

Information Could 

Help States Serve 

Employers and Find 

Jobs for People with 

Disabilities

GAO 1/1/2019 OSERS Resolved

The Commissioner of Education's Rehabilitation Services 

Administration should work with state VR agencies to determine 

whether and what additional information and assistance VR agencies 

may find helpful regarding on-demand training, such as online videos, 

to employers on disability issues.

Resolved

The Corrective Action 

Plan has been developed 

and the recommendation 

is being implemented.

GAO18-577 2 

Vocational 

Rehabilitation: 

Additional Federal 

Information Could 

Help States Serve 

Employers and Find 

Jobs for People with 

Disabilities

GAO 1/1/2019 OSERS Resolved

The Commissioner of Education's Rehabilitation Services 

Administration should work with state VR agencies to determine how 

to most effectively disseminate information about the circumstances in 

which individuals who are employed may be eligible for career 

advancement services.

Resolved

The Corrective Action 

Plan has been developed 

and the recommendation 

is being implemented.

GAO18-577 3 

Vocational 

Rehabilitation: 

Additional Federal 

Information Could 

Help States Serve 

Employers and Find 

Jobs for People with 

Disabilities

GAO 1/1/2019 OSERS Resolved

The Commissioner of Education's Rehabilitation Services 

Administration should work with state VR agencies to develop more 

complete information on when and how VR agencies should assess 

employment settings, including settings supported by the Ability One 

program, to determine if they meet the definition of competitive 

integrated employment.

Resolved

The Corrective Action 

Plan has been developed 

and the recommendation 

is being implemented.

GAO18-577 4 

Vocational 

Rehabilitation: 

Additional Federal 

Information Could 

Help States Serve 

Employers and Find 

Jobs for People with 

Disabilities

GAO 1/1/2019 OSERS Resolved

The Commissioner of Education's Rehabilitation Services 

Administration should encourage local areas to clarify and document 

the roles and responsibilities of partner agencies in working with 

employers and provide sample language of how local areas may 

document roles and responsibilities in their MOUs.

Completed

Action has been taken. 

The recommendation 

remains open until all 

other recommendations 

have been complete. 

GAO18-577 5 

Vocational 

Rehabilitation: 

Additional Federal 

Information Could 

Help States Serve 

Employers and Find 

GAO 1/1/2019 OSERS Resolved

The Commissioner of Education's Rehabilitation Services 

Administration should, in setting the employer performance 

measurement approaches with DOL after the pilot is concluded, take 

into account VR agencies' concerns and key attributes of successful 

performance measures, including clarity in what is meant by employer 

Resolved

The Corrective Action 

Plan has been developed 

and the recommendation 

is being implemented.
X-61

X-61

ACN

Rec 

No. Audit Title Issuer

Final 

Report 

Issue Date Office

Audit 

Status Recommendation Text

Rec 

Status Status

Jobs for People with 

Disabilities

services, coverage of the VR agencies' core program activities, and 

consideration of factors outside of VR agencies' control.

GAO16-343 1 

Higher Education: 

Actions Needed to 

Improve Access to 

Federal Financial 

Assistance for 

Homeless and Foster 

Youth

GAO 6/22/2016 OUS Completed

To help foster and unaccompanied homeless youth better navigate 

the college admissions and federal student aid processes, the 

Secretaries of Education and HHS should jointly study potential 

options for encouraging and enabling child welfare caseworkers, 

McKinney-Vento homeless youth liaisons, and other adults who work 

with these youth to more actively assist them with college planning.

Completed

Action has been taken. 

The recommendation 

remains open until all 

other recommendations 

have been complete. 

GAO16-343 2 

Higher Education: 

Actions Needed to 

Improve Access to 

Federal Financial 

Assistance for 

Homeless and Foster 

Youth

GAO 6/22/2016 OUS Completed

To help foster and unaccompanied homeless youth, as well as adults 

who assist these youth, better navigate the federal student aid 

process and obtain information about college resources, the Secretary 

of Education, in consultation with the Secretary of HHS, should create 

webpages directed to homeless and foster youth so they can more 

easily find tailored and centralized information about available federal 

and other resources, such as Pell Grants, Chafee Education and 

Training Voucher Program (Chafee ETV Vouchers), and waivers for 

college admission tests.

Completed

Action has been taken. 

The recommendation 

remains open until all 

other recommendations 

have been complete. 

GAO16-343 3 

Higher Education: 

Actions Needed to 

Improve Access to 

Federal Financial 

Assistance for 

Homeless and Foster 

Youth

GAO 6/22/2016 OUS Completed

To help college financial aid administrators more effectively implement 

eligibility rules for unaccompanied homeless youth, the Secretary of 

Education should make available an optional worksheet or form that 

college financial aid administrators can voluntarily use to document 

unaccompanied homeless youth status or encourage the use of 

existing forms that are available.

Completed

GAO reviewed the 

supporting 

documentation; the 

Department is gathering 

additional supporting 

documentation before 

the recommendation will 

be closed.

GAO16-343 4 

Higher Education: 

Actions Needed to 

Improve Access to 

Federal Financial 

Assistance for 

Homeless and Foster 

Youth

GAO 6/22/2016 OUS Completed

To help homeless youth more easily access federal student aid, the 

Secretary of Education should clarify its guidance to financial aid 

administrators and students about whether financial aid administrators 

should accept any unaccompanied homeless youth determination 

provided by McKinney-Vento homeless liaisons or other authorized 

officials even if a student is not in high school or receiving program 

services.

Completed

Action has been taken. 

The recommendation 

remains open until all 

other recommendations 

have been complete. 

GAO16-343 5 

Higher Education: 

Actions Needed to 

Improve Access to 

Federal Financial 

Assistance for 

Homeless and Foster 

Youth

GAO 6/22/2016 OUS Completed

To enhance access to federal student aid for unaccompanied 

homeless youth, the Secretary of Education should consider 

developing a legislative proposal for congressional action to simplify 

the application process so that once a student has received an initial 

determination as an unaccompanied homeless youth, the student will 

not be required to have that status re-verified in subsequent years but 

attest to their current status on the Free Application for Federal 

Student Aid, unless a financial aid administrator has conflicting 

information.

Completed

Action has been taken. 

The recommendation 

remains open until all 

other recommendations 

have been complete. 

GAO17-266 1 

Discretionary Grants: 

Education Needs to 

Improve Its Oversight 

of Grants Monitoring

GAO 5/18/2017 RMS Completed

To enhance its oversight of discretionary grantee performance, the 

Secretary of Education should direct the Risk Management Service 

(RMS) to work with principal offices, as appropriate, to establish and 

implement detailed written supervisory review procedures for official 

Completed

Action has been taken. 

The recommendation 

remains open until all 

other recommendations 

have been complete. 
X-62

X-62

ACN

Rec 

No. Audit Title Issuer

Final 

Report 

Issue Date Office

Audit 

Status Recommendation Text

Rec 

Status Status

grant files to provide reasonable assurance that grant staff perform 

and document key monitoring activities.

GAO17-266 2 

Discretionary Grants: 

Education Needs to 

Improve Its Oversight 

of Grants Monitoring

GAO 5/18/2017 RMS Completed

To enhance its oversight of discretionary grantee performance, the 

Secretary of Education should direct RMS to work with principal 

offices, as appropriate, to develop guidance for grant staff on using 

the PAM Module to share information on grantee performance. Such 

guidance could clarify expectations about when staff should use the 

"Issues" and "Notable Results" tabs while monitoring grantees once 

the transition to electronic grant files is complete and clarify the types 

of information staff should enter about grantee performance.

Completed

GAO reviewed the 

supporting 

documentation; the 

Department is gathering 

additional supporting 

documentation before 

the recommendation will 

be closed.