Notice of Proposed Rulemaking (NPRM). FCC Uses OMB- Approved Collection Instruments to Gather a Wide Variety of Information on the Industries That It Regulates

As of April 2009, FCC used 413 OMB-approved information collection  instruments to gather information, maintain records, or disclose information;  however, the amount of information collected and managed varied by bureau  or office. Requirements. FCC  regulations require companies to provide a variety of information. For example, the Media Bureau gathers license application  information from companies seeking to provide radio and television  broadcast service. Complaints. Financial and accounting. Other. FCC Bureaus and Offices Collect and Manage Most of the Commission’s Information Following Commissionwide Programs, Policies, and Procedures

FCC has established commissionwide programs, policies, and procedures  for the collection and management of information; FCC articulates these  policies and procedures in its records management program, forms  management program, security policies and procedures, and information  system protection. These directives  help ensure FCC’s compliance with governmentwide laws and regulations  pertaining to information collection and management, such as the PRA  and FISMA. 2. As the primary users of  information, FCC’s bureaus and offices manage most of the commission’s  information collected through OMB-approved collection instruments. Information dissemination. Of the 15 respondents, 11 reported that some of the information collected  is disseminated to the public on FCC’s Web site. FCC’s Bureaus and Offices Follow Commission- and Governmentwide Guidance, but Prior GAO Reports and Some Stakeholders Identified Certain Weaknesses in FCC’s Information Collection and Management Practices

According to our review of 30 OMB-approved information collections,  FCC’s bureaus and offices appear to follow commission- and  governmentwide policies and procedures for the collection and  management of information. In particular, these  reported weaknesses concern FCC’s information collection processes and  the estimated burden hours associated with FCC’s information collections. FCC bureaus and offices responsible for the collections  reported using a variety of quality control procedures for managing the  collections to ensure the accuracy and integrity of the information in the  collections. Prior GAO Reports and Some Stakeholders Identified Certain Weaknesses in FCC’s Information Collection and Management Practices

As mentioned previously, in several reports, we have found weaknesses in  certain information collection, management, and reporting processes at  FCC. In several instances, FCC has not implemented our  recommendations. For  example, four stakeholders said that FCC does not initially specify the  information that it wants to gather through a proposed collection instrument  in the NPRM. The lack of specificity  in the NPRM makes it harder for stakeholders and the public to provide  meaningful input on the proposed information collection instrument. In its request, OMB noted that  agencies’ estimation methodologies can sometimes produce imprecise and  inconsistent estimates of the burdens associated with information  collection instruments. In particular, the Chairman sought information  on whether any (1) new information should be collected to support the  commission’s mission, (2) existing information reporting requirements  could be streamlined or eliminated because they are unduly burdensome  or no longer relevant, and (3) existing technological platforms and  management processes could be modernized in order to make the  commission’s use of information more efficient and effective. According to FCC officials, OSPPA has taken several steps to carry out the  Chairman’s request. Appendix I: Objectives, Scope, and Methodology

This report examines (1) the information the Federal Communication  Commission (FCC) collects; (2) how FCC collects and manages  information; (3) the strengths and weaknesses, if any, in FCC’s  information collection and management practices; and (4) the status of  FCC’s internal review of its information collection and management  practices. To describe the steps FCC is taking to address information management  weaknesses, we reviewed a memoranda dated July 22, 2009, from the FCC  Chairman initiating a review of the commission’s information management  collections and processes.
Why GAO Did This Study

The Federal Communications Commission (FCC) regulates industries that affect the lives of virtually all Americans. FCC-regulated industries provide Americans with daily access to communications services, including wireline and wireless telephone, radio, and television. To ensure FCC is carrying out its mission, the commission requires a significant amount of information, such as ownership and operating information from radio and television stations. In prior reports, GAO has found weaknesses with FCC's information collection, management, and reporting processes. While FCC has taken action, the commission has not implemented all the recommendations associated with information collection, management, and reporting. As requested, this report provides information on (1) the information FCC collects; (2) how FCC collects and manages information; (3) the strengths and weaknesses, if any, in FCC's information collection and management practices; and (4) the status of FCC's internal review of its information collection and management practices. To complete this work, GAO gathered information on FCC's information collection efforts, reviewed information collection and management practices for 30 collection instruments, interviewed agency officials and industry stakeholders, and reviewed relevant laws and guidance. FCC provided comments which discuss its efforts to improve data management.

What GAO Found

FCC gathers a wide variety of information though information collection instruments. FCC gathers information through 413 collection instruments approved by the Office of Management and Budget (OMB). Through these OMB-approved collection instruments, FCC gathers information pertaining to (1) required company filings, such as the ownership of television stations; (2) applications for FCC licenses; (3) consumer complaints; (4) company financial and accounting performance; and (5) a variety of other issues, such as an annual survey of cable operators. FCC estimates that it receives nearly 385 million responses with an estimated 57 million burden hours associated with the 413 collection instruments. FCC's bureaus and offices collect and manage most commission information following commissionwide programs, policies, and procedures. FCC articulates its commissionwide programs, policies, and procedures in several directives, including its records management program. These directives help ensure FCC's compliance with governmentwide laws and regulations. Since FCC's bureaus and offices are the primary users of information, implementing decisions generally occur at that level. According to GAO's review of 30 information collections, FCC's bureaus and offices collect and manage information in a variety of ways. For example, FCC collects and manages 14 of the 30 information collections electronically, while it collects and manages some information in paper format. FCC disseminates information from 11 of the 30 information collections on its Web site, while it disseminates some information upon request, but in a redacted format. According to GAO's review of 30 information collections, FCC's bureaus and offices appear to follow commission- and governmentwide guidance, such as quality control procedures and safeguards for sensitive information. However, prior GAO reports and some stakeholders identified certain weaknesses with FCC's information collection and management practices. These weaknesses concern FCC's information collection processes and the accuracy of the estimated burden hours associated with FCC's information collections. For example, GAO recently reported that FCC rarely includes the text of a proposed rule in its Notice of Proposed Rulemaking, and stakeholders similarly noted that FCC does not initially specify the information that it wants to gather in the notice; the lack of specificity makes it harder for stakeholders and the public to provide meaningful input on the proposed information collection instrument. Recognizing the need to improve the commission's information practices, in July 2009, FCC's Chairman initiated a review of the commission's systems and processes. The Chairman sought to address whether (1) new information should be collected, (2) existing information reporting requirements could be streamlined or eliminated, and (3) existing technology and management processes could be modernized in order to make the commission's use of information more efficient and effective. FCC staff have taken several steps to implement the review and the effort continues.