Page 1 GAO-18-532R State and USAID

441 G St. N.W.

Washington, DC 20548

June 15, 2018

Congressional Committees

State and USAID: Status of GAO Recommendations Made in 2015 and 2016 

Senate Report 115-152 accompanying the Department of State, Foreign Operations, and 

Related Programs Appropriations Bill, 2018, includes a provision for us to report on the status of 

all recommendations made to the U.S. Department of State (State) and the U.S. Agency for 

International Development (USAID) in GAO reports issued during calendar years 2015 and

2016.

1 This report provides the total number of recommendations we made to State and to 

USAID in those 2 years, how many of those recommendations remain open for each agency, 

and which ones we consider priority recommendations. Priority recommendations are those that 

GAO believes warrant priority attention from heads of key departments and agencies.

To address our objective, we used GAO’s Business Analytics database to identify all 

recommendations made to State and USAID in 2015 and 2016, how many GAO deemed priority 

recommendations, and the status of the recommendations as of their most recent updates. We 

shared this information with State and USAID to ascertain that the most recent State and USAID 

actions were reflected in the enclosures detailing the status of the individual recommendations.

We conducted this performance audit from April 2018 to June 2018 in accordance with 

generally accepted government auditing standards. Those standards require that we plan and 

perform the audit to obtain sufficient, appropriate evidence to provide a reasonable basis for our 

findings and conclusions based on our audit objectives. We believe that the evidence obtained 

provides a reasonable basis for our findings and conclusions based on our audit objectives.

In summary, during calendar years 2015 and 2016, GAO made a combined total of 132

recommendations to State and USAID. Of the 82 recommendations made to State, 37 (about 45

percent) were still open as of June 7, 2018, and 10 of those were priority recommendations (see 

table 1).

Table 1: Status of Recommendations Made to the U.S. Department of State in GAO Products Issued in 

Calendar Years 2015 and 2016

No. of recommendations (Priority recommendations)

2015 2016 Total

Recommendations made 43 (6) 39 (15) 82 (21)

Recommendations implemented 26 (3) 19 (8) 45 (11)

Recommendations open 17 (3) 20 (7) 37 (10)

Source: GAO. | GAO-18-532R

Note: Status of recommendations, whether implemented or open, is as of June 7, 2018.

 1

S. Rep. No. 115-152, at 12 (2017) (accompanying S.1780, 115th Cong. (2017)), which is related to the Consolidated 

Appropriations Act, 2018, Pub. L. No. 115-141 (Mar. 23, 2018). 
Page 2 GAO-18-532R State and USAID 

Of the 50 recommendations made to USAID, 2 (4 percent) were still open as of June 7, 2018, 

and none were priority recommendations (see table 2).

Table 2: Status of Recommendations Made to the U.S. Agency for International Development in GAO 

Products Issued in Calendar Years 2015 and 2016

No. of recommendations (Priority recommendations)

2015 2016 Total

Total recommendations 36 (9) 14 (4) 50 (13)

Recommendations implemented 34 (9) 14 (4) 48 (13)

Recommendations open 2 (0) 0 (0) 2 (0)

Source: GAO. | GAO-18-532R

Note: Status of recommendations, whether implemented or open, is as of June 7, 2018.

The enclosures of this report—enclosure I for State and enclosure II for USAID—present 

information about the recommendations that are still open, including what actions, if any, 

agencies have taken or planned in response to the recommendations. One of the open 

recommendations to State included in the numerical count has been deemed by State to be 

sensitive but unclassified; thus, it is not included in enclosure I. 

Agency Comments

We provided a draft of this product to State and USAID for comment. In its comments (see 

enclosure III), State said it would continue to provide us with quarterly updates and to work with 

us to assure that its recommendations are closed as quickly as possible. In its comments (see 

enclosure IV), USAID stated that it has made it a corporate priority to carry out GAO 

recommendations. Since USAID transmitted its comments, we have closed two of the four 

recommendations that, in the draft report, we had identified as being open.

- - - - -

We are sending copies of this report to the appropriate congressional committees, the Secretary 

of State, the Administrator of USAID, and other interested parties. In addition, the report is 

available at no charge on the GAO website at http://www.gao.gov.

If you or your staff have any questions about this report, please contact me at (202) 512-9601 or

MelitoT@gao.gov. Contact points for our Offices of Congressional Relations and Public Affairs 

may be found on the last page of this report. GAO staff who made key contributions to this 

report were Hynek Kalkus (Assistant Director), Mattias Fenton (Analyst-in-Charge), and David 

Dayton.

Thomas Melito

Managing Director, International Affairs and Trade

Enclosures - 4
Page 3 GAO-18-532R State and USAID 

List of Committees

The Honorable Bob Corker

Chairman

The Honorable Robert Menendez

Ranking Member

Committee on Foreign Relations

United States Senate

The Honorable Lindsey Graham

Chairman

The Honorable Patrick J. Leahy

Ranking Member

Subcommittee on State, Foreign Operations, and Related Programs

Committee on Appropriations

United States Senate

The Honorable Ed Royce

Chairman

The Honorable Eliot L. Engel

Ranking Member

Committee on Foreign Affairs

House of Representatives

The Honorable Hal Rogers

Chairman

The Honorable Nita M. Lowey

Ranking Member

Subcommittee on State, Foreign Operations, and Related Programs

Committee on Appropriations

House of Representatives
Page 4 GAO-18-532R State and USAID 

ENCLOSURE I: GAO Recommendations Made to the U.S. Department of State in Calendar 

Years 2015 and 2016 That Remained Open as of June 7, 2018

Product number 

and title

Recommendation 

text

Status 

summary

Priority Recommendations

GAO-15-700

Diplomatic Security: 

State Department Should 

Better Manage Risks to 

Residences and Other 

Soft Targets Overseas

1. To enhance State's efforts to

manage risks to residences,

schools, and other soft targets

overseas, the Secretary of State

should direct the Bureau of

Diplomatic Security (DS) to

institute procedures to improve

posts' compliance with

requirements for conducting

residential security surveys.

To improve posts' compliance with residential

survey requirements, State is developing a global

standardized residential survey program that,

according to DS, will give DS officials at State 

headquarters and security officers at posts the 

ability to access and audit security surveys for all

residential holdings. DS estimated a 12-month 

development cycle for this program beginning in 

February 2017. As of January 2018, State had 

not completed the described actions. We will 

continue to monitor State's progress in 

implementing this recommendation. 

2. To enhance State's efforts to

manage risks to residences,

schools, and other soft targets

overseas, the Secretary of State

should direct DS to take steps to

clarify existing standards and

security-related guidance for

residences. For example, DS could

conduct a comprehensive review of

its various standards and securityrelated guidance for residences

and take steps to identify and

eliminate gaps and inconsistencies.

State conducted a review of existing standards

and identified numerous gaps, inconsistencies, 

and standards receiving exceptions more than 

being followed. As of January 2018, State was 

in the process of updating these standards. We 

will continue to monitor State's progress 

in implementing this recommendation.

3. To enhance State's efforts to

manage risks to residences,

schools, and other soft targets

overseas, the Secretary of State

should direct DS to develop 

procedures for ensuring that all 

residences at posts overseas 

either meet applicable standards 

or have required exceptions on file.

To ensure residences meet applicable standards,

State is developing a global standardized 

residential survey program that, according to DS,

will give DS officials at State headquarters and 

security officers at posts the ability to access and 

audit security surveys for all residential holdings. 

DS has estimated a 12-month development cycle 

for this program beginning in February 2017. As of 

October 2017, DS had also launched a system to 

track exception requests and approvals. State had 

not completed the described actions as of January 

2018. We will continue to monitor State's progress 

in implementing this recommendation.

GAO-16-435

Security Assistance: 

U.S. Government Should 

Strengthen End-Use 

Monitoring and Human 

Rights Vetting for Egypt

4. To strengthen compliance with

the Leahy laws and implementation

of State's human rights vetting

process and to help ensure that

U.S. funded assistance is not

provided to Egyptian security

forces that have committed gross

violations of human rights, as State

works to implement a revised

version of the International Vetting

and Security Tracking system

(INVEST) system that is expected

State agreed with this recommendation. State

acknowledged challenges identifying recipients

of equipment across the range of assistance

activities, but noted that it would continue to

update its systems and procedures to facilitate 

human rights vetting for recipients of equipment. 

In April 2017, State reported that it had provided 

finalized guidance on vetting Egyptian recipients 

of Foreign Military Financing-funded equipment 

to Embassy Cairo. These procedures have been 

incorporated into a revised version of Embassy 

Cairo's guide for conducting 
Page 5 GAO-18-532R State and USAID 

Product number 

and title

Recommendation 

text

Status 

summary

to help facilitate equipment vetting,

the Secretary of State should 

develop time frames for

establishing corresponding policies

and procedures to implement a 

vetting process to help enable the 

U.S. government to provide a more 

reasonable level of assurance that

equipment is not transferred to

foreign security forces, including 

those in Egypt, when there is

credible information that a unit has 

committed a gross violation of 

human rights. 

human rights vetting. According to State, Embassy

Cairo has implemented these procedures. Also, as

of June 2017, State had added new features to 

INVEST to help facilitate vetting of equipment

recipients. However, as of June 2017, State had 

not developed plans for adopting the procedures

used in Egypt more broadly in other countries that

also receive equipment through the Foreign 

Military Financing account or through other U.S.

assistance programs. In addition, State had not

established requirements for posts to use the new

equipment vetting features in INVEST. In January

2018, State reported that it had developed draft

standard operating procedures for conducting 

equipment vetting globally; however these 

procedures are being reviewed internally within 

the department and are not expected to be 

finalized until later in 2018. We will continue to 

monitor agency efforts to implement this 

recommendation. 

GAO-16-468

Information Technology: 

Federal Agencies Need to 

Address Aging Legacy 

Systems

5. To address obsolete IT

investments in need of

modernization or replacement,

the Secretaries of Agriculture,

Commerce, Defense, Energy,

Health and Human Services,

Homeland Security, State, the

Treasury, Transportation, and

Veterans Affairs; the Attorney

General; and the Commissioner of

Social Security should direct their

respective agency CIOs to identify

and plan to modernize or replace

legacy systems as needed and

consistent with OMB's draft

guidance, including time frames,

activities to be performed, and

functions to be replaced or

enhanced.

The agency agreed with the recommendation and 

stated that it plans to work with OMB upon the 

publication of OMB's guidance to identify 

opportunities for modernization. Since, the agency 

has stated that it had extended plans to replace 

the systems mentioned in the report by several 

years. As of August 2017, the agency stated that 

it had finalized a new capital planning guide which 

includes investment review policy to identify 

opportunities for modernization and away from 

legacy systems. However, this guide is not a 

legacy system modernization plan and does not 

include time frames, activities to be performed, 

and functions to be replaced or enhanced. 

Further, as of January 2018, OMB has not 

issued its draft guidance on legacy systems. 

We will continue to monitor the implementation 

of this recommendation.

GAO-17-124

Diplomatic Security: 

State Should Enhance 

Its Management of 

Transportation-Related 

Risks to Overseas U.S. 

Personnel

6. To enhance State's efforts to

manage transportation-related

security risks overseas, the

Secretary of State should direct the

Bureau of Diplomatic Security (DS)

to create consolidated guidance for

RSOs that specifies required

elements to include in post travel

notification and transportation

security policies. For example, as

part of its current effort to develop

standard templates for certain

security directives, DS could

develop templates for

transportation security and travel

notification policies that specify the

elements required in all security

directives as recommended by the

February 2005 Iraq ARB as well as

the standard transportation-related

State concurred with this recommendation and 

provided an update in April 2017 describing 

its plans to address the recommendation. 

However, as of January 2018, State had not 

completed the described actions. We will continue 

to monitor State's progress in implementing this 

recommendation.
Page 6 GAO-18-532R State and USAID 

Product number 

and title

Recommendation 

text

Status 

summary

elements that DS requires in such 

policies.

7. To enhance State's efforts to

manage transportation-related

security risks overseas, the

Secretary of State should direct DS

to clarify whether or not the FAH's

armored vehicle policy for overseas

posts is that every post must have

sufficient armored vehicles, and if

DS determines that the policy does

not apply to all posts, articulate the

conditions under which it does not

apply.

State concurred with this recommendation and 

provided an update in April 2017 describing its 

plans to address the recommendation. However, 

as of January 2018, State had not completed the 

described actions. We will continue to monitor 

State's progress in implementing this 

recommendation.

8. To enhance State's efforts to

manage transportation-related

security risks overseas, the

Secretary of State should direct DS

to develop monitoring procedures

to ensure that all posts comply with

the FAH's armored vehicle policy

for overseas posts once the policy

is clarified.

State concurred with this recommendation and 

provided an update in April 2017 describing its 

plans to address the recommendation. However, 

as of January 2018, State had not completed the 

described actions. We will continue to monitor 

State's progress in implementing this 

recommendation.

9. To enhance State's efforts to

manage transportation-related

security risks overseas, the

Secretary of State should direct

DS to clarify existing guidance on

refresher training, such as by 

delineating how often refresher 

training should be provided at 

posts facing different types and 

levels of threats, which personnel 

should receive refresher training, 

and how the completion of

refresher training should be

documented.

State concurred with this recommendation and 

provided an update in April 2017 describing its 

plans to address the recommendation. However, 

as of January 2018, State had not completed the 

described actions. We will continue to monitor 

State's progress in implementing this 

recommendation.

10. To enhance State's efforts to

manage transportation-related

security risks overseas, the

Secretary of State should direct DS

to improve guidance for RSOs, in

coordination with other relevant

State offices and non-State

agencies as appropriate, on how to

promote timely communication of

threat information to post personnel

and timely receipt of such

information by post personnel.

State concurred with this recommendation and 

provided an update in April 2017 describing its 

plans to address the recommendation. However, 

as of January 2018, State had not completed the 

described actions. We will continue to monitor 

State's progress in implementing this 

recommendation.

Non-Priority Recommendations

GAO-15-194

Defense Base Act 

Insurance: State 

Department Should 

Evaluate Its Open Market 

System and Incorporate 

11. The Secretary of State should

direct State's Office of the

Procurement Executive to

incorporate leading practices into

any future single insurer

solicitations by determining whether

existing guidance could be used, or

The Department of State concurred with the 

recommendation and said it would incorporate 

leading practices into any future single insurer 

solicitation if a determination is made to pursue a 

single insurer program. However, as of April 2018 

State had not made a determination to pursue a 

single insurer program. GAO will continue to 
Page 7 GAO-18-532R State and USAID 

Product number 

and title

Recommendation 

text

Status 

summary

Leading Practices into 

Any Future Single Insurer 

Solicitation

by developing guidance based on 

leading practices in federal and 

State Department acquisition 

regulations and State internal 

control standards.

monitor State's effort to implement the 

recommendation.

GAO-15-265

Summer Work Travel 

Program: State 

Department Has Taken 

Steps to Strengthen 

Program Requirements, 

but Additional Actions 

Could Further Enhance 

Oversight

12. To enhance State's efforts to

protect SWT participants from

abuse and the SWT program

from misuse, the Secretary of

State should direct the Bureau of

Education and Cultural Affairs to

establish a mechanism to ensure

that sponsors provide complete

and consistent lists of fees that

participants must pay.

In response to our recommendation that the State 

Department (State) establish a mechanism to 

ensure that sponsor provide complete and 

consistent lists of fees that exchange visitors on 

the Summer Work Travel program must pay, State 

acknowledged it collected such fee information in 

2016. As April 19, 2018, we are awaiting State's 

review and analysis of this information to ensure 

the price lists are consistent and comprehensive, 

as well as published guidance it is sending to 

sponsors on how fee and cost information must 

be listed on their websites so that there will be 

consistency among sponsors. Additionally, we are 

seeking the timeframe for updating the websites 

with this fee information.

13. To enhance State's efforts to

protect SWT participants from

abuse and the SWT program from

misuse, the Secretary of State

should direct the Bureau of 

Education and Cultural Affairs to 

establish a mechanism to establish 

a mechanism to ensure that

information about these participant

fees is made publicly available.

In response to our recommendation that the State 

Department (State) establish a mechanism to 

ensure that information about Summer Work 

Travel participant fees is made publically 

available, State noted that it had published a 

notice for proposed rulemaking on January 12, 

2017. When finalized, this would require would 

require each sponsor to include in its recruiting 

material, and post on its main Web site (e.g., with 

a visible link to such a page on the sponsors 

homepage), examples of the typical monthly 

budgets of exchange visitors placed in various 

regions of the United States to illustrate wages 

(based on the required weekly minimum of 32-

hours of work at a typical host placement) 

balanced against itemized fees and estimated 

costs. Until State finalizes this rule, they cannot 

enforce this requirement. As of April 19, 2018 

State has not released the final rule.

14. To enhance State's efforts to

protect SWT participants from

abuse and the SWT program from

misuse, the Secretary of State

should direct the Bureau of

Education and Cultural Affairs

to establish detailed criteria that

will allow State to assess the

sufficiency and appropriateness

of opportunities for cultural

activities outside the workplace

that sponsors provide to SWT

participants.

In response to our recommendation that the State 

Department (State) establish detailed criteria that 

will allow it to assess the sufficiency and 

appropriateness of opportunities for cultural 

activities outside the workplace that sponsors 

provide to Summer Work Travel participants, State 

published a notice for proposed rulemaking on 

January 12, 2017. When finalized, this would

require sponsors and their host entities to create 

cultural opportunities at least once per month. The 

proposed rule also notes that State will issue 

guidance outlining best practices for cross-cultural 

programming. As of April 19, 2018 this is not 

finalized.

GAO-15-288

Critical Technologies: 

Agency Initiatives Address 

Some Weaknesses, but 

15. To ensure a consistent and

more collaborative approach to the

protection of critical technologies,

the Secretaries of Commerce,

Defense, Homeland Security,

In Sept. 2017, State provided updates on actions 

taken within the department, but none across 

affected agencies.
Page 8 GAO-18-532R State and USAID 

Product number 

and title

Recommendation 

text

Status 

summary

Additional Interagency 

Collaboration Is Needed

State, and the Treasury; as well as 

the Attorney General of the United 

States, who have lead and 

stakeholder responsibilities for the 

eight programs within the critical 

technologies portfolio, should take 

steps to promote and strengthen 

collaboration mechanisms among 

their respective programs while 

ongoing initiatives are implemented 

and assessed. These steps need 

not be onerous; for example, they 

could include conducting an annual 

meeting to discuss their programs, 

including the technologies they are 

protecting, their programs' intent, 

any new developments or changes 

planned for their programs, as well 

as defining consistent critical 

technologies terminology and 

sharing important updates.

GAO-15-431

Telecommunications: 

Agencies Need Better 

Controls to Achieve 

Significant Savings on 

Mobile Devices and 

Services 

16. To help the department

effectively manage spending on

mobile devices and services, the

Secretary of State should ensure

an inventory of mobile devices and

services is established departmentwide (i.e., all components' devices

and associated services are

accounted for).

The Department of State has not yet implemented 

this recommendation. The department stated that 

it transitioned its mobile devices and services to 

the General Services Administration's Federal 

Strategic Sourcing Initiative as of September 

2017. However, as of November 2017, the 

department had not demonstrated that it has 

established a department-wide inventory of 

mobile devices and services.

17. To help the department

effectively manage spending on

mobile devices and services, the

Secretary of State should ensure a

reliable department-wide inventory

of mobile service contracts is

maintained.

The Department of State has not yet implemented 

this recommendation. The department stated that 

it transitioned its mobile devices and services to 

the General Services Administration's Federal 

Strategic Sourcing Initiative as of September 

2017. However, as of November 2017, the 

department had not demonstrated that it had 

addressed the recommendation.

18. To help the department

effectively manage spending on

mobile devices and services, the

Secretary of State should ensure

procedures to monitor and control

spending are established

department-wide. Specifically,

ensure that (1) procedures include

assessing devices for zero, under,

and over usage; (2) personnel with

authority and responsibility for

performing the procedures are

identified; and (3) the specific steps

to be taken to perform the process

are documented.

The Department of State has not implemented 

this recommendation. In November 2017, the 

department stated that it had implemented a 

process to identify mobile lines with no usage; 

however, the department has not provided 

evidence that it has established procedures that 

address the elements of our recommendation. We 

will continue to monitor the department's progress 

in implementing this recommendation.

GAO-15-519

Nonproliferation: 

State Should Minimize 

Reporting Delays That 

19. The Secretary of State should

reconsider State's INKSNA process

to ensure that it (1) complies with

INKSNA's 6-month reporting cycle,

and (2) minimizes delays in its

In its written comments on the draft report, 

the Department of State concurred with our 

recommendation while expressing concerns about 

what it referred to as the inherent difficulties of 

producing 2006 Iran, North Korea, and Syria 
Page 9 GAO-18-532R State and USAID 

Product number 

and title

Recommendation 

text

Status 

summary

May Affect Sanctions on 

Trade with Iran, North 

Korea, and Syria

ability to opt to impose sanctions. Nonproliferation Act (INKSNA) reports every six 

months as required by law. In a July 2016 letter, 

State noted that it had worked to minimize delays 

in its ability to impose sanctions pursuant to 

INKSNA reports and that it aims to eventually 

comply with INKSNA's six-month reporting cycle 

as it clears the existing backlog of INKSNA cases. 

Moreover, it noted that State had transmitted three 

INKSNA reports covering three years of activity 

(the latest covering calendar year 2013) within the 

last 18 months as evidence that it was making 

progress towards meeting the GAO 

recommendation. In 2017, State informed us that 

it was regularly reviewing lessons learned from 

previous reports and incorporating best practices 

into follow-on iterations of INKSNA reports. For 

example, it informed us, it had now streamlined 

the decision-making process to reduce the 

workload in making sanctions determinations by 

modifying the INKSNA decision and background 

memo to consolidate certain cases on which the 

interagency has achieved consensus 

recommendations, thereby simplifying the review 

and approval process. State reiterated its intention 

to eventually comply with INKSNA’s six-month 

reporting cycle as it clears the existing backlog. 

GAO will continue monitoring State's efforts to 

fully implement the recommendation.

GAO-15-579

Managing for Results: 

Agencies Report Positive 

Effects of Data-Driven 

Reviews on Performance 

but Some Should 

Strengthen Practices

20. To help ensure that agency

review processes provide frequent,

regular opportunities to assess

progress on agency priority goals

(APG), and are conducted in a

manner consistent with GPRA

Modernization Act of 2010

(GPRAMA) requirements, OMB

guidance, and leading practices,

the Secretary of State should work

with the COO and PIO to modify

the Department's review processes

to ensure that progress on each

APG is reviewed in an in-person

review meeting at least quarterly.

According to information provided by State 

Department staff in March 2018, efforts to address 

this recommendation are currently on hold due to 

the department's leadership transition. Once new 

leadership is in place, staff indicated they would 

convey requirements for implementing these 

reviews. After leadership approves a desired 

approach, they told us they expect to implement it. 

We will continue to monitor the status of actions to 

address this recommendation.

21. To help ensure that agency

review processes provide frequent,

regular opportunities to assess

progress on agency priority goals

(APG), and are conducted in a

manner consistent with GPRA

Modernization Act of 2010

(GPRAMA) requirements, OMB

guidance, and leading practices,

the Secretary of State should work

with the COO and PIO to modify

the Department's review processes

to ensure that the reviews are led

by the agency head or COO.

According to information provided by State 

Department staff in March 2018, efforts to address 

this recommendation are currently on hold due to 

the department's leadership transition. Once new 

leadership is in place, staff indicated they would 

convey requirements for implementing these 

reviews. After leadership approves a desired 

approach, they told us they expect to implement 

it. We will continue to monitor the status of actions 

to address this recommendation.

GAO-15-617 22. To improve the department's IT The Department of State has not yet taken steps
Page 10 GAO-18-532R State and USAID 

Product number 

and title

Recommendation 

text

Status 

summary

Information Technology 

Reform: Billions of Dollars 

in Savings Have Been 

Realized, but Agencies 

Need to Complete 

Reinvestment Plans

savings reinvestment plans, the 

Secretary of State should direct the 

CIO, as part of any future update to 

the department's IRM strategic plan 

or equivalent document, to include 

information regarding the approach 

to reinvesting savings from the 

consolidation of commodity IT 

resources (including data centers) 

in accordance with OMB's 

guidance.

to implement our recommendation. Specifically, as 

of May 2018, the agency had not yet updated its 

quarterly integrated data collection submission to 

the Office of Management and Budget to include 

information regarding the approach to reinvesting 

savings from the consolidation of commodity IT 

resources. In addition, the department has issued 

its FY 2017-2019 IT strategic plan; however this 

plan does not discuss how State would reinvest 

any resulting IT savings. The department 

expected to provide an update in the second 

quarter of 2018. We will continue to evaluate the 

department's progress in implementing this 

recommendation.

GAO-15-773

Nonimmigrant Visas: 

State Has Reduced 

Applicant Interview Wait 

Times, but Sustainability 

of Gains Is Uncertain

23. To further improve State's

processing of nonimmigrant visas,

the Secretary of State should

evaluate the relative impact of

efforts undertaken to reduce

nonimmigrant visa interview wait

times to help managers make

informed future resource decisions.

According to State officials, as of October 2017, 

the Bureau of Consular Affairs has not completed 

an analysis of the impact of process or program 

changes on adjudicator productivity using wait 

times as a metric.

GAO-16-323

Data Center 

Consolidation: Agencies 

Making Progress, but 

Planned Savings Goals 

Need to Be Established 

[Reissued on March 4, 

2016]

24. The Secretaries of the

Departments of Agriculture,

Commerce, Defense, Education,

Energy, Health and Human

Services, Homeland Security,

Housing and Urban Development,

the Interior, Labor, State,

Transportation, the Treasury, and

Veterans Affairs; the Attorney

General of the United States; the

Administrators of the Environmental

Protection Agency, General

Services Administration, National

Aeronautics and Space

Administration, and U.S. Agency

for International Development; the

Director of the Office of Personnel

Management; the Chairman of the

Nuclear Regulatory Commission;

and the Commissioner of the Social

Security Administration should take

action to improve progress in the

data center optimization areas

that we reported as not meeting

OMB's established targets,

including addressing any

identified challenges.

The Department of State agreed with our 

recommendation, and has taken initial steps to 

implement it. In June 2016, the department stated 

in correspondence to GAO that it planned to follow 

the Office of Management and Budget's (OMB) 

guidance on optimizing data centers and would 

take action to improve the defined areas that Data 

Center Optimization Initiative identifies. However, 

as of April 2018, the department reports on OMB's 

IT Dashboard that it meets only one (power usage 

efficiency) of the five data center optimization 

metric targets that OMB currently requires 

agencies to report against. The department 

reported that it does not meet the remaining four 

targets (related to server utilization and 

monitoring, energy metering, server virtualization, 

and data center facility space). We will continue to 

monitor and evaluate the department's progress in 

implementing this recommendation. 

GAO-16-494

IT Dashboard: Agencies 

Need to Fully Consider 

Risks When Rating Their 

Major Investments

25. 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

The Department agreed with the recommendation, 

and, in an October 2017 response, stated that it 

currently evaluates risk as part of its IT 

governance activities. However, the department 

has not yet provided supporting documentation. 

When we confirm what actions have been taken, 

we will update the status.
Page 11 GAO-18-532R State and USAID 

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and title

Recommendation 

text

Status 

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CIOs to factor active risks into their 

IT Dashboard CIO ratings.

26. 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.

The Department agreed with the 

recommendation, but has not yet provided 

supporting documentation. When we confirm 

what actions have been taken, we will update 

the status. 

GAO-16-511

Information Technology: 

Agencies Need to 

Improve Their Application 

Inventories to Achieve 

Additional Savings

27. 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.

We reported that the Department of State partially 

met the following software application inventory 

practices: (1) specifies basic application attributes; 

and (2) is regularly updated with quality controls to 

ensure reliability. Specifically, we reported that 

while the inventory included basic application 

attributes (e.g. name, description), it did not 

include the business function for the majority of 

inventory entries. Further, we reported that the 

agency did not provide evidence that quality 

control processes were in place to ensure the 

reliability of the data in the inventory. In July 2017, 

department officials stated that the department 

recently began a department-wide data call to 

obtain information on all IT assets and 

applications from each bureau, including aligning 

the assets and applications to a business function. 

Further, officials stated that they plan to analyze 

the results against their current data to ensure the 

accuracy and reliability of the IT asset inventory. 

Officials stated that they expect to complete this 

effort in early 2018. We plan to continue to monitor 

the department's efforts.

GAO-16-645

Female Genital 

Mutilation/Cutting: 

Existing Federal Efforts 

to Increase Awareness 

Should Be Improved

28. To increase awareness of the

health and legal consequences of

FGM/C among visa recipients, the

Secretary of State should update

the Foreign Affairs Manual to

require posts located in countries

where FGM/C is commonly

practiced to directly provide

information about FGM/C to

nonimmigrant visa recipients 

in the same manner as is done 

for immigrant visa recipients.

The Department of State (State) concurred with 

this recommendation, and noted in a September 

2016 update that it will expand the pool of visa 

applicants who will receive information on FGM/C. 

Specifically, once its transition to providing 

paperwork electronically during the visa 

application process is complete, State will directly 

distribute the fact sheet on FGM/C to both 

immigrant and nonimmigrant visa recipients. 

According to State, both immigrant and 

nonimmigrant visa recipients will have to certify 

that they have read and understood the fact sheet 

on FGM/C before signing and submitting their 
Page 12 GAO-18-532R State and USAID 

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and title

Recommendation 

text

Status 

summary

respective visa applications. As of April 2018, 

State has completed these actions for 

nonimmigrant visas, but has not yet completed 

these actions for immigrant visas.

29. To increase awareness of the

health and legal consequences of

FGM/C among visa recipients, the

Secretary of State should update

the Foreign Affairs Manual to

require posts located outside of 

the countries where FGM/C is

commonly practiced to directly

provide information on FGM/C to

immigrant and nonimmigrant visa

recipients who are nationals of

countries where FGM/C is

commonly practiced.

The Department of State (State) concurred with 

this recommendation, and noted in a September 

2016 update that it will expand the pool of visa 

applicants who will receive information on FGM/C. 

Specifically, once its transition to providing 

paperwork electronically during the visa 

application process is complete, State will directly 

distribute the fact sheet on FGM/C to both 

immigrant and nonimmigrant visa recipients who 

are from or were nationals of a country where 

FGM/C is commonly practiced. State noted that 

this change will ensure the widest distribution 

possible by providing all individuals from countries 

where FGM/C is commonly practiced with access 

to the fact sheet on FGM/C regardless of place 

of application or visa recipient type. As of April 

2018, State has completed these actions for 

nonimmigrant visas, but has not yet completed 

these actions for immigrant visas.

GAO-16-686

Federal Chief Information 

Security Officers: 

Opportunities Exist to 

Improve Roles and 

Address Challenges 

to Authority

30. To ensure that the role of the

CISO is defined in department

policy in accordance with FISMA

2014, the Secretary of State should

define the CISO's role in

department policy for ensuring that

the department has procedures for

incident detection, response, and

reporting.

The Department of State (State) concurred with 

this recommendation. We are currently reviewing 

the evidence provided by State to determine 

whether the role of the CISO has been defined in 

its policy for ensuring that State has procedures 

for incident detection, response, and reporting.

GAO-16-717

Combating Wildlife 

Trafficking: Agencies 

Are Taking a Range of 

Actions, but the Task 

Force Lacks Performance 

Targets for Assessing 

Progress 

31. To provide a basis for

comparing actual results with

intended results

that can generate more meaningful

performance information, the

Secretaries of the Interior and State

and the Attorney General of the

United States should jointly work

with the Task Force to develop

performance targets related to the

National Strategy for Combating

Wildlife Trafficking Implementation

Plan.

Agencies agreed with recommendation and plan 

to implement it. As of Feb 12, 2018, agencies 

indicated that they remain committed to 

implementation and may distribute indicator 

recommendations and guidance by May 2018.

GAO-16-768

Foreign Assistance: 

Actions Needed to 

Improve Transparency 

and Quality of Data on 

ForeignAssistance.gov

32. To improve the quality of the

data published on

ForeignAssistance.gov and help

ensure consistency in published

information, the Secretary of State

should, in consultation with the

Director of OMB and the USAID

Administrator, undertake a review

of the efforts to date on ensuring

data quality.

State concurred with this recommendation and 

noted that it will continue to work with USAID 

in consultation with OMB to assess whether 

additional existing resources are required to meet 

the goals of ForeignAssistance.gov. As of June 

2017, State has taken some steps to coordinate 

with OMB and USAID to improve the quality of 

data reported for ForeignAssistance.gov. For 

example, in January 2017, State co-hosted an 

interagency meeting with OMB and USAID to 

discuss data quality and reporting requirements. 

As of February 2018, GAO was following up with 

State to obtain additional information on how the 
Page 13 GAO-18-532R State and USAID 

Product number 

and title

Recommendation 

text

Status 

summary

established review process would or has helped 

improve the quality of the data reported on 

Foreignassistance.gov.

33. To improve the quality of the

data published on

ForeignAssistance.gov and help

ensure consistency in published

information, the Secretary of State

should, in consultation with the

Director of OMB and the USAID

Administrator, develop additional

guidance that takes into

consideration current challenges

to updating Foreign Assistance.gov

with verified data.

As of June 2017, State has taken some steps to 

coordinate with OMB and USAID to improve the 

quality of data reported for ForeignAssistance.gov. 

For example, in January 2017, State co-hosted an 

interagency meeting with OMB and USAID to 

discuss data quality and reporting requirements. 

As of February 2018, GAO was following up with 

State to determine if additional guidance has been 

developed that takes into consideration current 

challenges to updating ForeignAssistance.gov 

with verified data.

GAO-17-201

Cuba: U.S. Policy 

Changes Increased 

Engagement with Private 

Sector, but Agency 

Information Collection 

Is Limited

34. To ensure that all relevant U.S.

agencies have information on the

effect of changes in U.S. policy

related to Cuba, the Secretary of

State, in consultation with the

Department of Commerce,

Department of the Treasury, U.S.

Department of Agriculture, and

other relevant agencies, should

take steps to identify and begin to

collect the information that would

allow them to monitor changes in

economic engagement, including

with the Cuban private sector.

State concurred with this recommendation. In April 

2017, State reported that it was taking steps to 

identify and collect information that would enable it 

to monitor the Cuban economy and changes in the 

economic environment, including with the Cuban 

private sector. For example, State noted that 

Embassy Havana had developed a plan for incountry travel and reporting by identifying key 

sectors and provinces that could provide 

additional insights on the Cuban economy. As 

of July 2017, State reported that the U.S. 

government had paused most bilateral 

engagement with the Cuban government while the 

incoming presidential administration conducted an 

interagency policy review. However, State noted 

that during this time the U.S. embassy in Havana 

produced several analytic cables discussing 

developments in the Cuban economy. With 

the release of the administration's National 

Security Presidential Memorandum "Strengthening 

the Policy of the United States Toward Cuba" in 

June 2017, State reported that it would work to 

implement this policy and would monitor 

developments in U.S. engagement with the private 

sector and Cuban economic trends. As of 

November 2017, State said that it was consulting 

with interagency partners on developments 

impacting the Cuban private sector and that it was 

working with other U.S. agencies to determine 

how to most effectively redirect resources away 

from the Cuban government and towards the 

private sector as called for in the administration's 

Cuba policy. However, State also noted that 

operations at Embassy Havana had been 

significantly affected by Hurricane Irma and the 

health attacks against U.S. diplomats in Cuba. 

According to State, the Secretary of State's 

September 2017 order for all non-emergency 

U.S. personnel to depart Cuba had limited 

the ability of Embassy Havana to report on 

developments there, but that the department 

would continue to monitor and report on Cuba's 

private sector to the greatest extent possible and 

as resources permitted. As of April 2018, State 
Page 14 GAO-18-532R State and USAID 

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and title

Recommendation 

text

Status 

summary

reported that it had not taken further action to 

implement the recommendation. GAO will 

continue to monitor State's efforts to implement 

this recommendation.

GAO-17-56

Human Trafficking: State 

Has Made Improvements 

in Its Annual Report but 

Does Not Explicitly 

Explain Certain Tier 

Rankings or Changes

35. To improve the transparency

and clarity of the Trafficking in

Persons Report and improve its

usefulness as a diplomatic tool to

encourage countries to address

trafficking, the Secretary of State

should improve explanations in

narratives for Tier 1 rankings,

including using consistent

language, as feasible, in the

Trafficking in Persons Report.

In comments on the draft report, State concurred 

with this recommendation and said that it seeks to 

make the Trafficking in Persons Report as useful 

as possible to a broad array of stakeholders and 

will continue its commitment to ensure each 

narrative better serves this purpose. GAO 

analyzed State's 2017 Trafficking in Persons 

Report and found improvements in the 

explanations in narratives for Tier 1 countries. 

However, narratives for some Tier 1 countries did 

not clearly explain their placement, including 

language that seemed contradictory to certain 

standards and criteria and ambiguous language 

that meant we were unable to determine how 

State had determined whether certain standards 

and criteria were met. In April 2018, State stated 

that it remains committed to ensuring the 

Trafficking in Persons Report is as accurate and 

consistent as possible and has made it a priority in 

the production of the 2018 TIP Report to address 

any inconsistencies contained in past reports. 

GAO will continue to monitor State's efforts to fully 

implement the recommendation.

36. To improve the transparency

and clarity of the Trafficking in

Persons Report and improve its

usefulness as a diplomatic tool to

encourage countries to address

trafficking, the Secretary of State

should take actions, such as

tracking the recommendations in

the Trafficking in Persons Report,

to assess the effectiveness of the

report as a tool to encourage

countries to address human

trafficking.

In comments on the draft report, State concurred 

with this recommendation and described steps it is 

taking to more systematically assess the 

effectiveness of the Trafficking in Persons Report 

in encouraging governments to address human 

trafficking, including the recent establishment of a 

monitoring and evaluation position in the 

Trafficking Office. In addition, State hired a 

performance measurement specialist in December 

2016. In April 2018, State stated it is working to 

expand its formal monitoring of the Report’s 

impact by measuring and evaluating its impact, 

which will include identifying specific objectives 

and indicators against which to do so. State said it 

has also included an impact assessment into its 

budgeting for future years to ensure the necessary 

resources are requested or otherwise dedicated to 

assessing the impact of the Trafficking in Persons 

Report GAO will continue to monitor State's 

implementation efforts.

Legend: 

ARB=Accountability Review Board; CIO=Chief Information Officer; CISO=Chief Information Security Officer; 

COO=Chief Operating Officer; DS=Bureau of Diplomatic Security; FAH=Foreign Affairs Handbooks; FGM/C=Female 

Genital Mutilation/Cutting; GPRA=Government Performance and Results Act of 1993; INKSNA=Iran, North Korea, 

and Syria Nonproliferation Act; IRM=Information Resource Management; OMB=Office of Management and Budget; 

PIO=Performance Improvement Officer; RSO=Regional Security Officer; SWT=Summer Work Travel. 

Source: GAO. | GAO-18-532R

Note: One of the open recommendations to State is included in the numerical count provided in this report; however, 

that recommendation has been deemed by State to be sensitive but unclassified; thus, it is not included in this table.
Page 15 GAO-18-532R State and USAID 

ENCLOSURE II: GAO Recommendations Made to the U.S. Agency for International 

Development in Calendar Years 2015 and 2016 That Remained Open as of June 7, 2018 

Product number 

and title

Recommendation 

text

Status 

summary

Non-Priority Recommendations

GAO-15-479

International Education 

Assistance: USAID Has 

Implemented Primary 

Grade Reading Programs 

but Has Not Yet 

Measured Progress 

toward Its Strategic Goal

1. To improve USAID's ability to

measure progress in achieving a

quantitative reading goal in any

future education strategy, the Acting

USAID Administrator should ensure

that the future strategy includes

targets that will allow USAID to

monitor interim progress toward its

goal in comparison with planned

performance.

In written comments on the report, USAID agreed 

to implement GAO's recommendation. USAID 

told GAO in August 2015 that a new Education 

Strategy will continue to focus on primary grade 

reading through 2020. The current strategy was 

scheduled to end in December 2015. USAID 

noted that as it expands its body of knowledge 

surrounding achievements of current reading 

projects, it will be better able to set achievable 

project and country level targets and report 

interim progress toward the new strategy's 

aggregate primary grade reading goal. On 

December 22, 2017, USAID announced that it 

extended the USAID Education Strategy 2011-

2015 to December 31, 2018, or until a new 

strategy is approved, whichever is sooner. 

According to a USAID official, USAID extended 

the timeline for completion of a new strategy to 

allow additional time to align it with new 

congressional requirements established in the 

Reinforcing Education Accountability in 

Development (READ) Act, which became law on 

September 8, 2017, enacted as Division A of the 

broader PL 115-56, "Continuing Appropriations 

Act, 2018 and Supplemental Appropriations for 

Disaster Relief Requirements Act, 2017." The 

READ Act requires submission to Congress by 

September 8, 2018 of a "Comprehensive 

Integrated United States Strategy to Promote 

Basic Education" to be carried out during the 

following five fiscal years "to promote quality 

basic education in partner countries by: first 

seeking to equitably expand access to basic 

education for all children, particularly 

marginalized children and vulnerable groups; 

and second, measurably improving the quality of 

basic education and learning outcomes." We will 

continue to monitor this recommendation

GAO-15-732

International Food 

Assistance: USAID 

Should Systematically

Assess the Effectiveness 

of Key Conditional Food 

Aid Activities

2. To strengthen USAID's ability to

monitor Title II conditional food aid

and evaluate food-for-assets

activities' impact on reducing food

insecurity, the USAID Administrator

should systematically assess the

effectiveness of food-for-assets

activities in development projects in

achieving project goals and

objectives.

In written comments on our draft report, 

USAID concurred with the recommendation. 

In September 2016, USAID stated that it had

undertaken relevant reviews of the effectiveness 

and sustainability of Title II development projects 

and that it is considering expanding evaluations 

of completed projects to assess sustainability of 

results over time. As of April 2018, GAO 

continues to monitor USAID's efforts to fully 

address the recommendation.

Source: GAO. | GAO-18-532R
Dear Mr. Johnson: 

We appreciate the opportunity to review your draft report, "State and 

USAID: Status of GAO Recornrnendations Made in 2015 and 2016" GAO 

Job Code 102720. 

The enclosed Department of State comments are provided for 

incorporation with this letter as an appendix to the final report. 

If you have any questions concerning this response, please contact 

Julianne Shinnick, Director, GAO Liaison Office, Bureau of Comptroller 

and Global Financial Services at (202) 647-8170. 

Sincerely, 

~~~~ 

Christopher H. Flaggs 

Enclosure: 

As stated 

cc: OIG - Norman Brown 

Page 16 Page e 1177 GAO GAO--1818--532R 532R State and USAID State and USAID State and USAID 

Page 16 GAO-18-532R State and USAID
Department of State Comments on GAO Draft Report

STATE AND USAID: Status of GAO Recommendations 

Made in 2015 and 2016

(GAO-18-532R)

Thank you for providing the Department with the opportunity to respond to this 

GAO draft correspondence. In response to the same congressional mandate, the 

Department is finalizing its own report on actions taken, or to be taken, on these 

GAO recommendations. We value the recommendations resulting from the work 

of the GAO as they identify ways to improve our programs and operations.

The Department has a collaborative and robust liaison relationship with the GAO. 

We will continue to provide GAO with quarterly updates as we work together to 

assure that their recommendations are closed as quickly as possible. 

Page 17 GAO-18-532R State and USAID 
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(102720)
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