How to Respond to Draft and Final General Accounting Office (GAO) Reports
Updated 10/13/09

In response to Congressional concerns, the GAO conducts reviews which require assistance from ITA program units. Here are the key steps in the process:

• Notification Letter - GAO issues a written statement to the Secretary of Commerce requesting an entrance conference, indicating the subject, the overall objective, and the anticipated time frame of the proposed GAO review.  GAO is required by Congress to submit the notification letter at the beginning of each study.  If you are contacted directly by GAO, please contact Dianna Finley, Acting Office of Management and Operation (OMO), 202-482-1653 to ensure that the Department and ITA have received official notification.
• Attend Entrance Conference - GAO briefs ITA staff on the scope, objectives, and time frame of the proposed GAO review. ITA's liaison with GAO will schedule the entrance conference and contact the appropriate ITA personnel.
• Participate in GAO Review - GAO officials gather data, conduct interviews, evaluate activities, and analyze issues. ITA staff provides requested information and assistance.
• Attend Exit Conference - GAO officials brief ITA personnel on the findings from the subject review;
• Review Draft Report - A draft report is prepared by GAO, which seeks ITA program comments within a specified time frame (usually 45 days).  ITA prepares and submits comments to GAO.
• Review Final Report - GAO may request comments after a final report is issued. In this case, ITA will prepare comments.
• Implement Recommendations - ITA implements GAO recommendations and reports status to the Department as requested.

RESPONDING TO A DRAFT GAO REPORT

• Receive Report - ITA receives a draft GAO report and an ITA Secretariat Control Ticket assigning an action official.  If an ITA Secretariat Control Ticket is not attached to the report, contact Dianna Finley, Acting Office of Organization and Management Support (OMO), 202-482-1653.
• Review Report - The ITA action official reviews the draft report and, as necessary, contacts ITA's liaison with GAO for guidance and format of response.
• Obtain Comments - Other ITA units may be assigned, on the ITA Secretariat Control Ticket, to provide comments to the action official. The action official will contact these units to obtain their input.
• Prepare and Clear Response - The action official completes the draft response, prepares a decision memo for the appropriate signature, obtains program unit clearances, and obtains clearance of the Director, Office of Management and Operation. The draft response is then submitted to the appropriate ITA or Department official.  After signature, the response is forwarded to GAO.

RESPONDING TO A FINAL GAO REPORT

• Receive Final Report - ITA receives a final GAO report and prepares an ITA Secretariat Control Ticket assigning an action official. If an ITA Secretariat Control Ticket is not attached to the report, contact Dianna Finley, Acting Office of Management and Operation (OMO), 202-482-1653.
• Prepare Response - If a response is required, the action official prepares a response for the signature of the appropriate official, obtains program unit clearances, and obtains clearance of the Director, Office of Management and Operation. After final signature, the response is forwarded to GAO.
• Implementation - GAO may make recommendations to ITA in its final report. The ITA action official will implement these recommendations. ITA program units must report as requested on the status of recommendations until they are completed.

For additional information contact: Dianna Finley, Acting at 202-482-1653 or e-mail Dianna.Finley@trade.gov .