Geospatial Information: OMB and Agencies Need to Make Coordination a Priority to Reduce Duplication
GAO-13-94
Published: Nov 26, 2012. Publicly Released: Nov 26, 2012.
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Highlights
What GAO Found
While the President and the Office of Management and Budget (OMB) have established policies and procedures for coordinating investments in geospatial data, governmentwide committees and federal departments and agencies have not effectively implemented them. The committee that was established to promote the coordination of geospatial data nationwide--the Federal Geographic Data Committee (FGDC)--has developed and endorsed key standards-- including a metadata standard that includes descriptive information about a particular set of geospatial data--and established a clearinghouse of metadata; however, the clearinghouse is not being used by agencies to identify planned geospatial investments to promote coordination and reduce duplication. The FGDC has not yet planned or implemented an approach to manage geospatial data as related groups of investments to allow agencies to more effectively plan geospatial data collection efforts and minimize duplicative investments; and its strategic plan is missing key elements, such as performance measures for many of its defined objectives. Further, none of the three federal departments in GAO's review have fully implemented important activities for coordinating geospatial data, such as preparing and implementing a strategy for advancing geospatial activities within their respective departments.
Further, the three agencies in GAO's review responsible for governmentwide management of specific geospatial data have implemented some but not all important activities for coordinating the national coverage of specific geospatial data. For example, only one agency has developed a plan for the nationwide population of the datasets under its responsibility, and none of the agencies have developed a plan to develop standards that facilitate the collection and sharing of geospatial data. Finally, while OMB has oversight responsibilities for geospatial data, OMB staff members acknowledged that OMB does not have complete and reliable information to identify potentially duplicative geospatial investments.
FGDC, federal departments and agencies, and OMB have not yet fully implemented policies and procedures for coordinating geospatial investments because these efforts have not been a priority. As a result, efforts to acquire data are uncoordinated and the federal government is acquiring duplicative geospatial data. For example, three agencies are independently acquiring road data, which is reported to have resulted in millions of wasted taxpayers' dollars. Unless OMB, the FGDC, and federal departments and agencies decide that coordinating geospatial investments is a priority, this situation will likely continue.
Why GAO Did This Study
The federal government collects, maintains, and uses geospatial information--information linked to specific geographic locations--to support many functions, including national security and disaster response. In 2012, the Department of the Interior (Interior) estimated that the federal government invests billions of dollars on geospatial data annually, and that duplication is common. GAO was asked to determine the extent to which the federal government has established and effectively implemented policies and procedures for coordinating its geospatial investments and avoiding duplication. To do so, GAO focused on FGDC coordination activities; efforts within the departments of Commerce, the Interior, and Transportation; and OMB oversight. GAO reviewed FGDC and department documentation, such as policies, procedures, and strategic plans; OMB guidance and an executive order; and reports concerning duplicative investments.
Recommendations
GAO is making recommendations aimed at improving coordination and reducing duplication, to include FGDC developing a national strategy for coordinating geospatial investments; federal agencies following federal guidance for managing geospatial investments; and OMB developing a mechanism to identify and report on geospatial investments. Two agencies and OMB generally agreed with GAO's recommendations and one agency neither agreed nor disagreed.
Recommendations for Executive Action
| Agency Affected | Recommendation | Status |
|---|---|---|
| Department of the Interior | To better facilitate the coordination of--and accountability for--the estimated billions of dollars in federal geospatial investments, and to reduce duplication, the Secretary of the Interior, as the FGDC chair should establish a time frame for completing a plan to facilitate the implementation of OMB's portfolio management guidance, and develop and implement the plan within the established time frame. The plan, at a minimum, should include goals and performance measures, and the FGDC should report annually to OMB on the progress made on efforts to improve coordination and reduce duplication among themes. |
In March 2014, FGDC issued its National Geospatial Data Asset (NGDA) Management Plan, and it has made progress in implementing the plan. The plan identifies 1 goal, 10 objectives, and 27 associated action items, including details on timelines, responsibilities, and performance measures. Each action item includes a discussion of the relationships and dependencies required to be in place for an action to be completed, as well as each action's intended outputs and its overall outcomes. Moreover, Interior has begun implementing its strategy. As of June 2015, eight of the 27 action items had been closed, and 14 action items were in progress - seven of which were expected to be completed by October 2015. FGDC is also reporting on its progress to OMB. Specifically, FGDC officials discuss the status of the data asset management plan at the quarterly FGDC Steering Committee meetings, at which an OMB official is present. In addition, the 2014 FGDC Annual Report, which was sent to OMB in April 2015, included background and status information on plan.
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| Department of the Interior | To better facilitate the coordination of--and accountability for--the estimated billions of dollars in federal geospatial investments, and to reduce duplication, the Secretary of the Interior, as the FGDC chair should develop and implement guidance for identifying planned geospatial investments using the Geospatial Platform, and establish a time frame for doing so. |
On September 25, 2013, FGDC officials issued guidance directing all FGDC departments to identify planned geospatial investments using the Geospatial Platform. Specifically, the guidance states that before expending funds to collect or produce new geospatial data, a component shall search the Geospatial Platform Marketplace and any other appropriate sources to determine if existing or planned data meet agency needs. If an existing data source is found, the component is to obtain and use that data. If the component discovers that another organization has plans to acquire or produce geospatial data that will meet the program requirements, the component is to contact that organization to develop a plan to coordinate or partner with the other organization. If the component does not discover existing or planned acquisitions, the component is to create a metadata record that describes the planned acquisition and publish it on the Marketplace not less than 120 days prior to the planned acquisition. This guidance has been implemented by at least one federal department, the Department of Interior, which issued similar guidance to its bureaus and offices on September 25, 2013.
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| Department of the Interior | To better facilitate the coordination of--and accountability for--the estimated billions of dollars in federal geospatial investments, and to reduce duplication, the Secretary of the Interior, as the FGDC chair should establish a time frame for creating and updating a strategic plan to improve coordination and reduce duplication, and create and implement the plan within the established time frame. The plan, at a minimum, should include (1) a vision statement for the NSDI; (2) outcome-oriented goals and objectives that address all aspects of the NSDI; (3) a description of how the goals and objectives are to be achieved, including a description of the resources needed to achieve the goals and objectives and how the FGDC is to work with other agencies to achieve them; (4) performance measures for achieving the stated goals; and (5) external factors that could affect the achievement of the goals and objectives. |
In December 2013, the Federal Geospatial Data Committee (FGDC) issued its National Spatial Data Infrastructure Strategic Plan (2014 - 2016). The plan 1) describes a vision statement for the NSDI; 2) lists goals, outcome oriented objectives, and 29 action items that collectively address the major components of the NSDI; and 3) identifies the key factors external to the FGDC and beyond its control that could significantly affect the achievement of the NSDI goals and objectives. In addition, in 2014 and 2015, FGDC issued implementation plans that provide 1) performance measures that include detailed tasks, milestones, and timelines; and 2) the identification of resources available to achieve the objectives, including the identification of the parties within the FGDC and other agencies who are responsible for the actions. FGDC has begun implementing the plan, and progress is overseen by the FGDC Executive Committee. As of June 2015, nine of the 29 actions had been completed, and 11 more were scheduled for completion by the end of fiscal year 2015. Another nine actions were scheduled for completion in fiscal year 2016 and beyond.
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| Department of Commerce | To help ensure the success of department's efforts to improve geospatial coordination and reduce duplication, the Secretary of Commerce should designate a senior agency official who has departmentwide responsibility, accountability, and authority for geospatial information issues. |
The Department of Commerce formally designated the Chief Information Officer and Director for High Performance Computing and Communications as the senior agency official for geospatial information on February 28, 2013.
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| Department of Commerce | To help ensure the success of department's efforts to improve geospatial coordination and reduce duplication, the Secretary of Commerce should designate a senior agency official who has departmentwide responsibility, accountability, and authority for geospatial information issues to develop a policy that requires the department to make its geospatial metadata available on the clearinghouse. |
The Department of Commerce issued a policy on September 26, 2013 that establishes polices and describes responsibilities for the creation and publication of geospatial metadata. For example, the department's senior agency official for geospatial information is to ensure compliance with the policy, and perform periodic evaluations of geospatial metadata creation, maintenance, and publication throughout the department. Agencies within the department are to ensure that their metadata meet or exceed the minimum requirements of the associated standards, and that all metadata is submitted for publication on the clearinghouse.
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| Department of Commerce | To help ensure the success of department's efforts to improve geospatial coordination and reduce duplication, the Secretary of Commerce should designate a senior agency official who has departmentwide responsibility, accountability, and authority for geospatial information issues to develop and implement internal procedures to ensure that it accesses the NSDI clearinghouse before it expends funds to collect or produce new geospatial data to determine (1) whether the information has already been collected by others and (2) whether cooperative efforts to obtain the data are possible. |
Commerce issued guidance in October 2013, directing all departmental offices and operating units to coordinate with other organizations, both inside and outside of the department, to determine if existing or planned data would meet their needs. The guidance also includes seven steps to take to avoid duplication of geospatial data. In August 2014, Commerce noted that the guidance was forwarded to the Commerce CIO Council to share within their bureaus. For example, NOAA staff was directed to publish metadata for planned acquisitions to the Marketplace, to search the Marketplace before acquiring data, and to coordinate with groups having or desiring similar data. As of August 2014, NOAA had posted information regarding 24 datasets on the Marketplace tab on the NSDI clearinghouse. In September 2014 Commerce also provided evidence that one of its agencies, the Census Bureau, had updated its standard operating procedures to include a search of the clearinghouse database for existing and planned datasets.
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| Department of Commerce | Further, to improve the department's management of its geodetic control theme,the Secretary of Commerce should direct the geodetic control theme point of contact to create and implement a plan to develop and implement geodetic control theme standards. |
In 2013 the Department of Commerce (Commerce) created and implemented a plan for geodetic control theme standards. Commerce inventoried and reviewed existing geodetic control standards, specifications, and guideline documents to determine what updates were needed for existing standards. The department identified the personnel responsible for the updates and prioritized a schedule for their completion. In September 2013, Commerce published its plan to update the geodetic control theme standards. Commerce began implementing the plan in 2013.
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| Department of the Interior | The Secretary of the Interior should direct the designated senior official for geospatial information to prepare, maintain, publish, and implement a strategy for advancing geographic information and related geospatial data activities appropriate to its mission. |
In March 2014, the Department of the Interior (Interior) published its Geospatial Services Strategic Plan (2014 - 2016). The plan was developed through the leadership of Interior's Geospatial Advisory Committee, and in collaboration with all departmental bureaus and offices. The plan includes many of the necessary features of a strategic plan as recognized by federal statute, and also includes a vision and guiding principles. It includes four strategic goals, each with a number of associated actions related to geospatial information and the supporting information technology infrastructure. Moreover, the Department had previously begun implementing its strategy. The Geospatial Advisory Committee oversees progress in implementing the strategy through the use of an action tracking and status database, which is available online to committee members and their designees, and through monthly meetings at which the status of the strategies is discussed.
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| Department of the Interior | The Secretary of the Interior should direct the designated senior official for geospatial information to develop a policy that requires the department to make its geospatial metadata available on the clearinghouse. |
The Department of the Interior issued a policy on September 24, 2013, to establish the requirements and responsibilities for the creation or publication of metadata for geospatial data. The policy applies to the department's senior agency official for geospatial information, as well as all department bureaus, offices, and supporting organizations that collect or produce geospatial data. For example, the senior agency official is required to oversee the development of robust governance and monitoring procedures for the management of geospatial metadata. Bureaus and offices are to document all geospatial data that is collected, produced, acquired, maintained, distributed, used or preserved by the department using a metadata standard that is enforced by the Federal Geographic Data Committee and that meets related federal directives and guidelines.
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| Department of the Interior | The Secretary of the Interior should direct the designated senior official for geospatial information to develop and implement internal procedures to ensure that it accesses the NSDI clearinghouse before it expends funds to collect or produce new geospatial data to determine (1) whether the information has already been collected by others and (2) whether cooperative efforts to obtain the data are possible. |
Interior issued procedures in September 2013 directing staff to utilize the Marketplace tab on the National Spatial Data Infrastructure (NSDI) clearinghouse (currently hosted on the Geospatial Platform, see www.geoplatform.gov) to determine if existing federal, state, local or private data meet agency needs before expending funds for data collection. The guidance includes seven specific steps to be taken by Interior bureaus or offices to search the Geospatial Platform. For example, the guidance states that before expending funds to collect or produce new geospatial data, each bureau or office shall search the Geospatial Platform Marketplace to determine if existing or planned data meet agency needs. If an existing data source is found, the bureau or office is to obtain and use that data. If the bureau or office discovers that another organization has plans to acquire or produce geospatial data that will meet the program requirements, the bureau or office is to contact that organization to develop a plan to coordinate or partner with the other organization. In April 2014, Interior noted that the procedures for accessing the clearinghouse are being followed and provided evidence showing that plans for a number of the National Geospatial Data Assets (NGDA) annual dataset acquisitions had been posted to the Marketplace tab on the NSDI clearinghouse. Interior officials state that these plans not only provide Interior and other agencies with opportunities to collaborate, they also give the vendor community valuable insight into Interior's long-term plans for data acquisition. As of August 2014, Interior agencies have posted information regarding 43 datasets on the Marketplace tab on the NSDI clearinghouse.
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| Department of the Interior | The Secretary of the Interior should direct the hydrography theme point of contact to prepare goals relating to all datasets within the hydrography theme that support the NSDI, and as needed, collect and analyze information from user needs and include those needs in the theme-related goals. |
In September 2013, Interior issued goals for the principal datasets comprising the hydrography data theme. Specifically, Interior prepared goals for the National Hydrography Dataset, the Watershed Boundary Dataset, and the National Wetlands Inventory based on user needs. Goals for these datasets include maintaining and improving efficiencies in the use of cloud computing, developing mobile applications, and ensuring the quality and timeliness of updates to the data.
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| Department of the Interior | The Secretary of the Interior should direct the hydrography theme point of contact to develop and implement a plan for the nationwide population of the hydrography theme that addresses all datasets within the theme; and that includes (1) the development of partnership programs with states, tribes, academia, the private sector, other federal agencies, and localities that meet the needs of users; (2) human and financial resource needs; (3) standards, metadata, and the clearinghouse needs; and (4) a timetable for the development for the theme. |
In June 2016, the Department of the Interior (Interior) released its theme strategic plan for the hydrography theme, now known as the Water-Inland Theme. The plan includes all of the items identified in GAO's recommendation. Specifically, the plan the plan addresses all of the datasets within the theme and the development of partnership programs that meet the needs of users. The plan also addresses resource, standards, metadata, and clearinghouse needs. The plan also includes milestones for the completion of the activities identified for the development of the theme. In January 2017 the department published an implementation plan that provides additional details and time frames to aid in accomplishing the strategic plan. Interior is implementing the plan.
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| Department of the Interior | The Secretary of the Interior should direct the hydrography theme point of contact to create and implement a plan to develop and implement hydrography theme standards. |
In February 2015, Interior published the summary for the National Hydrography Dataset, which identified areas for future improvements in the standard, such as positional accuracy, stream classification, and multi-scale guidance. In June 2015, Interior published the summary for the Watershed Boundary Dataset, which noted that the standard was recently changed to reflect the latest data model. It also identified areas for future improvement such as instructions on how to use high resolution elevation data to delineate the watershed boundaries. In August 2015, Interior published technical procedures and requirements for the National Wetland Inventory. The new document explains the appropriate application of wetland classification, the wetland mapping process, and how to achieve the data quality requirements now required in the new FGDC standards. As a result, hydrography datasets should be of higher quality and more easily exchanged with others.
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| Department of Transportation | The Secretary of Transportation should designate a senior agency official who has departmentwide responsibility, accountability, and authority for geospatial information issues. The Secretary of Transportation direct the designated senior official for geospatial information to prepare, maintain, publish, and implement a strategy for advancing geographic information and related geospatial data activities appropriate to its mission. |
In October 2017, the Department of Transportation (Transportation) published its Geospatial Information Systems Strategic Plan for the United States Department of Transportation, 2017-2020. The plan was developed in conjunction with representatives from many Transportation components, including the Federal Aviation Administration, the Federal Highway Administration, and the Federal Motor Carrier Safety Administration. The plan includes many of the necessary features of a strategic plan as recognized by federal statute. It also includes a vision statement and three strategic goals, each with a number of associated objectives and actions. The strategic plan also includes an implementation plan which identifies milestones for achieving the strategic goals in fiscal years 2017 through 2019. In December 2017, Transportation provided evidence showing that it has completed a number of milestones for 2017. For example, Transportation took steps to improve communication and awareness by holding a Geographic Information Systems Day. The purpose of the event was to educate Transportation employees on the geographic information system resources which are available to them, and on the importance of geographic information to improve transportation safety. In addition, Transportation is developing a geospatial information system intranet page, which will help to centralize the oversight of Transportation's geospatial information systems. Finally, in order to support a mature geospatial information system program, components within Transportation have designated their own geospatial information officers. These officers will act as liaisons between the department-level geospatial information officer and the components' current or potential geographic information systems users.
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| Department of Transportation | The Secretary of Transportation should designate a senior agency official who has departmentwide responsibility, accountability, and authority for geospatial information issues. The Secretary of Transportation should direct the designated senior official for geospatial information to develop a policy that requires the department to make its geospatial metadata available on the clearinghouse. |
On April 10, 2014, the Department of Transportation issued "Creation and Publication of Metadata for Geospatial Data" guidance to implement federal requirements for the creation and publication of metadata for geospatial data. The policy applies to all departmental agencies, as well as contractors hired by the department. Among other requirements, agencies are expected to document all geospatial data that is collected, produced, acquired, maintained, distributed, or preserved by the department using the metadata standard endorsed by the FGDC, include additional information whenever appropriate to provide the maximum information available through the standard, and submit all geospatial metadata for publication to the FGDC's National Spatial Data clearinghouse.
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| Department of Transportation | The Secretary of Transportation should designate a senior agency official who has departmentwide responsibility, accountability, and authority for geospatial information issues. |
The Department of Transportation formally designated the Bureau of Transportation Statistics Director as the senior agency official for geospatial information on January 17, 2013, and conveyed this information to executive leadership throughout the department.
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| Department of Transportation | The Secretary of Transportation direct the designated senior official for geospatial information to develop and implement internal procedures to ensure that it accesses the NSDI clearinghouse before it expends funds to collect or produce new geospatial data to determine (1) whether the information has already been collected by others and (2) whether cooperative efforts to obtain the data are possible. |
Transportation issued guidance in April 2014 stating that offices and operating units within the department shall not expend funds to acquire or produce geospatial data if an existing source for that data is available and meets mission requirements. In addition, the guidance states that if it is determined that another organization within or outside of the department is planning on acquiring or producing data that will meet the needs of the office, the office shall coordinate with the organization as soon as possible. Steps in the process include searching the NSDI clearinghouse and any other appropriate sources for existing or planned data and documenting the date, criteria, and results of the search. In addition, Transportation has begun to implement this guidance.
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| Department of Transportation | The Secretary of Transportation should direct the transportation theme point of contact to prepare goals relating to all datasets within the transportation theme that support the NSDI, and as needed, collect and analyze information from user needs and include those needs in the theme-related goals. |
In October 2015, the Department of Transportation (Transportation) issued a strategic plan for the transportation data theme that includes goals, objectives, and action items for the continued development of the theme. Subsequently, in April 2017, Transportation finalized an implementation plan that provides details on how the department plans to achieve the goals found in the strategic plan. This plan identifies the responsible parties, how progress is to be measured, and the projected completion dates. The goals relate to all datasets within the transportation data theme, including airports, roads, rail lines, and waterways. The goals also include activities to address user needs, such as developing strong partnerships, working with stakeholders, and enhancing access to information by users.
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| Department of Transportation | The Secretary of Transportation should direct the transportation theme point of contact to develop and implement a plan for the nationwide population of the transportation theme that addresses all datasets within the theme; and that includes (1) the development of partnership programs with states, tribes, academia, the private sector, other federal agencies,and localities that meet the needs of users; (2) human and financial resource needs; (3) standards, metadata, and the clearinghouse needs; and (4) a timetable for the development for the theme. |
In October 2015, Transportation released its Transportation Theme of the National Spatial Data Infrastructure Strategic Plan 2016-2019. The plan addresses all datasets within the theme and includes actions regarding the development of partnership programs that meet the needs of users. The plan also addresses standards, metadata, and the clearinghouse needs. In April 2017, Transportation finalized an implementation plan that provides details on how the department intends to achieve the goals found in the strategic plan. This plan addresses human and financial resource needs and provides a timetable for the development of the theme. Transportation is now in the process of implementing the plan.
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| Department of Transportation | The Secretary of Transportation should direct the transportation theme point of contact to create and implement a plan to develop and implement transportation theme standards. |
In October 2015, the Department of Transportation (Transportation) released its Transportation Theme of the National Spatial Data Infrastructure Strategic Plan 2016-2019. One of the plan's objectives is for Transportation to lead and participate in the development and coordination of national and international standards applicable to the transportation geospatial community. In April 2017, Transportation finalized an implementation plan that provides detailed actions for how the department intends to achieve that objective. According to the implementation plan, development of the standards is dependent on the publication of Open Geospatial Consortium compliant Web Feature Services, which is expected to be completed by March 2018. As a result, Transportation has created and is implementing plans to develop and implement relevant theme standards by September 2018.
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| Department of Commerce | The Secretary of Commerce should direct the designated senior official for geospatial information to prepare, maintain, publish, and implement a strategy for advancing geographic information and related geospatial data activities appropriate to its mission. |
Commerce has addressed this recommendation. In April 2014, Commerce published its Geospatial Strategic Plan, 2014 - 2018. The plan was developed in conjunction with representatives from many Commerce components, including the U.S. Bureau of Economic Analysis, the U.S. Census Bureau, the U.S. Economic Development Administration, the National Institute of Standards and Technology, the National Oceanic and Atmospheric Administration, and the National Telecommunications and Information Administration. The plan includes a vision statement. In addition, the plan includes 3 strategic goals with a total of 12 objectives intended to make geospatial data more widely available; better managed; and more useful to Commerce, its partners, and the public. Annual implementation plans published in 2015 and 2016 contained detailed descriptions of how the objectives would be achieved and performance measures to monitor progress. As of December 2016, Commerce has provided evidence showing it has implemented activities for each of the plan's 12 objectives. For example, Commerce demonstrated progress in actions to improve coordination and reduce duplication in geospatial data within Commerce and with other federal departments, as well as state and international partners. Among other things, these actions include work on the National Coastal Mapping Strategy with other federal departments, the Boundary Quality Assessment and Reconciliation Project with state governments, and the United Nations Committee of Experts on Global Geospatial Information Management with other nations.
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| Office of Management and Budget | To improve OMB oversight of geospatial information and assets, and minimize duplication of federal geospatial investments, the Director of OMB should develop a mechanism, or modify existing mechanisms, to identify and report annually on all geospatial related investments, including dollars invested and the nature of the investment. |
OMB has developed ways for agencies to identify and report annually on geospatial-related investments. In June 2016, OMB worked with the Federal Geographic Data Committee (FGDC) to revise geospatial investment reporting guidance found in OMB Circular No. A-11. Beginning with fiscal year 2018 allocations, agencies are required to report on annual aggregated geospatial data investments of $100,000 or more using the Marketplace feature of the Geospatial Platform. According to an agency official, this approach leverages existing federal reporting methods already in place and minimizes the potential for agencies to implement separate, potentially duplicative reporting mechanisms that are not integrated with existing OMB reporting procedures. In July 2019, OMB officials provided evidence that agencies are using the Geospatial Marketplace feature to identify and report on planned geospatial data investments.
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David A. Powner
Topics
Data collectionFederal agenciesExecutive agenciesInvestmentsStrategic planningPerformance measuresStandardsInformation managementInformation systems investmentsMission critical systemsTechnologyPolicies and proceduresProgram coordinationDuplication of effortProgram implementationInformation clearinghouses