Skip to main content

Department of Transportation

Jump To:

Recent Reports

View More Reports

Open Recommendations (87 total)

Telecommunications: Agencies Need Better Controls to Achieve Significant Savings on Mobile Devices and Services

GAO-15-431
Show
1 Open Recommendations
Agency Affected Recommendation Status
Department of Transportation To help the department effectively manage spending on mobile devices and services, the Secretary of Transportation should ensure procedures to monitor and control spending are established department-wide. Specifically, ensure that (1) procedures include assessing devices for zero, under, and over usage; (2) personnel with authority and responsibility for performing the procedures are identified; and (3) the specific steps to be taken to perform the process are documented.
Open – Partially Addressed
As of January 2024, the Department of Transportation had partially implemented the recommendation. Specifically, the Office of the Chief Information Officer's Resource Management Office Customer and Contract Support team developed procedures for assessing mobile device usage. However, the department has not specified which of its components the procedures apply to. We will continue to monitor the department's efforts to fully implement the recommendation.

Discretionary Transportation Grants: Actions Needed to Improve Consistency and Transparency in DOT's Application Evaluations

GAO-19-541
Show
1 Open Recommendations
Agency Affected Recommendation Status
Department of Transportation The Secretary of Transportation should ensure that DOT, in its notice of funding opportunity and evaluation plan for each remaining INFRA-funding cycle, clarify the circumstances under which DOT may select applicants to receive requests for additional information. (Recommendation 1)
Open – Partially Addressed
In 2022, DOT issued a notice of funding opportunity for the Multimodal Projects Discretionary Grant Program, which combined the notice of funding opportunities for INFRA and two other discretionary grant programs. DOT also issued a combined evaluation plan for these three discretionary grant programs. In September 2023, we confirmed that DOT clarified, in the evaluation plan, the circumstances under with DOT may select applicants to receive requests for additional information. Specifically, the evaluation plan states that during the analysis phase of the review, if additional information is necessary to determine a project meets a requirement, DOT will reach out to that applicant to request information once from that applicant. The plan states that this approach applies to each requirement with the exception of cost effectiveness requirement. The plan also states that, during the Senior Review phase, DOT may seek clarifying information from that applicant a second time, or the first time for cost effectiveness if (1) the project received a high rating or (2) the Senior Review Team provides additional information that a project outcome area has benefits aligned with a High rating. DOT also issued a memo during the 2022 application review clarifying these processes. However, as of September 2023, DOT has not clarified the circumstances under with DOT may select applicants to receive requests for additional information in the notice of funding opportunity. GAO will continue to monitor implementation of this recommendation.

Discretionary Transportation Grants: Actions Needed to Improve Consistency and Transparency in DOT's Application Evaluations

GAO-19-541
Show
2 Open Recommendations
Agency Affected Recommendation Status
Department of Transportation The Secretary of Transportation should develop procedures for each remaining INFRA-funding cycle to ensure that when additional information is requested from an applicant, the specific rationale behind the request is documented (for example, to promote geographic diversity among projects), as well as to ensure that DOT documents the rationale if similar projects were not afforded an opportunity to provide additional information. (Recommendation 2)
Open – Partially Addressed
Previously, DOT issued a notice of funding opportunity for the Multimodal Projects Discretionary Grant Program, which combined the notice of funding opportunities for INFRA and two other discretionary grant programs. DOT also issued a combined evaluation plan for these three discretionary grant programs. In September 2023, we confirmed that DOT developed procedures to ensure that when additional information is requested from an applicant, the specific rational behind the request is documented. Specifically, in its evaluation plan, DOT states that if additional information is necessary to determine a project meets a requirement, the DOT will reach out to that applicant to request additional information one time. This applies to each requirement with the exception of cost effectiveness requirements. The procedures also establish the specific parameters for requesting additional information from applicants and documenting decisions during the Senior Review phase. These procedures provide guidance and direction on documenting the specific rationale for requesting additional information from an applicant. However, as of September 2023, DOT has not developed procedures to ensure DOT documents the rationale if similar projects were not afforded an opportunity to provide additional information. GAO will continue to monitor implementation of this recommendation.
Department of Transportation The Secretary of Transportation should ensure that DOT provides information to applicants in its notice of funding opportunity for each remaining INFRA-funding cycle regarding: (1) how scores on merit criteria are used, if at all, to determine whether projects advance to the Secretary for selection, and (2) how, if at all, DOT plans to use merit scores to determine which projects should receive an award. (Recommendation 3)
Open – Partially Addressed
In June 2023, DOT issued a notice of funding opportunity (NOFO) for the Multimodal Projects Discretionary Grant Program, which combined the notice of funding opportunities for INFRA and two other discretionary grant programs for fiscal years 2023 and 2024. The NOFO states that the senior review team will assign an overall rating to each application, of highly recommended, recommended, or not recommended, based on a number of factors, including the application's project outcome (or merit) scores. The Highly recommended projects make up the initial list of consideration. Once every project has been assigned an overall rating, the NOFO states that the senior review team will review if the list of Highly Recommended projects is sufficient to satisfy program set-asides and geographic diversity requirements. If not, 'Recommended' projects may be added to the proposed list for consideration. However, the NOFO does not describe how, if at all, merit scores may affect the decision to add a "Recommended" project to the proposed list. In addition, the NOFO states that the Secretary must prioritize selections from among the projects assigned a "Highly Recommended" Rating, but does not describe how, if at all, merit scores will be used to determine which projects will receive an award. GAO will continue to monitor implementation of this recommendation.

Small Community Air Service Development: Process for Awarding Grants Could Be Improved

GAO-19-172
Show
1 Open Recommendations
Agency Affected Recommendation Status
Department of Transportation The Secretary of Transportation should clarify in the SCASDP evaluation plan how reviewers should assess a grant application's alignment with the priority and secondary selection criteria and assign the application rating categories. (Recommendation 1)
Open – Partially Addressed
DOT concurred with this recommendation and has taken some action to implement it. The department provided us its revised March 2023 Notice of Funding Opportunity (NOFO) for SCASDP grants and its new January 2023 guidance-outlines the review and approval process for NOFOs and award selections for discretionary grant and other priority programs, as well as provides standard NOFO language, as consistent with law. While the NOFO aligns with the new guidance, our recommendation was primarily concerned with the technical review phase after application eligibility had been determined, which the new revised NOFO does not address. DOT's actions to provide additional information in the SCASDP evaluation plan to help reviewers assess an application's alignment with the priority selection criteria (now Merit Criteria) helps to somewhat address the recommendation. However, as we reported in March 2019, the evaluation plan does not clarify how reviewers should assess alignment with the secondary selection criteria and assign application rating categories in the technical review stage. The March 2023 NOFO states that while applications aligning with one or more of the Merit Criteria will be viewed more favorably than those that do not, the Department's analysis of an application's alignment with all the stated selection criteria and considerations, taken together, will inform its technical review. Nevertheless, we believe the evaluation plan continues to lack clarity in how reviewers should evaluate and rate applications. Without additional clarity about how reviewers should determine an application's alignment with the selection criteria, DOT lacks assurance applications are consistently evaluated and rated. We will continue to monitor DOT's efforts to implement this recommendation.

IT Workforce: Key Practices Help Ensure Strong Integrated Program Teams; Selected Departments Need to Assess Skill Gaps

GAO-17-8
Show
1 Open Recommendations
1 Priority
Agency Affected Recommendation Status
Department of Transportation
Priority Rec.
To facilitate the analysis of gaps between current skills and future needs, the development of strategies for filling the gaps, and succession planning, the Secretary of Transportation should require the Chief Information Officer, Chief Human Capital Officer, and other senior managers as appropriate to address the shortfalls in IT workforce planning noted in this report, including the following actions: (1) establish a time frame for when the department is to finalize its draft workforce planning process and maintain that process; (2) develop staffing requirements for all positions; (3) assess competency and staffing needs regularly for all positions; (4) assess gaps in staffing for all components of the workforce; (5) develop strategies and plans to address gaps in competencies and staffing; (6) implement activities that address gaps, including an IT acquisition cadre, cross-functional training of acquisition and program personnel, a career path for program managers, and use of special hiring authorities, if justified and cost-effective;e (7) monitor the department's progress in addressing competency and staffing gaps; and (8) report to department leadership on progress in addressing competency and staffing gaps.
Open – Partially Addressed
DOT agreed with this recommendation. In January 2020, DOT officials told us it had established a workgroup to lead and conduct workforce-planning activities, and had defined the strategic goals and objectives for the department's IT workforce. As of February 2024, the agency has implemented three of the eight recommended IT workforce-planning activities-developing competency and staffing requirements, assessing gaps in competencies and staffing, and developing strategies and plans to address gaps in competencies and staffing. DOT officials stated that the department is continuing its efforts to implement the recommendation, including developing a workforce planning process, which it expects to complete by the end of fiscal year 2024. To fully address this recommendation, DOT should complete the remaining five IT workforce planning activities. Until the department completes these activities, it risks not adequately assessing and addressing gaps in knowledge and skills that are critical to the success of major acquisitions.

Small Business Research Programs: Agencies Should Further Improve Award Timeliness

GAO-22-104677
Show
1 Open Recommendations
Agency Affected Recommendation Status
Department of Transportation The Secretary of Transportation should evaluate the effectiveness of steps taken to improve SBIR award timeliness and take any necessary additional steps in order to consistently meet SBA award timeliness guidelines. (Recommendation 20)
Open – Partially Addressed
In its February 2022 letter responding to our report, the Department of Transportation (DOT) concurred with this recommendation. The department stated it had analyzed data and determined that it would benefit from additional staffing during its peak award season. The department contracted for additional support staff for its FY 2022 award cycle and stated its intent to continue to track and analyze its timeliness data annually. In December 2023, we obtained and analyzed publicly available DOT award data for FY22. Our analysis indicated that DOT did not meet SBA's award timeliness guidelines in FY22. Further, in combination with prior fiscal years, DOT has not met SBA's timeliness guidelines in at least 3 of the preceding 5 years based on available data. Going forward, we will follow up to obtain data on DOT's award timeliness in subsequent fiscal years to determine if actions the agency has taken have resulted in it being able to consistently meet SBA's award timeliness guidelines.

Environmental Justice: Federal Efforts Need Better Planning, Coordination, and Methods to Assess Progress

GAO-19-543
Show
1 Open Recommendations
Agency Affected Recommendation Status
Department of Transportation The Secretary of Transportation should issue a progress report on the department's environmental justice efforts each year. (Recommendation 19)
Open – Partially Addressed
In April 2023, the Council on Environmental Quality (CEQ), Office of Management and Budget (OMB), and the U.S. Digital Service published the first phase of a publicly available Environmental Justice (EJ) Scorecard, as directed by the February 2021 Executive Order 14008, "Tackling the Climate Crisis at Home and Abroad." Additionally, in April 2023, the White House issued Executive Order 14096, "Revitalizing Our Nation's Commitment to Environmental Justice for All." Executive Order 14096 builds on the foundational 1998 environmental justice Executive Order 12898 as well as Executive Order 14008. Executive Order 14096 directs agencies to develop an EJ strategic plan and submit to CEQ and make public an EJ assessment that evaluates the plan's effectiveness within two years, based on additional guidance to be provided by CEQ. This EJ assessment would fulfill the Executive Order 12898 requirement for agencies to submit annual EJ progress reports, and be included among other items in the EJ Scorecard. As of May 2023, the department published baseline information on the EJ Scorecard. We will continue to review the department's baseline information, actions, and provide updated information.

Discretionary Transportation Grants: DOT Should Clarify Application Requirements and Oversight Activities

GAO-22-104532
Show
1 Open Recommendations
Agency Affected Recommendation Status
Department of Transportation The Secretary of Transportation should ensure that INFRA officials provide direction on how oversight activities are to be conducted during the application review process and that such activities are designed to routinely detect and correct evaluation errors and verify that evaluation documentation is complete. (Recommendation 2)
Open – Partially Addressed
In January 2024, we reported on DOT's process to evaluate INFRA applications and award grants for fiscal year 2022. As part of its evaluation process, DOT developed instructions for its Quality Control Team members to review the consistency of the evaluation ratings and accompanying narratives. These instructions directed reviewers to verify that the narrative justification matched the assigned rating, and that the justification was consistent with the outcome being evaluated. We reported that the Quality Control team identified and corrected evaluation errors, including incomplete documentation. While we did identify some additional errors and omissions that were not addressed by DOT's Quality Control Team, DOT has improved its approach to ensuring the accuracy and completeness of its application review process compared to findings from our review of the FY 2019 and FY 2020 awards. We will continue to monitor DOT's efforts to implement this recommendation and verify DOT's process routinely detects and corrects evaluation errors, including verifying documentation is complete.

Discretionary Transportation Grants: DOT Should Better Communicate Federal Share Requirements to Applicants

GAO-23-105639
Show
1 Open Recommendations
Agency Affected Recommendation Status
Department of Transportation The Secretary of Transportation should enhance DOT's internal procedures to ensure that DOT's RAISE NOFOs clearly communicate how DOT calculates the federal share for eligibility purposes, in alignment with OMB Guidance, and ensure that DOT's supplementary materials for applicants are consistent with the information in the RAISE NOFOs. (Recommendation 1)
Open – Partially Addressed
As of January 2024, DOT has partially implemented this recommendation. First, DOT communicated the formula it used to calculate the federal share for eligibility purposes in the fiscal year 2023 RAISE NOFO. Second, DOT provided the same formula it used for eligibility purposes in supplementary material, such as on the program's frequently asked questions website. Third, DOT established the "DOT Navigator"-a new website to help applicants understand how to apply for grants. The website included detailed information about the non-federal match requirements-the portion of project costs not paid by federal funds. These actions improved clarity for applicants of the fiscal year 2023 RAISE round of funding. However, DOT has not yet enhanced its internal procedures to ensure that all future funding rounds clearly communicate the federal share requirement, as GAO recommended. DOT said it is updating the checklist it uses when drafting NOFOs to include whether or not federal share is a selection criterion and the checklist it uses to help ensure supplementary materials are consistent with information in the NOFOs. DOT plans to provide an update on this effort in early 2024. We will continue to monitor DOT's progress in enhancing internal procedures related to federal share requirements.
View More Recommendations

Related Pages