Author Description

Pursuant to a congressional request, GAO reviewed the Department of Transportation's (DOT) management and oversight of university research activities, focusing on: (1) all awards made by DOT and its operating administrations for fiscal years (FY) 1991 through 1993, particularly university awards for which Congress earmarked DOT funds; (2) how DOT and its operating administrations plan and track university research activities; and (3) how DOT oversees the financial aspects of university research awards. GAO found that: (1) during FY 1991 through 1993, 141 universities received 608 awards from DOT totalling $190 million; (2) 63 percent of the awards included overhead costs that totalled 20 percent of the total funds; (3) Congress earmarked $178 million in DOT funds to 46 universities or related facilities, of which DOT had obligated $110 million as of September 30, 1993; (4) DOT investment in university research activities has increased 470 percent from FY 1988 through 1993; (5) DOT cannot ensure that its research contracts contribute to advancing technology or that it does not fund duplicative and unnecessary research, since its planning for research activities is diverse and fragmented; (6) although DOT has several systems to track award spending, the systems do not provide complete and accurate information on the total number or purpose of university research awards; (7) as recommended by the National Performance Review, DOT is developing an integrated national transportation research and development plan; (8) DOT is considering developing a centralized database to track its university research projects; and (9) DOT has provided limited financial oversight of its university awards, which has resulted in inadequate management control of the award process, overcharges and questionable costs, and grantees' noncompliance with cost-sharing arrangements.