5 FAH-4 H-700
PROCESSING INFORMATION REQUESTS FROM THE GOVERNMENT ACCOUNTABILITY OFFICE (GAO)
5 FAH-4 H-710
PROCEDURES FOR WORKING WITH THE GOVERNMENT ACCOUNTABILITY OFFICE
(CT:RMH-19; 01-30-2017)
(Office of Origin: CGFS/GAO)
5 FAH-4 H-711 PURPOSE
(CT:RMH-19; 01-30-2017)
The following handbook establishes guidance for the Department of State regarding engagements conducted by the U.S. Government Accountability Office (GAO).
5 FAH-4 H-712 BACKGROUND
(CT:RMH-19; 01-30-2017)
a. The GAO, headed by the comptroller general, an agent of Congress. The GAO is generally authorized and directed by 31 U.S.C. 712 to investigate “matters relating to the receipt, disbursement, and use of public money” (e.g., examination of fund administration, property utilization, and the conduct of programs to determine if they are run effectively and economically). In addition, as stated in 31 U.S.C. 717, the comptroller general “shall evaluate the results of a program or activity the U.S. Government carries out under existing law:
(1) On the initiative of the comptroller general;
(2) When either House of Congress orders an evaluation; or
(3) When a committee of Congress with jurisdiction over the program or activity requests the evaluation.”
b. It is the Department’s policy to cooperate with and assist the GAO in fulfilling its statutory responsibilities while also respecting Department and Executive Branch foreign policy and operational requirements and equities. The Department and the GAO may not always agree whether particular engagements, or aspects of engagements, fall within the scope of GAO’s statutory authority. Whether the Executive Branch concludes that a particular engagement falls within its statutory jurisdiction may be relevant to how the Department responds to the GAO.
c. Further information on the GAO and its responsibilities can be located at the Government Accountability Office website.
5 FAH-4 H-713 DEPARTMENT OF STATE LIAISON WITH THE GAO
(CT:RMH-19; 01-30-2017)
a. DOS primary liaison The Department’s comptroller is responsible for serving as the liaison for interactions with the GAO. The director of the CGFS/GAO Liaison Office (CGFS/GAO) is responsible for conducting all liaison activities with the GAO and reports directly to the comptroller. All initial interactions regarding new GAO tasks must be coordinated with or through CGFS/GAO. CGFS/GAO coordinates the following:
(1) Formal GAO notifications;
(2) Lead bureau designation;
(3) Entrance and exit meetings;
(4) Assistance to bureaus during the course of the GAO engagement;
(5) Guidance pertaining to the release of information;
(6) Formal Departmental comments to draft reports; and
(7) Formal Congressional Correspondence on final report recommendations, which is further disseminated to OIG, GAO, and OMB.
b. Bureau GAO liaison All DOS bureaus will establish a bureau GAO liaison to serve as the entry point for GAO information and initial contact for authorized GAO engagements.
c. Lead bureau and point of contact (POC) CGFS/GAO will distribute GAO notifications to all relevant bureau GAO liaisons. A lead bureau will be designated based upon the subject of the GAO engagement. The lead bureau will be responsible for designating a POC for the engagement, usually the bureau GAO liaison. The POC will be responsible for coordinating with the GAO team conducting the engagement as well as CGFS/GAO and L as appropriate.
5 FAH-4 H-714 GAO NOTIFICATION AND ENTRANCE MEETINGS
(CT:RMH-19; 01-30-2017)
a. Department notification The GAO must notify CGFS/GAO in writing prior to initiating any new engagement. The formal notification letter, signed by the GAO's relevant managing director, should occur before the GAO makes any requests for meetings, documents, or interviews with DOS officials at any location. The notification should identify the subject, GAO job code, scope, objectives, and originator of the request.
b. Initial contact Initial GAO contact for an engagement must be with CGFS/GAO. Any GAO request for information, by e-mail or otherwise, that does not refer to a job code and has not been coordinated through CGFS/GAO or the lead bureau POC for the particular engagement should be referred to CGFS/GAO.
c. Entrance meeting CGFS/GAO will arrange an entrance meeting normally within 14 days of an official GAO notification. The entrance meeting is the beginning of an interactive process between the GAO and the Department that will continue throughout the engagement. In some cases, the GAO and CGFS/GAO may jointly determine that an entrance meeting is not necessary. This is most likely to occur when the GAO conducts similar or recurring work, and its POC, issues, and methodology were previously established.
(1) Representation—CGFS/GAO will coordinate the Department’s representation for the entrance meeting. The bureau GAO liaisons will ensure the attendance of appropriate management levels and subject matter expertise; and
(2) Meeting content—CGFS/GAO will chair the entrance meeting. The GAO team will provide information regarding the origin, scope, timeframes and anticipated data requirements and travel. The meeting will also provide an opportunity for a dialogue between the Department and GAO officials to cover potential jurisdictional issues, possible foreign policy sensitivities, and other relevant concerns. The entrance meeting will conclude with the designation of primary POCs between the Department lead bureau and the GAO team.
5 FAH-4 H-715 GAO WORK IN PROGRESS
(CT:RMH-19; 01-30-2017)
a. Work in progress Subsequent to the entrance meeting, the GAO will work directly with the designated lead bureau POC to coordinate information-gathering activities, including requests for documents, interviews, and meetings. A GAO engagement that involves multiple bureaus and offices may require an intra-departmental meeting to ensure a coordinated and consistent Department position. CGFS/GAO will be available to facilitate GAO activities and requests. If the GAO requests information that goes beyond the scope of the engagement as outlined in the notification letter, CGFS/GAO must be advised before any such information is provided. The lead bureau POC should also advise CGFS/GAO of any difficulties or concerns perceived by the Department or expressed by the GAO.
b. CGFS/GAO may request status reports from the GAO throughout the engagement. The convening of meetings between the GAO and the Department during the engagement may be necessary and can be used to accomplish the following:
(1) Advise the Department on the status of an ongoing engagement;
(2) Coordinate GAO access to records and documents;
(3) Assess GAO foreign travel and contacts;
(4) Review and comment on the GAO “statement of facts,” which is subject to verification and/or clarification (this typically occurs at the exit meeting (see 8a) but may occasionally take place during the engagement);
(5) Discuss the GAO’s preliminary conclusions and recommendations with which the Department may or may not agree; and
(6) Address Department concerns about the GAO methodology as well as the GAO’s concerns regarding the Department’s response.
c. GAO fieldwork and foreign contacts and travel The GAO engagement may involve foreign travel and fieldwork to gather relevant information. The GAO team must provide advance notice in writing to the lead bureau POC and/or the country desk, which should be forwarded to post for consideration. Unless post expresses concerns with the proposed travel, GAO staff should submit an electronic country clearance (ECC) request. As authorized by the Department, U.S. mission personnel may be directly engaged in GAO activities by assisting in the arrangement of the GAO team visit, facilitating access, and providing information through interviews. GAO should not directly task posts abroad; any taskings, including requests for information or documents, should be coordinated and communicated through the lead bureau POC or CGFS/GAO. The GAO mandate does not include investigation of foreign governments. Any GAO meetings or other contacts with foreign officials should be coordinated with the lead bureau POC. The lead bureau POC, in coordination with the regional bureau and post and other functional bureaus as appropriate, should determine whether GAO contacts with foreign officials would raise sensitivities that warrant consideration of another approach to obtaining information. GAO senior management has been made aware that any contacts with foreign government officials are at the discretion of the ambassador. Generally, when the fieldwork is complete and prior to returning stateside, the GAO team will conduct a closeout meeting. The purpose of this meeting is to ensure that the GAO team has a full understanding of the information gathered. The closeout meeting is not intended to discuss conclusions or recommendations.
5 FAH-4 H-716 GAO ACCESS TO RECORDS AND DOCUMENTS
(CT:RMH-19; 01-30-2017)
a. General policy and procedure The GAO may request official government records and documents associated with its work. The Department’s policy is to provide the GAO with the information it needs to fulfill its statutory responsibilities while respecting Department and Executive Branch foreign policy and operational requirements and equities. If the GAO is operating outside its statutory jurisdiction, the Department must make a determination as to what extent non-public information can be shared. In such cases, the lead bureau POC should seek guidance from CGFS/GAO and L prior to disclosing any documents or information to GAO. The GAO should be encouraged to make its requests specific and relevant to the objectives posed in its notification letter. The GAO is not authorized to independently search for relevant documents and information located in Department files and databases or posted on the Intranet. The bureau GAO liaison should keep records in writing of the documents or, where voluminous, a description of the documents provided to the GAO during the engagement.
b. Documents request In exercising its statutory jurisdiction, the GAO may request and, as a general rule, have access to relevant unclassified and classified information following the entrance conference and in association with an ongoing, authorized engagement. All document requests should be submitted in writing by GAO and directed to the lead bureau POC. When the request is extensive or involves multiple bureaus, a formal Department tasker from CGFS/GAO may be issued. When questions arise regarding GAO access to material, L and CGFS/GAO should be consulted. Approval from the Under Secretary for Management (M) for documentation from bureaus and offices that report to M and the Under Secretary for Political Affairs (P) for all other requests via action memorandum is necessary before the GAO is given access to classified documents or “restricted access” documents that fall under subsection (f) below. Documents that are approved by P or M must then be provided to CGFS/GAO to be packaged and placed at the audit site for review by GAO. Normally, the GAO is permitted to read such material on Department premises, but is not given copies of these documents. When the GAO is provided copies of documents, the bureau should consider whether any redactions are necessary or appropriate. Under 31 U.S.C. 716(e), the GAO is obligated to respect applicable restrictions on disclosure of the information, and must be advised of those restrictions in writing by the lead bureau POC or CGFS/GAO when the documents are made available.
c. Publicly available unclassified information Publicly available unclassified information is material that does not carry any restrictions and can be made available to any member of the public. This material includes:
(1) Press guidance;
(2) Public reports, including transmitted reports to Congress; and
(3) Department publications and other public information not determined to be SBU or classified.
d. Unclassified material that is not publicly available Generally, unclassified material that is subject to protection from public release should bear “Sensitive But Unclassified” (“SBU”) markings. (See 12 FAM 540). However, this is not always the case and the determination whether material is SBU should be made based on the content rather than the marking of the document. Except as discussed in subsection (f) below, GAO is generally entitled to have access to non-public information where it is relevant to an official engagement within their statutory jurisdiction. This includes, for example, Privacy Act information and visa records. If GAO requests information in this category, L must clear any release and, in the case of internal deliberative material or other material that might fall within subsection (f) below, an action memorandum to P or M is required.
e. Much if not most unclassified information that is not publicly available may be provided to GAO for possession. These documents can be emailed to GAO with clear markings and the caveat that SBU and other non-public Department information should be not be published or distributed beyond GAO without the Department’s consent. SBU may only be transmitted to GAO by the director of CGFS/GAO.
f. GAO may also take temporary possession of copies of such documents on a read and return basis, on the condition that it destroy all such copies or return them to the audit site prior to the end of the engagement. Materials that may be provided to GAO on a read-and-return basis may include personnel data, confidential business information, records pertaining to the issuance or refusal of visas, information regarding infrastructure protection or vulnerabilities, design and construction information, and certain decision memos. A cover letter should be attached to such materials clearly stating that they must be either destroyed or returned to the audit site prior to the end of the engagement. CGFS/GAO should track all such materials that are provided to GAO.
g. The proper method of providing access to unclassified material that is not publicly available should be determined on a case-by-case basis, in consultation with L, with the goal of facilitating GAO’s work while also providing adequate protection to sensitive Department information.
h. Certain highly-sensitive unclassified information that is not publicly available should be made available to GAO for review on premises at the audit site. Examples of such information include materials that fall under subsection (f) below. If the lead bureau POC receives requests for documents that fall within this category, he or she should immediately alert CGFS/GAO.
i. Classified information Classified information is material officially and properly classified at the Confidential, Secret, or Top Secret level under an executive order governing the classification of national security information. In addition, any documents regarding foreign government information provided in confidence where disclosure would be harmful to foreign relations should generally be treated as classified for purposes of these procedures, whether marked so or not as well as international organization information that is restricted from public disclosure (e.g. NATO restricted information). Access may be granted to such documents after a written request is submitted by the GAO concerning a matter within its statutory jurisdiction, approval from P or M, and verification of proper security clearances. However, such information cannot be removed from the Department facility, photocopied, or quoted verbatim. CGFS/GAO will package the classified documents and provide to the GAO audit site for review. The lead bureau must ensure appropriate security clearances of GAO personnel through Diplomatic Security prior to providing the GAO personnel access to classified information, including through classified briefings. It is the responsibility of Department personnel to ensure that all e-mail and sensitive diplomatic communications are appropriately classified and marked.
j. Restricted access SBU or classified information generally not releasable to the GAO includes, but is not limited to:
(1) Internal materials concerning budget plans and requests, other than the official budget data submitted to the Congress. (See OMB Circular A-11.);
(2) Non-public documents concerning an ongoing negotiation or foreign policy initiative or other “real time” document request, such as being added to distribution lists for Executive Branch only products and updates;
(3) Other internal deliberative information, the disclosure of which reasonably could be expected to impair substantially the operations of government. (This may include, for example, certain Action Memoranda or informal e-mail deliberations.);
(4) Law enforcement information;
(5) Attorney-work product prepared in the course of or anticipation of litigation, or attorney-client privileged communications; and
(6) When GAO requests information in any of the above categories, CGFS/GAO and L should be contacted. To the extent such information is provided to GAO with approval from P or M and L, it should be made available for review on premises at the audit site.
k. Third party documents Documents originated by or containing information originated by other agencies cannot be released to the GAO without the consent of the originating agency or agencies. In this category, the practice has been that consent will generally not be granted for the following:
(1) Documents to and/or from the White House or National Security Council, or that address White House or National Security Council initiatives;
(2) Documents addressing on-going criminal investigations or prosecutions; and
(3) Documents related to intelligence or counter-intelligence information.
5 FAH-4 H-717 CONCLUDING ACTIVITIES
(CT:RMH-19; 01-30-2017)
a. Exit meeting An exit meeting will be chaired by CGFS/GAO and conducted just prior to the completion of the draft report. The GAO’s stated purpose for the exit meeting is to confirm that their acquired facts and key information used to formulate GAO’s analyses and findings are current, correct, and complete. The GAO may also discuss preliminary conclusions and potential recommendations.
b. Classification and sensitivity reviews The GAO may request a classification or sensitivity review of the draft report prior to further distribution for agency comment. The GAO does not have classification authority and must rely on the originating agency to review the draft report to ensure that sensitive information (classified or other non-public material) is properly marked and protected from unauthorized disclosure.
c. Draft report Following the exit conference and classification/sensitivity reviews, the GAO will distribute the non-public draft report for agency review and official comment.
d. Comments on draft report. The GAO’s policy is to provide 30 calendar days for Department comments on GAO draft reports. However, circumstances may demand a more rapid response, often within 7-15 days. The Department’s policy is to provide all substantive comments in writing. A formal written response is required when recommendations for the Department are included in the report. The formal written response must respond to each recommendation with sufficient detail to support the Department’s position. The lead bureau may elect to provide a formal response to a GAO report that does not contain Department recommendations. The Department comments will be published as an appendix to the final report. Oral comments may be provided for minor technical or editorial remarks. The lead bureau POC will coordinate the Department’s written comments and clear at the assistant secretary level. A meeting may be convened, if necessary, to resolve differences regarding the draft report conclusions and recommendations. Once fully cleared, the formal written response will be submitted to CGFS/GAO for the comptroller’s final review, signature, and transmittal to the GAO. CGFS/GAO will provide an information copy to the Office of the Inspector General (OIG) and the lead bureau’s assistant secretary.
e. Final reports Unclassified GAO final reports are available on the GAO website. CGFS/GAO will ensure that newly published reports are distributed to all relevant bureau POCs and other interested parties.
5 FAH-4 H-718 DEPARTMENT RESPONSE TO CONGRESS ON GAO REPORTS
(CT:RMH-19; 01-30-2017)
a. Legal requirement When the GAO issues a final report containing recommendations for the Department, in relation to an engagement within its statutory jurisdiction, the Department is required by 31 U.S.C. 720 to submit a written formal response to Congress within 60 days from the date of issue.
b. Initial preparation. The proposed Department reply is prepared in the format prescribed by the Bureau of Legislative Affairs (H). CGFS/GAO may work directly with the lead bureau POC to formulate a response that accurately conveys the Department’s perspective.
c. Content Replies to the GAO report should include a response to each recommendation with sufficient detail to support the Department’s position. A response in which the Department accepts a GAO report recommendation should include an implementation timeline.
d. Oversight The Department response letter is to be prepared in multiple copies and addressed to the chair and ranking member of the following committees:
(1) House Committee on Oversight and Government reform,
(2) Senate Homeland Security and Governmental Affairs committee;
(3) House Committee on appropriations;
(4) Senate Committee on appropriations;
(5) House Foreign Affairs committee;
(6) Senate Foreign Relations committee; and
(7) Committee originating request.
e. Review, clearance, and transmittal The proposed reply is coordinated by the lead bureau POC and cleared with the lead bureau assistant secretary, L, H, and other appropriate bureaus and agencies. Once fully cleared for substance, the letters will be submitted to CGFS/GAO for the comptroller’s final review, clearance, and transmittal to H for signature. H then transmits the letters to Congress and provides CGFS/GAO with a signed copy, which is further disseminated to appropriate Department bureaus, OIG, GAO, and OMB.
5 FAH-4 H-719 Recommendation Follow Up
(CT:RMH-19; 01-30-2017)
After the Department’s response is transmitted to Congress and the GAO, the lead bureau POC will track progress on implementing action identified in the Department’s response. CGFS/GAO may also periodically track progress. It is the Department’s policy to complete action on GAO recommendations accepted by the Department in an expeditious manner that ensures compliance with the timeline identified in the Department’s Congressional response.