In both  of these plans, agencies are directed to identify the various strategies and  resources they will use to achieve their goals. These outside parties include those in the private, nonprofit,  and academic sectors. Practices That Facilitate the Effective Implementation of Open Innovation Initiatives

Based on our review of agency Open Government Plans and other  sources, we found that agencies have frequently used the five open  innovation strategies shown below to collaborate with citizens and  external parties, and encourage their participation in agency efforts. We identified seven practices that federal agencies can use to help  effectively design, implement, and assess open innovation initiatives. These practices are detailed below. Select the Strategy Appropriate for the Purpose of Engaging the Public and the Agency’s Capabilities

Through our analysis of relevant literature and interviews with experts, we  identified several factors agency officials should consider when selecting  the most appropriate open innovation strategy or strategies to use for an  initiative. In March 2014, NASA officially announced the Asteroid Data Hunter  challenge and citizen science effort to develop the more accurate  algorithm. It can also help mobilize a broader community of  external stakeholders and partner organizations. DOT Involves Stakeholders in an Ideation Initiative to Identify and Implement Improvements in Highway Transportation

The Federal Highway Administration’s (FHWA) Every Day Counts (EDC)  is an example of an ideation initiative. According  to our literature review and interviews with experts and agency officials,  the agency and any partners should develop a detailed implementation  plan for the initiative  that clearly identifies  the specific tasks and actions needed to carry out the initiative, the  parties responsible for completing them, and the timeframes for doing  so; potential participant groups to engage in the initiative, including when  and how the agency and any partners will reach out to various  participant groups and encourage them to participate, and how they  will engage with participants during and after the initiative’s  implementation; and what data will be collected, and how, during and after implementation,  and how the data will be evaluated to determine overall results and  progress towards the initiative’s stated goals. Appendix I: Objectives, Scope, and Methodology

The GPRA Modernization Act of 2010 includes a provision for us to  periodically review how implementation of its requirements is affecting  agency performance. Our specific objective for this report is to identify, and illustrate through  selected agency examples, practices that facilitate the effective  implementation of open innovation strategies and the effects, if any, the  use of those strategies have had on agency performance and  opportunities for citizen engagement. To identify the various open innovation strategies federal agencies have  used to facilitate participation by, and collaboration with, citizens and  other non-profit, academic, and private sector partners, we reviewed  documents, reports, and resources from the Office of Management and  Budget (OMB), the Office of Science and Technology Policy (OSTP), and  the General Services Administration (GSA), and analyzed the Open  Government Plans of federal agencies. To illustrate how actions that selected agencies have taken to carry out  open innovation initiatives have reflected effective practices, and the  effects the application of these practices had on agency performance and  citizen engagement, we selected six agencies for more in-depth review:  the Departments of Energy, Health and Human Services, Housing and  Urban Development, and Transportation (DOT); the Environmental  Protection Agency; and the National Aeronautics and Space  Administration.
Why GAO Did This Study

To address the complex and crosscutting challenges facing the federal government, agencies need to effectively engage and collaborate with those in the private, nonprofit, and academic sectors, other levels of government, and citizens. Agencies are increasingly using open innovation strategies for these purposes.
The GPRA Modernization Act of 2010 (GPRAMA) requires federal agencies to identify strategies and resources they will use to achieve their goals. GPRAMA also requires GAO to periodically review how implementation of its requirements is affecting agency performance. This report identifies and illustrates practices that help agencies effectively implement open innovation strategies, and how the use of those strategies has affected agency performance and opportunities for citizen engagement.
To identify these practices, GAO analyzed relevant federal guidance and academic literature, and interviewed open innovation experts. To refine and illustrate the practices, GAO reviewed documents and interviewed officials from the Office of Management and Budget, Office of Science and Technology Policy, General Services Administration, and six selected federal agencies. GAO selected the agencies and a sample of their initiatives based on several factors, including the number and type of initiatives outlined in their Open Government Plans.

What GAO Found

Open innovation involves using various tools and approaches to harness the ideas, expertise, and resources of those outside an organization to address an issue or achieve specific goals. GAO found that federal agencies have frequently used five open innovation strategies to collaborate with citizens and external stakeholders, and encourage their participation in agency initiatives.
GAO identified seven practices that agencies can use to effectively implement initiatives that involve the use of these strategies:
Select the strategy appropriate for the purpose of engaging the public and the agency’s capabilities.
Clearly define specific goals and performance measures for the initiative.
Identify and engage external stakeholders and potential partners.
Develop plans for implementing the initiative and recruiting participants.
Engage participants and partners while implementing the initiative.
Collect and assess relevant data and report results.
Sustain communities of interested partners and participants.
Aspects of these practices are illustrated by the 15 open innovation initiatives GAO reviewed at six selected agencies: the Departments of Energy, Health and Human Services, Housing and Urban Development, and Transportation (DOT); the Environmental Protection Agency; and the National Aeronautics and Space Administration (NASA). For example:
With the Asteroid Data Hunter challenge, NASA used a challenge and citizen science effort, beginning in 2014, to improve the accuracy of its asteroid detection program and develop an application for citizen scientists.
Since 2009, DOT’s Federal Highway Administration has used an ideation initiative called Every Day Counts to identify innovations to improve highway project delivery. Teams of federal, state, local, and industry experts then implement the ideas chosen through this process.