Dedicated Staff Advise and Assist Agency Staff Implementing Initiatives and Open Innovation- Related Communities of Practice

In addition to developing relevant policies and implementation guidance,  staff from OMB, OSTP, and GSA told us they also provide ongoing  support for the use of open innovation strategies across the federal  government by: answering questions from agency staff, sharing lessons learned, and  providing advice and assistance; hosting training sessions and other events for agency staff to highlight  how agencies can use open innovation strategies and how agencies  have had success using them; and matching agency staff in need of assistance with mentors, advisors, or  partners in other agencies. Key Guidance for Open Innovation Strategies Reflect Practices for Effective Implementation to Differing Extents

We determined that key government-wide guidance developed by OMB,  OSTP, and GSA to support the implementation of various open  innovation strategies reflects practices for effective implementation to  differing extents. Several factors led to these variances, including differing  scopes and methodologies used in their development and the dates when  they were issued. As shown in figure 10, we determined that guidance for crowdsourcing  and citizen science initiatives and prize competitions and challenges fully  reflected these key actions. These resources—policies and  implementation guidance, supporting staff and organizations, and  websites—complement what exists at the government-wide level. The  selected agencies have generally developed, or are developing,  resources for the open innovation strategies they use frequently, to  provide staff with tailored guidance and support. This helps ensure staff  carry out initiatives in a manner that is informed by the agency’s previous  experience and that is consistent with agency procedures. Better incorporating those practices and key  actions would help ensure agency staff are aware of, and can take, the  full range of steps to effectively design, implement, and assess their open  innovation initiatives. We recommend that the Director of the Office of Management and  Budget, the Director of the Office of Science and Technology Policy, and  the Administrator of the General Services Administration enhance key  guidance for open data collaboration initiatives to fully reflect the following  15 key actions:
Clearly define the purpose of engaging the public;
Consider the agency’s capability to implement a strategy, including  leadership support, legal authority, the availability of resources, and  capacity;
Define specific and measurable goals for the initiative;  Identify performance measures to assess progress;
Align goals of the initiative with the agency’s broader mission and
Document the roles and responsibilities for all involved in the initiative;
Develop a plan that identifies specific implementation tasks and time  frames, including those for participant outreach and data collection;
Use multiple outlets and venues to announce the initiative;
Craft announcements to respond to the interests and motivations of
Hold regular check-ins for those involved in the implementation of the
Collect and analyze data to assess goal achievement and results of
Conduct an after-action review to identify lessons learned and
Report on results and lessons learned publicly;
Acknowledge and, where appropriate, reward the efforts and  achievements of partners and participants; and
Seek to maintain communication with, and promote communication  among, members of the community. In comments provided by email, OSTP’s General Counsel stated that  OSTP neither agreed nor disagreed with the recommendations in this  report. GPRAMA also includes a provision  for us to periodically review how implementing the act’s requirements is  affecting agency performance. To determine the extent to which government-wide policies and guidance  reflect practices and key actions for effectively implementing open  innovation strategies, we first, in consultation with OMB, OSTP, and GSA  staff, identified those that were considered key for each type of strategy. Lastly, to identify the resources that selected agencies have put in place,  we reviewed agency policies and guidance, and websites related to the  use and implementation of open innovation strategies from six agencies:  the Departments of Energy (DOE), Health and Human Services (HHS),  Housing and Urban Development (HUD), and Transportation (DOT); the  Environmental Protection Agency (EPA); and the National Aeronautics  and Space Administration (NASA). We selected these agencies based on  various criteria, including the number and variety of open innovation  strategies outlined in their individual agency Open Government Plans.
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 requires agencies to identify strategies and resources they will use to achieve goals. The act also requires GAO to periodically review how implementation of the act's requirements is affecting agency performance. This report identifies the open innovation resources developed by GSA, OMB, OSTP, and six selected agencies, and examines the extent to which key guidance reflects practices for effective implementation.
To address these objectives, GAO identified various resources by reviewing relevant policies, guidance, and websites, and interviewing staff from each agency. GAO selected the six agencies based on several factors, including the number and type of open innovation initiatives outlined in their agency Open Government Plans. GAO also compared guidance to practices and key actions for effective implementation.

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. Agencies have frequently used several open innovation strategies—crowdsourcing and citizen science, ideation, open data collaboration, open dialogues, and prize competitions and challenges—to engage the public. Staff from the General Services Administration (GSA), Office of Management and Budget (OMB), and Office of Science and Technology Policy (OSTP) developed resources to support agency use of these strategies:
to encourage use, clarify legal authorities, and suggest actions for designing and implementing an open innovation initiative;
staff to advise and assist agency staff implementing initiatives and open innovation-related communities of practice; and
websites to improve access to relevant information and potential participants.
Six selected agencies—the Departments of Energy, Health and Human Services, Housing and Urban Development, and Transportation; the Environmental Protection Agency; and the National Aeronautics and Space Administration—also developed resources for those strategies they frequently use. These resources complement those at the government-wide level, providing agency staff with tailored guidance and support to help ensure they carry out initiatives consistent with agency procedures.
For the open innovation strategies identified above, GAO determined that key government-wide guidance developed by GSA, OMB, and OSTP reflect to differing extents practices GAO previously identified for effectively implementing specific initiatives (see table). Several factors led to these variances, including differing scopes and methodologies used in their development, and when they were issued. Better incorporating these practices could help ensure agency staff are aware of, and are able to take, steps to effectively design, implement, and assess their initiatives.

What GAO Recommends

GAO recommends GSA, OMB, and OSTP enhance key guidance for each open innovation strategy to fully reflect practices for effective implementation. GSA and OMB generally agreed with these recommendations. OSTP neither agreed nor disagreed with the recommendations.