Potential Questions to Elicit Nominees' Views on Agencies' Management
Challenges (Correspondence, 01/18/2001, GAO/GAO-01-332R).
GAO provided a list of potential questions that the Senate committees of
jurisdiction could use to help determine the leadership and management
experiences and capabilities of individuals nominated to selected
leadership positions in major executive branch agencies. These
questions cover a wide range of management-related issues in different
organizations within each agency and, therefore, would not be relevant
to all nominees. GAO suggests that these questions be used to prompt
informal and formal discussions on management challenges.
--------------------------- Indexing Terms -----------------------------
REPORTNUM: GAO-01-332R
TITLE: Potential Questions to Elicit Nominees' Views on Agencies'
Management Challenges
DATE: 01/18/2001
SUBJECT: Performance measures
Congressional oversight
Presidential appointments
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GAO-01-332R
GAO- 01- 332R Potential Questions for Nominees United States General
Accounting Office
Washington, DC 20548 Comptroller General
of the United States
January 18, 2001 The Honorable George V. Voinovich Committee on Governmental
Affairs United States Senate
Subject: Potential Questions to Elicit Nominees' Views on Agencies'
Management Challenges
Dear Senator Voinovich: This letter responds to your request for potential
questions that Senate committees of jurisdiction could use to help determine
the leadership and management experience and capabilities of individuals
nominated to selected leadership positions in major executive branch
agencies. These questions are based on the major management challenges and
program risks as identified on our Transition Web site (www. gao. gov/
transition) and discussed in detail in our recent Performance and
Accountability and High Risk Series (http:// www. gao. gov/ pas/ 2001/
pas01. html). Our suggested questions are also consistent with the list of
broad management- related questions that we provided at your request in
August. 1 Enclosures I through XXII highlight the major management
challenges and program risks, a list of potential questions, and a GAO
contact for each agency.
These questions are intended to contribute to the diverse array of resources
available to Senators as they fulfill their constitutional responsibilities
to advise and consent on presidential nominations. We suggest that these
questions will be most useful to the Senate and the nominees if they serve
as a basis for prompting discussion- both informal and formal. We do not
suggest that they be added merely as another element to what is widely
regarded as an overly burdensome confirmation process. The questions cover a
wide range of management- related issues in different organizations within
each agency. As a result, all questions will not be relevant to all
nominees.
1 Confirmation of Political Appointees: Eliciting Nominees' Views on
Leadership and Management
Issues (GAO/ GGD- 00- 174, Aug. 11, 2000).
GAO- 01- 332R Potential Questions for Nominees Page 2 As agreed with your
office, unless you publicly announce its contents earlier, we plan
no further distribution of this letter until 30 days from its date. At that
time, we will make copies available to others upon request. This letter will
also be available on GAO's home page at http:// www. gao. gov.
Sincerely yours, David M. Walker Comptroller General of the United States
Enclosures - 22 cc: Senator Fred Thompson
Senator Joseph Lieberman Senator Richard J. Durbin
Enclosure I Enclosure I
GAO- 01- 332R Potential Questions for Nominees 3 Department of Agriculture
The U. S. Department of Agriculture (USDA) faces critical challenges in
supporting the profitability and productivity of farming, protecting the
environment, ensuring food safety, improving the well- being of rural
America, promoting the domestic marketing and the export of food and farm
products, and providing food assistance to Americans in need. USDA has taken
a number of actions to address its program and management weaknesses,
including actions taken to improve the farm loan program. However, there are
still a number of challenges that USDA faces in carrying out its
responsibilities. Congress has a key role in ensuring that USDA effectively
addresses these challenges.
The challenges are listed below and are discussed in more detail in the GAO
Performance and Accountability Series report entitled Major Management
Challenges and Program Risks: Department of Agriculture. 2 Additional
information about program and management challenges at USDA and other
federal agencies is available on GAO's Transition Web site at http:// www.
gao. gov/ transition.
Potential Questions
1. In the private sector, a company must be customer focused to survive.
While USDA has made strides in reducing and collocating its county office
service centers, little has changed in how these offices serve farmers- one
of USDA's main customers. What is your vision for better delivery of
services to farmers in order to meet their needs in the 21 st century?
2. USDA is tasked with providing billions of dollars in nutrition assistance
benefits to millions of Americans. How can USDA more effectively and
efficiently provide these benefits to eligible individuals while maintaining
program integrity?
2 GAO- 01- 242, Jan. 2001.
Program and Management Challenges
USDA's farm loan programs remain vulnerable to loss, but high- risk areas
have been addressed
Delivery of services to farmers has improved, but challenges remain
USDA needs to effectively and efficiently provide food assistance benefits
to eligible individuals while maintaining program integrity
Fundamental changes are needed to minimize foodborne illnesses
USDA needs to strengthen Department- wide information security
USDA continues to lack financial accountability over billions of dollars in
assets
The Forest Service must provide the Congress and the public with a clear
understanding of what it accomplishes with appropriated funds
Problems persist in processing discrimination complaints
Enclosure I Enclosure I
GAO- 01- 332R Potential Questions for Nominees 4
3. It has been reported that USDA needs to improve its performance
management. For example, the Forest Service faces major hurdles and needs to
make performance management one of its top priorities. How are you going to
provide the leadership to quickly implement a successful performance
accountability system across the Department?
4. What management priority will you give information security at USDA, and
how do you plan to ensure that sufficient steps are taken to strengthen and
fully resolve security problems Departmentwide?
5. How would you address USDA's lack of reliable, useful, and timely
financial information that has prohibited the Department from ever obtaining
a “clean” opinion on its financial statements?
6. Similar to other federal agencies, USDA is experiencing human capital
challenges. For example, USDA's Office of Civil Rights has experienced
continuing problems relating to management turnover, reorganizations,
inadequate staff and managerial expertise, and poor working relationships.
Can you provide a self- assessment of your leadership capabilities for
effectively overcoming these problems to produce a high performing
workforce?
Point of Contact: Robert A. Robinson Telephone: (202) 512- 3841 E- mail:
robinsonr@ gao. gov
Enclosure II Enclosure II
GAO- 01- 332R Potential Questions for Nominees 5 Department of Commerce
The Department of Commerce faces critical challenges in achieving its goals
of promoting job creation and improving living standards for all Americans
through economic growth, technological competitiveness, and sustainable
development. Although Commerce has achieved many successes- such as
completing the 2000 decennial census and modernizing its weather systems-
major challenges remain that will require sustained attention by Commerce
and Congress.
The challenges are listed below and are discussed in more detail in the GAO
Performance and Accountability Series report entitled Major Management
Challenges and Program Risks: Department of Commerce. 3 Additional
information about program
and management challenges at Commerce and other federal agencies is
available on GAO's Transition Web site at http:// www. gao. gov/ transition.
Potential Questions
1. GAO reported that the ability of Commerce and other trade agencies to
monitor and enforce trade agreements was limited because the agencies (1)
lacked sufficient numbers of experienced staff with the right expertise; (2)
did not always get needed support from other agencies; and (3) sometimes had
difficulty obtaining input from the private sector. What steps would you
take to improve Commerce's monitoring and enforcement efforts?
2. Given that at least 17 federal agencies are involved in monitoring and
enforcing trade agreements, what actions would you take to improve policy
coordination to ensure foreign compliance with those agreements? What do you
see as Commerce's unique role in monitoring compliance with trade
agreements, and how does it differ from that of the Office of the U. S.
Trade Representative? How would you promote closer coordination between the
two agencies, which has been problematic in the past?
3. The Bureau of Export Administration (BXA) has streamlined export controls
and reduced the volume of license applications to be reviewed. Given these
changes,
3 GAO- 01- 243, Jan. 2001.
Program and Management Challenges
Increase the access of U. S. businesses to international markets
Ensure that the United States is secure from the proliferation of dual- use
commodities and chemical weapons
Ensure that weather forecasts and severe weather warnings are accurate and
timely
Improve the economy in distressed areas
Address other challenges to building a high- performing organization
Enclosure II Enclosure II
GAO- 01- 332R Potential Questions for Nominees 6
what is the appropriate level of resources that Commerce should apply to
enforcing U. S. export laws and regulations? If you do not anticipate a
decrease in the workload and funding, explain why.
4. Exporters are permitted to determine for themselves whether they need to
apply for a license to export certain sensitive technologies without ever
notifying BXA. What steps will you take to help BXA ensure that its law
enforcement program is protecting such dual- use commodities from being used
for proliferation purposes?
5. The interagency process used to evaluate export license requests,
consider purchases of U. S. companies with classified contract by foreign
companies, and assess other areas of national security concerns, often
reflects discrepancies between the objectives of U. S. businesses and the U.
S. government. What support do you believe the interagency process deserves?
How do you plan to use it to satisfy your mission?
6. In recent years, the National Weather Service (NWS) has developed several
new systems under its modernization program. What approaches would you take
to ensure that NWS has the capability to provide accurate and timely weather
warnings?
7. In September 2000, GAO reported that at least 10 agencies administer
programs that are intended to assist distressed communities. Congress has
urged the Economic Development Administration (EDA) to aggressively pursue
efforts to increase the efficiency of the federal response to distressed
communities by working with other agencies. What changes will you implement
to ensure that EDA works with other federal agencies to increase the
efficiency of the federal response to distressed communities?
8. While Commerce received an unqualified opinion on all of its financial
statements for fiscal year 1999, Commerce's Chief Financial Officer noted
that a diligent effort is needed to continue to receive unqualified audit
opinions on future Commerce financial statements. In particular, one of the
remaining material weaknesses is the lack of a single, integrated financial
system. What steps do you plan to take to ensure that Commerce's financial
management progress is sustained?
9. What are your views on the appropriate roles of the Bureau of the Census
and the Department of Commerce in planning for the next census? How can
Commerce best strike a balance between the Department's need to provide
appropriate political leadership and hold the Bureau accountable for results
on the one hand, and the Bureau's need for independence on the other?
Point of Contact: Thomas J. McCool Telephone: (202) 512- 8678 E- mail:
mccoolt@ gao. gov
Enclosure III Enclosure III
GAO- 01- 332R Potential Questions for Nominees 7 Department of Defense
Despite the successes of U. S. forces in the Persian Gulf, Bosnia, and
Kosovo, many of the key business processes that are critical to achieving
the Department of Defense's (DOD) mission are inefficient and ineffective.
If these and related support problems are not addressed, inefficiencies will
continue to make the cost of carrying out assigned missions unnecessarily
high and, more important, will increase the risk associated with those
missions. To its credit, DOD has initiated a number of Departmentwide reform
initiatives and other actions to improve its key business processes in such
areas as financial and information management, weapon systems acquisitions,
and logistics reengineering. Although these initiatives have produced some
positive results, much more remains to be done before the reform process is
successfully completed.
The challenges are listed below and are discussed in more detail in the GAO
Performance and Accountability Series report entitled Major Management
Challenges and Program Risks: Department of Defense. 4 Additional
information about program and management challenges at DOD and other federal
agencies is available on GAO's Transition Web site at http:// www. gao. gov/
transition.
Potential Questions
1. What do you believe are the main issues to consider in the upcoming
Quadrennial Defense Review to improve its usefulness as a strategic planning
tool, and what is needed to ensure that the review provides specific
solutions to address the strategyresource mismatch?
2. As you know, the Government Performance and Results Act (GPRA) provides a
framework for DOD and other federal agencies to achieve greater
accountability in their programs and operations. How do you intend to ensure
that the principles of this law are implemented within DOD?
4 GAO- 01- 244, Jan. 2001.
Program and Management Challenges
Developing strategic plans that lead to desired mission outcomes
Hiring, supporting, and retaining military and civilian personnel with the
skills to meet mission needs
Establishing financial management operations that provide reliable
information and foster accountability
Effectively managing information technology investments
Reforming acquisition processes while meeting military needs
Improving processes and controls to reduce contract risk
Creating an efficient and responsive support infrastructure
Providing logistics support that is economical and responsive
Enclosure III Enclosure III
GAO- 01- 332R Potential Questions for Nominees 8
3. GAO has noted that DOD's strategic plan is not adequately tied to its
mission outcomes, which is essential for DOD to achieve needed reforms.
Also, GAO has reported that measures in DOD's performance plan often have
not addressed a costbased efficiency aspect of performance, making it
difficult to fully assess DOD's efficiency and effectiveness. How do you
propose to address these inefficiencies?
4. When the All- Volunteer Force was still in its infancy, it was not clear
at that time whether it would succeed in providing adequate manpower for our
military services. Recently, several of the services have experienced
increased difficulties in recruiting and retaining the active- duty
personnel they need. How do you see the role of the Office of the Secretary
of Defense and each of the military departments in dealing with the issues
of recruiting shortfalls and high early attrition among first- term
personnel?
5. The DOD workforce is not only becoming smaller, it is also becoming
older. What would you see as the main solutions to revitalize DOD's civilian
workforce?
6. Last year, DOD reported that it did not expect to have the necessary
systems in place to be able to prepare financial statements that could
comply with generally accepted accounting principles before fiscal year
2003. How does your background and experience enable you to address the
Department's long- standing and pervasive financial management problems?
What are your plans for this important area?
7. What specific actions do you envision taking to ensure that the Chief
Information Officers (CIO) effectively implement vital Clinger- Cohen Act
provisions, such as use of enterprise information technology (IT)
architectures and employment of effective IT investment decisionmaking? What
are your plans for having the CIOs provide concentrated and directed
attention to such pressing IT issues as information security and electronic
government?
8. Many of the same problems in weapon system acquisitions that have existed
for decades- cost growth, schedule slippage, and performance shortfalls-
exist today. What do you see as the root causes for such persistent
problems? What would you propose as solutions?
9. There have been a number of promising initiatives undertaken in the last
5 years to improve the outcomes of weapon system programs, including
evolutionary acquisitions, application of best commercial practices, and
greater maturation of technology before it is applied to a weapon system.
How do you plan to support these and other acquisition reforms?
10. The recent experiences of the MV- 22 Osprey aircraft program reaffirm
enduring concerns that the pressures and incentives in DOD's weapon
acquisition process encourage flawed practices. Clearly, incentives
encourage making decisions to proceed with weapons before requisite
knowledge is available. Although the MV- 22's experiences are dramatic, they
are not unprecedented- the F- 22 fighter, Army Cargo
Enclosure III Enclosure III
GAO- 01- 332R Potential Questions for Nominees 9
Trailer, and missile defense programs have all exhibited effects of similar
pressures. How would you support the use of best commercial practices as a
way to change these incentives and improve weapon system programs?
11. DOD went through 4 rounds of base realignment and closure (BRAC) between
1988 and 1995, but believes that significant excess infrastructure continues
to exist, and has sought legislative authority in recent years for
additional base closure rounds. However, the Congress, because of concerns
over the amount of savings likely to be realized, and concerns about how the
last Administration handled some closure decisions in the 1995 round, has
been unwilling to authorize additional closure rounds. (a) Do you believe
that DOD continues to have excess bases? If so, what options do you see for
reducing that excess infrastructure? (b) Will the Bush Administration be
proposing legislation for additional BRAC rounds? If so, what changes to the
process do you envision to ensure the credibility of decisionmaking? (c)
What assurance do you have that significant savings would accrue to the
Department from any additional BRAC rounds?
12. DOD has undergone significant downsizing over the past 12 years;
however, reductions in support infrastructure and business processes have
not been nearly as great as the reductions in combat forces. What ideas do
you have about how to increase the operating efficiencies on the support
side of the house in DOD. Could you share with us your vision for reforming
DOD's business processes and support infrastructure?
13. Large inventories have been a problem for DOD for decades. Are you
satisfied with actions that DOD is taking and plans to take to reduce
overall inventory levels? In your judgment, how can DOD be more business-
like in its approach to managing these large inventories and still maintain
the required readiness posture?
Point of Contact: Henry L. Hinton, Jr. Telephone: (202) 512- 4300 E- mail:
hintonh@ gao. gov
Enclosure IV Enclosure IV
GAO- 01- 332R Potential Questions for Nominees 10 Department of Education
The Department of Education faces critical challenges in achieving its goals
of ensuring access to postsecondary education, helping all children reach
challenging academic standards, building a solid foundation for learning for
all children, and becoming a highperforming organization. Although Education
has made much progress in improving its management and accountability
systems, major challenges remain. Many of these challenges are long-
standing and will require sustained attention by Education and Congress. GAO
has designated one particularly critical area- student financial aid- as
high risk for vulnerability to waste, fraud, error, and mismanagement.
The challenges are listed below and are discussed in more detail in the GAO
Performance and Accountability Series report entitled Major Management
Challenges and Program Risks: Department of Education. 5 Additional
information about program and management challenges at Education and other
federal agencies is available on GAO's Transition Web site at http:// www.
gao. gov/ transition.
Potential Questions
1. How do you envision your role in resolving the long- standing information
and internal control problems of the federal student financial aid programs?
2. Based on your professional experiences, how would you address the
management challenge of having to administer student financial aid programs
that operate independently with different rules, processes, and data systems
and involve millions of students, thousands of schools, and thousands of
lenders, guaranty agencies, thirdparty servicers, and contractors?
3. Based on your experiences, what changes do you believe are needed to
increase access to federal student financial aid, particularly for those who
need aid the most?
5 GAO- 01- 245, Jan. 2001.
Program and Management Challenges
Ensure access to postsecondary education while reducing the vulnerability of
student aid programs to fraud, waste, error, and mismanagement
Encourage states to improve performance information and upgrade federal
evaluations used to assess how well all children reach challenging academic
standards
Promote coordination with other federal agencies and school districts to
help build a solid foundation of learning for all children
Improve financial management to help build a high- performing agency
Enclosure IV Enclosure IV
GAO- 01- 332R Potential Questions for Nominees 11
4. Education must continually balance states' and local agencies' need for
program flexibility with its own need for information about these programs
to ensure accountability. What would you do to improve the ability of the
Department to provide a national picture using local information?
Specifically, would what you do to facilitate the exchange of information
among states and improve the quality, timeliness, and specificity of state
assessment data?
5. What are the most important considerations in constructing a research
agenda for the Department? How would you go about determining that agenda?
Do you think that the research and evaluation function in Education ought to
continue to be in Education or should it be separated out to an independent
or quasi- independent agency?
6. Education has to coordinate with other agencies to help ensure that
children receive needed services. In early education, for example, the
Department of Health and Human Services funds $8 billion of the $9 billion
federal investment in early education and child care. How would you go about
determining whether federal early education programs should continue to be
organized in this manner or if all of the programs should be administered by
Education?
7. GAO found that coordination among agencies, schools, and the federal
government is critical to ensure that children of migrant agricultural
workers- many of whom are at high risk of educational failure and need
services from multiple agencies- continue to receive appropriate services.
What role do you see the Department having in meeting the needs of these
children?
8. Most federal funds for elementary and secondary education are targeted to
disadvantaged children or for specific purposes like educational technology
or teacher training. Should this continue or should federal education funds
be given to states in the form of block grants?
Point of Contact: Cynthia M. Fagnoni Telephone: (202) 512- 7215 E- mail:
fagnonic@ gao. gov
Enclosure V Enclosure V
GAO- 01- 332R Potential Questions for Nominees 12 Department of Energy
The Department of Energy (DOE) faces critical challenges to maintaining the
nation's nuclear weapons capabilities, cleaning up the contamination
resulting from previous nuclear weapons activities, fostering a reliable and
sustainable energy system, promoting U. S. leadership in science and
technology, and ensuring the safety and security of nuclear weapons
materials and information. DOE has improved its management of these issues,
but major challenges remain. Many of these challenges are long- standing and
will require sustained attention by DOE and Congress. These challenges
include a particularly critical area, which GAO has designated as high risk
for being vulnerable to waste, fraud, abuse, and mismanagement- contract
management, which encompasses contract administration and project
management.
The challenges are listed below and are discussed in more detail in the GAO
Performance and Accountability Series report entitled Major Management
Challenges and Program Risks: Department of Energy. 6 Additional information
about program and management challenges at DOE and other federal agencies is
available on GAO's Transition Web site at http:// www. gao. gov/ transition.
Potential Questions
1. Several studies have pointed to DOE's need to deal comprehensively with
the challenge of recruiting and training the next generation of technical
and managerial staff before this need reaches crisis proportions by the end
of the next decade as experienced weapons designers and technicians reach or
pass retirement age. How will you ensure that new employees are hired to
bolster the expertise needed to manage existing projects and be trained to
capitalize on the knowledge of existing workers before they leave their
current positions?
6 GAO- 01- 246, Jan. 2001.
Program and Management Challenges
Address project management, planning, and other issues to maintain nuclear
weapons capabilities
Sustain management attention to correct pervasive weaknesses in security
controls
Improve priority- setting of nonproliferation programs and coordination
among programs in the former Soviet Union
Improve management tools and integration of activities to clean up
radioactive and hazardous wastes
Resolve problems in contract management that place it at high risk for
fraud, waste, abuse, and mismanagement
Improve financial management
Enclosure V Enclosure V
GAO- 01- 332R Potential Questions for Nominees 13
2. Over the past several years, reports to independent commissions,
congressional committees, the intelligence community, and others have
identified serious and pervasive weaknesses in the security programs at DOE.
The problems, in part, stem from the culture in DOE of giving security a low
priority. Further, the national laboratories have been increasingly used as
centers for nondefense scientific research in certain areas, such as
biomedicine, high performance computing, and laser technology as well as
DOE's national defense missions. How will you raise the priority given to
security at DOE? How will you strike a balance between the security
necessary to safeguard our national interests and the openness necessary for
advancements in science and technology?
3. GAO, DOE's Inspector General, and others have raised serious concerns
about contract management at DOE. Cost and schedule overruns on major
projects, inadequate oversight of contracts, and an inability to hold
contractors accountable are just some of the issues raised. What specific
steps do you plan to take to improve DOE's ability to oversee and manage
contractors?
4. To successfully lead an organization into the future, a leader must be
able to create and share a vision that inspires people to follow. Many
outside experts and past congressional committees have reported on DOE's
inability to manage its widely diverse missions in an effective and
efficient manner. As a result, some have called for eliminating the
Department altogether, arguing that the country would be better served if
DOE's missions were privatized, eliminated, or dispersed to other federal
agencies. For example, nuclear weapons activities could shift to the
Department of Defense (DOD), and cleanup activities to the Environmental
Protection Agency. Given the diverse missions of DOE, what specific steps do
you plan to take to successfully create a vision for the Department? How do
you plan to ensure that the entire Department, including contractors, have a
common understanding of the vision to ensure that it is accomplished?
5. DOE is managing an environmental cleanup effort across this nation that
is now estimated to cost about $200 billion. Often in the past, DOE has been
criticized for major cost overruns and failures to meet timetables for
cleaning up large volumes of radioactive and hazardous wastes. Describe some
examples of your personal leadership skills that will be brought to bear to
help your employees bring such projects to completion.
Point of Contact: Robert A. Robinson Telephone: (202) 512- 3841 E- mail:
robinsonr@ gao. gov
Enclosure VI Enclosure VI
GAO- 01- 332R Potential Questions for Nominees 14 Department of Health and
Human Services
The Department of Health and Human Services (HHS), with a $376 billion
budget, presents one of the more massive and complex management and program-
related challenges in the federal government. Although HHS has taken steps
to address these issues, many difficult and long- standing management
challenges remain that will require sustained attention by the Department
and Congress.
The challenges are listed below and are discussed in more detail in the GAO
Performance and Accountability Series report entitled Major Management
Challenges and Program Risks: Department of Health and Human Services. 7
Additional information about program and management challenges at HHS and
other federal agencies is available on GAO's Transition Web site at http://
www. gao. gov/ transition.
Potential Questions
1. Leadership of a major department presents both policy and management
challenges. What areas of HHS management do you consider most critical to
operational success, and what priorities are you planning to set to
strengthen the management of HHS?
2. Ensuring the integrity of Medicare Program payments has been in the
forefront of concern for Congress, HHS, and GAO. The Health Care Financing
Administration (HCFA) has taken a number of steps to strengthen Medicare
Program integrity, but the HHS Office of Inspector General has continued to
estimate that billions of dollars are lost each year in improper payments.
What steps do you think can be taken to control improper payments?
3. HHS is to be commended for having an unqualified or "clean" opinion on
its fiscal year 1999 financial audit, but like many other agencies, its
operating divisions needed to make heroic efforts to achieve this because of
underlying financial management weaknesses. These weaknesses include
nonintegrated financial management information systems, inadequate
reconciliation procedures, and weak security over systems information. Do
you have particular approaches in mind that could help to address these
issues?
7 GAO- 01- 247, Jan. 2001.
Program and Management Challenges
Provide current and future generations with a well- designed and well-
administered Medicare program
Better safeguard the integrity of the Medicare program
Improve oversight of nursing homes so that residents receive quality care
Ensure the safety and efficacy of medical products
Enhance the economic independence and well- being of children and families
Enclosure VI Enclosure VI
GAO- 01- 332R Potential Questions for Nominees 15
4. As the widespread use of information technology continues, what areas of
our current health care delivery system do you believe can best capitalize
on more effective use of new technologies? In addition, how do you plan to
use new and existing information technology capabilities to more effectively
and efficiently manage HHS' operations and programs? For example, what
priorities are you planning to set for modernizing HCFA's information
infrastructure and balancing those against other Departmental funding needs?
5. By providing services to Medicare and Medicaid beneficiaries, health care
providers subject themselves to a certain level of additional regulatory
scrutiny. Some providers believe the added regulatory burden is excessive
and detrimental to their ability to focus on providing appropriate health
care. At the same time, federal and state agencies and private- sector
health care organizations are continuing to increase efforts to ensure
proper payment. Do you have any particular approaches in mind on how to
minimize the effect of regulatory burdens that health care providers endure,
while at the same time providing assurance and accountability that federal
health care dollars are spent appropriately?
6. HHS has promoted the Medicare + Choice Program to elder Americans in
order to provide them with additional choice and flexibility regarding the
nature and scope of Medicare benefits they receive. Yet, recent growth in
Medicare beneficiaries electing to participate in the Medicare + Choice
Program has slowed, and the number of organizations willing to provide
Medicare benefits under this program has declined. What are your views on
the long- term role of providing seniors with a managed care option? To
better secure the viability of this program, what measures do you think
would be most effective in attracting additional Managed Care Organization
providers and beneficiaries?
7. GAO has defined human capital as a governmentwide high risk area because
of a pattern of human capital shortcomings across the federal government
that has eroded mission capabilities. This issue is affecting HHS- for
example, GAO has identified shortages in staff with adequate expertise in
managed care, information technology, and financial management. What do you
think are the steps that will need to be taken to address human capital
shortfalls at HHS?
8. Medicaid is partially financed by the federal government, but
administered by the states under federal guidance. In certain instances,
such as Medicaid billing for services provided in schools, some states have
engaged in practices that some may find inappropriate. Are there ways in
which the states' experiences could guide HHS in the best approach to
developing more effective oversight and guidance?
Enclosure VI Enclosure VI
GAO- 01- 332R Potential Questions for Nominees 16
9. The 1996 welfare reform legislation that created Temporary Assistance for
Needy Families block grants established a time- limited system of cash aid
that promotes work for needy adults with children. What do you see as the
role for HHS in ensuring that states are held accountable for meeting
federal goals while having sufficient flexibility to meet state and local
needs?
Point of Contact: William J. Scanlon Telephone: (202) 512- 7114 E- mail:
scanlonw@ gao. gov
Enclosure VII Enclosure VII
GAO- 01- 332R Potential Questions for Nominees 17 Department of Housing and
Urban Development
The Department of Housing and Urban Development (HUD) faces critical
management challenges in achieving its goals of encouraging homeownership
and managing about $508 billion in insured mortgages, making housing
affordable for low- income people, and revitalizing localities. In 1994, we
initially designated HUD as high risk because several major challenges
placed the integrity and accountability of HUD's programs at high risk. HUD
is making significant changes and has made credible progress in laying the
framework for improving the way the Department is managed; however, several
major challenges remain.
The challenges are listed below and are discussed in more detail in the GAO
Performance and Accountability Series report entitled Major Management
Challenges and Program Risks: Department of Housing and Urban Development. 8
Additional information about program and management challenges at HUD and
other federal agencies is available on GAO's Transition Web site at http://
www. gao. gov/ transition.
Potential Questions
1. Since 1994, GAO has designated a variety of major program areas at HUD as
high risk because of management challenges it faces related to internal
controls weaknesses, information and financial management systems problems,
organizational deficiencies, and staffing problems. To address its
management concerns, HUD in 1997 implemented its 2020 Management Reform
Plan, including a reorganization that is now substantially complete. Please
describe how your background and experience prepares you to deal with an
agency like HUD that has experienced major criticism and has struggled for
several years to both improve its operations and restore the confidence of
the public and Congress in its abilities to be a results- producing
organization.
2. To accomplish its missions, HUD relies on the performance and integrity
of thousands of private and government groups, such as mortgage lenders, to
administer its programs. What do you believe is the key to effective HUD
oversight under such circumstances, given HUD's limited staffing?
8 GAO- 01- 248, Jan. 2001.
Program and Management Challenges
Continued improvements needed to reduce HUD's single- family insurance risk
Continued improvements needed to ensure HUD's rental housing assistance
programs are used effectively and efficiently
Resolution needed for a range of information and financial management
systems and human capital issues
Enclosure VII Enclosure VII
GAO- 01- 332R Potential Questions for Nominees 18
3. A key component of HUD's reform efforts was the establishment of the Real
Estate Assessment Center that has completed the first- ever physical
inspection of HUD's multifamily and public housing projects. Do you plan to
continue these physical inspections?
4. Concerning those HUD reform efforts determined to be effective, what must
be done to ensure that they are sustained over the long run?
5. Congress, through various management performance laws, has expressed an
abiding interest in agencies' improving their information technology. GAO,
in its performance and accountability report on HUD, notes that HUD has made
progress in defining its plans and is beginning to address this issue, but
has also experienced difficulties in developing and implementing viable
information and financial management systems. What will be your priorities
in resolving HUD's information and financial management systems problems?
6. GAO has reported that the government's human capital management has
emerged as the “missing link” in the statutory and management
framework that Congress and the executive branch have established to provide
for a more businesslike and resultsoriented federal government. GAO has also
reported that, like other federal agencies, HUD has experienced human
capital problems, including inexperienced and insufficient staff. Also, HUD
has experienced substantial downsizing and restructuring over the last
several years and, like other federal agencies, now has a workforce with a
high percentage of employees nearing retirement and a limited ability to
recruit new staff. What is your vision of human capital management and the
environment you believe needs to be created at HUD?
7. HUD, like other federal agencies, is in the third year of a 5 year
strategic plan, as required by the Government Performance and Results Act.
The Department recently submitted its updated strategic plan to Congress for
fiscal years 2000 through 2006 that discusses goals and strategies for
achieving HUD's missions. Please discuss how you envision achieving HUD's
strategic goals with the existing performance management framework if you
assume leadership at HUD.
8. As you know, HUD is implementing a new process to improve its estimation
of resource needs and allocation of staff. However, before it began its
staffing and allocation process, HUD created the position of Community
Builder to provide handson service and outreach to communities. HUD
currently has over 600 Community Builders. Does the Department intend, as
part of its staffing allocation process, to compare the costs and benefits
of Community Builders to determine whether the benefits are worth the costs
of hiring and training them as suggested by GAO?
Point of Contact: John H. Anderson, Jr. Telephone: (202) 512- 2834 E- mail:
andersonj@ gao. gov
Enclosure VIII Enclosure VIII
GAO- 01- 332R Potential Questions for Nominees 19 Department of the Interior
The overarching challenge that Interior faces is striking a balance between
its two basic mandates- to protect and conserve resources for the benefit of
future generations while accommodating demands for the greater use and
consumption of those resources. Some of these challenges are long- standing
and will require continued attention from the Department and Congress.
The challenges are listed below and are discussed in more detail in the GAO
Performance and Accountability Series report entitled Major Management
Challenges and Program Risks: Department of Interior. 9 Additional
information about program and management challenges at Interior and other
federal agencies is available on GAO's Transition Web site at http:// www.
gao. gov/ transition.
Potential Questions
1. For years, Congress has, through the authorization and appropriations
process, supported various Interior programs and initiatives to protect and
preserve the nation's precious natural resources and our endangered wildlife
and plant species. However, it is unclear what all these programs and funds
have achieved to date. What are your thoughts and views on how the
Government Performance and Results Act could be better used to establish
plans, goals, and performance measures that would give Congress a better
understanding of the progress Interior is making in these programs and
initiatives, and whether it is getting the results it anticipated?
2. Over the years, there have been numerous concerns about financial
management and internal control problems in Interior, particularly with
management of the Indian Trust Funds. How do you plan to instill a priority
and a sense of urgency in Interior to strengthen its performance in this
area?
3. Over the years, Interior has expended millions of dollars in computer
hardware and software to establish systems that would provide desired and
needed financial and program data and information. However, most of these
efforts have not produced the intended results. For example, many program
areas lack data on the condition of the resources or the extent to which
maintenance problems exist. Without this information, the agency cannot
identify priority needs or target programmatic
9 GAO- 01- 249, Jan. 2001.
Program and Management Challenges
Improve management of national parks
Address persistent management problems in Indian trust programs
Improve management of ecosystem restoration efforts
Address challenges in managing an expanding land base
Enclosure VIII Enclosure VIII
GAO- 01- 332R Potential Questions for Nominees 20
actions, and Congress cannot legislate needed programs or appropriate needed
funds. Based on your experience, how would you go about strengthening the
capabilities of Interior's management information systems?
4. The federal government's workforce has undergone significant downsizing
in the past several years, and with the current tight labor market, it is
becoming increasingly difficult to attract and retain talent. The problem is
compounded at Interior because the agency has an aging workforce and some of
its positions, such as fire fighters, require special skills and abilities
that take years to train and develop. How would you work, within current
rules, to attract and retain individuals with the experience, education, and
skills needed by your agency?
5. High- performance organizations have a performance culture that
effectively involves and empowers employees to improve operational and
program performance while ensuring accountability and fairness for all
employees. Interior operates in a decentralized environment, allowing the
majority of planning and management decisions to be made by managers
assigned to parks and other units. Describe your experience of providing
management and leadership in a decentralized organization. How would you
balance the need to provide discretion to local managers with ensuring that
they are accountable for achieving Departmentwide goals and objectives?
Point of Contact: Robert A. Robinson Telephone: (202) 512- 3841 E- mail:
robinsonr@ gao. gov
Enclosure IX Enclosure IX
GAO- 01- 332R Potential Questions for Nominees 21 Department of Justice
The Department of Justice faces critical challenges in meeting its mission
to enforce laws in the public interest and protect the public from violence
and criminal activity, such as drug smuggling and acts of terrorism.
Although Justice has achieved many successes in improving the nation's
justice system, major challenges remain. Some of the challenges are long-
standing and will require sustained attention by Justice and Congress.
The challenges are listed below and are discussed in more detail in the GAO
Performance and Accountability Series report entitled Major Management
Challenges and Program Risks: Department of Justice. 10 Additional
information about program and
management challenges at Justice and other federal agencies is available on
GAO's Transition Web site at http:// www. gao. gov/ transition.
Potential Questions
1. The supply of illegal drugs remain a major national problem estimated to
cost society about $100 billion annually. As the lead drug enforcement
agency, DEA faces challenges related to measuring its progress in reducing
the availability of illegal drugs. GAO recommended that DEA develop
measurable performance targets for its programs and initiatives that are
consistent with those adopted for the National Strategy. What would you see
as some specific enforcement goals, and what factors would you consider in
measuring progress towards those goals?
2. The Departments of Justice and the Treasury continue to operate two
similar, but separate seized asset management and disposal programs.
Currently, the Departments are studying their programs' functions and
processes to identify areas of duplication and to assess opportunities for
efficiency gains through shared resources
10 GAO- 01- 250, Jan. 2001.
Program and Management Challenges
Improve the enforcement of immigration laws and provision of immigration and
naturalization services
Better manage programs designed to support state and local efforts to reduce
crime
Develop measurable performance targets to help the Drug Enforcement
Administration (DEA) determine its progress in reducing the availability of
illegal drugs
Achieve excellence in financial management, including, but not limited to, a
Departmentwide unqualified opinion for fiscal year 2000 and beyond
Improve the management and accountability of Justice's asset forfeiture
program
Enclosure IX Enclosure IX
GAO- 01- 332R Potential Questions for Nominees 22
and activities. How will you ensure that identified opportunities for
efficiency gains are fully integrated into each program's functions and
processes?
3. The Immigration and Naturalization Services' (INS) mission involves
carrying out two primary functions. One is an enforcement function that
involves preventing aliens from entering the United States illegally and
removing aliens who succeed in doing so. The other is a service function
that involves providing services or benefits to facilitate entry, residence,
employment, and naturalization of legal immigrants. Several critics have
concluded that mission overload has impeded INS from succeeding at either of
its primary functions and that INS' service and enforcement functions should
be separated in order to better administer immigration law. There have been
several proposals to fundamentally restructure INS. What is your view of how
the federal immigration function should be organized in order to effectively
and efficiently administer the immigration laws?
4. Although Congress has more than doubled INS' budget and staffing levels
since 1993, INS has had ongoing problems both managing its programs and
achieving results. For example, INS has clamped down in certain locations,
such as San Diego and El Paso, but instead of deterring illegal immigration,
these efforts seem to have simply shifted the illegal traffic to areas such
as El Centro, California, and Yuma Arizona. How would your experiences help
to improve INS' border enforcement?
5. INS favors releasing aliens from detention who arrive with fraudulent,
improper, or no documents if an INS asylum officer determines that they have
a credible fear of persecution or torture and do not pose a risk of flight
or danger to the community. Between April 1, 1997, and September 30, 1999,
of the 2,351 aliens who were released and subsequently received an
immigration judge's decision regarding their claim of persecution, 40
percent did not appear for their removal hearing. How would you manage the
release of aliens in cases when an asylum officer determined the aliens to
have a credible fear of persecution?
6. Recent GAO reviews have identified several weaknesses in INS' management
of its information technology (IT) resources. Specifically, GAO reported
that INS' lack of an enterprise architecture and defined and disciplined
processes to select, control, and evaluate its IT investments hampers INS'
ability to know whether it is making the right investment decisions and
whether it has selected the right mix of investments to best meet its
overall mission and priorities. As a result, GAO recommended that the
Commissioner of INS limit requests for future appropriations to efforts that
(1) support ongoing operations and maintenance of existing systems, (2) are
small and represent low technical risk and can be delivered in a short
period of time, (3) are congressionally mandated, or (4) support efforts to
develop an enterprise architecture and implement IT investment management
processes. What are your plans for addressing this recommendation?
7. The Justice Department's Office of Justice Programs, Office of Community
Oriented Policing Services, and Weed and Seed Programs provide significant
federal dollars in grants to supplement local community crime fighting
efforts. While each program
Enclosure IX Enclosure IX
GAO- 01- 332R Potential Questions for Nominees 23
contributes in various ways to achieve Justice's goals to assist local
communities, Justice's current performance management system does not
clearly explain the nature and extent of each program's contribution. What
actions would you take to (1) develop performance measures that track
program outcomes, (2) develop criteria to determine when to reduce or
withdraw program funding, and (3) improve program monitoring to ensure that
local communities meet grant requirements?
8. Justice continues to face many challenges in its ongoing efforts to
improve the accuracy and reliability of its financial and information
management systems and correct internal control weaknesses. Describe your
role in addressing these challenges.
9. The financial management systems at several of Justice's bureaus do not
meet federal financial management systems requirements and cannot provide
reliable financial information for managing day- to- day operations and
holding managers accountable. What will you do to help Justice implement
effective financial management systems throughout the agency to improve
accountability?
Point of Contact: Norm Rabkin Telephone: (202) 512- 9110 E- mail: rabkinn@
gao. gov
Enclosure X Enclosure X
GAO- 01- 332R Potential Questions for Nominees 24 Department of Labor
The Department of Labor faces important challenges in achieving its goals of
promoting the welfare and economic security of America's more than 100
million workers and helping to ensure that the workplaces of 10 million
employers are free from dangerous hazards. Labor has taken action to address
many of these challenges. However, additional effort is needed and is
especially critical given the context in which Labor operates- a rapidly
changing workforce and work environment; shared program responsibility with
numerous state organizations and as many as 14 federal entities; and a
decentralized management structure that includes 22 agencies, more than
1,000 field offices, and a vast array of departmental responsibilities. In
this context, GAO's work has shown that Labor faces several key challenges
in achieving its goals.
The challenges are listed below and are discussed in more detail in the GAO
Performance and Accountability Series report entitled Major Management
Challenges and Program Risks: Department of Labor. 11 Additional information
about program and management challenges at Labor and other federal agencies
is available on GAO's Transition Web site at http:// www. gao. gov/
transition.
Potential Questions
1. The Department of Labor is essentially a “holding company”
that has numerous missions, activities, and organizations. For years, Labor
has struggled with managing a decentralized structure, while at the same
time trying to ensure that overall Departmental goals are met. What
experience have you had in managing large, diverse organizations, and what
do you believe is the key to managing such an organization?
2. For years, Labor and Congress have discussed how Labor can achieve
efficient customer service- that is, provide the necessary services or
protections without unduly burdening employers or states. In some areas, we
have made great strides, while we continue to struggle in others. What are
your ideas about how to better meet client needs while not burdening
employers in key areas, such as providing job training, protecting wages and
working conditions, and providing pension and retirement benefits?
11 GAO- 01- 251, Jan. 2001.
Program and Management Challenges
Increasing the employment and earnings of America's workforce
Protecting the benefits of workers
Fostering safe and healthy workplaces
Enclosure X Enclosure X
GAO- 01- 332R Potential Questions for Nominees 25
3. GAO, Labor's Inspector General (IG), and others have continued to raise
concerns that the Department is not updating its programs and pertinent laws
to keep up with changes in the workforce, employer and employee practices,
and the environment. In your view, what are the implications of these
changes for the Department's programs, specifically for job training, wages
and working conditions, and pensions, and how do you believe the Department
should be responding?
4. GAO, Labor's IG, and others have raised concerns about the Department's
development and use of data and performance measures; in short, for many job
training and worker protection programs, the Department really does not know
how well its programs are working. What experience have you had developing
quality or outcome measures, and how do you plan to apply your experience to
the Department to ensure that it has the proper data to assess its
performance?
5. Labor must coordinate with a myriad of federal and state agencies to
conduct just about every function for which it is responsible, from job
training to worker protection to pension and retirement benefits. However,
GAO and others have noted on several occasions that the Department often
does not coordinate with other entities, leading to program fragmentation,
duplication, client frustration or burden, or possibly weakened worker
protection. What experience do you have in managing the coordination of
multiple entities for a common goal, and how will you hold managers
accountable for properly coordinating these activities?
Point of Contact: Cynthia M. Fagnoni Telephone: (202) 512- 7215 E- mail:
fagnonic@ gao. gov
Enclosure XI Enclosure XI
GAO- 01- 332R Potential Questions for Nominees 26 Department of State
The Department of State faces a number of significant performance and
accountability challenges as it strives to create a more secure, prosperous,
and democratic world that will benefit the American people at home and
abroad. These challenges cover a wide spectrum of U. S. government
operations around the world. Some of these long- standing challenges will
take years to address. Complicating the successful achievement of its
objectives is that State must deal with the multiple and often competing
intentions and interests of other agencies, other governments, public
opinion, and Congress as well as the availability of resources.
The challenges are listed below and are discussed in more detail in the GAO
Performance and Accountability Series report entitled Major Management
Challenges and Program Risks: Department of State. 12 Additional information
about program and management challenges at State and other federal agencies
is available on GAO's Transition Web site at http:// www. gao. gov/
transition.
Potential Questions
1. In recent years, State has had several serious lapses in internal
security resulting in the loss of top secret and higher level classified
information. What steps do you believe should be taken to improve security
at the Department?
2. State has identified over 180 overseas facilities as being vulnerable to
terrorist attack and has indicated that about $15 billion is needed to
replace its vulnerable facilities. In addition, the Department has extensive
building maintenance needs throughout the world that have been identified by
the Overseas Presence Advisory Panel. What are your views on how quickly we
can expect substantial progress?
3. Presently, over 50,000 American, foreign service national, and contract
employees work at U. S. facilities. A key challenge directly linked to the
overseas security threat and the cost of overseas operations is the U. S.
overseas presence. How do you think the U. S. overseas presence should be
modified to address security, operational, and/ or foreign policy interests?
Do you think there are opportunities to reduce overseas staffing at some
posts to reduce costs and security vulnerabilities?
12 GAO- 01- 252, Jan. 2001.
Program and Management Challenges
Improve the security and maintenance of U. S. facilities overseas
Help decrease the level of illegal drugs entering the United States
Address the threats illegal immigration continues to pose to Americans at
home
Address additional challenges to building a high- performing organization
Enclosure XI Enclosure XI
GAO- 01- 332R Potential Questions for Nominees 27
4. State issues several million visa applications annually and a number of
consular posts are overwhelmed by the volume of applicants. Moreover, the
process has been vulnerable to fraud and weak controls. What are your views
about how to improve the visa process in a way that protects both U. S. and
applicants' interests?
5. A recent study by the Stimson Center on management of foreign affairs
made farreaching recommendations concerning government reforms, embassy
restructuring, information technology, and accessing the private sector. For
example, the study recommended the establishment of a single foreign service
and changes in the federal budget process in foreign affairs. Could you
outline your views on the study's recommendations, and what it might take to
implement them?
6. What are your views of the effectiveness of the “up or out”
philosophy in the foreign service as a human capital approach?
Point of Contact: Susan S. Westin Telephone: (202) 512- 4128 E- mail:
westins@ gao. gov
Enclosure XII Enclosure XII
GAO- 01- 332R Potential Questions for Nominees 28 Department of
Transportation
The Department of Transportation (DOT) faces critical challenges in
achieving its goals of ensuring the safe and efficient movement of people
and goods and in making costeffective investments in the nation's
transportation infrastructure, including its highways, transit systems,
airports, railways, ports, and waterways. Although DOT has achieved many
successes in improving the nation's transportation systems, major challenges
remain. Many of these challenges are long- standing and will require
sustained attention by DOT and Congress.
The challenges are listed below and are discussed in more detail in the GAO
Performance and Accountability Series report entitled Major Management
Challenges and Program Risks: Department of Transportation. 13 Additional
information about program and management challenges at DOT and other federal
agencies is available on GAO's Transition Web site at http:// www. gao. gov/
transition.
Potential Questions
1. While DOT has identified safety of the nation's transportation system as
its top priority, its performance has been lackluster. The goals DOT set for
reducing aviation accidents and incidents have not been met, the number of
annual truck accidents has failed to decrease, and the number of pipeline
accidents has increased. What steps would you direct DOT to take to deliver
results in improving transportation safety?
2. GAO reports have shown that DOT has struggled to implement and oversee
security services in aviation. For example, security screeners at airports
have had difficulty detecting dangerous objects, and the Federal Aviation
Administration (FAA) has not followed its security procedures to protect the
integrity of its air traffic control systems. What changes are needed at DOT
to guarantee the security of the nation's air travelers?
13 GAO- 01- 253, Jan. 2001.
Program and Management Challenges
Improve the safety and security of air, highway, and pipeline transportation
Enhance the management of aviation and Coast Guard acquisitions and obsolete
ship disposal to maximize investment of public funds
Increase the accountability for financial management activities
Improve the oversight of highway and transit projects to provide maximum
transportation services for the federal dollars invested
Strengthen the financial condition of Amtrak
Enhance competition and consumer protection in aviation and freight rail
industries to ensure reasonable fares, rates, and service
Enclosure XII Enclosure XII
GAO- 01- 332R Potential Questions for Nominees 29
3. GAO has designated FAA's effort to modernize its air traffic control
system as a highrisk information technology initiative since 1995 because of
its size, cost, complexity, and history of problems. This program, expected
to cost $45 billion by the time it is finished, has generally been behind
schedule and over budget. Yet, modernizing the air traffic control system is
central to improving the capacity and operations of the nation's air travel
and fostering aviation safety. What are the first actions you would take to
turn this program around?
4. GAO characterized financial management at the FAA as a high- risk program
beginning in 1999 because of long- standing accounting and financial
management problems. FAA lacks adequate systems and procedures to report its
costs or to account for its property and equipment. As a result, FAA lacks
the information it needs, for example, to allocate resources within the
agency. GAO also found DOT as a whole suffered from some of the same
problems. What efforts are needed to assure that DOT, and in particular FAA,
deliver on their efforts to improve their financial management systems?
5. Besides its project to modernize the air traffic control system, DOT
acquires and manages other significant and costly assets. For example, the
Coast Guard is planning to replace all of its ships and aircraft, at a
potential cost of $10 billion over 20 years, and to request funds for the
project before completing its plans. GAO has expressed concern over the
management controls for this project and the unique and potentially risky
approach to contracting for procurement of the equipment. For this and other
large capital acquisitions, how can DOT avoid the problems of cost overruns
and delays that have characterized projects such as modernization of the air
traffic control system?
6. As a provider of billions of dollars worth of highway and transit funding
to states and cities, DOT has the responsibility to oversee the projects to
ensure that they meet standards and the money is spent efficiently. While
DOT once focused primarily on getting the funds out to cities and states, it
has improved its oversight of highway and transit projects in recent years.
However, these projects remain at risk for falling behind schedule and
exceeding their budgets. What do you plan to do to improve oversight of
large highway and transit projects to prevent these problems, and what, if
any, additional requirements should be placed on states and localities to
facilitate timely and efficient completion of these projects?
7. Even though the federal government has provided Amtrak with over $23
billion in operating and capital assistance since 1971, the railroad loses
almost $1 billion a year. Given how costly this program is, what do you see
as the future federal role in intercity passenger rail?
Point of Contact: John H. Anderson, Jr. Telephone: (202) 512- 2834 E- mail:
andersonj@ gao. gov
Enclosure XIII Enclosure XIII
GAO- 01- 332R Potential Questions for Nominees 30 Department of the Treasury
The Department of the Treasury faces a variety of program and management
challenges that affect the successful execution of its broad and complex
responsibilities. Although Treasury has made progress in addressing these
challenges, several of them are longstanding and will require the
Department's continued attention to be successfully addressed.
The challenges are listed below and are discussed in more detail in the GAO
Performance and Accountability Series report entitled Major Management
Challenges and Program Risks: Department of Treasury. 14 Additional
information about program and management challenges at Treasury and other
federal agencies is available on GAO's Transition Web site at http:// www.
gao. gov/ transition.
Potential Questions
1. Until the last few years, Treasury had historically played a limited role
in overseeing the Internal Revenue Service (IRS). However, after reports
that IRS had wasted billions of dollars in attempting to modernize its
information systems, Treasury became more actively involved in overseeing
IRS operations. In a June 1997 executive order, the President established a
permanent oversight board to assist the Treasury Secretary in ensuring
effective management of the IRS, including reviewing its strategic decisions
to modernize. The board is chaired by the Deputy Secretary of Treasury.
About a year after the President established this board, Congress passed the
IRS Reform and Restructuring Act that created an independent nine- member
oversight board, which includes the Secretary of Treasury and the
Commissioner of Internal Revenue. This oversight board is to oversee the
IRS' administration, management, conduct, direction, and supervision of the
execution and application of the tax laws. In your view, what is the most
appropriate approach for overseeing IRS?
14 GAO- 01- 254, Jan. 2001.
Program and Management Challenges
Modernize the Internal Revenue Service to better help taxpayers meet their
tax responsibilities and to increase overall compliance with tax laws
Improve the U. S. Customs Service's regulation of commercial trade while
ensuring that it protects against the entry of illegal goods at U. S.
borders
Achieve sound financial management through significant management attention
and priority
Improve the Bureau of Alcohol, Tobacco and Firearms' performance measures to
better determine its progress in reducing criminals' access to firearms
Improve the management of Treasury's asset forfeiture program
Enclosure XIII Enclosure XIII
GAO- 01- 332R Potential Questions for Nominees 31
2. Based on your experience, what are some of the likely pitfalls that IRS
may encounter as its seeks to implement its major modernization effort that
encompasses changes to its organizational structure, business practices,
performance management and information technology? What lessons can you
share from your experience that may be applicable to IRS' modernization
effort?
3. The Departments of Justice and the Treasury continue to operate two
similar but separate seized asset management and disposal programs.
Currently, the Departments are studying their programs' functions and
processes to identify areas of duplication and to assess opportunities for
efficiency gains through shared resources and activities. How would you
ensure that identified opportunities for efficiency gains are fully
integrated into each program's functions and processes?
4. With the passage in 1993 of the Customs Modernization and Informed
Compliance Act, or Mod Act, Customs began to focus on informed compliance
with trade laws rather than the enforced compliance emphasis of the past. In
recent years, however, compliance rates used to measure the effectiveness of
the informed compliance strategy have showed no measurable improvement. In
late 1999, GAO recommended that Customs develop and implement an evaluation
of the effectiveness of its informed compliance strategy. What is the status
of the evaluation, and how do you propose to see that the informed
compliance strategy effectively ensures that merchandise and persons
entering and exiting the United States do so in compliance with U. S. laws
and regulations?
5. For several years, concerns have been expressed about the Customs'
process for determining the need for inspectors and other personnel to
process commercial cargo or land and sea passengers at all of its 301 ports
of entry around the country. Customs is developing a resource allocation
model that is intended to estimate the number of inspectors and other
personnel needed to process passengers and inspect cargo at the ports of
entry. How do you plan to use it to ensure that Customs has the proper
number and mix of inspectors and other personnel at its ports of entry to
efficiently and effectively process passengers and cargo?
6. A key to Treasury's ability to effectively carry out its mission both at
the Department level and as fiscal agent for the U. S. government is sound
financial management, including preparing information about the government's
finances that is routinely available, accurate, and reliable. Treasury
continues to face many challenges in its ongoing efforts to improve the
accuracy and reliability of its financial and information management systems
and correct internal control weaknesses. For example, financial management
at the IRS has been on GAO's high- risk list since 1995. Also, the financial
management systems at several of Treasury's bureaus do not meet federal
financial management systems requirements and cannot provide reliable
financial information for managing day- to- day operations and holding
managers accountable. What will you do to help Treasury and its agencies and
bureaus implement effective financial management systems throughout the
agency to improve accountability?
Enclosure XIII Enclosure XIII
GAO- 01- 332R Potential Questions for Nominees 32
7. As the federal government's central debt collection agency, Treasury
provides debt management services to federal agencies for nontax debt over
180 days delinquent owed to the federal government. According to Treasury,
this debt totaled about $59.2 billion as of September 30, 1999. Treasury and
other federal agencies face challenges in fully implementing the provisions
of the Debt Collection Improvement Act (DCIA). How do you propose to provide
management leadership to Treasury as it works toward fully implementing the
provisions of DCIA on a phased- in basis over the next few years?
8. In June 2000, GAO reported that it is difficult to determine the Bureau
of Alcohol, Tobacco and Firearms' (ATF) progress in enforcing federal laws
and regulations relating to firearms and firearms- related violent crimes.
ATF's performance measures are generally output rather than outcome
measures. What progress has ATF made toward developing outcome measures as
recommended by GAO?
Point of Contact: Norm Rabkin Telephone: (202) 512- 9110 E- mail: rabkinn@
gao. gov
Enclosure XIV Enclosure XIV
GAO- 01- 332R Potential Questions for Nominees 33 Department of Veterans
Affairs
The Department of Veterans Affairs (VA) estimates that in fiscal year 2000
it spent more than 80 percent of its total budget- about $42 billion- to
provide health care services to 3.6 million veterans and to pay disability
compensation and pensions to more than 2.5 million veterans and their
families and survivors. Although VA has achieved, through the Veterans'
Health Administration (VHA) and the Veterans' Benefits Administration (VBA),
many successes in providing health care and benefits to veterans and other
beneficiaries, major program and management challenges remain.
The challenges are listed below and are discussed in more detail in the GAO
Performance and Accountability Series report entitled Major Management
Challenges and Program Risks: Department of Veterans Affairs. 15 Additional
information about program and management challenges at VA and other federal
agencies is available on GAO's Transition Web site at http:// www. gao. gov/
transition.
Potential Questions
1. Five years ago, VA embarked on a historic initiative to improve veteran
access to care by establishing over 300 community- based clinics. However,
it is difficult for Congress and others to gauge VA's progress because it
has not developed clear goals and strategies to guide this initiative. It
remains unclear, for example, what percentage of veterans continue to
experience unreasonable travel times to VA medical facilities, where and
when clinics will be opened, and how successful VA's initiative has been in
achieving equity of access for veterans systemwide. What is your assessment
of VA's strategic planning for major initiatives, such as expanding
community- based clinics, and what steps would you take to achieve timely
and effective implementation of major initiatives?
2. Two years ago, VA announced that Hepatitis C infection was a serious
national problem and launched a major initiative to screen its 4.7 million
enrolled veterans for Hepatitis C and provide medical care as appropriate.
Last year, congressional hearings indicated that, despite $580 million in
appropriations, VA's progress on this initiative might be slow. Some feel
that headquarters' inability to get network directors “on board”
is a major factor contributing to this slowness. Top managers'
15 GAO- 01- 255, Jan. 2001.
Program and Management Challenges
Ensure timely and equitable access to quality VA health care
Maximize VA's ability to provide health care within available resources
Process veterans' disability claims promptly and accurately
Develop sound agencywide management strategies to build a high- performing
organization
Enclosure XIV Enclosure XIV
GAO- 01- 332R Potential Questions for Nominees 34
establishing clear policies and then struggling to get them effectively
implemented at the network and local facility levels seems to be a recurring
theme within VA. What is your assessment of the pros and cons of VA's
decentralized management structure?
3. Recent changes in the way VA delivers health care, the changing
demographics of the veteran population, and aging facilities indicate that
VA's Capital Asset Realignment for Enhanced Services effort warrants
priority. For example, many VA facilities are over 50 years old and require
substantial investments to ensure they meet building code and safety
requirements; others are underused or inappropriately configured due to VA
shifting its emphasis from providing specialized inpatient services to
providing primary care in outpatient settings. Moreover, the population of
veterans is expected to decrease significantly over the next 20 years.
Maintaining unproductive assets siphons financial resources away from
providing enhanced medical services for all veterans. In confronting this
challenge, how would you address the critical management decisions about
whether and how to maintain, renovate, liquidate, or redirect the use of
these facilities and grounds?
4. VA allocates funding to its 22 health care networks through an allocation
system called Veterans Equitable Resource Allocation (VERA). Reviews of this
system have generally concluded that it is more equitable than the
incremental funding of facilities that preceded it, although each review has
also recommended changes to improve the system. In particular, improvements
may be needed to ensure that networks' distribution of VERA resources to
their facilities is equitable. Representatives of veterans living in rural
areas and in some of the networks losing resources continue to have
additional concerns about VERA. VA has made some changes to VERA and is
considering others. What are your views on how VA allocates resources for
health care, and what improvements would you anticipate making, if any?
5. As part of its effort to “restore the capability of disabled
veterans to the greatest extent possible and improve their quality of
life,” the VBA provides over $20 billion a year in disability
compensation and pension benefits to more than 3 million veterans, family
members, and survivors. However, long- standing processing delays have
resulted in an increasing backlog of veterans' initial and repeat claims for
disability compensation. Between fiscal years 1995 and 1999, the average
time for processing initial compensation claims jumped from 161 days to 205
days, and the average time to resolve veterans' appeals of VA's claims
decisions continued to exceed 2 years. Recent enactment of the Veterans'
Claims Assistance Act of 2000 will further increase workload as VBA
readjudicates claims that were denied as not well grounded. Moreover,
concerns persist about the accuracy and consistency of decisions among VA's
57 regional offices. At the same time, the expected retirement of more than
1,100 experienced claims adjudicators by 2005 could exacerbate VBA's claims
processing problems. What actions would you take to ensure that veterans
will receive timely, accurate, and consistent disability claims decisions,
particularly in the face of VBA's human capital challenge?
6. The Congressional Commission on Service Members and Veterans Transition
Assistance reported in 1999 that VA's and the Department of Defense's (DOD)
health
Enclosure XIV Enclosure XIV
GAO- 01- 332R Potential Questions for Nominees 35
care systems alike face the challenge of adapting to changing health care
practices, an evolving patient population, infrastructure built for another
era, and increasing health care costs in a time of severe budget pressures.
While each system is unique, with separate missions- and each is critical to
the nation and its citizens- the Commission concluded that neither system
can sustain business as usual. The Commission further concluded that, while
significant efforts have been made to establish a cooperative relationship
between the two systems, VA and DOD must move towards a true partnership if
they are to continue to succeed. The Commission recommended a closer
partnership between VA's and DOD's health care purchasing systems to realize
the advantages of concentrated large- scale purchasing. With VA's and DOD's
health care operating budgets totaling an estimated $36 billion in fiscal
year 2000, what is your long- range vision of VA's health care system and
its relationship to DOD's health care system?
7. Since 1996, VA has spent an estimated $5 billion on information
technology (IT) initiatives to help realize its vision of providing seamless
service to veterans and their families. VA expects its IT expenditures to
increase over the next 5 years from about $1.5 billion in fiscal year 2001
to more than $2.1 billion by fiscal year 2005. Information systems across
the different components of VA are not integrated, making data sharing
difficult and inefficient. Yet VA has not yet implemented an information
technology architecture to achieve common standards to help alleviate these
problems. Moreover, the position of Chief Information Officer for the
Department- required by the Clinger- Cohen Act- remains vacant. What role do
you envision for information technology in achieving the Department's
“One VA” vision?
8. Serious computer security weaknesses may be placing financial and
sensitive information in VA's systems at risk of inadvertent or deliberate
misuse, fraudulent use, improper disclosure, or destruction. What
specifically do you intend to do to ensure that computer security is
improved and that sensitive information is safeguarded?
9. VHA has invested over $260 million in its Decision Support System, but
few of the medical centers are making full use of the system. Given the
importance of uniform data across the VA health care system, what actions
will you take to ensure that the system is fully utilized?
Point of Contact: Cynthia A. Bascetta Telephone: (202) 512- 7101 E- mail:
bascettac@ gao. gov
Enclosure XV Enclosure XV
GAO- 01- 332R Potential Questions for Nominees 36 U. S. Agency for
International Development
The U. S. Agency for International Development (USAID) faces challenges in
human capital management and performance measurement that could affect the
efficiency and effectiveness of its assistance programs, including its
efforts to provide humanitarian assistance in disaster situations; and
programs in democracy, governance, and rule of law. Although USAID has taken
steps to address these issues, challenges remain. Human capital management
and performance measurement are long- standing issues and will require
sustained attention by USAID. The additional challenges that GAO has
identified as facing USAID are the agency's long- standing efforts to
develop and implement an integrated information management system and
improve its financial management system.
The challenges are listed below and are discussed in more detail in the GAO
Performance and Accountability Series report entitled Major Management
Challenges and Program Risks: Agency for International Development. 16
Additional information about program and management challenges at USAID and
other federal agencies is available on GAO's Transition Web site at http://
www. gao. gov/ transition.
Potential Questions
1. USAID is facing a number of challenges because of staffing reductions
resulting from severe budget cuts, increasing attrition due to retirements,
and other human capital issues that may affect the agency's ability to
effectively carry out its foreign assistance activities. What has been your
experience in dealing with human capital issues, and what are your views on
how the agency should address these issues?
2. USAID's emphasis has shifted from managing basic human needs projects
that address such areas as hunger, illiteracy, and population pressures to
being a contractmanagement and financing agency and must adapt its workforce
accordingly. What are your views on how the agency should ensure it has a
workforce with the appropriate skills? What has been your experience in
determining the use of contract personnel vs. direct hire personnel? Do you
belief there is an optimal mix between the two types of personnel? What are
your views on how the agency should determine the appropriate mix of U. S.
hires vs. foreign national hires?
16 GAO- 01- 256, Jan. 2001.
Program and Management Challenges
Human capital management issues impact USAID strategic objectives
Better performance data could help USAID assess programs and allocate
resources
Additional challenges to building a high- performing organization
Enclosure XV Enclosure XV
GAO- 01- 332R Potential Questions for Nominees 37
3. USAID has had difficulties in identifying and collecting data that would
enable it to develop reliable performance measures and accurately report the
results of its programs. What are your views on the use of performance
information to make budget allocation and program decisions? What steps do
you believe the agency should take to provide empirically reliable assurance
that its programs achieve their program objectives and related targets?
4. USAID continues to face challenges in implementing an integrated
information management system and improving its financial management systems
that affect its ability to effectively manage its programs as well as ensure
that it has adequate internal controls. What has been your experience in
implementing information management and financial management systems? What
are your views on the actions the agency should take to ensure that it has
timely and reliable information to make effective, informed decisions, and
that assets are safeguarded given the current challenges?
Point of Contact: Susan Westin Telephone: (202) 512- 4128 E- mail: westins@
gao. gov
Enclosure XVI Enclosure XVI
GAO- 01- 332R Potential Questions for Nominees 38 Environmental Protection
Agency
The Environmental Protection Agency (EPA) is confronted with several
critical program and management challenges in achieving its mission of
protecting human health and safeguarding the environment. Such challenges
have impeded the agency's multipronged efforts to meet its goals in a cost-
effective manner, and overcoming these challenges will require the highest
level of management attention and most certainly a long- term commitment.
The challenges are listed below and are discussed in more detail in the GAO
Performance and Accountability Series report entitled Major Management
Challenges and Program Risks: Environmental Protection Agency. 17 Additional
information about
program and management challenges at EPA and other federal agencies is
available on GAO's Transition Web site at http:// www. gao. gov/ transition.
Potential Questions
1. Recent work performed by GAO and EPA's Office of the Inspector General
has demonstrated that EPA needs to strengthen access controls associated
with its major computer operating systems, enhance computer incident
management efforts, and improve security program management and planning. At
the same time, these organizations and others have stressed the need for EPA
to improve its data collection and integration to help manage environmental
programs, suggesting the need for investments in new systems. How will your
experience help deal with computer security problems? How would you assure
yourself that public funds are being invested wisely in information systems
that will best help EPA achieve its mission?
2. Most of EPA's data are provided to the agency by its state partners,
which collect the data from regulated industries, from air and water quality
monitors, and from other sources. Large gaps in these data make it difficult
for EPA to comprehensively assess environmental conditions nationally and
thus to measure and report on the results of its efforts to achieve
environmental goals. Yet efforts to collect more data are often met with
protests by states and regulated industries, citing costs and paperwork
burden. How would you balance these competing demands and find effective
ways to meet EPA's needs for additional environmental data? How do you think
that EPA
17 GAO- 01- 257, Jan. 2001.
Program and Management Challenges
Improve environmental and performance information management to set
priorities and measure results
Place greater emphasis on developing a comprehensive human capital approach
Strengthen working relationships with the states
Enclosure XVI Enclosure XVI
GAO- 01- 332R Potential Questions for Nominees 39
can best assess environmental conditions and its performance against
strategic goals and objectives?
3. While EPA's work force has grown by about 18 percent over the past
decade, the agency lacks a systematic means to determine the number, type,
and organizational location of people needed to accomplish its mission. EPA
recently developed a human capital strategy to address this and other human
resource concerns, such as the agency's aging workforce. How can EPA meet
the challenge of obtaining and maintaining the right technical and
scientific skills in view of the highly competitive market for these kinds
of skills? Do you believe that EPA's highly decentralized organizational
structure is appropriate for the agency? If not, what changes do you
envision?
4. To an extent perhaps much greater than in other areas of national policy,
environmental protection depends heavily on a partnership between EPA and
state governments. Throughout its history, EPA has often had stormy
relationships with states in their dual effort to implement the nation's
environmental laws. Based on your experience, how would you improve
partnerships with the states? Particularly, will you continue to have EPA
pursue its performance partnership arrangements under the National
Performance Partnership System? If so, what changes do you envision for that
system in particular?
5. Several years ago, the enforcement function at EPA was centralized into
an Office of Enforcement and Compliance Assistance. How well do you think
this structure has worked in helping EPA and the states to carry out their
enforcement responsibilities? Do you envision any reorganization of the
enforcement function at EPA, either at headquarters or among EPA's regional
offices?
6. The federal government has spent about $20 billion to clean up hazardous
waste sites in the Superfund program. A majority of the sites in the program
are in advanced stages of cleanup- the cleanup remedies have been chosen,
are under construction, or are completed. A number of states have strong
cleanup programs themselves and have been taking on more of the hazardous
waste cleanup workload, especially through their state voluntary programs.
How would you assess the future of the Superfund program? To the extent that
the federal program will diminish in the future, how would you implement the
transition, particularly in terms of funding levels and organizational
infrastructure?
7. Reports by GAO and others have shown that state voluntary cleanup
programs have been successful in addressing many of the less contaminated
brownfield sites across the country. However, fear of being held liable in
the future to conduct a cleanup under Superfund rules can discourage some
parties from volunteering, limiting the effectiveness of some state
programs. How do you envision EPA's better supporting these programs and
better coordinating its efforts with other federal agencies that manage
programs that also benefit brownfields, such as housing and economic
development programs?
Enclosure XVI Enclosure XVI
GAO- 01- 332R Potential Questions for Nominees 40
8. EPA has administratively established a national Superfund Ombudsman in
headquarters and a regional Ombudsman in each of its regional offices. These
officials are intended to ensure that the agency adequately addresses public
concerns at individual Superfund sites. Recently, allegations have been made
that EPA gives inadequate support to the ombudsmen. How do you view the role
of the Superfund Ombudsman? As a manager of the Superfund program, how would
you ensure the independence of the ombudsman?
Point of Contact: Robert A. Robinson Telephone: (202) 512- 3841 E- mail:
robinsonr@ gao. gov
Enclosure XVII Enclosure XVII
GAO- 01- 332R Potential Questions for Nominees 41 Federal Emergency
Management Agency
The performance plan required by the Government Performance and Results Act
of 1993 is a tool Federal Emergency Management Agency (FEMA) has used to be
more responsive and to address its challenges. The challenges confronting
FEMA affect public accountability, disaster cost containment, and program
effectiveness.
Additional information about program and management challenges at FEMA and
other federal agencies is available on GAO's Transition Web site at http://
www. gao. gov/ transition.
Potential Questions
1. There has been a growing concern in Congress about the costs of federal
disaster assistance. What ideas do you have as to how FEMA might constrain
disaster relief spending without placing unfair hardships on the victims?
2. FEMA has acknowledged that rising costs could be due in part to the state
and local governments increasingly turning to the federal government for
assistance. FEMA has also acknowledged that the current system of disaster
relief tends to discourage state and local governments from assuming primary
responsibility for initiating appropriate preparedness, response, recovery,
and mitigation measures before a disaster strikes. What are your views on
the current system?
3. GAO and FEMA's Inspector General have issued a number of reports which
outline recommendations for reducing disaster relief cost, including raising
the damage threshold for replacing facilities and requiring adequate
insurance for public buildings. Are you familiar with these recommendations?
If so, which specific recommendations do you think merit further
considerations to improve FEMA's management and operations?
4. Some have pointed out that the willingness of the federal government to
step in and provide substantial recovery assistance may actually be a
disincentive to state, local, and private readiness. What is your assessment
of the capabilities of state and local governments to respond to disasters?
5. What are your views on whether FEMA has an adequate system to assess
state and local response capabilities?
Program and Management Challenges
Determine the cost- effectiveness of mitigation efforts
Reduce the cost of disaster assistance
Improve the financial condition of the National Flood Insurance Program fund
Enclosure XVII Enclosure XVII
GAO- 01- 332R Potential Questions for Nominees 42
6. Concerning disaster mitigation, GAO has testified that for a number of
reasons, state and local governments may be reluctant to take actions to
mitigate natural hazards. GAO cited, among other reasons, local sensitivity
to such measures as building code enforcement and land- use planning,
conflict between hazard mitigation and development goals, and the lack of an
understanding of mitigation and political support. How would you address
these issues?
7. FEMA views its Hazard Mitigation Grant Program as the forerunner of a
comprehensive family of mitigation approaches. Under the program, projects
are required to be cost- effective, and a major component of the program is
buyout projects (i. e., property acquisitions). GAO reports and testimony
have highlighted the need for FEMA to provide analytical data supporting the
cost- effectiveness of buyouts. How will you ensure that these mitigation
projects are cost- effective?
8. How will you address the need to improve the financial condition of the
National Flood Insurance Fund?
9. FEMA has lead responsibility for coordinating federal emergency
management efforts. The process consists of four phases: preparedness,
response, recovery, and mitigation. How would you characterize the
interagency coordination?
10. FEMA also has lead responsibility for managing the consequences of
domestic terrorism- related emergencies. GAO has reported that domestic
consequence management exercises were not well developed and that terrorism-
preparedness training programs are sometimes duplicative and not well
coordinated among the various federal agencies with terrorism- preparedness
responsibilities. What goals do you have for improving FEMA's management of
terrorism- related emergencies?
Point of Contact: John H. Anderson, Jr. Telephone: (202) 512- 2834 E- mail:
andersonj@ gao. gov
Enclosure XVIII Enclosure XVIII
GAO- 01- 332R Potential Questions for Nominees 43 General Services
Administration
The General Services Administration (GSA) is one of the federal government's
central management agencies. GSA's mission is to provide policy leadership
and expert solutions in acquiring services, space, and products at best
value to enable federal employees to accomplish their missions. GSA has
undergone major reforms and organizational changes in recent years in an
attempt to be more responsive to federal agencies' needs and save the
taxpayers money. Although GSA has overcome several challenges to become more
effective and efficient, other long- standing challenges continue to exist.
Some of these challenges have been identified by GAO, GSA management, and
the GSA Inspector General and impede GSA's efforts to (1) effectively
acquire, preserve, and dispose of real property; (2) provide customer
agencies with choice and best value in acquiring goods and services; and (3)
improve agencywide performance.
Additional information about program and management challenges at GSA and
other federal agencies is available on GAO's Transition Web site at http://
www. gao. gov/ transition.
Potential Questions
1. GSA was established in 1949 to bring central direction to the federal
government's real property and procurement functions. In your view, how well
has GSA fulfilled its mission and what is your vision for GSA's future? What
objectives would you like to achieve during your tenure at GSA?
Program and Management Challenges
Real Property Management
Obtain adequate funding to meet capital investment needs
Resolve problems associated with aging and deteriorating federal buildings
Protect buildings, federal employees, and the public from security threats
Eliminate obstacles that impede effective real property disposal
Work with the private sector to develop creative real property initiatives
Goods and Services Delivery
Manage the multibillion- dollar FTS2001 telecommunications contract
Respond to the changing technological demands of customer agencies
Develop effective ways to provide goods and services
Develop strategies to ensure secure information technology systems
Agencywide Performance
Improve employee skills to respond to the changing demands of the 21 st
century
Establish accurate and useful management information systems
Build a high- performing organization through results- oriented management
Enclosure XVIII Enclosure XVIII
GAO- 01- 332R Potential Questions for Nominees 44
2. In recent years, GSA has made a major commitment to reorganization and
reinvention- ending its long- standing monopolies, separating its policy and
oversight responsibilities from service delivery, revising its structure and
improving how it interfaces with agencies, and using private sector
practices as benchmarks to reform and assess its activities. What is your
opinion of the progress GSA has made, and how will you see to it that GSA
sustains these efforts?
3. GSA's Public Buildings Service (PBS) is the largest commercial- style
real estate organization in the nation. With resources of about $6 billion a
year, PBS constructs, leases, manages, maintains, and protects various types
of federal real property assets. However, PBS faces several challenges,
including inadequate funding to meet capital investment needs; aging and
deteriorating buildings; and various obstacles that impede effective real
property acquisition, management, and disposal. How do you plan to address
these challenges? Are there innovative approaches used in the private sector
that you would like to see employed by PBS?
4. GSA has implemented a multimillion- dollar security upgrade effort for
the 8,300 buildings it controls. GAO has reported on problems associated
with this implementation, such as unreliable data on upgrades and
insufficient outcome measures. GSA has taken action to correct most of these
problems but will nonetheless face a formidable challenge protecting its
large inventory of diverse properties. Given the importance of protecting
federal employees and buildings, how will you go about determining whether
the enhancements in place are adequate and have actually improved
protection?
5. As a procurement agent for the federal government, GSA provides a wide
range of goods and services to agencies through its Federal Supply Service
(FSS) and Federal Technology Service (FTS). Through the supply schedules and
other contract arrangements, FSS and FTS have made an effort to be
responsive to the diverse and ever- changing demands of customer agencies.
What steps will you take to ensure that GSA adds value to the procurement
process so that customer agencies can successfully accomplish their missions
at least cost to the taxpayer? What changes, if any, would you make to the
way GSA has approached procurement reform?
6. GSA has recognized the need to develop different employee skills to
support its strategic goals in a rapidly changing environment, in particular
because of an aging workforce whose average age is close to 50. In addition,
in 1999, we reported that FSS and FTS officials cited the inability to
recruit and retain top- level staff as a barrier that impeded their ability
to operate in a businesslike manner. What will you do to ensure that GSA has
the human capital it will need to accomplish its mission?
7. GSA is working toward measuring its performance in response to the
Government Performance and Results Act (GPRA). GSA's GPRA submissions-
strategic plan, performance plans, and performance reports- collectively
provide a roadmap for GSA's efforts in its broad array of program and policy
activities. GAO's work in recent years assessing GSA's GPRA submissions has
shown that GSA has made clear
Enclosure XVIII Enclosure XVIII
GAO- 01- 332R Potential Questions for Nominees 45
improvements in measuring its performance. Nonetheless, because of its
diverse array of activities and the complex and changing environment in
which it operates, building and sustaining a result- oriented organization
will be an ongoing challenge for GSA. How will you incorporate results
management into your day- to- day leadership of the agency?
Point of Contact: John H. Anderson, Jr. Telephone: (202) 512- 2834 E- mail:
andersonj@ gao. gov
Enclosure XIX Enclosure XIX
GAO- 01- 332R Potential Questions for Nominees 46 National Aeronautics and
Space Administration
The National Aeronautics and Space Administration (NASA) faces challenges to
achieve its missions of space exploration and development, the advancement
of scientific knowledge, and research and development of aeronautic and
space technologies. To achieve those goals, NASA spends more than $12
billion annually for goods and services- ranging from procurements of
expensive space hardware to contracts for research and development- related
services. With most of those funds going to outside contractors, businesses,
and other organizations, it is exceedingly important that NASA have good
control and oversight over its procurement processes and dollars.
The challenges are listed below and are discussed in more detail in the GAO
Performance and Accountability Series report entitled Major Management
Challenges and Program Risks: National Aeronautics and Space Administration.
18 Additional information about program and management challenges at NASA
and other federal agencies is available on GAO's Transition Web site at
http:// www. gao. gov/ transition.
Potential Questions
1. GAO has reported that NASA needs an effective and efficient integrated
financial management system. Until this system is operational, NASA will not
know the full costs of some of its programs. In your view, can anything be
done to accelerate implementation of critical systems such as this one
without increasing risks?
2. GAO has reported that NASA is continuing to rely on undefinitized change
orders- that is, contract changes initiating new work before NASA and the
contractor agree on a final estimated cost and fee- to complete work on its
largest space station contract. This way of doing business increases the
potential for unforeseen cost increases and scheduling delays. How would you
limit its use?
3. While we all applaud the recent successes associated with the space
station, this program has experienced frequent cost increases and schedule
delays. With many more years of development, assembly and operations ahead
of us, how would you
18 GAO- 01- 258, Jan. 2001.
Program and Management Challenges
Correcting weaknesses in contract management
Controlling International Space Station development and support costs
Effectively implementing the faster- better- cheaper approach to space
exploration projects
Integrating human capital approach into NASA's workforce management
strategies
Enclosure XIX Enclosure XIX
GAO- 01- 332R Potential Questions for Nominees 47
introduce more discipline into the space station program to deliver benefits
promised to the taxpayers on time and within budget?
4. Congress imposed spending caps on the space station program. What is your
experience in successfully implementing large complex programs under strict
funding constraints? How will you apply this experience to benefit NASA?
5. In general, what are your views on the faster- better- cheaper philosophy
and on NASA's implementation? What would you do differently to avoid
failures like the two recent Mars probes?
6. NASA- sponsored investigative boards of the failed Mars probes found that
opportunities to identify and resolve problems prior to launch were missed
due to poor communications, budget pressures, and poor management and
engineering practices. What steps would you take to find an effective way to
capture and disseminate lessons learned on an agencywide basis?
7. Human capital problems that NASA currently faces, including workforce
challenges (i. e. critical skill shortages and inadequate staffing levels),
threaten the safe operations of the shuttle program. Describe your
experience dealing with human capital issues. How can NASA guard against the
loss of personnel with critical skills? What overall actions would you take
to improve the productivity, efficiency, and effectiveness of NASA's staff?
8. In its past annual performance plans, NASA has not adequately addressed
human capital management. How would you ensure that NASA's 2002 performance
plan includes specific performance measures that will address the human
capital challenges associated with the shuttle and other programs across the
agency?
9. NASA's X- 33 program promises to develop and demonstrate advanced
technologies needed for future reusable launch vehicles and significantly
reduce launch costs; thus the program is expected to play an important role
in NASA's space transportation plans. Despite the fact that NASA made a
large investment in the X- 33 program-- almost one billion dollars-- the
program experienced a setback due to an important operational test failure
of the composite fuel tank. What measures would you take to decide the
program's future? How would you ensure the government's best interests are
being served in this joint government and industry funded program?
Point of Contact: Jack L. Brock, Jr. Telephone: (202) 512- 4841 E- mail:
brockj@ gao. gov
Enclosure XX Enclosure XX
GAO- 01- 332R Potential Questions for Nominees 48 Office of Personnel
Management
The Office of Personnel Management (OPM) is the central management agency of
the federal government charged with administering and enforcing federal
civil service laws, regulations, and rules and aiding the President in
carrying out his responsibilities for managing the federal workforce. Now is
a particularly challenging period for OPM, as the federal government's human
capital problems are becoming increasingly urgent and widely recognized.
Faced with ever- increasing changes in the social, economic, and
technological environments, and with increasing numbers of federal employees
eligible to retire, federal agencies are challenged to maintain the human
capital needed to meet today's needs and tomorrow's emerging demands. OPM
has taken numerous steps to communicate to agencies the importance of
aligning human capital with results and has provided a number of tools and
opportunities for information exchange to assist them. Characterizing the
most appropriate mission and role for OPM, and defining the most effective
tools and strategies for accomplishing its goals in a changing civil
service, have been long- standing issues facing the agency.
OPM's role in federal human capital management is discussed in Office of
Personnel Management's Fiscal Year 1999 Performance Report and Fiscal Year
2001 Performance Plan. 19 Additional information about program and
management challenges at OPM and other federal agencies is available on
GAO's Transition Web site at http:// www. gao. gov/ transition.
Potential Questions
1. GAO has recently identified strategic human capital management as a new
governmentwide high- risk area, saying that today's federal human capital
strategies are not appropriately constituted to adequately meet current and
emerging taxpayer needs in the most effective, efficient, and economical
manner possible. In doing so, GAO not only acknowledged recent actions OPM
has taken to foster a more resultsoriented approach to strategic human
capital management across government, but also stressed the important role
it should continue to play in promoting human capital improvements. What
actions do you think OPM should take to improve human capital management
governmentwide?
2. During the 1990s, OPM was downsized, its budget was reduced, and--
through delegation and deregulation-- its role and mission changed. With
today's continued emphasis on human capital flexibilities, OPM's role is
likely to continue to evolve. What do you see as OPM's role in the future
vis- �- vis agencies and their continuing desires for flexibility in human
capital management?
3. The increase in human capital flexibilities across the government raises
the issue of oversight of the merit system. What role do you see OPM playing
in ensuring that civil service laws and policies are complied with by
agencies that, in many cases, are
19 GAO/ GGD- 00- 156R, June 30, 2000.
Enclosure XX Enclosure XX
GAO- 01- 332R Potential Questions for Nominees 49
seeking more exemptions from those rules and regulations, and what
mechanisms do you envision using to hold agencies accountable?
4. As the chair of the National Partnership Council, OPM has the lead
responsibility in its successful implementation. What do you see as OPM's
future role in achieving the goal of improved labor- management relations in
the government?
5. Federal agencies, like other employers, are faced with balancing demands
for mission accomplishment and the fair treatment of their work force.
Federal employees are protected from inappropriate, arbitrary, and
prohibited personnel practices, but the government's administrative redress
system has long been criticized as being overly complex, time consuming,
costly, and adversarial. What role can OPM play in improving this system and
in helping agencies develop conflict management systems that work to prevent
as well as resolve workplace disputes?
6. About half of OPM's staff administer benefit programs (primarily the
federal retirement programs), another quarter provide services to agencies
on a reimbursable basis, and the remainder perform work paid for through
appropriated funds. OPM no longer has the investigation and training
functions that it used to have. In order to more efficiently and effectively
carry out its mission and accomplish the tasks OPM has established as
priorities, what, if any, need is there to reallocate resources within OPM
or to contract out additional programs or services?
7. GAO has noted that strategic human capital management is the "missing
link" in the federal statutory framework for results- oriented management.
What legislative changes, if any, do you believe are needed to improve the
federal government's human capital management?
Point of Contact: Victor S. Rezendes Telephone: (202) 512- 6806 E- mail:
rezendesv@ gao. gov
Enclosure XXI Enclosure XXI
GAO- 01- 332R Potential Questions for Nominees 50 Program and Management
Challenges
Continue to improve oversight of SBA's lending partners to correct oversight
weaknesses
Focus the 8( a) program on helping firms obtain contracts to increase
procurement opportunities
Strengthen human capital, information technology, budget, and financial
management practices to help modernize SBA
Streamline and automate disaster loan processing to improve timeliness
Small Business Administration
The Small Business Administration (SBA) is responsible for aiding,
counseling, assisting, and protecting the interests of the nation's small
businesses and for helping businesses and families recover from natural
disasters. SBA is also a financial institution with significant commitments
and exposure. As of September 30, 2000, SBA's total portfolio was about $52
billion, including $45 billion in direct and guaranteed small business loans
and other guarantees and $7 billion in disaster loans. Since its inception,
SBA has, among other things, helped 1.1 million firms get small business
loans and has approved 1.4 million disaster loans to individual homeowners,
renters, and businesses of all sizes. At the same time, SBA is confronting
several major challenges that affect its ability to efficiently deliver
services. To its credit, SBA is taking steps to address these challenges.
However, many of SBA's planned improvements hinge on its multimillion-
dollar, threephase systems modernization effort. At this point, it is too
early to tell whether the systems modernization effort will help resolve
SBA's challenges.
The challenges are listed below and are discussed in more detail in the GAO
Performance and Accountability Series report entitled Major Management
Challenges and Program Risks: Small Business Administration. 20 Additional
information about program and management challenges at SBA and other federal
agencies is available on GAO's Transition Web site at http:// www. gao. gov/
transition.
Potential Questions
1. GAO's Performance and Accountability Series report on SBA identifies the
agency's systems modernization effort as a common thread in solving other
management challenges at SBA. Systems modernization is key to SBA's ability
to manage its programs and to have integrated budget, accounting and
performance information. How would you reinforce the commitment to systems
modernization?
2. SBA's need to oversee its lending partners has become more important over
the last decade as SBA has shifted more loan- making and servicing
responsibilities to private
20 GAO- 01- 260, Jan. 2001.
Enclosure XXI Enclosure XXI
GAO- 01- 332R Potential Questions for Nominees 51
sector lenders. We understand SBA has demonstrated a commitment to improve
its small business lender oversight program by beginning regular reviews of
lenders, creating an Office of Lender Oversight, and contracting with the
Farm Credit Administration for safety and soundness examinations of Small
Business Lending Companies. How do you plan to step up SBA progress in
building this capability to oversee its lenders?
3. SBA administers the 8( a) business development program, which is designed
to assist small disadvantaged businesses in obtaining federal contracts.
GAO's work shows that in fiscal year 1998, 209 of the 6,000 firms in SBA's
8( a) program received 50 percent of the 8( a) contract dollars, and over
3,000 firms did not receive any contracts. What will SBA do to help more
firms obtain contracts?
4. GAO has highlighted problems in SBA's management of its human capital,
citing the lack of (1) a staffing model to project future staffing
requirements, (2) succession planning for its leadership, and (3) a plan for
improving training for its employees. Indications are that SBA has made
progress through several initiatives to improve leadership succession
planning and training for its employees. What initiatives would you take to
improve SBA's ability to project future staffing requirements?
Point of Contact: Thomas J. McCool Telephone: (202) 512- 8678 E- mail:
mccoolt@ gao. gov
Enclosure XXII Enclosure XXII
GAO- 01- 332R Potential Questions for Nominees 52 Social Security
Administration
The Social Security Administration (SSA) faces critical challenges in
achieving its mission of promoting the economic security of the nation's
people by shaping and managing America's Social Security programs. In 1999,
SSA paid out over $400 billion in Old Age and Survivors Insurance (OASI),
Disability Insurance (DI), and Supplemental Security Income (SSI). Demand
for these benefits is expected to grow over the coming years as the baby-
boom generation ages and the life expectancy of Americans continues to
lengthen. The source of expenditures for OASI and DI- the Social Security
Trust Funds- is expected to be depleted by 2037. At that time, it is
estimated that annual tax revenues will cover only 72 percent of the benefit
obligations. In addition to the solvency issue, SSA faces additional
challenges that will continue to strain agency operations and affect its
ability to administer its programs.
The challenges are listed below and are discussed in more detail in the GAO
Performance and Accountability Series report entitled Major Management
Challenges and Program Risks: Social Security Administration. 21 Additional
information about program and management challenges at SSA and other federal
agencies is available on GAO's Transition Web site at http:// www. gao. gov/
transition.
Potential Questions
1. Through its three main programs- OASI, DI, and SSI- SSA touches the lives
of virtually every American family. The position of Commissioner for this
wide- reaching agency is for a fixed term. At the end of that term, what
would you like to have accomplished? What are your top three priorities for
the agency?
2. As the nation's expert on Social Security issues, SSA is uniquely
positioned to conduct research and analysis to help identify areas where
policy changes, sometimes controversial ones, are needed. One example is the
need to improve the long- term solvency of the Social Security trust funds
and sustainability of the Social Security programs. In your opinion, what
role should SSA play in public policy debates on Social Security? How do you
intend to work with Congress and other
21 GAO- 01- 261, Jan. 2001.
Program and Management Challenges
Play an active research, evaluation, and policy development role
Improve SSA's disability determination process and return people to work
Sustain management and oversight of long- standing, high- risk Supplemental
Security Income issues
Better position SSA for future service delivery challenges
Further strengthen controls to protect SSA information
Enclosure XXII Enclosure XXII
GAO- 01- 332R Potential Questions for Nominees 53
decisionmakers on this issue? What steps would you take to ensure that SSA
is at the forefront of important Social Security- related research?
3. Making timely and accurate disability determinations is one of SSA's most
difficult service delivery challenges. Even after years of trying to
redesign the process, many applicants still have to wait more than a year
for a final decision. Additionally, concerns have been raised about the
accuracy and consistency of disability decisions throughout the lengthy
disability determination process. What actions would you take to reduce
processing times and increase the accuracy of disability determinations?
What actions need to be taken to ensure that SSA has people with the right
kind of skills and knowledge handling a diverse range of disability issues
(e. g., claims, appeals, and reviews)?
4. In addition to redesigning this process, SSA has recently begun to focus
more attention on return- to- work efforts for current beneficiaries.
However, these two efforts have not been integrated to ensure that a needed
earlier focus on return- towork is incorporated into the redesigned
determination process. What would you do to address this and how would you
hold the agency accountable to ensure that these two efforts are integrated?
5. GAO designated SSI a high- risk program because of SSA's insufficient
management oversight and the program's susceptibility to fraud, waste, and
abuse. How will you improve the management and oversight of this program to
ensure that only those eligible for SSI cash assistance receive it?
6. SSA has long been considered a leader in service delivery. How will you
ensure that this level of service continues, given the expected dramatic
increase in the demand for service as the baby boom generation ages?
7. SSA's own workforce is aging. Half of its 63,000 employees will be
eligible for retirement before 2010. Moreover, the mix of needed staff
skills is changing; staff will need more technical and advanced skills in
the future. How will you ensure that investments in SSA's human capital will
fully support its future approach to service delivery?
8. SSA plans to rely extensively on information technology to help it
achieve processing efficiencies and improved customer service. However, the
agency has had mixed success with these efforts in the past. Given the
future challenges that SSA faces, how do you plan to invest in information
technology to provide the agency with the tools and support it needs to cope
with these challenges?
Enclosure XXII Enclosure XXII
GAO- 01- 332R Potential Questions for Nominees 54
9. A recent audit by an independent public accounting firm noted that SSA
continues to have problems ensuring that unauthorized access to sensitive
SSA information will not occur. What steps do you plan to take to safeguard
SSA information and address the internal control weaknesses identified by
the audit?
Point of Contact: Cynthia M. Fagnoni Telephone: (202) 512- 7215 E- mail:
fagnonic@ gao. gov
(450017)
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