OPEN INNOVATION

Executive Branch 

Developed Resources 

to Support 

Implementation, but 

Guidance Could 

Better Reflect Leading 

Practices

Report to Congressional Committees

June 2017

GAO-17-507

United States Government Accountability Office
United States Government Accountability Office

Highlights of GAO-17-507, a report to 

congressional committees

June 2017

OPEN INNOVATION

Executive Branch Developed Resources to 

Support Implementation, but Guidance Could 

Better Reflect Leading Practices

What GAO Found

Open innovation involves using various tools and approaches to harness the 

ideas, expertise, and resources of those outside an organization to address an 

issue or achieve specific goals. Agencies have frequently used several open 

innovation strategies—crowdsourcing and citizen science, ideation, open data 

collaboration, open dialogues, and prize competitions and challenges—to 

engage the public. Staff from the General Services Administration (GSA), Office 

of Management and Budget (OMB), and Office of Science and Technology 

Policy (OSTP) developed resources to support agency use of these strategies:

• policies and guidance to encourage use, clarify legal authorities, and 

suggest actions for designing and implementing an open innovation initiative;

• staff to advise and assist agency staff implementing initiatives and open 

innovation-related communities of practice; and

• websites to improve access to relevant information and potential 

participants.

Six selected agencies—the Departments of Energy, Health and Human 

Services, Housing and Urban Development, and Transportation; the 

Environmental Protection Agency; and the National Aeronautics and Space 

Administration—also developed resources for those strategies they frequently 

use. These resources complement those at the government-wide level, providing 

agency staff with tailored guidance and support to help ensure they carry out 

initiatives consistent with agency procedures.

For the open innovation strategies identified above, GAO determined that key 

government-wide guidance developed by GSA, OMB, and OSTP reflect to 

differing extents practices GAO previously identified for effectively implementing

specific initiatives (see table). Several factors led to these variances, including 

differing scopes and methodologies used in their development, and when they 

were issued. Better incorporating these practices could help ensure agency staff 

are aware of, and are able to take, steps to effectively design, implement, and 

assess their initiatives.

Extent Key Guidance Reflects Practices for Effective Implementation by Strategy

View GAO-17-507. For more information, 

contact J. Christopher Mihm at (202) 512-6806 

or mihmj@gao.gov.

Why GAO Did This Study

To address the complex and 

crosscutting challenges facing the 

federal government, agencies need to 

effectively engage and collaborate with 

those in the private, nonprofit, and 

academic sectors; other levels of 

government; and citizens. Agencies 

are increasingly using open innovation 

strategies for these purposes.

The GPRA Modernization Act of 2010

requires agencies to identify strategies 

and resources they will use to achieve 

goals. The act also requires GAO to 

periodically review how implementation 

of the act’s requirements is affecting 

agency performance. This report

identifies the open innovation 

resources developed by GSA, OMB, 

OSTP, and six selected agencies, and 

examines the extent to which key 

guidance reflects practices for effective 

implementation.

To address these objectives, GAO 

identified various resources by

reviewing relevant policies, guidance, 

and websites, and interviewing staff 

from each agency. GAO selected the 

six agencies based on several factors, 

including the number and type of open 

innovation initiatives outlined in their 

agency Open Government Plans. GAO 

also compared guidance to practices 

and key actions for effective 

implementation. 

What GAO Recommends

GAO recommends GSA, OMB, and 

OSTP enhance key guidance for each 

open innovation strategy to fully reflect 

practices for effective implementation. 

GSA and OMB generally agreed with 

these recommendations. OSTP neither 

agreed nor disagreed with the 

recommendations.
Page i GAO-17-507 Open Innovation Resources

Letter 1

Background 3

OMB, OSTP, and GSA Developed Policies and Guidance, 

Dedicated Staff, and Established Websites to Support the Use 

of Open Innovation Strategies 8

Key Guidance for Open Innovation Strategies Reflect Practices for 

Effective Implementation to Differing Extents 19

Selected Agencies Developed Open Innovation Resources Similar 

to Those Available Government Wide, Though Tailored to Their 

Specific Needs 33

Conclusions 48

Recommendations for Executive Action 48

Agency Comments 50

Appendix I Objectives, Scope, and Methodology 53

Appendix II Comments from the General Services Administration 58

Appendix III GAO Contact and Staff Acknowledgments 59

Tables

Table 1: Key Government-Wide Policies and Implementation 

Guidance for Open Innovation Strategies 9

Table 2: Examples of Government-Wide Staff Supporting the Use 

of Open Innovation Strategies 13

Table 3: Federal Communities of Practice Related to Open 

Innovation Strategies 14

Table 4: Government-Wide Websites Supporting Open Innovation 

Strategies 16

Table 5: Examples of Selected Agencies’ Policies and 

Implementation Guidance for Open Innovation Strategies 34

Table 6: Examples of Selected Agency Staff Positions Supporting 

the Use of Open Innovation Strategies 38

Table 7: Examples of Selected Agency Organizations Supporting 

the Use of Open Innovation Strategies 39

Table 8: Examples of Selected Agency Websites Supporting the 

Use of Open Innovation Strategies 43

Contents
Page ii GAO-17-507 Open Innovation Resources

Table 9: Key Government-Wide Policies and Implementation 

Guidance for Open Innovation Strategies 54

Figures

Figure 1. Descriptions of Open Innovation Strategies Used by 

Federal Agencies 4

Figure 2: Practices and Associated Key Actions That Facilitate the 

Effective Implementation of Open Innovation Initiatives 7

Figure 3: Excerpts from the Crowdsourcing and Citizen Science 

Toolkit 11

Figure 4: Data.gov Events Page 18

Figure 5: Extent Key Guidance Reflects Key Actions for Selecting 

the Appropriate Strategy 20

Figure 6: Extent Key Guidance Reflects Key Actions for Clearly 

Defining Goals and Performance Measures 22

Figure 7: Extent Key Guidance Reflects Key Actions for Identifying 

and Engaging Stakeholders and Partners 24

Figure 8: Extent Key Guidance Reflects Key Actions for 

Developing Implementation Plans 25

Figure 9: Extent Key Guidance Reflects Key Actions for Engaging 

Participants and Partners 27

Figure 10: Extent Key Guidance Reflects Practices for Collecting, 

Assessing, and Reporting Data and Results 29

Figure 11: Extent Key Guidance Reflects Key Actions for 

Sustaining Community 31

Figure 12: NASA Center of Excellence for Collaborative 

Innovation Challenge Coordinator Toolkit Overview 37

Figure 13: Offices Represented on the Environmental Protection 

Agency’s (EPA) Challenge Review Team 41

Figure 14: Examples of Websites Supporting the Department of 

Energy’s Open Data Collaboration Efforts 45

Figure 15: Excerpts from HUD’s Switchboard Website 47

Figure 16: Practices and Associated Key Actions that Facilitate 

the Effective Implementation of Open Innovation 

Initiatives 55
Page iii GAO-17-507 Open Innovation Resources

Abbreviations

AICA American Innovation and Competitiveness Act

CDC Centers for Disease Control and Prevention

ChaRT Challenge Review Team

CDO Chief Data Officer

CoECI Center of Excellence for Collaborative Innovation

COP Community of Practice

DOE Department of Energy

DOT Department of Transportation

EPA Environmental Protection Agency

GPRA Government Performance and Results Act of 1993

GPRAMA GPRA Modernization Act of 2010

GSA General Services Administration

HHS Department of Health and Human Services

HUD Department of Housing and Urban Development

NASA National Aeronautics and Space Administration

NIH National Institutes of Health

OpenEI Open Energy Information

OMB Office of Management and Budget

OSTP Office of Science and Technology Policy

TTS Technology Transformation Service

This is a work of the U.S. government and is not subject to copyright protection in the 

United States. The published product may be reproduced and distributed in its entirety 

without further permission from GAO. However, because this work may contain 

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necessary if you wish to reproduce this material separately.
Page 1 GAO-17-507 Open Innovation Resources

441 G St. N.W.

Washington, DC 20548

June 8, 2017

Congressional Committees

The complex and crosscutting challenges facing the federal government 

highlight the need for agencies to leverage the expertise and capacity of 

those in the private, nonprofit, and academic sectors, and other levels of 

government. In recent years federal agencies have increasingly used 

open innovation strategies to directly engage and collaborate with citizens 

and external stakeholders. These strategies help agencies harness ideas, 

expertise, and resources to address issues and achieve goals. For 

example, agencies have used open innovation strategies to, among many 

other things, measurably improve the detection of asteroids that could 

threaten Earth, develop plans to rebuild communities following Hurricane 

Sandy, and deploy improved air and water pollution sensors.

Acknowledging the benefits of using open innovation strategies, 

Congress and the Executive Branch have taken actions to clarify agency 

authorities to use these strategies, and provide implementation guidance 

and access to online platforms. For instance, the American Innovation 

and Competitiveness Act, enacted in January 2017, authorizes agencies 

to use crowdsourcing and citizen science to advance their missions and 

stimulate broader public participation, among other things.1 The act also 

directs the General Services Administration (GSA), in coordination with 

the Office of Science and Technology Policy (OSTP) and Office of 

Personnel Management, to develop relevant products and training, and 

identify contract vehicles and platforms to enhance the ability of agencies 

to carry out these projects. These new resources, once developed, will 

complement resources already developed by these agencies and the 

Office of Management and Budget (OMB) to support the use of 

crowdsourcing and citizen science and other types of open innovation 

strategies.

As part of the federal performance management framework originally put 

into place by the Government Performance and Results Act of 1993 

(GPRA),2 and updated and expanded by the GPRA Modernization Act of 

 1

Pub. L. No. 114-329, § 402, 130 Stat. 2969, 3019–3023 (Jan. 6, 2017).

2

Pub. L. No. 103-62, 107 Stat. 285 (Aug. 3, 1993).

Letter
Page 2 GAO-17-507 Open Innovation Resources

2010 (GPRAMA),3 agencies are to identify the strategies and resources 

they will use to achieve their goals.4 GPRAMA also includes a provision 

for us to periodically review how implementing its requirements is 

affecting agency performance.5 This report is part of our response to that 

mandate, and builds on our October 2016 report that described how 

agencies are using open innovation strategies and identified practices 

and key actions to ensure that open innovation initiatives are 

implemented effectively.6 Specifically, this report (1) identifies key 

government-wide resources OMB, OSTP, and GSA put in place to 

support the use of open innovation strategies; (2) examines the extent to 

which key government-wide guidance reflects practices for effectively 

implementing these strategies; and (3) identifies resources that selected 

agencies have developed to support the use of open innovation 

strategies.

To identify the various government-wide resources that OMB, OSTP, and 

GSA have developed to support the use of open innovation strategies, we 

reviewed relevant policy and guidance documents and websites, and 

interviewed staff from those agencies.

To determine the extent to which key government-wide guidance reflects

practices for effectively implementing open innovation initiatives, we 

evaluated relevant guidance and compared the contents to the practices

and related key actions identified in our October 2016 report. We 

identified key guidance for each open innovation strategy in consultation 

with OMB, OSTP, and GSA staff. In assessing the guidance, we 

considered it to fully reflect a key action when it suggested steps in line 

with those outlined in our report. If guidance suggested some but not all 

steps, we considered it to partially reflect the key action. Finally, when 

guidance for a strategy did not suggest any steps in line with a key action, 

we considered the guidance to not reflect that action.

Lastly, to identify the resources that selected agencies have put in place, 

we reviewed relevant documentation and websites, and interviewed staff 

 3

Pub. L. No. 111-352, 124 Stat. 3866 (Jan. 4, 2011).

4

31 U.S.C. §§ 1115(b)(5). 

5

Pub. L. No. 111-352, § 15(b)(1)(B), 124 Stat. 3866, 3883-3884 (Jan. 4, 2011). 

6

GAO, Open Innovation: Practices to Engage Citizens and Effectively Implement Federal 

Initiatives, GAO-17-14 (Washington, D.C.: Oct. 13, 2016). 
Page 3 GAO-17-507 Open Innovation Resources

from six agencies: the Departments of Energy (DOE), Health and Human 

Services (HHS), Housing and Urban Development (HUD), and 

Transportation (DOT); the Environmental Protection Agency (EPA); and 

the National Aeronautics and Space Administration (NASA). We selected 

these agencies based on various criteria, including the number and 

variety of open innovation strategies outlined in their individual agency 

Open Government Plans. These selections also were in line with 

suggestions from knowledgeable staff at OMB, OSTP, and GSA familiar 

with agencies that have actively used such strategies. See appendix I for 

additional details about our scope and methodology.

We conducted this performance audit from February 2016 to June 2017 

in accordance with generally accepted government auditing standards. 

Those standards require that we plan and perform the audit to obtain 

sufficient, appropriate evidence to provide a reasonable basis for our 

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

the evidence obtained provides a reasonable basis for our findings and 

conclusions based on our audit objectives.

As identified and described in figure 1, we reported in October 2016 that 

agencies have frequently used five open innovation strategies to 

collaborate with citizens and other external parties, and encourage their 

participation in agency initiatives.7

 7

GAO-17-14. In this report, see appendix II for fuller descriptions of these open innovation 

strategies.

Background
Page 4 GAO-17-507 Open Innovation Resources

Figure 1. Descriptions of Open Innovation Strategies Used by Federal Agencies

As we described in our October 2016 report, agencies can use these 

open innovation strategies singularly, or in combination as part of a larger 

open innovation initiative, to achieve a number of different purposes.8

Agencies can use them to efficiently engage a broad range of citizens 

and external stakeholders in developing new ideas, solutions to specific 

problems, or new products ranging from software applications to physical 

devices. For example, DOE’s Wave Energy Prize competition was 

designed to achieve a ground-breaking advancement in technology that 

produces electricity by capturing energy from ocean waves. DOE’s goals 

 8

GAO-17-14. 
Page 5 GAO-17-507 Open Innovation Resources

for the competition were to engage a diverse collection of developers to 

create more efficient devices that would double the energy captured from 

ocean waves. According to the Wave Energy Prize website, the 

competition, which was concluded in November 2016, produced a 

significant advancement in this technology. Ultimately, 4 of 9 finalist 

teams—selected from 92 that registered to participate—developed 

devices that surpassed DOE’s goal, while the winning team achieved a 

five-fold improvement.

Agencies can also use these strategies to enhance collaboration among 

citizens and external stakeholders or organizations interested in an issue, 

and leverage the resources, knowledge, and expertise of citizens and 

stakeholders to supplement that which is available within the agency. 

These contributions enhance the agency’s capacity and its ability to 

achieve goals that would be more difficult to reach without this additional 

capacity or expertise. In another example highlighted in our October 2016 

report, the Federal Highway Administration’s (FHWA) Every Day Counts 

ideation initiative helps states implement innovations that improve the 

efficiency and quality of their highway transportation and construction 

projects.9 Every two years, FHWA engages a range of stakeholders to 

identify innovative technologies and practices that merit more widespread 

deployment. Once innovations are identified, FHWA creates deployment 

teams comprised of experts from FHWA, state transportation agencies, 

and industry to help states and other stakeholders implement these 

innovations. According to an FHWA report, this open innovation initiative 

has had significant and measurable effects in participating states. In one 

case, FHWA reported that deploying Accelerated Bridge Construction as 

an Every Day Counts innovation has allowed states to reduce the time it 

takes to plan and construct bridges by years, significantly reducing traffic 

delays, road closures, and often project costs.10

In our October 2016 report, we also identified seven practices and 18 

related key actions, described in figure 2, that federal agencies can use to 

help effectively design, implement, and assess their open innovation 

initiatives. To do so, we analyzed and synthesized suggested practices 

from relevant federal guidance and literature, including public and 

 9

GAO-17-14. 

10According to DOT, Accelerated Bridge Construction is a suite of innovative planning and 

construction methods, designs, and materials that allow for accelerated construction of 

bridges.
Page 6 GAO-17-507 Open Innovation Resources

business administration journals, and publications from research 

organizations, as well as interviews with experts and agency officials with 

experience implementing open innovation initiatives.11 In that report, we 

also illustrated how the application of these practices helped agencies 

effectively implement open innovation initiatives in a way that achieved 

intended results.

 11For a list of relevant literature, see the Selected Bibliography in GAO-17-14.
Page 7 GAO-17-507 Open Innovation Resources

Figure 2: Practices and Associated Key Actions That Facilitate the Effective Implementation of Open Innovation Initiatives

Three agencies with government-wide responsibilities—OMB, OSTP, and 

GSA—have taken steps to support and encourage the use of open 

innovation strategies by federal agencies.
Page 8 GAO-17-507 Open Innovation Resources

• OMB is the largest component of the Executive Office of the 

President, and is responsible for helping agencies across the federal 

government implement the commitments and priorities of the 

President. Among other things, it develops policies and provides 

direction on the use of Internet-based technologies that make it easier

for citizens to interact with the federal government.

• OSTP is also a component of the Executive Office of the President. 

Among other things, it has responsibility for leading interagency 

efforts to develop and implement sound science and technology 

policies.

• GSA is responsible for helping federal agencies obtain the facilities, 

products, and services that they need to serve the public. Among 

other things, GSA builds, provides, and shares technology, platforms, 

and processes that support initiatives to invite participation from 

stakeholders and make data available to the public.

OMB, OSTP, and GSA developed government-wide policies and 

implementation guidance to encourage agencies to use open innovation 

strategies to, among other things, advance their missions, improve 

programs and services, and inspire new ideas to address specific 

challenges. According to staff from these agencies, policies and guidance 

do this by:12

• clarifying the legal authorities available to use specific strategies;

 12Unless otherwise specified, here and throughout this refers to staff from OMB’s Office of 

the Chief Information Officer, GSA’s Technology Transformation Service, and OSTP’s 

Office of the Chief Technology Officer and Division of Technology and Innovation. 

OMB, OSTP, and 

GSA Developed 

Policies and 

Guidance, Dedicated 

Staff, and Established 

Websites to Support 

the Use of Open 

Innovation Strategies

OMB, OSTP, and GSA 

Developed Policies and 

Implementation Guidance 

to Encourage Agencies to 

Use Open Innovation 

Strategies
Page 9 GAO-17-507 Open Innovation Resources

• highlighting the benefits and results that agencies can produce using 

these strategies; and

• suggesting actions for agency staff to take when designing and 

implementing an open innovation initiative.

Table 1 lists the government-wide policies and guidance that we, in 

consultation with OMB, OSTP, and GSA staff, identified as key for 

implementing each open innovation strategy.

Table 1: Key Government-Wide Policies and Implementation Guidance for Open Innovation Strategies

Strategy(ies) Name of Policy/Guidance Description

Crowdsourcing and 

Citizen Science

Office of Science and Technology 

Policy (OSTP) Memorandum, 

Addressing Societal and Scientific 

Challenges Through Citizen Science 

and Crowdsourcing (September 2015)

Policy: This memorandum defines crowdsourcing and citizen science, 

recommends actions that agencies should take to build their internal 

capacity to use the strategy, and provides examples of how agencies 

have used the strategy to enhance scientific research and address 

societal needs.

General Services Administration 

(GSA), Federal Crowdsourcing and 

Citizen Science Toolkit (launched 

September 2015)

Guidance: This toolkit suggests steps that agency staff can take to 

plan, design, and carry out a crowdsourcing or citizen science 

initiative. 

Ideation and Open 

Dialogues 

GSA, U.S. Public Participation 

Playbook (launched February 2015)

Guidance: This guide identifies practices and performance metrics to 

help agencies implement and evaluate initiatives that involve 

participation by the public, including efforts to collect and consider 

ideas.

Open Data 

Collaboration

Office of Management and Budget 

(OMB) Memorandum M-13-13, Open 

Data Policy (May 2013)

Policy: This memorandum specifies actions that agencies should take 

to manage their open data resources, including engaging the private 

and nonprofit sectors to facilitate the use of agency data. 

OMB and OSTP, Project Open Data 

(launched May 2013)

Guidance: This website provides guidance on the management and 

release of agency open data assets, as well as resources to help 

agencies engage with data users.

Prize Competitions 

and Challenges

OMB Memorandum M-10-11, 

Guidance on the Use of Challenges 

and Prizes to Promote Open 

Government (March 2010)

Policy: This memorandum encourages agencies to use prize 

competitions and challenges to advance their missions, clarifies legal 

authorities agencies can use, outlines other legal issues to address, 

and recommends specific actions for carrying out such initiatives. 

OMB Memorandum, Prize Authority in 

the America COMPETES 

Reauthorization Act (August 2011)a

Guidance: This memorandum provides answers to frequently asked 

questions about implementing provisions in the America COMPETES

Reauthorization Act, which authorizes agencies to conduct prize 

competitions and challenges.

GSA, Challenges and Prizes Toolkit 

(launched December 2016)

Guidance: This toolkit provides a step-by-step guide to help agency 

staff complete each phase of a prize competition or challenge, from 

design to completion, along with case studies and links to resources 

relevant at different phases in the process.

Source: GAO analysis of policies and guidance released by OMB, OSTP, and GSA. | GAO-17-507

a

This memorandum provided guidance on implementing section 105 of the America COMPETES 

Reauthorization Act of 2010, relating to prize authority. Pub. L. No. 111-358, 124 Stat. 3982 (Jan. 4, 

2011). The America COMPETES Reauthorization Act of 2010 reauthorized or amended, in part, the 

America Creating Opportunities to Meaningfully Promote Excellence in Technology, Education, and 
Page 10 GAO-17-507 Open Innovation Resources

Science Act of 2007. Pub. L. No. 110-69, 121 Stat. 572 (Aug. 9, 2007). For purposes of clarity, in this 

report we refer to this August 2011 OMB guidance memorandum as the Prize Authority Guidance.

As table 1 shows, the focus of the guidance varies across the different 

types of open innovation strategies. For crowdsourcing and citizen 

science, as well as prize competitions and challenges, toolkits provide 

step-by-step guidance for agency staff to follow when implementing those 

types of initiatives. OMB, OSTP, and GSA staff identified the U.S. Public 

Participation Playbook as key guidance for a variety of approaches to 

engage the public, including two open innovation strategies: ideation and 

open dialogues. They also identified the Open Data Policy and Project 

Open Data as the key policy and source of guidance, respectively, that 

cover open data collaboration initiatives.13 They told us that these and 

other resources have a broader focus, generally to help agencies 

inventory, manage, and release their open data. These sources do 

suggest some actions for agencies to take when implementing open data 

collaboration initiatives. However, OMB, OSTP, and GSA staff have not 

yet developed more detailed, step-by-step guidance for implementing 

specific initiatives where agencies use events or websites to engage and 

collaborate with outside stakeholders using open data.

As one example of policy and guidance for an open innovation strategy, 

in September 2015, the Director of OSTP issued a memorandum 

encouraging agencies to use crowdsourcing and citizen science to 

enhance scientific research and address problems by drawing on the 

voluntary participation of the public. The memorandum also directs 

agencies to improve their ability to use crowdsourcing and citizen science 

by identifying internal agency coordinators responsible for seeking 

opportunities to use this strategy to meet agency goals. Crowdsourcing 

and citizen science coordinators from four of the selected agencies—

DOE, HHS, EPA, and NASA—told us that having this clear statement of 

support has helped enhance awareness of and interest in the strategy. 

The memorandum was supplemented by the Crowdsourcing and Citizen 

Science Toolkit, which provides a step-by-step list of actions agencies 

can take to carry out a specific initiative, as shown in figure 3.

 13In open data collaboration initiatives, an agency mobilizes participants to share, explore, 

and analyze publicly-available data sets through in-person or online events, often referred 

to as “data jams,” “datapaloozas,” or “hackathons,” or the use of websites that facilitate 

ongoing communication.
Page 11 GAO-17-507 Open Innovation Resources

Figure 3: Excerpts from the Crowdsourcing and Citizen Science Toolkit
Page 12 GAO-17-507 Open Innovation Resources

These officials from DOE, EPA, HHS, and NASA told us that that the 

toolkit is an important educational resource for agency staff, helping those 

interested in using crowdsourcing and citizen science understand what 

the strategy can be used to achieve and the full range of actions they can 

take to develop and implement an initiative. An official from GSA’s 

Technology Transformation Service (TTS) told us GSA is planning 

updates to the toolkit to reflect the authorities provided by, and 

requirements of, the American Innovation and Competitiveness Act 

(AICA) for crowdsourcing and citizen science initiatives.14

In addition to developing relevant policies and implementation guidance, 

staff from OMB, OSTP, and GSA told us they also provide ongoing 

support for the use of open innovation strategies across the federal 

government by:

• answering questions from agency staff, sharing lessons learned, and 

providing advice and assistance;

• hosting training sessions and other events for agency staff to highlight 

how agencies can use open innovation strategies and how agencies 

have had success using them; and

• matching agency staff in need of assistance with mentors, advisors, or 

partners in other agencies.

Table 2 provides additional information on the types of support they 

provide.

 14Pub. L. No. 114-329, § 402, 130 Stat. 2969, 3019–3023 (Jan. 6, 2017).

Dedicated Staff Advise 

and Assist Agency Staff 

Implementing Initiatives 

and Open InnovationRelated Communities of 

Practice
Page 13 GAO-17-507 Open Innovation Resources

Table 2: Examples of Government-Wide Staff Supporting the Use of Open Innovation Strategies

Agency Strategy(ies) Description

Office of 

Management and 

Budget (OMB) and 

Office of Science 

and Technology 

Policy (OSTP)

Open Data 

Collaboration

Staff from OMB’s Office of the Federal Chief Information Officer, and the Office of 

Information and Regulatory Affairs, oversee implementation of the Open Data Policy, 

including efforts by agencies to create mechanisms to collect feedback from data users 

and hold open data events. Along with staff from OSTP’s Office of the Chief Technology 

Officer, they also lead efforts to implement and oversee progress towards achieving the 

Open Data Cross-Agency Priority Goal. Established in 2014, the goal seeks to support 

federal efforts to effectively manage and release agency data.

OMB and OSTP staff have also supported agency efforts to collaborate with outside 

stakeholders using open data. For example, the Open Data Cross-Agency Priority Goal 

encourages agencies to engage the public about using data, and one of the 

performance measures for the goal tracks the percentage of agencies that report 

hosting an open data event each quarter.

OMB and OSTP staff have also hosted a number of knowledge sharing events. For 

example, the White House Open Data Innovation Summit, which was held in 

September 2016 and involved nearly 10,000 participants in person or via live stream, 

highlighted the value of open data and examples of how it can lead to innovations to 

improve the lives of individuals as well as federal government efficiency and 

effectiveness. In addition, OSTP and OMB staff hosted Open Data Roundtables in 

2016, a series of events that brought together experts from government and the nonprofit, academic, and private sectors to discuss actions agencies can take to foster 

collaboration using open data.

As of March 2017, OMB staff continue to support these efforts. At OSTP, relevant staff 

positions have been vacant since January 2017.

Office of Science 

and Technology 

Policy 

Crowdsourcing and 

Citizen Science, and 

Prize Competitions 

and Challenges

Staff from OSTP’s Technology and Innovation Division supported the efforts of 

agencies to use crowdsourcing and citizen science, and prize competitions and 

challenges, by leading efforts to develop policies and implementation guidance for 

these strategies. These positions have been vacant since January 2017, as of March 

2017.

General Services 

Administration 

(GSA)

Crowdsourcing and 

Citizen Science 

Staff from GSA’s TTS developed Citizenscience.gov as a repository for resources on 

crowdsourcing and citizen science, and partnered with an outside organization to 

develop a catalog of ongoing federal projects. They also help staff using this strategy to 

communicate with one another by supporting an e-mail listserv and regular meetings of 

the community.

Ideation and Open 

Dialogues

Staff from GSA’s TTS led the development of the Public Participation Playbook, working 

with contributors from federal agencies, civil society organizations, and the public. They 

also organize training sessions on, among other things, how agencies can use new 

technologies to facilitate interactive dialogues with, and collect ideas from, the public.

Open Data 

Collaboration

GSA has a program management team responsible for Data.gov, a website that federal 

agencies use to make their data accessible to the public. This team answers technical 

questions about the site and connects staff that need additional support, such as help 

arranging an open data event, with staff from other agencies that can provide advice.

Prize Competitions 

and Challenges

GSA has a program management team responsible for managing Challenge.gov, the 

federal government’s official website for agency prize competitions and challenges. The 

team also provides support to agency staff using this strategy.

Source: GAO analysis of information from OMB, OSTP, and GSA. | GAO-17-507.
Page 14 GAO-17-507 Open Innovation Resources

One example of staff supporting the use of open innovation strategies is 

GSA’s Challenge.gov program management team. According to an 

official from GSA’s TTS, this team is the primary point-of-contact for staff 

from other federal agencies, fielding their questions about the site or other 

aspects of managing a prize competition or challenge. To help familiarize 

agency staff with how to manage a prize competition or challenge and 

use the Challenge.gov platform, the team conducts training sessions and 

has developed on-demand videos and webinars that are available 

through the website. In addition, to provide tailored assistance, the team 

created the Challenge and Prize Mentorship Program, which matches 

staff seeking support with experienced practitioners from other agencies 

who can assist with all aspects of planning and implementing an initiative 

using this strategy.

OMB, OSTP, and GSA staff also support communities of practice for 

various open innovation strategies. According to staff from these 

agencies, these communities provide venues to bring experienced and 

knowledgeable agency staff together so that they can learn from one 

another. Through regularly-scheduled meetings and e-mail lists, the 

communities allow members to share experiences and lessons learned, 

seek and provide advice and assistance, and ensure members are up to 

date on relevant issues, such as the development and release of new 

resources or upcoming initiatives. OMB, OSTP, and GSA staff also have 

leveraged the expertise of community members to develop toolkits and 

case studies, which capture leading practices and lessons learned to 

ensure they are readily available to inform future initiatives. Collectively, 

these communities, which are described in table 3, help staff across the 

federal government communicate and collaborate with one another.

Table 3: Federal Communities of Practice Related to Open Innovation Strategies

Strategy Name of Community Description

Crowdsourcing and 

Citizen Science

Federal Community of Practice 

for Crowdsourcing and Citizen 

Science 

This community has approximately 300 members who use monthly 

meetings and an active e-mail list to share advice and lessons learned 

for designing, implementing, and evaluating crowdsourcing and citizen 

science initiatives. 

Crowdsourcing and Citizen 

Science Coordinators 

This group consists of designated staff from 28 agencies who are 

responsible for advocating the use of citizen science and 

crowdsourcing, and providing support and mentoring, in their 

respective agencies. 

Ideation and Open 

Dialogues

SocialGov Community of 

Practice

This community has approximately 1,200 members who, through an 

email list and working groups, aim to create, adopt, and evaluate 

programs that help agencies use online communication tools and 

social media to engage with members of the public.
Page 15 GAO-17-507 Open Innovation Resources

Strategy Name of Community Description

Open Data Collaboration Open Data Working Group This working group has approximately 800 members responsible for, or 

interested in, the release, management, and use of open data. Through 

an e-mail list and regular meetings, members of the community share 

information and best practices from agency open data efforts, including 

results achieved and lessons learned through implementing open data 

collaboration events.

Prize Competitions and 

Challenges

Challenges and Prizes 

Community of Practice

This community has approximately 700 members working to manage 

and promote the use of prize competitions and challenges in their 

agencies. Through an e-mail list, quarterly meetings, and peer-to-peer 

mentoring, members share best practices for designing and 

implementing these initiatives.

Source: GAO analysis of information from OMB, OSTP, and GSA | GAO-17-507

Note: The number of agencies and individuals participating in each community is current as of March 

2017.

The federal Challenges and Prizes Community of Practice further 

illustrates the support such communities can provide. According to a GSA 

official, this community was created in 2010 to bring together staff from 

across the federal government interested in that open innovation strategy. 

According to information on the Challenge.gov website, the community is 

comprised of federal employees representing a wide range of agency 

perspectives and experience levels. Staff from OSTP’s Technology and 

Innovation Division and GSA’s TTS told us that they have worked with 

volunteers from the community to develop resources, including the 

federal Challenges and Prizes Toolkit, to try to meet the diverse needs of 

its members. The official from GSA’s TTS also told us that they plan to 

work with members of the community to revise the toolkit to reflect the 

updated authorities and requirements for prize competitions and 

challenges in AICA.15 This official further stated that the Challenge.gov 

program team provides ongoing support to this community by maintaining 

its e-mail list, which allows for information sharing between members, and 

working with members to identify topics and arrange speakers for the 

community’s quarterly meetings. For instance, the Challenge.gov team 

helped organize the March 2017 meeting, which focused on how AICA 

updates agency authorities and requirements for prize competitions and 

challenges.

 15Pub. L. No. 114-329, § 401, 130 Stat. 2969, 3016–3019 (Jan. 6, 2017). 
Page 16 GAO-17-507 Open Innovation Resources

According to staff from OMB, OSTP, and GSA, their agencies developed 

several websites, described in table 4, that support the use of open 

innovation strategies by:

• making relevant guidance and information easy to access in a single, 

central location;

• providing agency staff access to additional resources, such as 

applications, templates, and documents from other agencies, that they 

can replicate to save time and effort; and

• providing online platforms for agencies to reach the public with 

information on their open innovation initiatives.16

Table 4: Government-Wide Websites Supporting Open Innovation Strategies

Strategy Name of Website Description

Crowdsourcing and 

Citizen Science

Citizenscience.gov This website is a repository of resources for federal practitioners, including the 

Crowdsourcing and Citizen Science Toolkit, and information on how to join the 

federal community of practice. The site also provides a searchable catalog of 

federal crowdsourcing and citizen science initiatives that can help agency staff find 

other people to work with, and potential participants find projects that interest them.

Ideation and Open 

Dialogues

Digitalgov.gov This website provides agencies with access to training and other relevant 

resources, including the Public Participation Playbook, which provides guidance 

that can be used for open dialogue initiatives, and online platforms they can use to 

carry out ideation initiatives. 

Open Data 

Collaboration

Project Open Data This website provides implementation guidance, case studies, templates, and 

other tools to help federal agencies manage their open data and engage data 

users.

Data.gov Federal agencies make their datasets accessible to the public through this website. 

It also provides access to applications and other tools to help users conduct 

research, develop web and mobile applications, and design data visualizations.

Additionally, the website describes how citizens and the private sector are 

leveraging these data and the effects these efforts are having.

 16In addition to supporting federal open innovation websites, GSA also has negotiated 

arrangements with nongovernmental websites that agencies can use for open innovation 

initiatives. For instance, GSA has negotiated terms of service agreements with websites 

that provide agencies with free access to online communication and collaboration tools. 

GSA also created a contract vehicle to help agencies find private contractors that can 

assist them with developing and implementing prize competitions and challenges. Some 

of these contractors also have websites that allow agencies to reach communities of 

individuals with specific knowledge, skills, and expertise that may be interested in entering 

competitions.

OMB, OSTP, and GSA 

Developed Websites to 

Improve Access to 

Guidance and Potential 

Participants for Open 

Innovation Strategies
Page 17 GAO-17-507 Open Innovation Resources

Strategy Name of Website Description

Prize Competitions 

and Challenges

Challenge.gov Through this website, agency staff can access relevant resources, including the 

Challenges and Prizes Toolkit, training materials, and case studies. It also provides 

a central place for agencies to post and manage prize competitions and 

challenges, allowing potential participants to find opportunities and engage with 

agencies conducting such initiatives. 

Source: GAO analysis of websites. | GAO-17-507

As examples of such websites, OMB, OSTP, and GSA developed Project 

Open Data and Data.gov to help agencies manage and release their 

open data and meet requirements under OMB’s Open Data Policy. 

According to officials from DOE, EPA, HHS, HUD, and NASA, Project 

Open Data has made it easier for them to find the guidance they need by 

making it accessible in one place.17 Project Open Data also encourages 

agencies to hold open data events to engage with data users, and to use 

these opportunities to expand awareness about their open data, and 

collect feedback and ideas. The website provides an overview of the main 

types of open data community events that federal agencies hold, as well 

as instructions and templates to help agencies organize, publicize, and 

carry out various types of events. To increase awareness about the open 

data events that agencies are holding, and to help agencies increase 

participation in these events, GSA has also added an “Events” page to 

Data.gov. As shown in figure 4, this provides agencies with an additional 

online platform to inform potential participants about open data events 

they will be hosting.

 17This insight comes from officials in EPA’s Office of Environmental Information, HHS’s 

Office of the Chief Technology Officer, and the respective Offices of the Chief Information 

Officer at DOE, HUD, and NASA. 
Page 18 GAO-17-507 Open Innovation Resources

Figure 4: Data.gov Events Page

Notes: NASA = National Aeronautics and Space Administration; USDA = U.S. Department of 

Agriculture.
Page 19 GAO-17-507 Open Innovation Resources

We determined that key government-wide guidance developed by OMB, 

OSTP, and GSA to support the implementation of various open 

innovation strategies reflects practices for effective implementation to 

differing extents. Several factors led to these variances, including differing 

scopes and methodologies used in their development and the dates when 

they were issued. We identified key guidance for the implementation of 

initiatives using each open innovation strategy in consultation with OMB, 

OSTP, and GSA staff. As noted above, staff from these agencies 

identified the U.S. Public Participation Playbook as key guidance for both 

ideation initiatives and open dialogues. Therefore, we present our 

assessment of guidance for those two strategies together below. OMB, 

OSTP, and GSA staff also identified the Open Data Policy and Project 

Open Data as key sources of guidance for the implementation of open 

data collaboration initiatives. These sources suggest some actions for 

agencies to take when implementing such initiatives. However, as noted 

earlier, they have a broader focus to help agencies inventory, manage, 

and release their open data. As such, our assessment found that this 

guidance generally did not reflect practices for effective implementation of 

individual open data collaboration initiatives.

Our October 2016 report identified two key actions agencies should take 

when attempting to select the most appropriate strategy or strategies for 

their initiatives:18

1. Clearly articulate the purpose(s) they hope to achieve by engaging the 

public. As we found in that report, agencies have used open 

innovation strategies for a number of purposes, including to develop 

solutions to specific problems and to leverage the expertise of 

external stakeholders to enhance an agency’s ability to achieve a 

goal.

2. Consider the agency’s capability to implement a strategy. 

Considerations should include whether agency leadership supports 

the use of a strategy, and whether they have legal authorities, 

financial and technological resources, and staff available to support 

an initiative.

As shown in figure 5, we determined that guidance for all but one of the 

strategies—open data collaboration—fully reflects these key actions.

 18GAO-17-14. 

Key Guidance for 

Open Innovation 

Strategies Reflect 

Practices for Effective 

Implementation to 

Differing Extents

Practice 1: Select the 

Appropriate Strategy
Page 20 GAO-17-507 Open Innovation Resources

Figure 5: Extent Key Guidance Reflects Key Actions for Selecting the Appropriate Strategy

a

OSTP, Addressing Societal and Scientific Challenges Through Citizen Science and Crowdsourcing 

(September 2015); and GSA, Federal Crowdsourcing and Citizen Science Toolkit, 

https://crowdsourcing-toolkit.sites.usa.gov/.

b

GSA, U.S. Public Participation Playbook, https://participation.usa.gov/.

c

OMB, Open Data Policy-Managing Information as an Asset, M-13-13 (May 2013); and OMB and 

OSTP, Project Open Data, https://project-open-data.cio.gov/.

d

OMB, Guidance on the Use of Challenges and Prizes to Promote Open Government, M-10-11 

(March 2010) and the Prize Authority Guidance (August 2011); and GSA, Challenges and Prizes 

Toolkit, https://www.challenge.gov/toolkit/.

For example, the Challenges and Prize Toolkit encourages agencies to 

clarify their purpose in engaging the public, including by developing a 

detailed understanding of the specific problem they want to address 

through the competition. In addition, when considering a prize competition 

or challenge, the toolkit recommends that agency staff:

• secure the approval of agency leadership to move forward;

• work with legal counsel to identify the most appropriate authority 

under which to conduct the competition, and to address any other 

potential legal issues;

• estimate the budget and resource needs of a competition; and

• ensure the availability of staff to monitor or run the challenge 

throughout its life cycle.
Page 21 GAO-17-507 Open Innovation Resources

Guidance for open data collaboration initiatives does not address the first 

key action—defining the purpose—and partially reflects the second key 

action. Although it encourages agencies to consider agency capacity and 

applicable laws, regulations, and policies, and the availability of 

resources, it does not address leadership support.

To guide agencies in designing and implementing initiatives, and to 

provide those involved with a clear understanding of what they are 

working to achieve, we identified three key actions that agencies should 

take:19

1. Define specific and measurable goals for their initiatives.

2. Identify performance measures to assess progress toward those 

goals.

3. Align the goals of their open innovation initiatives with the agency’s 

broader mission. This final action helps to demonstrate the relevance 

and value of an initiative to others in the agency, and reinforces the 

connection between the agency’s goals and the day-to-day actions of 

those carrying out the initiative.

As shown in figure 6, our assessment shows that the guidance for all but 

one of the strategies fully reflects these three key actions.

 19GAO-17-14. 

Practice 2: Clearly Define 

Goals and Performance 

Measures
Page 22 GAO-17-507 Open Innovation Resources

Figure 6: Extent Key Guidance Reflects Key Actions for Clearly Defining Goals and Performance Measures

a

OSTP, Addressing Societal and Scientific Challenges Through Citizen Science and Crowdsourcing 

(September 2015); and GSA, Federal Crowdsourcing and Citizen Science Toolkit, 

https://crowdsourcing-toolkit.sites.usa.gov/.

b

GSA, U.S. Public Participation Playbook, https://participation.usa.gov/.

c

OMB, Open Data Policy-Managing Information as an Asset, M-13-13 (May 2013); and OMB and 

OSTP, Project Open Data, https://project-open-data.cio.gov/.

d

OMB, Guidance on the Use of Challenges and Prizes to Promote Open Government, M-10-11 

(March 2010) and the Prize Authority Guidance (August 2011); and GSA, Challenges and Prizes 

Toolkit, https://www.challenge.gov/toolkit/.

For example, the Federal Crowdsourcing and Citizen Science Toolkit 

encourages agencies to define their goals for an initiative while 

considering how they will measure and evaluate these outcomes. In 

addition, the toolkit encourages agencies to identify the specific measures 

that they will use to track the initiative’s outputs and activities, such as the 

number of samples collected or training sessions held, and to determine 

whether the initiative is achieving its goals. Lastly, it states that those 

managing initiatives should ensure that the initiative is aligned with their 

agency’s mission, and be able to specify how it will help the agency meet 

its goals.

As also shown in figure 6, we determined that guidance for the 

implementation of open data collaboration initiatives partially addresses 

the first key action. Specifically, the guidance identifies illustrative goals

for various types of open data events. For example, it states that the goal 

of a “hackathon” is to build relationships with a community of developers 
Page 23 GAO-17-507 Open Innovation Resources

and designers, and to see immediate tools and prototypes built using 

open data. However, as written, these illustrative goals are not 

measurable, nor does the guidance directly encourage agencies to 

develop such goals for their own specific initiatives. Furthermore, the 

guidance does not reflect the other two key actions.

To leverage the experience, insights, and expertise of those interested or 

engaged in the area to be addressed by an initiative, agencies should:

1. Identify and engage with external stakeholders. These are individuals 

or organizations that share an interest in the issue being addressed 

and may already be active in related efforts. For a federal agency, 

external stakeholders can include representatives of relevant nonprofit 

organizations and foundations, community or citizens’ groups, 

universities and academic institutions, the private sector, members of 

Congress and their staffs, other federal agencies, and state and local 

governments.

2. Look for opportunities to partner with other groups and organizations. 

Partners are organizations and individuals that play a direct role in 

designing and implementing an initiative. They provide staff capacity, 

resources, administrative and logistical support, assistance with 

communications and community building, or ongoing advice and 

expertise. In considering potential partners, agencies should look for 

groups and organizations that would be interested in, or could benefit 

from, the results of an open innovation initiative.20

As shown in figure 7, we determined that guidance for all of the open 

innovation strategies fully reflects both key actions.

 20GAO-17-14. 

Practice 3: Identify and 

Engage Stakeholders and 

Partners
Page 24 GAO-17-507 Open Innovation Resources

Figure 7: Extent Key Guidance Reflects Key Actions for Identifying and Engaging Stakeholders and Partners

a

OSTP, Addressing Societal and Scientific Challenges Through Citizen Science and Crowdsourcing 

(September 2015); and GSA, Federal Crowdsourcing and Citizen Science Toolkit, 

https://crowdsourcing-toolkit.sites.usa.gov/.

b

GSA, U.S. Public Participation Playbook, https://participation.usa.gov/.

c

OMB, Open Data Policy-Managing Information as an Asset, M-13-13 (May 2013); and OMB and 

OSTP, Project Open Data, https://project-open-data.cio.gov/.

d

OMB, Guidance on the Use of Challenges and Prizes to Promote Open Government, M-10-11 

(March 2010) and the Prize Authority Guidance (August 2011); and GSA, Challenges and Prizes 

Toolkit, https://www.challenge.gov/toolkit/.

For example, guidance for implementing open data collaboration efforts in 

OMB’s Open Data Policy encourages agencies to engage with various 

stakeholders, including entrepreneurs and innovators in the private and 

nonprofit sectors. This engagement could then lead to these stakeholders 

participating in specific initiatives to use agency data to build products, 

applications, and services. Guidance on the Project Open Data website 

also suggests agencies use open data collaboration events to bring 

together various stakeholders, such as entrepreneurs, technology 

leaders, and policy experts, to explore available data and discuss new 

ideas for tools that the private sector could create using agency data. 

Project Open Data also encourages agencies to invite and partner with 

other government entities and private companies when developing and 

carrying out these events.
Page 25 GAO-17-507 Open Innovation Resources

To ensure that tasks and time frames are clear for all involved in 

implementing and managing an open innovation initiative, agencies 

should document roles and responsibilities and develop implementation 

plans for those initiatives.21 The plans should clearly identify specific 

tasks, the parties responsible for completing them, and the time frames 

for doing so. They should also outline when and how the agency will 

reach out to various participant groups, and how data will be collected 

and evaluated to determine results.

As shown in figure 8, we determined that guidance for crowdsourcing and 

citizen science initiatives, and prize competitions and challenges, fully 

reflects these key actions.

Figure 8: Extent Key Guidance Reflects Key Actions for Developing Implementation Plans

a

OSTP, Addressing Societal and Scientific Challenges Through Citizen Science and Crowdsourcing 

(September 2015); and GSA, Federal Crowdsourcing and Citizen Science Toolkit, 

https://crowdsourcing-toolkit.sites.usa.gov/.

b

GSA, U.S. Public Participation Playbook, https://participation.usa.gov/.

c

OMB, Open Data Policy-Managing Information as an Asset, M-13-13 (May 2013); and OMB and 

OSTP, Project Open Data, https://project-open-data.cio.gov/.

d

OMB, Guidance on the Use of Challenges and Prizes to Promote Open Government, M-10-11 

(March 2010) and the Prize Authority Guidance (August 2011); and GSA, Challenges and Prizes 

Toolkit, https://www.challenge.gov/toolkit/.

 21GAO-17-14. 

Practice 4: Develop 

Implementation Plans
Page 26 GAO-17-507 Open Innovation Resources

For example, the Challenges and Prizes Toolkit encourages agencies to 

create an implementation plan that clearly outlines the roles and 

responsibilities for those involved in an initiative. As the toolkit 

emphasizes, managing a competition can involve a wide range of 

government and contract staff with varying responsibilities, from project 

management to providing subject matter expertise and technical, 

communications, and legal support. Because of this, it is important to be 

clear about the role of each team member, the duties each is assigned, 

and how his or her work fits into the timeline for the competition. As part 

of this, the toolkit also states that the plan should specify the procedures 

that will be used to collect relevant data during the course of the 

challenge. Lastly, the toolkit encourages agencies to develop a 

communications plan that defines the audiences they want to reach with 

information on the initiative; the websites, news outlets, social media, and

other outlets it will use to reach them; and the messages they will use to 

reach potential participants and encourage them to participate.

In contrast, as also shown in figure 8, we found that guidance for open 

data collaboration initiatives does not reflect either of these key actions, 

and guidance for open dialogue and ideation initiatives partially reflects 

these actions. Specifically, the guidance for open dialogue and ideation 

initiatives encourages agencies to document roles and responsibilities, 

and to develop a plan that specifies the tasks and time frames for 

recruiting participants. However, the guidance does not discuss planning 

for data collection.

To reach the right potential participants, motivate them to participate, and 

keep partners and participants engaged throughout the implementation of 

an initiative, we previously identified four key actions agencies should 

take. They should:

1. Use multiple outlets and venues to reach potential participants. In 

their outreach, agencies should use the initiative’s website, social 

media, press releases, journals, newsletters, and professional 

conferences and networks to reach potential participants.

2. Craft announcements in a way that motivates people to participate. In 

doing so, agencies should address the interests of potential 

participants and explain why it is important for them to participate.

3. Engage with participants to provide answers to questions and any 

necessary assistance. While an initiative is ongoing, agencies can use 

websites, question-and-answer sessions, e-mails, and other forms of 

Practice 5: Engage 

Participants and Partners
Page 27 GAO-17-507 Open Innovation Resources

communication to engage with participants and provide ongoing 

support and assistance.

4. Hold regular check-ins with those involved in implementation. 

Agencies should hold regular meetings to help ensure that those 

working to implement an initiative are aware of the status of efforts 

and have an opportunity to raise and discuss any concerns.22

As shown in figure 9, our assessment found that guidance for 

crowdsourcing and citizen science fully reflects all of these key actions, 

while guidance for the other strategies reflects some, but not all, of these 

key actions.

Figure 9: Extent Key Guidance Reflects Key Actions for Engaging Participants and Partners

a

OSTP, Addressing Societal and Scientific Challenges Through Citizen Science and Crowdsourcing 

(September 2015); and GSA, Federal Crowdsourcing and Citizen Science Toolkit, 

https://crowdsourcing-toolkit.sites.usa.gov/.

b

GSA, U.S. Public Participation Playbook, https://participation.usa.gov/.

c

OMB, Open Data Policy-Managing Information as an Asset, M-13-13 (May 2013); and OMB and 

OSTP, Project Open Data, https://project-open-data.cio.gov/.

 22GAO-17-14.
Page 28 GAO-17-507 Open Innovation Resources

d

OMB, Guidance on the Use of Challenges and Prizes to Promote Open Government, M-10-11 

(March 2010) and the Prize Authority Guidance (August 2011); and GSA, Challenges and Prizes 

Toolkit, https://www.challenge.gov/toolkit/.

For example, the Crowdsourcing and Citizen Science Toolkit encourages 

agencies to find the best platforms for reaching communities with 

information about their initiatives, and to reach out and communicate with 

potential participants using media and messages that respond to their 

interests. The toolkit also encourages agencies to let those participating 

in an initiative know how they can engage with the agency to provide 

information and feedback, and states that the agency should pay 

attention to shifts in participant needs and interests over time. Lastly, the 

toolkit instructs agency staff to hold regular meetings with an initiative’s 

implementation team so that everyone can understand how the project is 

progressing, and discuss new developments and concerns.

As also shown in figure 9, for the other strategies, we determined that 

guidance fully reflected actively engaging participants, but none of them

reflected holding regular check-ins with those involved in implementation. 

Guidance for ideation and open dialogue initiatives, and prize 

competitions and challenges reflects two additional key actions—using 

multiple outlets and crafting announcements to participants’ interests—

while the guidance for open data collaboration initiatives does not.

After an initiative has concluded, or at regular intervals if it is a longstanding or continuous effort, agencies should take three steps to assess 

and report results and identify potential improvements:23

1. Assess the data collected during implementation to determine 

whether the initiative met its goals.

2. Analyze feedback from partners and participants. Agencies should 

identify lessons learned about what went well and what would need to 

be adjusted or improved for similar initiatives in the future.

3. Report publicly on results achieved and lessons learned. Doing so 

can demonstrate the value of an initiative and sustain a dialogue 

within the community of interested organizations and individuals.

 23GAO-17-14. 

Practice 6: Collect, 

Assess, and Report 

Relevant Data
Page 29 GAO-17-507 Open Innovation Resources

As shown in figure 10, we determined that guidance for crowdsourcing 

and citizen science initiatives and prize competitions and challenges fully 

reflected these key actions.

Figure 10: Extent Key Guidance Reflects Practices for Collecting, Assessing, and Reporting Data and Results

a

OSTP, Addressing Societal and Scientific Challenges Through Citizen Science and Crowdsourcing 

(September 2015); and GSA, Federal Crowdsourcing and Citizen Science Toolkit, 

https://crowdsourcing-toolkit.sites.usa.gov/.

b

GSA, U.S. Public Participation Playbook, https://participation.usa.gov/.

c

OMB, Open Data Policy-Managing Information as an Asset, M-13-13 (May 2013); and OMB and 

OSTP, Project Open Data, https://project-open-data.cio.gov/.

d

OMB, Guidance on the Use of Challenges and Prizes to Promote Open Government, M-10-11 

(March 2010) and the Prize Authority Guidance (August 2011); and GSA, Challenges and Prizes 

Toolkit, https://www.challenge.gov/toolkit/.

For example, the Challenges and Prizes Toolkit states that agencies 

should assess the data they have collected to determine how well the 

competition achieved its goals, and to identify other results and outcomes 

it produced, such as quantifiable improvements to existing solutions and 

technologies. The toolkit also states that agencies should conduct an 

after-action assessment to capture feedback, lessons learned, and other 

institutional knowledge so the agency can improve its challenges in the 

future. Specifically, it suggests that agencies consider the following 

questions when conducting this assessment:

• What worked well?
Page 30 GAO-17-507 Open Innovation Resources

• What would you have done differently in challenge design looking 

back?

• How might agency clearance and coordination go more smoothly next 

time?

• What could have been improved in judging, communications, and 

operations?

• Did the evaluation process result in the selection of the best 

submissions?

• What were any unintended consequences, both positive and 

negative?

Lastly, the toolkit reminds agencies to complete required public reporting, 

sharing results, lessons learned, and success stories, which can be 

critical to improving how challenges are designed and implemented.24

As figure 10 also illustrates, our assessment found that guidance for open 

data collaboration initiatives did not reflect any of these key actions, and 

guidance for ideation and open dialogue initiatives reflected most of them. 

Specifically, that guidance encourages agencies to collect and analyze 

data to assess goal achievement and results, conduct an after-action 

review, and report publicly on results. It does not, however, encourage 

agencies to report publicly on lessons learned through their experience.

Given the time and resources that agencies may invest to build or 

enhance communities of partners and participants for open innovation 

initiatives, our October 2016 report identified two key actions agencies 

should take to sustain these connections over time:25

1. Acknowledge and, as appropriate, reward the efforts and 

achievements of partners and participants.

2. Seek ways to maintain communication with members of the 

community. Doing so can keep them informed of future initiatives and 

 24OSTP is required to submit a biennial report to Congress describing prize competitions 

conducted by agencies using authority provided by the America COMPETES 

Reauthorization Act of 2010. This report is intended to include information on, among 

other things, the goals of each prize competition, resources used to implement them, 

methods used to solicit and evaluate submissions, and how each competition advanced 

the mission of the agency. 15 U.S.C. § 3719(p).

25GAO-17-14. 

Practice 7: Sustain 

Community of Participants 

and Partners
Page 31 GAO-17-507 Open Innovation Resources

other opportunities, and facilitate communication within the 

community.

As figure 11 shows, we determined that none of the guidance fully reflects 

the first action. The guidance for crowdsourcing and citizen science, and 

prize competitions and challenges, both encourage agencies to 

acknowledge the contributions of participants, and reward participants 

with monetary and nonmonetary incentives (as appropriate). However, 

guidance for these strategies does not also encourage agencies to 

acknowledge the contributions of partner organizations, which can 

provide critical resources, expertise, and capacity for open innovation 

initiatives. The guidance for ideation, open dialogues, and open data 

collaboration initiatives did not reflect this key action.

Figure 11: Extent Key Guidance Reflects Key Actions for Sustaining Community

a

OSTP, Addressing Societal and Scientific Challenges Through Citizen Science and Crowdsourcing 

(September 2015); and GSA, Federal Crowdsourcing and Citizen Science Toolkit, 

https://crowdsourcing-toolkit.sites.usa.gov/.

b

GSA, U.S. Public Participation Playbook, https://participation.usa.gov/.

c

OMB, Open Data Policy-Managing Information as an Asset, M-13-13 (May 2013); and OMB and 

OSTP, Project Open Data, https://project-open-data.cio.gov/.

d

OMB, Guidance on the Use of Challenges and Prizes to Promote Open Government, M-10-11 

(March 2010) and the Prize Authority Guidance (August 2011); and GSA, Challenges and Prizes 

Toolkit, https://www.challenge.gov/toolkit/.

As also shown in figure 11, our assessment found that guidance for most 

open innovation strategies fully reflect the second action; however, 

guidance for open data collaboration does not. For example, the Federal 
Page 32 GAO-17-507 Open Innovation Resources

Crowdsourcing and Citizen Science Toolkit encourages agencies to 

continue actively engaging partners and participants, and help direct 

participants to other initiatives that might interest them. The toolkit also 

encourages agencies to create opportunities for participants to socialize

and communicate with each other by supporting discussion forums, and 

identifying group leaders that can help carry forward a discussion among 

members of the community.

In instances where guidance does not fully reflect the practices and key 

actions identified in our October 2016 report, agency staff may not be 

aware of certain steps they should take to better ensure the success of 

their open innovation initiatives. In part, the various guidance resources 

developed by OMB, OSTP, and GSA do not fully reflect some practices 

and key actions because those resources almost all pre-date our report.26

We also used different methodologies and sources in pulling together our 

practices and key actions than they did in developing their guidance. As 

noted earlier, we developed our practices by analyzing and synthesizing 

suggested practices and key actions from a wide range of relevant 

literature, as well as interviews with nongovernmental experts and agency 

officials. Our scope also was to identify practices applicable to 

implementing individual initiatives using any open innovation strategy. 

The guidance developed by OMB, OSTP, and GSA, by contrast, is 

generally strategy specific and based on the experiences of and lessons 

learned from individuals involved in the relevant communities of practice. 

For example, as was highlighted earlier, OSTP and GSA staff worked 

with volunteers from the Challenges and Prizes Community of Practice to 

develop the Challenges and Prizes Toolkit.

Other factors contributed to the guidance for open data collaboration not 

fully reflecting our practices and key actions for effectively implementing 

open innovation initiatives. As was previously described, OMB, OSTP, 

and GSA developed various resources, including websites and guidance, 

to help agencies inventory, manage, and release their open data. 

According to staff from these agencies, the focus of their efforts and 

resources generally has been assisting agencies with the management 

and release of open data, while providing some support for agencies 

 26The one exception is the Challenges and Prizes Toolkit, which was officially launched in 

December 2016, but was launched as a beta product in October 2016—the same month 

we issued our report identifying practices for effectively implementing open innovation 

initiatives.

Guidance Does Not 

Reflect Practices Due to 

Differing Approaches Used 

to Develop Them, among 

Other Factors
Page 33 GAO-17-507 Open Innovation Resources

interested in mobilizing and collaborating with participants to use open 

data (i.e., open data collaboration), which we identify as an open 

innovation strategy. The existing guidance does suggest some actions for 

agencies to take when implementing open data collaboration initiatives. In 

addition, staff from OMB’s Office of the Chief Information Officer and 

GSA’s TTS shared several ways in which they and members of the Open 

Data Working Group provide support for staff interested in carrying out 

open data collaboration initiatives. For example, they told us that when 

agency staff ask for advice on how to conduct such initiatives, they often 

match the individual making the request with experienced staff in another 

agency, or rely upon members of the Open Data Working Group to 

answer their questions. An official from GSA’s TTS stated that because 

members of this community meet regularly, there are frequent 

opportunities to share best practices and lessons learned to inform the 

planning of any current or future agency open data collaboration 

initiatives. In addition, the official told us that agency staff can also use 

the open data community’s e-mail list to seek and receive assistance from 

fellow members. Although OMB, OSTP, and GSA staff identified various 

resources that are available to support agency staff interested in carrying 

out open data collaboration initiatives, those resources do not include 

detailed and consistent, step-by-step guidance for the implementation of 

such initiatives.

The agencies we selected for this review—DOE, HHS, HUD, DOT, EPA, 

and NASA—have put in place various resources to support the use of 

open innovation strategies. These resources—policies and 

implementation guidance, supporting staff and organizations, and 

websites—complement what exists at the government-wide level. The 

selected agencies have generally developed, or are developing, 

resources for the open innovation strategies they use frequently, to 

provide staff with tailored guidance and support. This helps ensure staff 

carry out initiatives in a manner that is informed by the agency’s previous 

experience and that is consistent with agency procedures. In some 

instances, agency officials told us that they have not developed certain 

agency-level resources, generally for one or more of the following 

reasons:

• they found government-wide resources to be sufficient;

• they have not used a strategy, or use it infrequently, limiting the need 

for agency-specific resources; or

Selected Agencies 

Developed Open 

Innovation Resources 

Similar to Those 

Available Government 

Wide, Though 

Tailored to Their 

Specific Needs
Page 34 GAO-17-507 Open Innovation Resources

• they have not yet had sufficient experience using a strategy to be able 

to craft policies or other resources informed by experiences and 

lessons learned.

Officials from the selected agencies told us that agency-level policies and 

guidance help to raise awareness among agency staff of the value of 

using open innovation strategies, and how these strategies can be an 

effective tool for engaging the public to generate new ideas and solutions. 

In instances where agency leaders have approved and issued these 

policies, this also helps demonstrate to agency staff that leadership 

supports using these strategies. The policies and guidance at these 

agencies (examples provided in table 5) also clarify agency-specific steps 

that staff should take when implementing an initiative, which, according to 

agency officials, helps ensure that staff take actions necessary to meet 

requirements and successfully carry out open innovation initiatives.

Table 5: Examples of Selected Agencies’ Policies and Implementation Guidance for Open Innovation Strategies

Agency Strategy Description

Department of Energy 

(DOE)

Prize Competitions and 

Challenges

Guidance: As of early March 2017, DOE staff are developing standard procedures 

for staff interested in using prize competitions and challenges to follow.

Department of Health 

and Human Services 

(HHS)

Prize Competitions and 

Challenges

Policy: HHS’s Delegation of Authority policy, signed by the Secretary in 2011, 

gives the heads of HHS’s operating and staff divisions the explicit authority to 

administer and fund prize competitions to stimulate innovation if they are less than 

$500,000. Any competition with a prize amount over $500,000 requires the 

Secretary’s approval, and the policy specifies information to submit to inform this 

decision. 

Guidance: The HHS COMPETES Playbook provides HHS challenge managers 

with step-by-step guidance on how to conduct prize competitions and challenges 

using authority provided by the America COMPETES Reauthorization Act of 

2010.a An associated toolkit also provides staff with guidance on additional actions 

they may need to take while implementing a prize competition or challenge, such 

as hiring a contractor to manage the effort or developing a website.

Crowdsourcing and 

Citizen Science

Guidance: As of March 2017, the Centers for Disease Control and Prevention’s 

(CDC) Citizen Science Working Group is, according to CDC officials, drafting 

guidance that will outline specific procedures for CDC staff to follow when 

developing, seeking approval for, and implementing an initiative.

Department of Housing 

and Urban 

Development (HUD)

Ideation Policy and Guidance: HUD’s Ideas in Action Policies and Procedures document 

outlines how ideas submitted through its ideation website, originally called Ideas in 

Action and now referred to as Switchboard, are to be collected, considered, and, if 

possible, implemented.

Department of 

Transportation (DOT)

Open Dialogues Guidance: The Federal Highway Administration’s Public Involvement Techniques 

for Transportation Decision-Making guide provides staff with guidance on how to 

use various open dialogue approaches, such as public meetings, forums, and 

workshops, to collect public input. 

Selected Agencies 

Developed Guidance to 

Clarify Procedures for 

Developing and 

Implementing Open 

Innovation Initiatives
Page 35 GAO-17-507 Open Innovation Resources

Agency Strategy Description

Environmental 

Protection Agency 

(EPA)

Prize Competitions and 

Challenges

Policy: EPA has issued several memorandums to support the use of prize 

competitions and challenges. For instance, a memorandum signed by the 

Administrator in August 2013 delegates authority to conduct prize competitions, 

while additional memorandums from Deputy Administrators established an internal 

review process for those implementing challenges.

Guidance: EPA developed several guidance documents, including ones that

specify the information staff should provide when proposing a prize competition or 

challenge initiative, steps staff should take to communicate with the public about 

the initiative, and how staff should manage the judging panels used to determine 

winners.

Open Dialogues Guidance: EPA’s Public Participation Guide outlines a step-by-step process that 

agency staff can use to design and implement a public engagement initiative, 

including an open dialogue, to help obtain public input for EPA decision making.

National Aeronautics 

and Space 

Administration (NASA)

Prize Competitions and 

Challenges

Policy: NASA’s Policy Directive 1090.1 encourages agency staff to use 

challenges, prize competitions, and crowdsourcing activities to further the 

agency’s mission; describes what they can be used to accomplish; and outlines 

the relevant legal authorities staff have to conduct challenges.

Guidance: NASA’s Challenge Coordinator Toolkit provides step-by-step 

implementation guidance for challenge coordinators who oversee and assist 

NASA teams conducting certain challenges.

Source: GAO analysis of agency documents and interviews with agency officials. | GAO-17-507

a

The America COMPETES Reauthorization Act of 2010 reauthorized or amended, in part, the 

America Creating Opportunities to Meaningfully Promote Excellence in Technology, Education, and 

Science Act of 2007 (America COMPETES Act). Pub. L. No. 111-358, 124 Stat. 3982 (Jan. 4, 2011); 

Pub. L. No. 110-69, 121 Stat. 572 (Aug. 9, 2007).

As illustrated in table 5, NASA’s Policy Directive on Challenges, Prize 

Competitions, and Crowdsourcing Activities, which was signed by the 

NASA Administrator and issued in February 2014, encourages agency 

staff to use these open innovation strategies. The directive states that it is 

NASA’s policy to encourage the use of challenge activities to obtain 

solutions and stimulate innovation. According to an official from NASA’s 

Center of Excellence for Collaborative Innovation (CoECI), the directive 

was created to supplement government-wide policies and guidance. It 

defines the roles that certain agency officials, such as the Associate 

Administrator for the Space Technology Mission Directorate, are to play in 

designing and implementing challenges. It also directs staff to develop 

and maintain agency-level best practices and implementation guidance 

for challenges. In keeping with this policy, in 2014, CoECI, which provides 

advice and support for NASA teams to design, implement, and evaluate 
Page 36 GAO-17-507 Open Innovation Resources

challenges conducted through the NASA Tournament Lab, developed a 

Challenge Coordinator Toolkit.27

The toolkit provides a detailed checklist for CoECI challenge coordinators 

to follow when supporting teams that are conducting those challenges.28

According to a CoECI official, staff with varying levels of experience 

working on challenges serve as challenge coordinators. The toolkit is 

intended to ensure that coordinators consistently follow a set of specific 

procedures for managing all phases of a challenge being conducted using 

the NASA Tournament Lab, from completing necessary documentation 

before a challenge is launched to holding a close-out interview to capture 

feedback and lessons learned. See figure 12 for an overview of the steps 

highlighted in the toolkit.

 27The NASA Tournament Lab, established in 2011, provides a means for researchers, 

scientists, and engineers from NASA and other federal agencies to conduct certain 

challenges, and provides access to a variety of open innovation platforms that allow them 

to reach potential participants. In addition to the NASA Tournament Lab, the agency offers 

other approaches, such as its Centennial Challenges program, that staff can also use to 

conduct challenges. 

28CoECI challenge coordinators are NASA staff who work with teams carrying out 

challenges using the NASA Tournament Lab. The coordinators provide technical 

assistance as needed, such as helping teams to ensure that the objectives for a challenge 

are clear, and to select a contractor to manage the challenge, among other things.
Page 37 GAO-17-507 Open Innovation Resources

Figure 12: NASA Center of Excellence for Collaborative Innovation Challenge Coordinator Toolkit Overview

a

According to a CoECI official, the Challenge Owner is the individual proposing the challenge and 

who has responsibility for working with the CoECI Coordinator and Contractor to carry it out.

b

A request for proposal is defined by the Federal Acquisition Institute as a solicitation for offers under 

negotiation procedures.
Page 38 GAO-17-507 Open Innovation Resources

According to officials at the selected agencies, their agencies have 

created staff positions and internal organizations to serve as a source of 

information and guidance, sharing agency-specific and government-wide 

resources with staff who are conducting open innovation initiatives. In 

some instances, agencies have dedicated staff responsible for leading 

efforts to use a certain strategy in their agency and providing internal 

support to other staff interested in using the strategy. In other instances, 

agency officials told us they also have staff who, given their interest and 

experience using a strategy, have taken on responsibilities to support 

others in their agency, but are not devoted full time to these efforts. Some 

agencies also have brought together multiple staff to create internal 

organizations responsible for supporting the use of open innovation 

strategies. These staff and organizations—selected examples of which 

are highlighted in tables 6 and 7, respectively—can provide tailored 

advice and support based on their experience with these strategies. 

According to agency officials, this can involve helping to ensure staff meet 

requirements and take other actions to successfully propose, design, and 

implement an open innovation initiative.

Table 6: Examples of Selected Agency Staff Positions Supporting the Use of Open Innovation Strategies

Agency Strategy Description

Department of Energy 

(DOE)

Prize Competitions and 

Challenges

DOE’s Senior Advisor for Open Innovation, according to DOE officials, provides 

advice to staff interested in pursuing prize competitions and challenges based on 

her experience assisting teams, and connects them with experienced staff who 

can share their knowledge and expertise.

Department of Health 

and Human Services 

(HHS)

Crowdsourcing and 

Citizen Science

The National Institutes of Health and Centers for Disease Control and Prevention 

each have designated crowdsourcing and citizen science coordinators, who, 

according to officials from these agencies, provide advice and assistance to staff 

based on their experience and expertise. They also share agency examples and 

resources to staff carrying out initiatives using this strategy.

Open Data Collaboration Until January 2017, when this position was vacated, the Director of HHS’s Health 

Data Initiative guided HHS staff in making health data broadly available, and 

worked with those outside the agency to encourage them to use HHS data in the 

creation of applications, products, and services.

Prize Competitions and 

Challenges

HHS’s Open Innovation Manager told us he helps HHS staff develop prize 

competitions and challenges, including explaining how they can be used to solve 

problems, and directing staff toward appropriate authorities and information. He 

also brokers partnerships among staff within HHS, and between HHS and 

outside partners, such as nonprofit and philanthropic organizations interested in 

health-related research.

Department of 

Transportation (DOT)

Open Data Collaboration DOT’s Chief Data Officer told us he provides technical support to staff working on 

the department’s open data efforts, and connects staff across the department to 

share expertise. He also has coordinated and supported several open data 

collaboration events. 

Selected Agencies 

Created Staff Positions, 

Organizations, and 

Communities of Practice 

to Support Implementation 

of Open Innovation 

Initiatives
Page 39 GAO-17-507 Open Innovation Resources

Agency Strategy Description

Environmental 

Protection Agency 

(EPA)

Crowdsourcing and 

Citizen Science

EPA’s Chief Innovation Officer serves as one of the agency’s crowdsourcing and 

citizen science coordinators, and told us he provides training and advice to EPA 

staff to encourage their use of the strategy. He also told us he coordinates EPA’s 

internal community of practice on citizen science.

National Aeronautics 

and Space 

Administration (NASA)

Crowdsourcing and 

Citizen Science

NASA’s Crowdsourcing and Citizen Science Coordinator told us that she obtains 

and shares government-wide information and examples, provides advice and 

expertise, and connects staff to support those using crowdsourcing and citizen 

science within NASA. She also leads NASA’s Citizen Science Community of 

Practice.

Open Data Collaboration NASA’s Open Innovation Program Manager told us that she works with staff 

throughout the agency to carry out NASA’s open data initiatives. For example, 

she leads Datanauts, a year-round engagement program for people to learn how 

to access and use NASA’s open data.

Source: GAO analysis of documentation and interviews with DOE, HHS, DOT, EPA, and NASA officials. | GAO-17-507

As noted in table 6, DOT’s Chief Data Officer (CDO) told us that he 

provides technical support for the department’s open data efforts. As part 

of his responsibilities, he works with staff to improve how the agency 

collects, manages, and publishes data. He also has coordinated and 

supported several open data events that have allowed DOT staff to 

collaborate with the public, including private sector companies using 

transportation data, state and local stakeholders, academic researchers, 

and those working on new technologies. He told us that these events 

have served to help the agency better understand how people are using 

transportation data and what improvements that they would like to see 

made. For example, in 2015, the CDO worked with staff from throughout 

DOT to organize a Transportation “Datapalooza.” According to the CDO, 

the event allowed DOT to both highlight its own data initiatives and learn 

about the applications and products that private companies, developers, 

and technologists are developing with DOT data. It also gave DOT staff 

an opportunity to speak directly with data users, identifying areas where 

they might work collaboratively to expand the use of the data and improve 

quality.

Table 7: Examples of Selected Agency Organizations Supporting the Use of Open Innovation Strategies

Agency Strategy Description

Department of Housing 

and Urban 

Development (HUD)

Ideation HUD established a team to manage the department’s idea generation website 

(known as Switchboard) and coordinate efforts to respond to ideas submitted 

through the site. According to HUD officials, the Switchboard team is assisted by 

contacts in each HUD program office responsible for considering and responding 

to submissions.
Page 40 GAO-17-507 Open Innovation Resources

Agency Strategy Description

Department of 

Transportation (DOT)

Open Dialogues DOT’s Office of Public Engagement is responsible for supporting efforts to 

engage stakeholders and the public in DOT initiatives and policy development 

processes, including through open dialogues. According to a DOT official from 

this office, its staff help direct other DOT staff to resources and provide advice on 

how to engage with members of the public.

Environmental 

Protection Agency 

(EPA)

Prize Competitions and 

Challenges

EPA’s Challenge Review Team, according to EPA officials, provides legal, 

financial, communications, and scientific support to those developing proposals 

for challenges, and also ensures that teams meet all agency requirements before 

competitions are approved.

National Aeronautics 

and Space 

Administration (NASA)

Prize Competitions and 

Challenges

NASA’s Center of Excellence for Collaborative Innovation (CoECI) provides 

guidance and support for NASA teams to design, implement, and evaluate 

challenges conducted through the NASA Tournament Lab. CoECI challenge 

coordinators ensure that those involved in carrying out challenges complete the 

requisite steps outlined in the Challenge Coordinator Toolkit and achieve 

milestones.

Source: GAO analysis of documentation and information from interviews with HUD, DOT, EPA, and NASA officials. | GAO-17-507

According to the EPA memorandum that established it in July 2015, 

EPA’s Challenge Review Team (ChaRT), mentioned above in table 7, is 

intended to help ensure that agency prize competitions and challenges 

meet applicable legal requirements, and have an adequate scientific 

foundation, financial support, and a clear communications plan. As shown 

in figure 13, ChaRT brings together officials from several EPA offices 

who, according to an official from EPA’s Office of Research and 

Development, need to be involved in prize competitions and challenges, 

creating an efficient “one-stop” approach to reviewing and approving 

proposals.
Page 41 GAO-17-507 Open Innovation Resources

Figure 13: Offices Represented on the Environmental Protection Agency’s (EPA) 

Challenge Review Team

According to the official from EPA’s Office of Research and Development, 

the officials who serve on ChaRT provide legal, financial, and scientific 

expertise and support to EPA teams developing proposals for prize 

competition or challenge initiatives. As part of the team’s review 

processes, it requires EPA staff to complete a ChaRT review form to 

ensure that (1) new initiatives will address agency needs, (2) leadership is 

aware of and supports the challenge, and (3) teams have completed 

required steps and addressed any concerns before they can proceed. 
Page 42 GAO-17-507 Open Innovation Resources

According to the memorandum that established it, ChaRT members must 

concur before any prize competition or challenge can be announced.

In addition to dedicating staff and organizations, according to officials 

from selected agencies, some of the agencies also created communities 

of practice (COP) for those staff interested or involved in open innovation 

initiatives, particularly citizen science. These include NASA’s Citizen 

Science COP; EPA’s Citizen Science COP and recently-created Prize 

and Challenge COP; and within HHS, citizen science working groups at 

the Centers for Disease Control and Prevention and National Institutes of 

Health (NIH). Like government-wide communities, those COPs and 

working groups at the agency level can provide a venue for sharing 

experiences and lessons learned from designing and implementing open 

innovation initiatives, or can be used to develop guidance for agency 

staff. For example, according to NIH officials, the agency’s Citizen 

Science Working Group was established in 2012 to address interest 

among NIH staff about how the agency could use crowdsourcing and 

citizen science methods. NIH officials told us the working group brings 

together, as of March 2017, approximately 60 staff from 14 of the 27 NIH 

institutes and centers to discuss various topics and share their 

experiences with and knowledge of implementing these initiatives.29 The 

group also hosts presentations by outside speakers.

Agencies selected for this review have developed websites that, like the 

government-wide websites described above, can provide a central, 

publicly available location for stakeholders and participants to access 

information, including agency data that can be used in open data 

collaboration initiatives and details of specific projects in which they can 

volunteer to participate.30 However, officials from DOE, EPA, HHS, and 

NASA told us that websites developed by agencies, unlike the 

government-wide websites, are often designed to reach specific 

audiences and stakeholders that may be likely to participate in the 

agencies’ open innovation initiatives and in some cases provide an online 

 29The number of staff participating in the working group, and the number of institutes and 

centers represented is current as of March 2017.

30We also identified agencies that have, according to officials from those agencies, created 

internal websites for agency staff that are used to compile relevant resources, such as 

agency guidance or other materials like presentation slides that can support the use of 

open innovation strategies. 

Selected Agencies 

Developed Websites to 

Reach Specific Audiences 

about Their Open 

Innovation Initiatives
Page 43 GAO-17-507 Open Innovation Resources

forum for these audiences to collaborate. Table 8 provides examples of 

websites that agencies have developed.

Table 8: Examples of Selected Agency Websites Supporting the Use of Open Innovation Strategies

Agency Strategy Description

Department of Energy (DOE) Open Data Collaboration DOE makes datasets and tools available through its Open Energy 

Data website for developers and others interested in energy data, 

along with information on how to engage with DOE on its data.

Department of Health and 

Human Services (HHS)

Crowdsourcing and Citizen 

Science

The National Institutes of Health’s (NIH) Biomedical Citizen Science 

Hub website is an online space for researchers and stakeholders 

interested in the use of citizen science in biomedicine to collaborate. 

According to an NIH official, the NIH Citizen Science Working Group 

helped develop this website.

Open Data Collaboration HHS’s Healthdata.gov provides those interested in health data with 

a central location to find datasets from HHS agencies, with the goal 

of getting the private sector to use the data to create applications, 

products, and services to improve health outcomes.

Department of Housing and 

Urban Development (HUD)

Ideation HUD’s Switchboard ideation website is used to collect ideas from 

both the public and HUD employees about how to improve 

processes, programs, and administration at HUD. The website 

allows commenters to reply to one another, and to vote to express 

their support for an idea.

Environmental Protection 

Agency (EPA)

Crowdsourcing and Citizen 

Science

EPA’s Citizen Science for Environmental Protection website 

highlights ways in which the public can get involved in EPA citizen 

science projects. It also provides links to those projects, as well as 

relevant government-wide and agency-specific citizen science 

resources.

Open Data Collaboration EPA’s Environmental Dataset Gateway and Developer Central 

websites make datasets and code available for developers who are 

interested in using EPA’s data to build applications. The Developer 

Central site also has online discussion forums for developers to ask 

questions about EPA data, comment on datasets and applications, 

and report data issues.

National Aeronautics and 

Space Administration (NASA)

Prize Competitions and 

Challenges, and 

Crowdsourcing and Citizen 

Science

NASA’s Solve website provides a central location for NASA 

stakeholders and the public to find information on the agency’s 

challenges and citizen science projects. It also provides links to 

relevant resources.

Open Data Collaboration The openNASA website provides the public with access to NASA’s 

datasets, code, and application programming interfaces, as well as 

information on opportunities to collaborate with others on the use of 

NASA’s data.

Source: GAO analysis of agency websites and information from interviews with DOE, HHS, HUD, EPA, and NASA officials. | GAO-17-507

For example, DOE’s Open Energy Data website, as shown in figure 14, 

provides energy data users and developers with access to DOE’s catalog 

of open data sets that they can use to conduct research and develop 

applications. In addition, it provides visitors with information on how to 
Page 44 GAO-17-507 Open Innovation Resources

engage with DOE to provide feedback on the department’s open data. 

Open Energy Data also highlights and links to Open Energy Information 

(OpenEI), a website sponsored by DOE and other partner organizations 

that allows users to share datasets and collaborate on energy data 

initiatives.
Page 45 GAO-17-507 Open Innovation Resources

Figure 14: Examples of Websites Supporting the Department of Energy’s Open Data Collaboration Efforts
Page 46 GAO-17-507 Open Innovation Resources

HUD’s Switchboard, an online ideation platform that was also highlighted 

in our October 2016 report, allows employees, stakeholders, and other 

members of the public to offer ideas for improving HUD’s processes, 

programs, and administration.31 According to a HUD official, the platform 

was originally created in 2009 to collect input for an update to the 

agency’s strategic plan. Over time, however, HUD expanded the purpose 

of the platform to make it a more general forum for the public and external 

stakeholders, as well as HUD employees. Now Switchboard is intended 

to ensure there is an avenue for anyone to reach HUD with any ideas or 

feedback that could improve the department. Beyond that, the website 

allows visitors to offer comments on other submissions, and vote in favor 

of those ideas that they support. It also helps designated HUD staff 

collect, review, and respond to the ideas submitted, after which they will 

work to determine whether they can be implemented. Figure 15 illustrates 

different aspects of Switchboard’s capabilities.

 31GAO-17-14.
Page 47 GAO-17-507 Open Innovation Resources

Figure 15: Excerpts from HUD’s Switchboard Website

Notes: HUD = Department of Housing and Urban Development; PHA = Public Housing Authority; 

USDA = U.S. Department of Agriculture.
Page 48 GAO-17-507 Open Innovation Resources

OMB, OSTP, GSA, and selected agencies have developed various 

resources to support the use of open innovation strategies. Of these, 

government-wide guidance is particularly important, as it helps agency 

staff understand the full range of actions they should take when 

designing, implementing, and evaluating an open innovation initiative. 

However, key government-wide implementation guidance, in particular for 

open data collaboration, does not always fully reflect demonstrated good 

practices and key actions. Better incorporating those practices and key 

actions would help ensure agency staff are aware of, and can take, the 

full range of steps to effectively design, implement, and assess their open 

innovation initiatives. Consistently applying these practices can help 

agencies ensure that their initiatives successfully achieve intended 

results.

To help ensure federal agencies effectively design, implement, and 

assess open innovation initiatives in line with the practices and key 

actions identified in our past report, we make 22 recommendations for 

GSA, OMB, and OSTP to enhance relevant implementation guidance.

We recommend that the Director of the Office of Management and 

Budget, the Director of the Office of Science and Technology Policy, and 

the Administrator of the General Services Administration enhance key 

guidance for open data collaboration initiatives to fully reflect the following 

15 key actions:

• Clearly define the purpose of engaging the public;

• Consider the agency’s capability to implement a strategy, including 

leadership support, legal authority, the availability of resources, and 

capacity;

• Define specific and measurable goals for the initiative;

• Identify performance measures to assess progress;

• Align goals of the initiative with the agency’s broader mission and 

goals;

• Document the roles and responsibilities for all involved in the initiative;

• Develop a plan that identifies specific implementation tasks and time 

frames, including those for participant outreach and data collection;

• Use multiple outlets and venues to announce the initiative;

Conclusions

Recommendations for 

Executive Action
Page 49 GAO-17-507 Open Innovation Resources

• Craft announcements to respond to the interests and motivations of 

potential participants;

• Hold regular check-ins for those involved in the implementation of the 

initiative;

• Collect and analyze data to assess goal achievement and results of 

the initiative;

• Conduct an after-action review to identify lessons learned and 

potential improvements;

• Report on results and lessons learned publicly;

• Acknowledge and, where appropriate, reward the efforts and 

achievements of partners and participants; and

• Seek to maintain communication with, and promote communication 

among, members of the community.

We recommend that the Administrator of the General Services 

Administration enhance key guidance for ideation and open dialogue 

initiatives to fully reflect the following four key actions:

• Develop a plan that identifies specific implementation tasks and time 

frames, including those for participant outreach and data collection;

• Hold regular check-ins for those involved in the implementation of the 

initiative;

• Report on results and lessons learned publicly; and

• Acknowledge the efforts and achievements of partners that have 

contributed to the implementation of an initiative.

We recommend that the Director of the Office of Science and Technology 

Policy and Administrator of the General Services Administration enhance 

key guidance for crowdsourcing and citizen science initiatives to fully 

reflect the key action to acknowledge the efforts and achievements of 

partners that have contributed to implementing an initiative.

We recommend that the Director of the Office of Management and 

Budget and the Administrator of the General Services Administration 

enhance key guidance for prize competitions and challenges to fully 

reflect the following two key actions:

• Hold regular check-ins with those involved in the implementation of an 

initiative; and
Page 50 GAO-17-507 Open Innovation Resources

• Acknowledge the efforts and achievements of partners who 

contributed to the implementation of an initiative.

We provided a draft of the report to the Director of the Office of 

Management and Budget, the Acting Director of the Office of Science and 

Technology Policy, the Acting Administrator of the General Services 

Administration (GSA), the Secretary of Energy, the Secretary of Health 

and Human Services, the Secretary of Housing and Urban Development, 

the Secretary of Transportation, the Administrator of the Environmental 

Protection Agency, and the Acting Administrator of the National 

Aeronautics and Space Administration for comment.

In its comments, reproduced in appendix II, GSA agreed with the

recommendations in this report.

Staff from OMB’s Office of the Federal Chief Information Officer and 

Office of General Counsel provided oral comments on May 15, 2017, 

stating that OMB generally agreed with the recommendations in this 

report.

In comments provided by email, OSTP’s General Counsel stated that 

OSTP neither agreed nor disagreed with the recommendations in this 

report. She stated that, given their past and ongoing responsibilities 

related to open innovation in the federal government, OMB and GSA are 

best positioned to address these recommendations. She further stated 

that OSTP may support OMB and GSA in these efforts to the extent that

OSTP has appropriate staff in the future.

EPA, NASA, and OMB provided technical comments, which we 

incorporated as appropriate. DOE, DOT, HHS, and HUD informed us that 

they had no comments.

We are sending copies of this report to interested congressional 

committees, the heads of the agencies identified above and other 

interested parties. This report will also be available at no charge on the 

GAO website at http://www.gao.gov.

Agency Comments
Page 51 GAO-17-507 Open Innovation Resources

If you or your staff have any questions about this report, please contact 

me at (202) 512-6806 or mihmj@gao.gov. Contact points for our Offices 

of Congressional Relations and Public Affairs may be found on the last 

page of our report. Key contributors to this report are listed in appendix III.

J. Christopher Mihm

Managing Director, Strategic Issues
Page 52 GAO-17-507 Open Innovation Resources

List of Committees

The Honorable Ron Johnson

Chairman

The Honorable Claire McCaskill

Ranking Member

Committee on Homeland Security and Governmental Affairs

United States Senate

The Honorable James Lankford

Chairman

The Honorable Heidi Heitkamp

Ranking Member

Subcommittee on Regulatory Affairs and Federal Management

Committee on Homeland Security and Governmental Affairs

United States Senate

The Honorable Jason Chaffetz

Chairman

The Honorable Elijah Cummings

Ranking Member

Committee on Oversight and Government Reform

House of Representatives

The Honorable Mark Meadows

Chairman

The Honorable Gerald Connolly

Ranking Member

Subcommittee on Government Operations

Committee on Oversight and Government Reform

House of Representatives
Appendix I: Objectives, Scope, and 

Methodology

Page 53 GAO-17-507 Open Innovation Resources

As part of the federal performance management framework originally put 

into place by the Government Performance and Results Act of 1993 

(GPRA),1 and updated and expanded by the GPRA Modernization Act of 

2010 (GPRAMA),2 agencies are to identify the strategies and resources 

they will use to achieve their goals.3 GPRAMA also includes a provision 

for us to periodically review how implementing the act’s requirements is 

affecting agency performance.4 This report is part of our response to that 

mandate, and builds on our October 2016 report that described how 

agencies are using open innovation strategies, and identified practices to 

ensure they are implemented effectively.5 Specifically, this report (1) 

identifies key government-wide resources the Office of Management and 

Budget (OMB), the Office of Science and Technology Policy (OSTP), and 

the General Services Administration (GSA) put in place to support the use 

of open innovation strategies; (2) examines the extent to which key 

government-wide guidance reflects practices for effectively implementing 

these strategies; and (3) identifies resources that selected agencies have 

developed to support the use of open innovation strategies.

To identify the various government-wide resources that OMB, OSTP, and 

GSA have developed, we reviewed relevant policy and guidance 

documents related to each open innovation strategy (see table 9 below). 

We also reviewed information available on relevant websites, including 

Citizenscience.gov, Challenge.gov, Digitalgov.gov, Data.gov, and Project 

Open Data, and corroborated information collected from these websites 

through interviews with relevant agency staff. Lastly, we interviewed staff 

from these agencies involved in efforts to support and encourage the use 

of various open innovation strategies across the federal government. In 

these interviews, we asked staff to identify key government-wide policies 

and guidance for each type of strategy, and to describe their roles and 

responsibilities in supporting and encouraging agency use of those 

strategies. We also asked about their collaboration with staff in other 

agencies, among other things.

 1

Pub. L. No. 103-62, 107 Stat. 285 (Aug. 3, 1993).

2

Pub. L. No. 111-352, 124 Stat. 3866 (Jan. 4, 2011).

3

31 U.S.C. §§ 1115(b)(5). 

4

Pub. L. No. 111-352, § 15(b)(1)(B), 124 Stat. 3866, 3883-3884 (Jan. 4, 2011). 

5

GAO, Open Innovation: Practices to Engage Citizens and Effectively Implement Federal 

Initiatives, GAO-17-14 (Washington, D.C.: Oct. 13, 2016). 

Appendix I: Objectives, Scope, and 

Methodology
Appendix I: Objectives, Scope, and 

Methodology

Page 54 GAO-17-507 Open Innovation Resources

To determine the extent to which government-wide policies and guidance 

reflect practices and key actions for effectively implementing open 

innovation strategies, we first, in consultation with OMB, OSTP, and GSA 

staff, identified those that were considered key for each type of strategy. 

These key policies and guidance are listed in table 9.

Table 9: Key Government-Wide Policies and Implementation Guidance for Open 

Innovation Strategies

Strategy(ies) Name of Policy/Guidance

Crowdsourcing 

and Citizen 

Science

Office of Science and Technology Policy (OSTP) Memorandum, 

Addressing Societal and Scientific Challenges Through Citizen 

Science and Crowdsourcing (September 2015)

General Services Administration (GSA), Federal Crowdsourcing and 

Citizen Science Toolkit (launched September 2015)

Ideation and 

Open Dialogues 

GSA, U.S. Public Participation Playbook (launched February 2015)

Open Data 

Collaboration

Office of Management and Budget (OMB) Memorandum M-13-13, 

Open Data Policy (May 2013)

OMB and OSTP, Project Open Data (launched May 2013)

Prize 

Competitions and 

Challenges

OMB Memorandum M-10-11, Guidance on the Use of Challenges 

and Prizes to Promote Open Government (March 2010)

OMB Memorandum, Prize Authority in the America COMPETES 

Reauthorization Act (August 2011)a

GSA, Challenges and Prizes Toolkit (launched December 2016)

Source: GAO summary of key policy documents and guidance from OMB, OSTP, and GSA | GAO-17-507

a

This memorandum provided guidance on implementing section 105 of the America COMPETES 

Reauthorization Act of 2010, relating to prize authority. Pub. L. No. 111-358, 124 Stat. 3982 (Jan. 4, 

2011). The America COMPETES Reauthorization Act of 2010 reauthorized or amended, in part, the 

America Creating Opportunities to Meaningfully Promote Excellence in Technology, Education, and 

Science Act of 2007 (America COMPETES Act). Pub. L. No. 110-69, 121 Stat. 572 (Aug. 9, 2007).

For purposes of clarity, in this report we refer to this August 2011 OMB guidance memorandum as 

the Prize Authority Guidance.

For each strategy type, we then compared key guidance contents to the 

seven practices and 18 related key actions, listed in figure 16, that we 

identified in October 2016. We identified those practices and key actions 

by analyzing and synthesizing suggested practices from relevant federal 

guidance and literature, including public and business administration 

journals, and publications from research organizations, as well as 

interviews with experts and agency officials with experience implementing 

open innovation initiatives.6

 6

For a list of relevant literature see the Selected Bibliography in GAO-17-14.
Appendix I: Objectives, Scope, and 

Methodology

Page 55 GAO-17-507 Open Innovation Resources

Figure 16: Practices and Associated Key Actions that Facilitate the Effective Implementation of Open Innovation Initiatives

We then analyzed the content of the implementation guidance for each 

strategy to determine the extent to which it reflects the practices and key 

actions we previously identified. First, two analysts reviewed each source 
Appendix I: Objectives, Scope, and 

Methodology

Page 56 GAO-17-507 Open Innovation Resources

of guidance to identify all excerpts suggesting actions in line with those 

we identified. Next, a third analyst separately reviewed the guidance 

documents to verify the accuracy of the initial determinations, or identify 

those areas in need of additional discussion. The analysts involved in the 

first and second stages of this analysis then made final determinations 

about whether the actions suggested in the guidance reflected those we 

identified. We considered guidance to fully reflect a key action when it 

suggested steps in line with those outlined in our report. If guidance 

suggested some but not all steps, we considered it to partially reflect the 

key action. Finally, when guidance did not suggest any steps in line with a 

key action, we considered guidance to not reflect it.

Lastly, to identify the resources that selected agencies have put in place, 

we reviewed agency policies and guidance, and websites related to the 

use and implementation of open innovation strategies from six agencies: 

the Departments of Energy (DOE), Health and Human Services (HHS), 

Housing and Urban Development (HUD), and Transportation (DOT); the 

Environmental Protection Agency (EPA); and the National Aeronautics 

and Space Administration (NASA). We selected these agencies based on 

various criteria, including the number and variety of open innovation 

strategies outlined in their individual agency Open Government Plans. 

These selections were also in line with suggestions from knowledgeable 

staff at OMB, OSTP, and GSA familiar with agencies that have actively 

used such strategies.

In interviews with officials from these agencies, we asked them to identify 

agency-specific policies, procedures, or other guidance that has been 

developed to aid staff carrying out open innovation initiatives. Through 

this consultation, we were able to identify relevant policy documents and 

guidance developed by these agencies. For instance, we identified EPA’s 

memorandum establishing the agency’s Challenge Review Team, which 

is responsible for approving proposals for the agency’s prize competitions 

and challenges. Similarly, we were able to use this consultation to identify 

the Federal Highway Administration’s Public Involvement Techniques for 

Transportation Decision-Making guide, which provides staff with guidance 

on how to use various open dialogue approaches. We were also able to 

use these interviews to identify relevant websites the agencies have 

developed that support open innovation efforts. For instance, we 

identified the openNASA website, which provides the public with access 

to NASA’s datasets, code, and other tools, as well as information on 

opportunities to collaborate with others on the use of NASA’s data. 

Similarly, we also used this consultation to identify the National Institutes 

of Health’s (NIH) Biomedical Citizen Science Hub website, which is an 
Appendix I: Objectives, Scope, and 

Methodology

Page 57 GAO-17-507 Open Innovation Resources

online space for researchers and stakeholders interested in the use of 

citizen science in biomedicine to collaborate.

In our interviews with officials supporting the use of various open 

innovation strategies at these six agencies, we asked them to describe, 

among other things:

• the steps staff would go through to design, implement, and evaluate a 

specific type of open innovation strategy;

• the support available to staff throughout that process; and

• the ways resources at the government-wide level have helped support 

the use of open innovation strategies in their agency.

We conducted this performance audit from February 2016 to June 2017 

in accordance with generally accepted government auditing standards.

Those standards require that we plan and perform the audit to obtain 

sufficient, appropriate evidence to provide a reasonable basis for our 

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

the evidence obtained provides a reasonable basis for our findings and 

conclusions based on our audit objectives.
Appendix II: Comments from the General 

Services Administration

Page 58 GAO-17-507 Open Innovation Resources

Appendix II: Comments from the General 

Services Administration
Appendix III: GAO Contact and Staff 

Acknowledgments

Page 59 GAO-17-507 Open Innovation Resources

J. Christopher Mihm, (202) 512-6806 or mihmj@gao.gov

In addition to the contact named above, Benjamin T. Licht (Assistant 

Director) and Adam Miles supervised the development of this report. 

Steven Putansu, Lauren Shaman, Erik Shive, Wesley Sholtes, and 

Andrew J. Stephens made significant contributions to this report. John 

Hussey and Donna Miller also made key contributions. James Cook, Eric 

Gorman, Danielle Novak, and Jason Vassilicos verified the information in 

the report.

Appendix III: GAO Contact and Staff 

Acknowledgments

GAO Contact

Staff 

Acknowledgements

(100778)
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