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U.S. GAO - Federal Contracts and Grants: Agencies Have Taken Steps to Improve Suspension an... Page 1 of <br />FEDERAL CONTRACTS AND GRANTS: <br />Agencies Have Taken Steps to Improve Suspension and Debarment Programs <br />GAO -14 -513: Published: May 21, 2014. Publicly Released: May 21, 2014. <br />What GAO Found <br />The six agencies GAO reviewed all took action to incorporate characteristics associated with active suspension and debarment programs. Since GAO made recommendations <br />to do so in 2011, the agencies have addressed staffing issues through actions such as defining roles and responsibilities, adding positions, and consolidating suspension and <br />debarment functions. The agencies also have issued formal policies and promulgated detailed guidance. Finally, the agencies have engaged in practices that encourage an <br />active referral process, such as establishing positions to ensure cases are referred for possible action, and developing case management tools. <br />The number of suspension and debarment actions government -wide has more than doubled from 1,836 in fiscal year 2009 to 4,812 in fiscal year 2013. The number of <br />suspension and debarment actions for the six agencies increased from 19 in fiscal year 2009 to 271 in fiscal year 2013 (see table below). The six agencies generally <br />experienced a notable increase starting in fiscal year 2011 when the agencies began to take action to incorporate the characteristics associated with active suspension and <br />debarment programs. <br />Suspension and Debarment Actions Reported for Fiscal Years 2009 -2013 <br />Agency <br />Total number of suspension and debarment <br />actions <br />2009 <br />2010 <br />2011 <br />2012 <br />2013 <br />Department of Commerce <br />0 <br />0 <br />9 <br />34 <br />8 <br />Department of Health and Human Services <br />3 <br />6 <br />10 <br />1 <br />47 <br />Department of Justice <br />8 <br />5 <br />50 <br />37 <br />64 <br />Department of State <br />8 <br />7 <br />17 <br />50 <br />96 <br />Department of the Treasury <br />0 <br />1 <br />4 <br />8 <br />4, <br />Federal Emergency Management Agency <br />0 <br />0 <br />14 <br />8 <br />52 <br />Total <br />19 <br />19 <br />104 <br />138 <br />271 <br />Source: GAO presentation of agency data reported to the Interagency Suspension and Debarment Committee. <br />Note: Total number of suspension and debarment actions includes procurement and nonprocurement- related suspensions, proposed debarments, and debarments. <br />The Office of Management and Budget (OMB) and the Interagency Suspension and Debarment Committee (ISDC) have taken action to strengthen government -wide <br />suspension and debarment efforts. In November 2011, OMB directed agencies to address weaknesses and reinforce best practices in their suspension and debarment <br />programs. The ISDC reported to Congress in September 2012 that, per OMB direction, the 24 standing member agencies of the ISDC had <br />an accountable official in place responsible for suspension and debarment; <br />taken steps to address resources, policies, or both; and <br />procedures to forward matters to the suspension and debarment official for possible action. <br />The ISDC has promoted best practices, coordinated mentodng and training, and helped coordinate lead agency responsibility when multiple agencies have an interest in <br />pursuing suspension and debarment of the same entity. Reported increases in the number of suspension or debarment actions suggest that its efforts have been effective. <br />ISDC officials emphasized that increased activity has been coupled with an increased capability to use suspension and debarment appropriately while adhering to the <br />principles of fairness and due process. <br />Why GAO Did This Study <br />To protect the governmenfs interests, agencies can use suspension and debarment to exclude individuals, contractors, and grantees from receiving future contracts, grants, <br />and other federal assistance due to various types of misconduct. In 2011, GAO reviewed ten agencies and found that agencies issuing the most procurement related <br />suspensions and debarments shared common characteristics: dedicated staff, detailed policies and procedures, and an active referral process. GAO recommended that six <br />agencies —the Departments of Commerce, Health and Human Services, Justice, State, the Treasury, and the Federal Emergency Management Agency — incorporate those <br />characteristics, and that OMB issue guidance to improve oversight and government -wide suspension and debarment efforts. <br />GAO was asked to review actions taken to implement the 2011 recommendations. This report examines (1) actions taken by the six agencies to incorporate characteristics of <br />active suspension and debarment programs; (2) changes in the level of suspension and debarment activity; and (3) actions taken to improve oversight and government-wide <br />efforts. To do so. GAO reviewed suspension and debarment programs, interviewed agency officials, verified the accuracy of agency data, and reviewed government -wide <br />efforts. <br />GAO is not making any new recommendations in this report. OMB commented that it is pleased with the progress that agencies have made and with the work of the ISDC.The <br />other agencies did not provide substantive comments. <br />For more information, contact William T. Woods at (202) 512 -4841 or woodsy @gao.gov. <br />http: / /www.gao.gov /products /GAO -14 -513 7/7/2015 <br />