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    Results:

    Topic: "Justice and Law Enforcement"

    90 publications with a total of 267 open recommendations including 41 priority recommendations
    Director: Thomas Melito
    Phone: (202) 512-9601

    3 open recommendations
    Recommendation: The Assistant Secretary of State for Educational and Cultural Affairs should work with other U.S. federal entities participating in the CHCC to develop goals for the CHCC and its working groups. (Recommendation 1)

    Agency: Department of State
    Status: Open

    Comments: When we confirm what actions the agency has taken in response to this recommendation, we will provide updated information.
    Recommendation: The Assistant Secretary of State for Educational and Cultural Affairs should work with other U.S. federal entities participating in the CHCC to clarify participants' roles and responsibilities in the CHCC and its working groups. (Recommendation 2)

    Agency: Department of State
    Status: Open

    Comments: When we confirm what actions the agency has taken in response to this recommendation, we will provide updated information.
    Recommendation: The Assistant Secretary of State for Educational and Cultural Affairs should work with other U.S. federal entities participating in the CHCC to document agreement about how the CHCC and its working groups will collaborate, such as their goals and participants' roles and responsibilities. (Recommendation 3)

    Agency: Department of State
    Status: Open

    Comments: When we confirm what actions the agency has taken in response to this recommendation, we will provide updated information.
    Director: Rebecca Gambler
    Phone: (202) 512-8777

    6 open recommendations
    Recommendation: To better assess whether RSCs are meeting USRAP objectives, the Assistant Secretary of State for Population, Refugees, and Migration should develop outcome-based indicators, as required by State policy.

    Agency: Department of State: Bureau of Population, Refugees and Migration
    Status: Open

    Comments: When we confirm what actions the agency has taken in response to this recommendation, we will provide updated information.
    Recommendation: To better assess whether RSCs are meeting USRAP objectives, the Assistant Secretary of State for Population, Refugees, and Migration should monitor RSC performance against such indicators on a regular basis.

    Agency: Department of State: Bureau of Population, Refugees and Migration
    Status: Open

    Comments: When we confirm what actions the agency has taken in response to this recommendation, we will provide updated information.
    Recommendation: To better ensure that USCIS officers effectively adjudicate applications for refugee status, the Director of USCIS should develop and implement a plan to deploy officers with national security expertise on circuit rides.

    Agency: Department of Homeland Security: United States Citizenship and Immigration Services
    Status: Open

    Comments: When we confirm what actions the agency has taken in response to this recommendation, we will provide updated information.
    Recommendation: To better ensure that USCIS officers effectively adjudicate applications for refugee status, the Director of USCIS should conduct regular quality assurance assessments of refugee application adjudications across USCIS's Refugee Affairs Division and International Operations Division.

    Agency: Department of Homeland Security: United States Citizenship and Immigration Services
    Status: Open

    Comments: USCIS provided documentation that U.S. Citizenship and Immigration Services (USCIS) officials conducted a quality assurance assessment of refugee adjudications in July 2017 and has plans to conduct an additional quality assurance assessment in January or February 2018. To fully address this recommendation, USCIS should demonstrate a continued commitment to conducting regular quality assurance assessments of refugee application adjudications.
    Recommendation: To provide reasonable assurance that USRAP applicant fraud prevention and detection controls are adequate and effectively implemented, the Secretaries of Homeland Security and State should conduct regular joint assessments of applicant fraud risk across USRAP.

    Agency: Department of Homeland Security
    Status: Open

    Comments: When we confirm what actions the agency has taken in response to this recommendation, we will provide updated information.
    Recommendation: To provide reasonable assurance that USRAP applicant fraud prevention and detection controls are adequate and effectively implemented, the Secretaries of Homeland Security and State should conduct regular joint assessments of applicant fraud risk across USRAP.

    Agency: Department of State
    Status: Open

    Comments: When we confirm what actions the agency has taken in response to this recommendation, we will provide updated information.
    Director: Melito, Thomas
    Phone: (202) 512-9601

    3 open recommendations
    Recommendation: To support efforts to reduce staff fraud at RSCs, the Secretary of State should direct the Bureau of Population, Refugees, and Migration to actively pursue efforts to ensure that RSCs comply with required, applicable measures in the Program Integrity Guidelines.

    Agency: Department of State
    Status: Open

    Comments: The State Department concurred with our recommendation and agreed with GAO's assessment that these measures will support efforts to reduce staff fraud at Resettlement Support Centers (RSC). According to State officials, the Bureau of Population, Refugees, and Migration (PRM) has developed new guidance to enhance monitoring of RSCs. They explained that a new monitoring and evaluation framework serves as the foundational document for this guidance, which has incorporated and formalized PRM's existing RSC monitoring practices and established further requirements to address gaps identified by internal and external evaluative processes. According to the officials, the framework outlines roles, responsibilities, and tools for program officers and refugee coordinators. These responsibilities include formalizing and expanding monitoring of RSC compliance with the Program Integrity Guidelines. When we confirm what actions the agency has taken in response to this recommendation, we will provide updated information.
    Recommendation: To better identify risks from RSC staff fraud, the Secretary of State should direct the Bureau of Population, Refugees, and Migration to update guidance, such as the Program Integrity Guidelines, to require each RSC to conduct regular staff fraud risk assessments that are tailored to each RSC's specific operations.

    Agency: Department of State
    Status: Open

    Comments: The State Department concurred with our recommendation and agreed with GAO's assessment that this requirement would strengthen Resettlement Support Centers' (RSCs) ability to identify risks of staff fraud. When we confirm what actions the agency has taken in response to this recommendation, we will provide updated information.
    Recommendation: To help ensure that control activities are designed to mitigate identified RSC staff fraud risks, the Secretary of State should direct the Bureau of Population, Refugees, and Migration to regularly review RSC staff fraud risk assessments and use them to examine the suitability of existing staff fraud controls and revise controls as appropriate.

    Agency: Department of State
    Status: Open

    Comments: The State Department concurred with our recommendation and agreed with GAO's assessment that this would help ensure that control activities are designed to mitigate identified Resettlement Support Centers (RSC) staff fraud risks. When we confirm what actions the agency has taken in response to this recommendation, we will provide updated information.
    Director: Gregory C. Wilshusen
    Phone: (202) 512-6244

    5 open recommendations
    Recommendation: To improve the consistency and effectiveness of governmentwide efforts to reduce the unnecessary use of SSNs and thereby mitigate the risk of identity theft, the Director of OMB should specify elements that agency plans for reducing the unnecessary collection, use, and display of SSNs should contain and require all agencies to develop and maintain complete plans.

    Agency: Executive Office of the President: Office of Management and Budget
    Status: Open

    Comments: When we confirm what actions the agency has taken in response to this recommendation, we will provide updated information.
    Recommendation: To improve the consistency and effectiveness of governmentwide efforts to reduce the unnecessary use of SSNs and thereby mitigate the risk of identity theft, the Director of OMB should require agencies to modify their inventories of systems containing personally identifiable information to indicate which systems contain SSNs and use the inventories to monitor their reduction of unnecessary collection and use of SSNs.

    Agency: Executive Office of the President: Office of Management and Budget
    Status: Open

    Comments: When we confirm what actions the agency has taken in response to this recommendation, we will provide updated information.
    Recommendation: To improve the consistency and effectiveness of governmentwide efforts to reduce the unnecessary use of SSNs and thereby mitigate the risk of identity theft, the Director of OMB should provide criteria to agencies on how to determine unnecessary use of SSNs to facilitate consistent application across the federal government.

    Agency: Executive Office of the President: Office of Management and Budget
    Status: Open

    Comments: When we confirm what actions the agency has taken in response to this recommendation, we will provide updated information.
    Recommendation: To improve the consistency and effectiveness of governmentwide efforts to reduce the unnecessary use of SSNs and thereby mitigate the risk of identity theft, the Director of OMB should take steps to ensure that agencies provide up-to-date status reports on their progress in eliminating unnecessary SSN collection, use, and display in their annual Federal Information Security Modernization Act of 2014 reports.

    Agency: Executive Office of the President: Office of Management and Budget
    Status: Open

    Comments: When we confirm what actions the agency has taken in response to this recommendation, we will provide updated information.
    Recommendation: To improve the consistency and effectiveness of governmentwide efforts to reduce the unnecessary use of SSNs and thereby mitigate the risk of identity theft, the Director of OMB should establish performance measures to monitor agency progress in consistently and effectively implementing planned reduction efforts.

    Agency: Executive Office of the President: Office of Management and Budget
    Status: Open

    Comments: When we confirm what actions the agency has taken in response to this recommendation, we will provide updated information.
    Director: Gretta L. Goodwin
    Phone: (202) 512-8777

    5 open recommendations
    Recommendation: To better understand the available opportunities for collecting inmate health care utilization data, BOP should conduct a cost-effectiveness analysis of potential solutions, and take steps toward implementation of the most effective solution.

    Agency: Department of Justice: Bureau of Prisons
    Status: Open

    Comments: When we confirm what actions the agency has taken in response to this recommendation, we will provide updated information.
    Recommendation: To better understand the available opportunities for controlling health care costs, BOP should implement its guidance to conduct "spend analyses" of BOP's health care spending, using data sources already available

    Agency: Department of Justice: Bureau of Prisons
    Status: Open

    Comments: When we confirm what actions the agency has taken in response to this recommendation, we will provide updated information.
    Recommendation: To determine the actual or likely effectiveness of its ongoing or planned health care cost control initiatives, BOP should evaluate the extent to which its initiatives achieve their cost control aim.

    Agency: Department of Justice: Bureau of Prisons
    Status: Open

    Comments: When we confirm what actions the agency has taken in response to this recommendation, we will provide updated information.
    Recommendation: To enhance its strategic planning for and implementation of health care cost control efforts, BOP should incorporate elements of a sound planning approach and (1) establish a means of measuring progress toward and effectiveness of its activities for its current strategic objectives and goals related to controlling health care costs; and (2) identify the resources and investments necessary for implementation of its planned health care cost control initiatives.

    Agency: Department of Justice: Bureau of Prisons
    Status: Open

    Comments: When we confirm what actions the agency has taken in response to this recommendation, we will provide updated information.
    Recommendation: To improve the reliability and utility of its Federal Medical Center mission analyses, BOP should document the analyses and findings that underlie its recommendations.

    Agency: Department of Justice: Bureau of Prisons
    Status: Open

    Comments: When we confirm what actions the agency has taken in response to this recommendation, we will provide updated information.
    Director: Maurer, Diana C
    Phone: (202) 512-8777

    1 open recommendations
    Recommendation: To better ensure that the FBI Laboratory obtains additional transcripts, the FBI Director should require that the FBI Laboratory's procedure for tracking and obtaining transcripts routinely captures and uses additional information and data critical to transcript acquisition, such as the reason a transcript is unavailable, when it is expected to be available, the court jurisdiction, and a point of contact for the transcript.

    Agency: Department of Justice: Federal Bureau of Investigation
    Status: Open

    Comments: When we confirm what actions the agency has taken in response to this recommendation, we will provide updated information.
    Director: Rebecca Gambler
    Phone: (202) 512-8777

    11 open recommendations
    Recommendation: To better address current and future staffing needs, the Director of EOIR should develop and implement a strategic workforce plan that addresses, among other areas, key principles of effective strategic workforce planning, including (1) determining critical skills and competencies needed to achieve current and future programmatic results; (2) developing strategies that are tailored to address gaps in number, deployment, and alignment of human capital approaches for enabling and sustaining the contributions of all critical skills and competencies; and (3) monitoring and evaluation of the agency's progress toward its human capital goals and the contribution that human capital results have made toward achieving programmatic results.

    Agency: Department of Justice: Executive Office for Immigration Review
    Status: Open

    Comments: In August 2017, EOIR officials reported that its Immigration Court Staffing Committee, established in April 2017, would, among other things, examine how to best leverage the judicial and court staff workload model to address its short- and long-term staffing needs, assess the critical skills and competencies needed to achieve future programmatic results, and develop strategies to address human capital gaps. This committee expects to complete its work in March 2018. EOIR also reported that it is developing an agency-wide strategic plan that includes human capital planning as a critical component, which will be used to guide workforce planning for the entire agency. To fully address this recommendation, EOIR's Immigration Court Staffing Committee should complete its work and provide documentation demonstrating that it: 1) addressed the agency's short- and long-term staffing needs; 2) identified the critical skills and competencies needed to achieve future programmatic results; and 3) developed strategies to address human capital gaps. EOIR should also provide documentation, including the completed strategic plan, describing how the agency tailored its human capital strategies to address gaps in the number, deployment, and alignment of human capital approaches; and is monitoring and evaluating the agency's progress toward its human capital goals.
    Recommendation: To better address EOIR's immigration judge staffing needs, the Director of EOIR should: (1) assess the immigration judge hiring process to identify opportunities for efficiency; (2) use the assessment results to develop a hiring strategy that targets short- and long-term human capital needs; and (3) implement any corrective actions related to the hiring process resulting from this assessment.

    Agency: Department of Justice: Executive Office for Immigration Review
    Status: Open

    Comments: In August 2017, EOIR stated that it is actively implementing a new streamlined hiring plan that aims to reduce the hiring timeline. According to EOIR, this revised hiring plan, among other things, sets clear deadlines for assessing applicants moving through different stages of the process and for making decisions on advancing applicants to the next stage, as well as allows for temporary appointments for all selected judges pending full background investigations. EOIR stated that it will use this revised process in the future to fill judge vacancies. Regarding the development of a hiring strategy, EOIR stated that it recognizes the importance of assessing immigration judge hiring needs holistically to continue to develop an overall immigration judge hiring strategy, and will utilize a planned human capital strategy and additional data to further refine the hiring process. To fully address this recommendation, EOIR should continue its efforts to assess and improve its hiring process and provide documentation describing: 1) its new hiring process, including how EOIR assessed the prior hiring process to identify opportunities for efficiency; 2) its hiring strategy targeting short- and long-term human capital needs; and (3) the corrective actions EOIR implemented in response to the assessment results, such as eliminating procedures that increased the length of the hiring process.
    Recommendation: To help ensure that EOIR meets its cost and schedule expectations for EOIR Courts and Appeals Systems (ECAS), the EOIR Director should identify and establish the appropriate entity for exercising oversight over ECAS through full implementation.

    Agency: Department of Justice: Executive Office for Immigration Review
    Status: Open

    Comments: As of August 2017, EOIR reported that it had selected the EOIR Investment Review Board to serve as the ECAS oversight body with the Office of Information Technology (OIT) directly responsible for the management of the ECAS program. To fully address this recommendation, EOIR should provide documentation related to this decision.
    Recommendation: To help ensure that EOIR meets its cost and schedule expectations for ECAS, the EOIR Director should document and implement an oversight plan that is consistent with best practices for overseeing IT projects, including (1) establishing how the oversight body is to monitor program performance and progress toward expected cost, schedule, and benefits; (2) ensuring that corrective actions are identified and assigned to the appropriate parties at the first sign of cost, schedule, or performance slippages; and (3) ensuring that corrective actions are tracked until the desired outcomes are achieved.

    Agency: Department of Justice: Executive Office for Immigration Review
    Status: Open

    Comments: As of August 2017, EOIR reported that it had selected the EOIR Investment Review Board to serve as the ECAS oversight body with the Office of Information Technology (OIT) directly responsible for the management of the ECAS program. According to EOIR, OIT will record on a weekly basis all financial metrics, risks, issues, and corrective actions in EOIR's project management tool, as well as regularly evaluating the program's performance and progress and immediately implementing any needed corrective actions. To fully address this recommendation, EOIR should document and implement an oversight plan that describes how the EOIR Investment Review Board and OIT will oversee the full implementation of ECAS, including how these bodies will, consistent with best practices for overseeing IT projects: 1) monitor program performance and progress toward expected cost, schedule, and benefits; (2) ensure that corrective actions are identified and assigned to the appropriate parties at the first sign of cost, schedule, or performance slippages; and (3) ensure that corrective actions are tracked until the desired outcomes are achieved.
    Recommendation: To provide further assurance that EOIR's use of video teleconference (VTC) in immigration hearings is outcome-neutral, the Director of EOIR should collect more complete and reliable data on the number and type of hearings it conducts through VTC.

    Agency: Department of Justice: Executive Office for Immigration Review
    Status: Open

    Comments: In August 2017, EOIR stated that it is studying how to collect more complete and reliable data on the number and type of hearings it conducts through video teleconference (VTC). To fully address this recommendation, once EOIR determines how to collect more complete and reliable VTC hearing data, EOIR should provide documentation describing its approach and evidence of its implementation.
    Recommendation: To provide further assurance that EOIR's use of VTC in immigration hearings is outcome-neutral, the Director of EOIR should collect data on appeals in which the use of VTC formed some basis for the appeal, and the number of in-person hearing motions filed.

    Agency: Department of Justice: Executive Office for Immigration Review
    Status: Open

    Comments: In August 2017, EOIR stated that it is planning a pilot project to collect data on the number and type of appeals to the Board of Immigration Appeals (BIA) in which the use of video teleconference (VTC) formed an element of the basis for the appeal. EOIR expects to begin this 6-month pilot project in the first quarter of fiscal year 2018. Additionally, EOIR stated that it will assess the feasibility of collecting data on the number of filed motions requesting an in-person hearing instead of a VTC hearing. To fully address this recommendation, EOIR should continue these efforts and begin systematically collecting data on appeals in which the use of VTC formed some basis for the appeal and the number of in-person hearing motions filed.
    Recommendation: To provide further assurance that EOIR's use of VTC in immigration hearings is outcome-neutral, the Director of EOIR should use these and other data to assess any effects of VTC on immigration hearings and, as appropriate, address any issues identified through such an assessment.

    Agency: Department of Justice: Executive Office for Immigration Review
    Status: Open

    Comments: In August 2017, EOIR stated that it intends to analyze data on appeals in which the use of VTC formed some basis for the appeal from the Board of Immigration Appeals' pilot program as well as other data to further assess any effects of video teleconference (VTC) usage on immigration hearings. To fully address this recommendation, EOIR should, pending the results of the pilot program, use these and other data to assess any effects of VTC on immigration hearings and, as appropriate, address any issues identified through such an assessment.
    Recommendation: To further ensure that EOIR's VTC hearings meet all user needs and help EOIR identify and address technical issues with VTC hearings, the Director of EOIR should develop and implement a mechanism to solicit and monitor feedback from respondents regarding their satisfaction and experiences with VTC hearings, including the audio and visual quality of the hearing.

    Agency: Department of Justice: Executive Office for Immigration Review
    Status: Open

    Comments: In August 2017, EOIR stated that it partially agreed with this recommendation and would create a mechanism to solicit open-ended feedback from respondents regarding their satisfaction and experience with video teleconference (VTC) hearings, including the audio and visual quality of the hearing. EOIR reported that it is exploring and expects to implement some options by the first quarter of fiscal year 2018, such as a feedback portal on the EOIR website, a dedicated e-mail box, or a comment card for distribution to respondents at immigration courts and detention centers where VTC hearings are held. To fully address this recommendation, EOIR should continue to explore and implement a mechanism to solicit and monitor feedback from respondents regarding their satisfaction and experiences with VTC hearings, including the audio and visual quality of the hearing.
    Recommendation: To better assess court performance and use data to identify potential management challenges, the Director of EOIR should establish and monitor comprehensive case completion goals, including a goal for completing non-detained cases not currently captured by performance measures, and goals for cases it considers a priority.

    Agency: Department of Justice: Executive Office for Immigration Review
    Status: Open

    Comments: In August 2017, EOIR stated that it agrees that the agency should measure case completions in all categories and is evaluating the best way to measure its courts' performance to improve efficiency and productivity. Additionally, EOIR reported that it is working with the immigration judges' union to conduct this assessment and expects to complete this evaluation and begin working toward making any changes to its performance assessment system by the second quarter of fiscal year 2018. To fully address this recommendation, EOIR should continue these efforts and establish and monitor comprehensive case completion goals, including a goal for completing non-detained cases not currently captured by performance measures, and goals for cases it considers a priority.
    Recommendation: To better assess court performance and use data to identify potential management challenges, the Director of EOIR should systematically analyze immigration court continuance data to identify and address any operational challenges faced by courts or areas for additional guidance or training.

    Agency: Department of Justice: Executive Office for Immigration Review
    Status: Open

    Comments: In August 2017, EOIR stated that it will further analyze continuance data to identify and address operational challenges as well as determine areas where immigration judges might benefit from additional guidance or training on the use of continuances. EOIR plans to prepare new reports assessing continuance data by the first quarter of fiscal year 2018. Additionally, EOIR reported that it anticipates releasing a new Operating Policies and Procedures Memorandum addressing the appropriate use of continuances in August 2017. To fully address this recommendation, EOIR should continue to systematically analyze continuance data to identify any operational challenges faced by courts or areas for additional guidance or training, and address any challenges through taking actions such as issuing the new memorandum on continuances.
    Recommendation: To better assess court performance and use data to identify potential management challenges, the Director of EOIR should update policies and procedures to ensure the timely and accurate recording of Notices to Appear.

    Agency: Department of Justice: Executive Office for Immigration Review
    Status: Open

    Comments: In August 2017, EOIR stated that it partially agreed with this recommendation and will continue to monitor the timeliness and accuracy of NTA recording and implement corrective actions as needed. Additionally, EOIR stated that it will explore the need to create new guidance for immigration court staff to address instances where EOIR exceeds average recording times timeframes in the future. To fully implement this recommendation, EOIR should update its policies and procedures to better ensure the timely and accurate recording of NTAs, and thus provide greater assurance that EOIR's case management data are accurate, including case completion times and the size of its case backlog.
    Director: Seto Bagdoyan
    Phone: (202) 512-6722

    4 open recommendations
    Recommendation: The Commissioner (or Acting Commissioner) of SSA should direct the OAFP to lead a comprehensive fraud risk assessment that is consistent with leading practices, and develop a plan for regularly updating the assessment.

    Agency: Social Security Administration
    Status: Open

    Comments: When we confirm what actions the agency has taken in response to this recommendation, we will provide updated information.
    Recommendation: The Commissioner (or Acting Commissioner) of SSA should direct the OAFP to develop, document, and implement an antifraud strategy that is aligned to its assessed fraud risks.

    Agency: Social Security Administration
    Status: Open

    Comments: When we confirm what actions the agency has taken in response to this recommendation, we will provide updated information.
    Recommendation: The Commissioner (or Acting Commissioner) of SSA should direct the OAFP to work with components responsible for implementing antifraud initiatives to develop outcome-oriented metrics, including baselines and goals, where appropriate for antifraud activities.

    Agency: Social Security Administration
    Status: Open

    Comments: When we confirm what actions the agency has taken in response to this recommendation, we will provide updated information.
    Recommendation: The Commissioner (or Acting Commissioner) of SSA should direct the OAFP to review progress toward meeting goals on a regular basis, and recommend that the NAFC make changes to control activities or take other corrective actions on any initiatives that are not meeting goals.

    Agency: Social Security Administration
    Status: Open

    Comments: When we confirm what actions the agency has taken in response to this recommendation, we will provide updated information.
    Director: Lawrance Evans
    Phone: (202) 512-8678

    5 open recommendations
    Recommendation: In the event that Congress again requires an agency to provide affected individuals with identity theft insurance in response to a breach of sensitive personal data, Congress should consider permitting the agency to determine the appropriate level of that insurance.

    Agency: Congress
    Status: Open

    Comments: When we determine what steps the Congress has taken, we will provide updated information.
    Recommendation: The Director of the Office of Management and Budget should, to the extent feasible, conduct an analysis of the effectiveness of the various identity theft services relative to alternatives, and revise OMB's guidance to federal agencies in light of this analysis.

    Agency: Executive Office of the President: Office of Management and Budget
    Status: Open

    Comments: When we confirm what actions the agency has taken in response to this recommendation, we will provide updated information.
    Recommendation: The Director of the Office of Management and Budget should explore options to address the risk of duplication in federal agencies' provision of identity theft services in response to data breaches, and take action if viable options are identified.

    Agency: Executive Office of the President: Office of Management and Budget
    Status: Open

    Comments: When we confirm what actions the agency has taken in response to this recommendation, we will provide updated information.
    Recommendation: The Director of the Office of Personnel Management should incorporate criteria and procedures for determining whether to offer identity theft services into the agency's data-breach-response policy.

    Agency: Office of Personnel Management
    Status: Open

    Comments: When we confirm what actions the agency has taken in response to this recommendation, we will provide updated information.
    Recommendation: The Director of the Office of Personnel Management should implement procedures that provide reasonable assurance that significant decisions on the use of identity theft services are appropriately documented.

    Agency: Office of Personnel Management
    Status: Open

    Comments: When we confirm what actions the agency has taken in response to this recommendation, we will provide updated information.
    Director: Gretta L. Goodwin
    Phone: (202) 512-8777

    2 open recommendations
    Recommendation: To help ensure that DOJ is contributing to efforts to improve data collection and service provision to Native Americans, the Director of OVW should require grantees to report the number of human trafficking victims served using grant funding, and, as appropriate, the Native American status of those victims.

    Agency: Department of Justice: Office of Justice Programs: Violence Against Women Office
    Status: Open

    Comments: In responding to a draft of our report, DOJ agreed to require their grantees to report the number of human trafficking victims served, but did not agree to require them to track Native American status of those victims as appropriate, citing victim confidentiality and other reasons. In June 2017, following our report's publication, DOJ provided a status update, reporting that OVW already collects consolidated data on the number of American Indian and Alaska Native victims served who are victims of all crimes and it is in the process of revising grantee forms to collect information on the number of people served who are victims of sex trafficking. We continue to believe that collecting grantee information on both the number and Native American status of victims served is important and will continue to monitor implementation.
    Recommendation: To help ensure that DOJ is contributing to efforts to improve data collection and service provision to Native Americans, the Assistant Attorney General for the Office of Justice Programs should direct OVC and OJJDP to require their grantees to report the number of human trafficking victims served using grant funding, and, as appropriate, the Native American status of those victims.

    Agency: Department of Justice: Office of Justice Programs
    Status: Open

    Comments: In responding to a draft of our report, DOJ agreed to require its grantees to report the number of human trafficking victims served, but did not agree to require them to track Native American status of those victims as appropriate, citing victim confidentiality and other reasons. In June 2017, following our report's publication, DOJ provided a status update, reporting that OJJDP human trafficking grantees will be required to report the number of human trafficking victims served, beginning with progress reports ending December 31, 2017, and that OJJDP will update applicable solicitations beginning in fiscal year 2018 to reflect this new measure. DOJ reported no new efforts from OVC, and maintained that it will not require grantees to report on the Native American status of their victims served using grant funding because of the concerns it cited initially. We continue to believe that collecting grantee information on both the number and Native American status of victims served is important and will continue to monitor implementation.
    Director: Brenda S. Farrell
    Phone: (202) 512-3604

    6 open recommendations
    Recommendation: To help ensure that program staff are being used in an effective and efficient manner, and to facilitate the consideration and identification of total force solutions for staffing sexual assault prevention and response and Sexual Harassment/Assault Response and Prevention (SHARP) programs throughout the Department of the Army, the Secretary of Defense should direct the Secretary of the Army, in coordination with the Chiefs of the National Guard Bureau and the Army Reserve, to conduct an evaluation of staffing approaches used to administer the sexual assault prevention and response program, and consider opportunities to leverage resources across all Army components. This evaluation should include an assessment of the number and allocation of full-time and collateral-duty personnel, the fill rates for program positions, and the types of positions used.

    Agency: Department of Defense
    Status: Open

    Comments: When we confirm what actions the agency has taken in response to this recommendation, we will provide updated information.
    Recommendation: To help ensure that Army National Guard and Army Reserve program staff have the necessary information to develop their budgets and to help ensure the efficient and effective use of program funds, the Secretary of Defense should direct the Secretary of the Army to direct the Army National Guard SHARP Program Office to communicate and disseminate its guidance on budget development and execution for the SHARP program to all full-time SHARP program personnel.

    Agency: Department of Defense
    Status: Open

    Comments: When we confirm what actions the agency has taken in response to this recommendation, we will provide updated information.
    Recommendation: To help ensure that Army National Guard and Army Reserve program staff have the necessary information to develop their budgets and to help ensure the efficient and effective use of program funds, the Secretary of Defense should direct the Secretary of the Army to direct the Army Reserve SHARP Program Office to develop clear guidance on budget development and execution for the SHARP program and disseminate this guidance to its full-time SHARP program personnel.

    Agency: Department of Defense
    Status: Open

    Comments: When we confirm what actions the agency has taken in response to this recommendation, we will provide updated information.
    Recommendation: To help ensure that Army National Guard and Army Reserve program staff have the necessary information to develop their budgets and to help ensure the efficient and effective use of program funds, the Secretary of Defense should direct the Secretary of the Army to direct the Director of the Army SHARP Program Office to expand the scope of the midyear review to include monitoring and providing oversight of SHARP program expenditures at the Army National Guard state and Army Reserve command level.

    Agency: Department of Defense
    Status: Open

    Comments: When we confirm what actions the agency has taken in response to this recommendation, we will provide updated information.
    Recommendation: To help ensure that sexual assault crimes involving Army National Guard members are investigated in a timely manner, with a full investigation of the offense regardless of the reserve component or duty status of the victim, the Secretary of Defense should direct the Chief of the National Guard Bureau, in collaboration with the secretaries of the military departments as appropriate, to reassess the Office of Complex Administrative Investigation's (OCI) timeliness and resources to determine how to improve the timeliness of processing sexual assault investigations involving members of the Army National Guard, and identify the resources needed to improve the timeliness of these investigations.

    Agency: Department of Defense
    Status: Open

    Comments: When we confirm what actions the agency has taken in response to this recommendation, we will provide updated information.
    Recommendation: To help ensure that victims of sexual assault in the Army Reserve have timely access to medical and mental health-care services without having to pay for their care upfront, if they are eligible for care paid for or provided by DOD, the Secretary of Defense should direct the Secretary of the Army to direct the Chief of the Army Reserve to develop and implement an expedited line-of-duty determination process for Army Reserve sexual assault victims, along with a method for tracking the length of time to make the determinations. When developing this process, the Chief should ensure that it allows soldiers who wish to file a confidential or restricted report to go through the determination process without disclosing their circumstances to the chain of command.

    Agency: Department of Defense
    Status: Open

    Comments: When we confirm what actions the agency has taken in response to this recommendation, we will provide updated information.
    Director: Lori Rectanus
    Phone: (202) 512-2834

    4 open recommendations
    Recommendation: The Attorney General should instruct the Director of the Marshals Service to ensure that the improvements being made to the Marshals Service's information on the security concerns of individual buildings allow the Marshals Service to understand the concerns across the portfolio.

    Agency: Department of Justice
    Status: Open

    Comments: When we confirm what actions the Marshalls Service has taken in response to this recommendation, we will provide updated information.
    Recommendation: The Administrator of GSA and the Director of the AOUSC, on behalf of the Judicial Conference of the United States, in conjunction with the Marshals Service and FPS, should improve CSP documentation in order to improve transparency and collaboration in the CSP program.

    Agency: General Services Administration
    Status: Open

    Comments: When we confirm what actions GSA has taken in response to this recommendation, we will provide updated information.
    Recommendation: The Administrator of GSA and the Director of the AOUSC, on behalf of the Judicial Conference of the United States, in conjunction with the Marshals Service and FPS, should improve CSP documentation in order to improve transparency and collaboration in the CSP program.

    Agency: Administrative Office of the United States Courts
    Status: Open

    Comments: When we confirm what actions AOUSC has taken in response to this recommendation, we will provide updated information.
    Recommendation: The Administrator of GSA--in conjunction with AOUSC, the Marshals Service, and FPS--should establish a national-level working group or similar forum, consisting of leadership designees with decision-making authority, to meet regularly to address courthouse security issues.

    Agency: General Services Administration
    Status: Open

    Comments: When we confirm what actions GSA has taken in response to this recommendation, we will provide updated information.
    Director: Gretta L. Goodwin
    Phone: (202) 512-8777

    1 open recommendations
    Recommendation: To ensure that the Capitol Police Board's current and any new approaches help enhance accountability, transparency, and effective external communication with its stakeholders, the Board should revise its Manual of Procedures to fully incorporate each of the leading practices for internal control and governance standards discussed in this report. In so doing, the Board should engage stakeholders in the revision process, such as by soliciting their input on any non-statutory changes that could particularly address the concerns stakeholders have raised, and incorporating their views as appropriate. If, in making revisions to its Manual, the Board determines that statutory changes may be helpful to enhance Board operations, then the Board should also engage with stakeholders on such proposed changes.

    Agency: Capitol Police Board
    Status: Open

    Comments: When we confirm what actions the agency has taken in response to this recommendation, we will provide updated information.
    Director: Diana Maurer
    Phone: (202) 512-8777

    2 open recommendations
    Recommendation: To better ensure grantees' compliance with the Drug-Free Communities Support Program's statutory requirements and to strengthen monitoring of grantee activities, SAMHSA should develop an action plan with time frames for addressing any deficiencies it finds through its reviews and making systemic changes to mitigate deficiencies on a prospective basis to strengthen the grant monitoring process.

    Agency: Department of Health and Human Services: Public Health Service: Substance Abuse and Mental Health Services Administration
    Status: Open

    Comments: As of April 2017, according to the Department of Health and Human Services, SAMHSA is currently in the process of implementing routine audits of all its grant files. SAMHSA will also conduct an audit specifically of DFC files to ensure compliance by the end of summer 2017. Additionally, SAMHSA will offer regular training to government project officers (GPO) on grant report requirements and will ensure DFC GPO participation. Finally, SAMHSA is actively implementing the Grants Enterprise Management System to streamline the grants management process and make the process for maintaining grant files automated. By the end of fall 2017, all newly awarded DFC grants will be in this system. By the end of fall 2018, all active DFC grants will utilize this system.
    Recommendation: To better ensure grantees' compliance with the Drug-Free Communities Support Program's statutory requirements and to strengthen monitoring of grantee activities, SAMHSA should develop and implement a method for ensuring that the grantee status reports it provides to ONDCP are complete and accurate.

    Agency: Department of Health and Human Services: Public Health Service: Substance Abuse and Mental Health Services Administration
    Status: Open

    Comments: As of April 2017, according to the Department of Health and Human Services, SAMHSA will develop a plan to ensure complete and accurate information is provided to ONDCP by the end of summer 2017.
    Director: Rebecca Gambler
    Phone: (202) 512-8777

    6 open recommendations
    Recommendation: To better inform on the effectiveness of CDS implementation and border security efforts, the Chief of Border Patrol should strengthen the methodology for calculating recidivism such as by using an alien's apprehension history beyond one fiscal year and excluding aliens for whom there is no record of removal and who may remain in the United States.

    Agency: Department of Homeland Security: United States Customs and Border Protection: Office of the Commissioner: U.S. Border Patrol
    Status: Open

    Comments: When we confirm what actions the agency has taken in response to this recommendation, we will provide updated information.
    Recommendation: To better inform on the effectiveness of CDS implementation and border security efforts, the Chief of Border Patrol should collect information on reasons agents do not apply the CDS guides' Most Effective and Efficient consequences to assess the extent that agents' application of these consequences can be increased and modify development of CDS guides, as appropriate.

    Agency: Department of Homeland Security: United States Customs and Border Protection: Office of the Commissioner: U.S. Border Patrol
    Status: Open

    Comments: When we confirm what actions the agency has taken in response to this recommendation, we will provide updated information.
    Recommendation: To better inform on the effectiveness of CDS implementation and border security efforts, the Chief of Border Patrol should revise CDS guidance to ensure consistent and accurate methodologies for estimating Border Patrol costs across consequences and to factor in, where appropriate and available, the relative costs of any federal partner resources necessary to implement each consequence.

    Agency: Department of Homeland Security: United States Customs and Border Protection: Office of the Commissioner: U.S. Border Patrol
    Status: Open

    Comments: When we confirm what actions the agency has taken in response to this recommendation, we will provide updated information.
    Recommendation: To better inform on the effectiveness of CDS implementation and border security efforts, the Chief of Border Patrol should ensure that sector management is monitoring progress in meeting their performance targets and communicating performance results to Border Patrol headquarters management.

    Agency: Department of Homeland Security: United States Customs and Border Protection: Office of the Commissioner: U.S. Border Patrol
    Status: Open

    Comments: When we confirm what actions the agency has taken in response to this recommendation, we will provide updated information.
    Recommendation: To better inform on the effectiveness of CDS implementation and border security efforts, the Chief of Border Patrol should provide consistent guidance for alien classification and take steps to ensure CDS Project Management Office and sector management conduct data integrity activities necessary to strengthen control over the classification of aliens.

    Agency: Department of Homeland Security: United States Customs and Border Protection: Office of the Commissioner: U.S. Border Patrol
    Status: Open

    Comments: When we confirm what actions the agency has taken in response to this recommendation, we will provide updated information.
    Recommendation: The Secretary of Homeland Security should direct the Assistant Secretary of Immigration and Customs Enforcement and Commissioner of Customs and Border Protection to collaborate on sharing immigration enforcement and removal data to help Border Patrol account for the removal status of apprehended aliens in its recidivism rate measure.

    Agency: Department of Homeland Security
    Status: Open

    Comments: When we confirm what actions the agency has taken in response to this recommendation, we will provide updated information.
    Director: Tim Persons
    Phone: (202) 512-6412

    1 open recommendations
    Recommendation: The Secretary of Homeland Security--in consultation with the Federal Bureau of Investigation--should conduct a formal bioforensics capability gap analysis to identify scientific and technical gaps and needs in bioforensics capabilities to help guide current and future bioforensics investments and update its analysis periodically.

    Agency: Department of Homeland Security
    Status: Open

    Comments: When we confirm what actions the agency has taken in response to this recommendation, we will provide updated information.
    Director: Rebecca Shea
    Phone: (202) 512-2834

    1 open recommendations
    Recommendation: To provide circuits with information needed to help guide future space-reduction and use decisions, the Director of AOUSC should document and share additional practices on innovative and cost-effective use or design of appellate courtrooms and judges' chambers, such as scheduling, redesign, and sharing arrangements, and any other potential approaches, with all regional circuits in order to help them determine the feasibility of these options for their circuit.

    Agency: Administrative Office of the United States Courts
    Status: Open

    Comments: When we confirm what actions the agency has taken in response to this recommendation, we will provide updated information.
    Director: Susan Irving
    Phone: (202) 512-6806

    6 open recommendations
    Recommendation: To ensure efficient use of resources and plan for realistic risks, the Secretary of Agriculture should direct APHIS to review and document its operating reserve targets including an analysis of individual program needs, risks, and probable contingencies, for Veterinary Services Import Export fees.

    Agency: Department of Agriculture
    Status: Open

    Comments: When we confirm what actions the agency has taken in response to this recommendation, we will provide updated information.
    Recommendation: To ensure efficient use of resources and plan for realistic risks, the Secretary of Agriculture should direct APHIS to review and document its operating reserve targets including an analysis of individual program needs, risks, and probable contingencies, for Veterinary Diagnostic fees.

    Agency: Department of Agriculture
    Status: Open

    Comments: When we confirm what actions the agency has taken in response to this recommendation, we will provide updated information.
    Recommendation: To ensure efficient use of resources and plan for realistic risks, the Secretary of Agriculture should direct APHIS to review and document its operating reserve targets including an analysis of individual program needs, risks, and probable contingencies, for Phytosanitary Export Certification fees.

    Agency: Department of Agriculture
    Status: Open

    Comments: When we confirm what actions the agency has taken in response to this recommendation, we will provide updated information.
    Recommendation: Similarly, to ensure efficient use of resources and plan for realistic risks, the Director of CFPB should review and document its operating reserve targets for the Bureau Fund, including an analysis of program needs, risks, and probable contingencies.

    Agency: Consumer Financial Protection Bureau
    Status: Open

    Comments: When we confirm what actions the agency has taken in response to this recommendation, we will provide updated information.
    Recommendation: To ensure that the reserve target SEC set for PCAOB safeguards against realistic risks and probable contingencies, including potential unforeseen funding delays, the SEC Chair, in exercising the commission's authority to oversee PCAOB, should analyze--and document the analysis of--program needs and probable contingencies, in consultation with PCAOB as appropriate.

    Agency: United States Securities and Exchange Commission
    Status: Open

    Comments: When we confirm what actions the agency has taken in response to this recommendation, we will provide updated information.
    Recommendation: To ensure that timely information is available to facilitate congressional oversight, promote transparency, and foster public accountability, the SEC Chair, in exercising the commission's authority to oversee PCAOB, should establish a deadline for PCAOB's required annual report, including its audited financial statements.

    Agency: United States Securities and Exchange Commission
    Status: Open

    Comments: When we confirm what actions the agency has taken in response to this recommendation, we will provide updated information.
    Director: Thomas Melito
    Phone: (202) 512-9601

    2 open recommendations
    Recommendation: To improve the transparency and clarity of the Trafficking in Persons Report and improve its usefulness as a diplomatic tool to encourage countries to address trafficking, the Secretary of State should improve explanations in narratives for Tier 1 rankings, including using consistent language, as feasible, in the Trafficking in Persons Report.

    Agency: Department of State
    Status: Open

    Comments: In comments on the draft report, State concurred with this recommendation and said that it seeks to make the Trafficking in Persons Report as useful as possible to a broad array of stakeholders and will continue its commitment to ensure each narrative better serves this purpose. GAO will continue to monitor State's efforts to fully implement the recommendation.
    Recommendation: To improve the transparency and clarity of the Trafficking in Persons Report and improve its usefulness as a diplomatic tool to encourage countries to address trafficking, the Secretary of State should take actions, such as tracking the recommendations in the Trafficking in Persons Report, to assess the effectiveness of the report as a tool to encourage countries to address human trafficking.

    Agency: Department of State
    Status: Open

    Comments: In comments on the draft report, State concurred with this recommendation and described steps it is taking to more systematically assess the effectiveness of the Trafficking in Persons Report in encouraging governments to address human trafficking, including the recent establishment of a monitoring and evaluation position in the Trafficking Office. GAO will continue to monitor State's implementation efforts.
    Director: Melissa Emrey-Arras
    Phone: (617) 788-0534

    5 open recommendations
    Recommendation: To help ensure quality information is conveyed to servicemembers about how the Servicemembers Civil Relief Act (SCRA) interest rate cap applies to student loans, the Secretary of Defense should direct the secretaries of each service branch, and work with other secretaries as appropriate, to ensure that all information about the SCRA interest rate cap for student loans is accurate when provided to servicemembers and to those who work with servicemembers to help them obtain SCRA benefits, including information contained in outreach materials.

    Agency: Department of Defense
    Status: Open

    Comments: The Department of Defense (DOD) disagreed with this recommendation believing it to be unnecessary because it is already providing accurate information. Specifically, DOD noted that the information provided in several documents GAO reviewed is accurately based on statute whereas Education's updated requirement to automatically apply the cap is based on policy that could change in the future. Moreover, the automated process applies only to federal and commercial FFEL student loans in contrast to other types of debt. DOD said that providing information based on statute rather than policy would cause less confusion and was a better approach than what we recommend. However, our report noted that Education formalized the automated process through federal regulations, effective July 2016, which legally require servicers to use this process for all federal and commercial FFEL loans. In addition, DOD said it was unable to verify whether DOD's Military OneSource website inaccurately states that the SCRA rate cap does not apply to commercial FFEL loans. However, our searches of the website still turned up this inaccuracy. DOD said it would look into a means of verifying website information but that in the meantime, it is satisfied that its training provides correct information. Given that Military OneSource is a key source of information for servicemembers and that some documents DOD provided state that the SCRA rate cap does not apply to student loans, we continue to believe that servicemembers are not always receiving accurate and up-to-date information.
    Recommendation: To ensure that all eligible servicemembers with student loans receive the SCRA interest rate cap, the Attorney General should direct the Department of Justice to consider modifying its proposed changes to SCRA to require use of the automatic eligibility check for private student loans.

    Agency: Department of Justice: Office of the Attorney General
    Status: Open

    Comments: The Department of Justice (DOJ) stated that its current package of proposed legislative changes provides benefits to servicemembers with all kinds of loans, including private student loans. Rather than requiring servicemembers to submit written notice and a copy of military orders, they need only give oral or written notice of eligibility for the cap to their creditors. Creditors would then have to search the Department of Defense's records to verify the servicemembers' military service and apply the SCRA interest rate cap, when applicable. DOJ believes that these changes would significantly benefit all servicemembers with loans while providing a uniform standard for all types of creditors. The department added that it will consider its proposed changes to SCRA in future legislative proposals and plans to obtain feedback from stakeholders on how to improve SCRA's protections for servicemembers. However, as stated in our report, servicemembers with private student loans would still need to be aware of the rate cap in order to give notice, whether written or oral. Therefore, we encourage DOJ to consider updating its current proposal to require use of the automatic eligibility check by all student loan lenders and servicers. Not only would this ensure that servicemembers with private student loans receive a benefit for which they are eligible, but also that the interest rate cap is applied consistently across all types of student loans. The agency said that it would consider these changes to the SCRA in future legislative proposals and plans to obtain feedback from stakeholders on how the agency can propose to improve the SCRA's protections for servicemembers. However, as stated in our report, servicemembers with private student loans would still need to be aware of the rate cap in order to give notice, whether written or oral. Therefore, we encourage DOJ to consider updating its current proposal to require use of the automatic eligibility check by all student loan lenders and servicers. Not only would this ensure that servicemembers with private student loans receive a benefit for which they are eligible, but also that the interest rate cap is applied consistently across all types of student loans.
    Recommendation: To enhance customer service, the Secretary of Education should direct the Office of Federal Student Aid to identify ways to modify the data collected in its unified borrower complaint system to allow the agency to more precisely identify and analyze complaints specifically about the SCRA interest rate cap.

    Agency: Department of Education
    Status: Open

    Comments: The Department of Education said it is committed to accurately tracking the types of complaints it receives and will create a complainant subcategory for SCRA under the "Military and Veterans Benefit" category. In addition, it will continue to run periodic key word searches to identify other complaints that may have been miscategorized by the complainant, related to the requirements of the SCRA, and ensure that they are considered appropriately. GAO will consider closing this recommendation when the department has provided evidence that it has completed these efforts.
    Recommendation: To better ensure that servicemembers with private student loans benefit from the SCRA interest rate cap, the Director of the Consumer Financial Protection Bureau and the Attorney General of the Department of Justice should coordinate with each other, and with the four federal financial regulators, as appropriate, to determine the best way to ensure routine oversight of SCRA compliance for all nonbank private student loan lenders and servicers. If CFPB and DOJ determine that additional statutory authority is needed to facilitate such oversight, CFPB and DOJ should develop a legislative proposal for Congress.

    Agency: Consumer Financial Protection Bureau
    Status: Open

    Comments: The Consumer Financial Protection Bureau (CFPB) stated that it is committed to working with the Department of Justice (DOJ) and federal financial regulators, when possible, to facilitate oversight of SCRA compliance and that it will support all relevant federal agencies in using their respective authorities to identify and address SCRA violations as efficiently and effectively as possible. While CFPB coordinates with DOJ and other federal regulators in general, there is still no single agency authorized to enforce SCRA compliance among nonbank private student loan lenders and servicers, and no entity is conducting onsite supervisory reviews of these lenders and servicers. In addition, while CFPB may refer complaints from servicemembers about the SCRA rate cap for private student loans to DOJ and other financial regulators, we believe this does not constitute routine, proactive oversight and also presumes servicemembers are aware of the SCRA rate cap. GAO will consider closing this recommendation when the bureau has provided evidence of actions it has taken to facilitate routine oversight of SCRA compliance for all nonbank private student loan lenders and servicers.
    Recommendation: To better ensure that servicemembers with private student loans benefit from the SCRA interest rate cap, the Director of the Consumer Financial Protection Bureau and the Attorney General of the Department of Justice should coordinate with each other, and with the four federal financial regulators, as appropriate, to determine the best way to ensure routine oversight of SCRA compliance for all nonbank private student loan lenders and servicers. If CFPB and DOJ determine that additional statutory authority is needed to facilitate such oversight, CFPB and DOJ should develop a legislative proposal for Congress.

    Agency: Department of Justice: Office of the Attorney General
    Status: Open

    Comments: The Department of Justice (DOJ) believes that it is in full compliance with this recommendation and that the four federal financial regulators do not have statutory authority to examine nonbank private student loan lenders and servicers unaffiliated with a depository institution. DOJ stated that it already coordinates extensively with the Consumer Financial Protection Bureau (CFPB) and the financial regulators concerning SCRA compliance through such mechanisms as referrals from CFPB for any SCRA-related violations and access to its consumer complaint database, and regular meetings with CFPB, and that it will continue to be built upon these efforts. While these mechanisms are commendable, GAO believes they do not constitute exercising routine oversight of nonbank private student loan lenders and servicers who are not affiliated with a depository institution. We believe that additional interagency coordination, including working with CFPB to seek additional statutory authority, as needed, is necessary to ensure routine SCRA compliance.
    Director: Rebecca Gambler
    Phone: (202) 512-8777

    1 open recommendations
    Recommendation: To better assess whether the LOP and LOPC are having a measurable impact in meeting their program objectives, the Director of EOIR should develop and implement a system of performance measures, including establishing a baseline, to regularly evaluate the effectiveness of LOP and LOPC and assess whether the programs are achieving their stated goals.

    Agency: Department of Justice: Executive Office for Immigration Review
    Status: Open

    Comments: In January 2017, EOIR reported that the agency is working with a contractor to redesign EOIR's performance management system consistent with the principles outlined in the Government Performance and Results Modernization Act of 2010. In addition, EOIR reported that staff from its Office of Legal Access Programs (OLAP) plan to participate in strategic planning training, which will include how to establish performance measurements. To fully address the recommendation, EOIR should develop and implement a system of performance measures for LOP and LOPC, including establishing a baseline, and assess program performance against such measures.
    Director: Seto Bagdoyan
    Phone: (202) 512-6722

    1 open recommendations
    Recommendation: To strengthen USCIS's EB-5 Program fraud risk management, the Director of USCIS should develop a fraud risk profile that aligns with leading practices identified in GAO's Fraud Risk Framework.

    Agency: Department of Homeland Security: United States Citizenship and Immigration Services
    Status: Open

    Comments: In November 2016, Department of Homeland Security's (DHS) U.S. Citizenship and Immigration Services (USCIS)stated that the program would implement GAO's recommendation to develop a fraud risk profile and anticipated completion by September 30, 2017. In April 2017, USCIS provided an update including supporting documentation which reported that USCIS had contracted with an outside consultant to, among other things, develop a fraud risk profile that aligns with leading practices identified in GAO's Fraud Risk Framework. According to its response, USCIS expected to complete development of the profile by September 30, 2017.
    Director: Valerie Melvin
    Phone: (202) 512-6304

    2 open recommendations
    Recommendation: To provide greater transparency in the reporting of FOIA litigation costs, Congress could consider requiring Justice to provide a cost estimate for collecting and reporting information on costs incurred when defending lawsuits in which the plaintiffs prevailed.

    Agency: Congress
    Status: Open

    Comments: Congress has not yet considered if it plans to amend FOIA regarding the reporting of costs for defending lawsuits in which the plaintiffs prevailed.
    Recommendation: Congress could consider amending the act to require Justice to reflect in its Litigation and Compliance reports, changes in the award of attorneys' fees and costs resulting from the appeals process and settlement agreements between agencies and plaintiffs, if deemed to be cost-effective.

    Agency: Congress
    Status: Open

    Comments: Congress has not yet considered if it plans to amend FOIA to require Justice to make changes to its Litigation and Compliance reports.
    Director: Andrew Von Ah
    Phone: (213) 830-1011

    4 open recommendations
    Recommendation: To ensure effective management and oversight of DHS programs receiving fees and other collections, and to ensure that component management take the following actions for each fee and other collections program that they administer, the Secretary of Homeland Security should direct the DHS Chief Financial Officer to use some means, such as the DHS Fee Governance Council, to document the processes and analyses for assessing and, as appropriate, for managing the difference between program costs and collections and document resulting decisions.

    Agency: Department of Homeland Security
    Status: Open

    Comments: DHS's Fee Governance Council, led by the Deputy CFO plans to draft and publish a revised section of the Financial Management Policy Manual devoted to documenting the processes and analyses for assessing and managing the difference between program costs and collections and document resulting decisions. The Council is currently working to establish interim milestones associated with this objective.
    Recommendation: To ensure effective management and oversight of DHS programs receiving fees and other collections, and to ensure that component management take the following actions for each fee and other collections program that they administer, the Secretary of Homeland Security should direct the DHS Chief Financial Officer to use some means, such as the DHS Fee Governance Council, to establish processes for managing unobligated carryover balances, to include targets for minimum and maximum balances for programs that lack such processes and targets.

    Agency: Department of Homeland Security
    Status: Open

    Comments: The Fee Governance Council will draft and publish a revised section of the Financial Management Policy Manual devoted to managing unobligated carryover balances. The Council is currently working to develop specific milestones associated with this objective.
    Recommendation: To ensure effective management and oversight of DHS programs receiving fees and other collections, and to ensure that component management take the following actions for each fee and other collections program that they administer, the Secretary of Homeland Security should direct the DHS Chief Financial Officer to use some means, such as the DHS Fee Governance Council, to conduct reviews to identify any management and operational deficiencies.

    Agency: Department of Homeland Security
    Status: Open

    Comments: The DHS Fee Governance Council plans to publish a revised section of the Financial Management Policy Manual devoted to how components conduct studies of fee programs to identify any management or operational deficiencies. The Council is currently working to establish specific milestones associated with this objective.
    Recommendation: To ensure effective management and oversight of DHS programs receiving fees and other collections, and to ensure that component management take the following actions for each fee and other collections program that they administer, the Secretary of Homeland Security should direct the DHS Chief Financial Officer to use some means, such as the DHS Fee Governance Council, to take action to track and report on management and operational deficiencies--including reasons supporting any decisions to not pursue recommended actions--identified in fee reviews or through other means.

    Agency: Department of Homeland Security
    Status: Open

    Comments: The DHS Fee Governance Council will publish a revised section of the Financial Management Policy Manual devoted to how regular biennial reviews are conducted at DHS and how any findings and recommendations on management and operational deficiencies identified in these fee studies are tracked and reported.
    Director: Gretta L. Goodwin
    Phone: (202) 512-8777

    4 open recommendations
    Recommendation: To enhance the clarity and transparency of sexual violence data that is reported to the public, the Secretary of Education should direct the Assistant Secretary for the Office of Postsecondary Education, the Secretary of Health and Human Services should direct the Director of Centers for Disease Control and Prevention, and the Attorney General should direct the Director of the Bureau of Justice Statistics to make information on the acts of sexual violence and contextual factors that are included in their measurements of sexual violence publicly available. This effort could entail revising their definitions of key terms used to describe sexual violence so that the definitions match the measurements of sexual violence.

    Agency: Department of Education
    Status: Open

    Comments: When we confirm what actions the agency has taken in response to this recommendation, we will provide updated information.
    Recommendation: To enhance the clarity and transparency of sexual violence data that is reported to the public, the Secretary of Education should direct the Assistant Secretary for the Office of Postsecondary Education, the Secretary of Health and Human Services should direct the Director of Centers for Disease Control and Prevention, and the Attorney General should direct the Director of the Bureau of Justice Statistics to make information on the acts of sexual violence and contextual factors that are included in their measurements of sexual violence publicly available. This effort could entail revising their definitions of key terms used to describe sexual violence so that the definitions match the measurements of sexual violence.

    Agency: Department of Health and Human Services
    Status: Open

    Comments: When we confirm what actions the agency has taken in response to this recommendation, we will provide updated information.
    Recommendation: To enhance the clarity and transparency of sexual violence data that is reported to the public, the Secretary of Education should direct the Assistant Secretary for the Office of Postsecondary Education, the Secretary of Health and Human Services should direct the Director of Centers for Disease Control and Prevention, and the Attorney General should direct the Director of the Bureau of Justice Statistics to make information on the acts of sexual violence and contextual factors that are included in their measurements of sexual violence publicly available. This effort could entail revising their definitions of key terms used to describe sexual violence so that the definitions match the measurements of sexual violence.

    Agency: Department of Justice
    Status: Open

    Comments: When we confirm what actions the agency has taken in response to this recommendation, we will provide updated information.
    Recommendation: To help lessen confusion among the public and policy makers regarding federal data on sexual violence, the Director of OMB should establish a federal interagency forum on sexual violence statistics. The forum should consider the broad range of differences across the data collection efforts to assess which differences enhance or hinder the overall understanding of sexual violence in the United States.

    Agency: Executive Office of the President: Office of Management and Budget
    Status: Open

    Comments: When we confirm what actions the agency has taken in response to this recommendation, we will provide updated information.
    Director: Thomas Melito
    Phone: (202) 512-9601

    5 open recommendations
    including 5 priority recommendations
    Recommendation: To improve the financial oversight of U.S. programs to provide humanitarian assistance to people inside Syria, the USAID Administrator should update guidance to require non-governmental organizations to conduct risk assessments addressing the risk of fraud.

    Agency: United States Agency for International Development
    Status: Open
    Priority recommendation

    Comments: USAID concurred with our recommendation; however, as of April 2017, it has yet to fully implement this recommendation. In December 2016, the Office of Food for Peace updated its annual program statement to include language requiring organizations to complete an analysis of risks related to fraud, corruption, and mismanagement, with relevant mitigation measures. However, the Office of U.S. Foreign Disaster Assistance (OFDA) has yet to officially update its guidance, although USAID has previously noted that OFDA will require all organizations seeking funding to address fraud risks and submit a detailed mitigation plan in their proposal package. We will continue to update the status of this recommendation as we receive information.
    Recommendation: To improve the financial oversight of U.S. programs to provide humanitarian assistance to people inside Syria, the USAID Administrator should use risk assessments submitted by implementing partners to inform USAID oversight activities, for example, using information from assessments to ensure that control activities for programs are designed to mitigate identified risks.

    Agency: United States Agency for International Development
    Status: Open
    Priority recommendation

    Comments: USAID concurred with our recommendation, stating that they plan to tailor their oversight activities to mitigate risks identified in the fraud risk mitigation plans that organizations will submit as part of their funding proposal packages in the future. In addition, USAID noted that it planned to hire a compliance officer by October 2016 to manage fraud mitigation and other compliance issues for OFDA and FFP's Syria and Iraq portfolios. However, as of April 2017, USAID has yet to fill this position. We will continue to track the status of this recommendation.
    Recommendation: To improve the financial oversight of U.S. programs to provide humanitarian assistance to people inside Syria, the USAID Administrator should ensure that field monitors in Syria are trained on assessing and identifying potential fraud risks.

    Agency: United States Agency for International Development
    Status: Open
    Priority recommendation

    Comments: USAID concurred with our recommendation, but has yet to implement this recommendation, as of April 2017. USAID has previously stated that it would work to provide the third-party monitoring organization with information specific to the Syria context that identifies methods to detect fraud. USAID also stated that it would work with the third-party monitoring organization to ensure that data collectors are trained on fraud risks and methods for identifying fraud. We will continue to track the status of this recommendation.
    Recommendation: To improve the financial oversight of U.S. programs to provide humanitarian assistance to people inside Syria, the USAID Administrator should instruct the third party monitoring organization monitoring Office of U.S. Foreign Disaster Assistance programs in Syria to modify the site visit forms to include specific guidance for documenting incidents of potential fraud.

    Agency: United States Agency for International Development
    Status: Open
    Priority recommendation

    Comments: USAID concurred with this recommendation, stating that it would seek to have site visit forms revised to include indications of fraud, waste, and abuse. However, as of April 2017, USAID has yet to implement the recommendation. We will continue to track the status of this recommendation.
    Recommendation: To ensure that State has a comprehensive understanding of the risks facing its implementing partners providing humanitarian assistance to people inside Syria, the Secretary of State should include in its voluntary contribution agreements with implementing partners a requirement that the partner conduct risk assessments addressing the risk of fraud.

    Agency: Department of State
    Status: Open
    Priority recommendation

    Comments: State concurred with GAO?s recommendation and has taken steps to implement it since our report. For example, in March 2017, State officials informed GAO that it began including this requirement in all of its 2017 voluntary contribution award letters to public international organizations. For one of the three public international organizations under consideration in our report, State provided GAO with an award letter including the updated language. According to Bureau of Population, Refugees, and Migration officials, the Bureau has not yet completed voluntary contributions for the other two public international organizations conducting activities inside Syria. We will continue to track relevant Bureau funding agreements to ensure that future awards to fund activities inside Syria contain similar language on fraud risk assessments.
    Director: Carol C. Harris
    Phone: (202) 512-4456

    9 open recommendations
    Recommendation: To provide reasonable assurance that the program executes Agile software development for USCIS ELIS consistent with its own policies and guidance and follows applicable leading practices, the Secretary of the Department of Homeland Security (DHS) should direct the Director of USCIS to direct the USCIS Chief Information Officer (CIO), in coordination with the DHS CIO and the Chief of the Office of Transformation Coordination (OTC), to review and update, as needed, existing policies and guidance and consider additional controls to complete planning for software releases prior to initiating development and ensure software meets business expectations prior to deployment.

    Agency: Department of Homeland Security
    Status: Open

    Comments: As of July 2017, the U.S. Citizenship and Immigration Services (USCIS) within the Department of Homeland Security (DHS) had taken steps to address this recommendation. In particular, in June 2017, USCIS provided an updated policy, dated April 2017, governing planning and deploying software releases. USCIS also demonstrated partial compliance with that policy. For example, it provided some release planning review documentation for recent releases that are required by the updated policy, including readiness review memos for releases 7.2 and 8.1. However, USCIS did not demonstrate that the program responsible for developing the USCIS Electronic Immigration System (USCIS ELIS) was consistently following its updated policy. For example, USCIS did not demonstrate that the program was completing all planning activities prior to initiating development, as called for in its updated policy. Moreover, the agency did not demonstrate compliance with its previous policy for all software releases planned and deployed since our July 2016 report. We will continue to work with USCIS to monitor actions the agency is taking to address this recommendation.
    Recommendation: To provide reasonable assurance that the program executes Agile software development for USCIS ELIS consistent with its own policies and guidance and follows applicable leading practices, the Secretary of DHS should direct the Director of USCIS to direct the USCIS CIO, in coordination with the DHS CIO and the Chief of OTC, to review and update, as needed, existing policies and guidance and consider additional controls to consistently implement the principles of the framework adopted for Agile software development.

    Agency: Department of Homeland Security
    Status: Open

    Comments: As of July 2017, USCIS had taken steps to address this recommendation. For example, in May 2017, USCIS provided updated policy governing the development of software releases, dated April 2017, along with release planning artifacts specific to USCIS ELIS. The updated policy included an appendix devoted to generally accepted agency practices and applying Agile principles in the agency. However, USCIS had not clearly indicated if USCIS ELIS was to implement the practices described in the policy. For example, the updated policy did not require program compliance with the generally accepted agency practices. Moreover, supporting artifacts from the release planning process did not always define a commitment to a particular development methodology or set of development practices. For example, the team process agreements, which describe how members of individual teams will work with each other, did not indicate if developers were to adhere to the practices described in updated USCIS policy. We will continue to work with USCIS to obtain additional documentation about actions it is taking to address this recommendation.
    Recommendation: To provide reasonable assurance that the program executes Agile software development for USCIS ELIS consistent with its own policies and guidance and follows applicable leading practices, the Secretary of DHS should direct the Director of USCIS to direct the USCIS CIO, in coordination with the DHS CIO and the Chief of OTC, to review and update, as needed, existing policies and guidance and consider additional controls to define and consistently execute appropriate roles and responsibilities for individuals responsible for development activities consistent with its selected development framework.

    Agency: Department of Homeland Security
    Status: Open

    Comments: As of July 2017, USCIS had taken steps to address this recommendation. For example, in June 2017, USCIS provided updated policy, dated April 2017, governing the development of software releases and release planning artifacts. The updated policy and release documentation defined some roles and responsibilities that were previously only described by USCIS in its informal November 2014 management model, such as the authority and responsibility of a product owner. However, program documentation and policy did not define all of the roles and responsibilities. For example, program documentation and policy did not define the roles and responsibilities of a facilitator, or Scrum Master, which is a position identified in leading practices for software development using Scrum, the development methodology previously identified by the program. In addition, USCIS did not demonstrate that it had defined and committed to an updated development methodology for software releases. Such a defined methodology will impact expectations for the roles and responsibilities in software development. Without such a defined methodology or approach to Agile software development, it is not clear if roles and responsibilities defined by previously documented approach to Agile software development are still applicable for the current development approach. Moreover, documentation associated with program releases and updated policy did not define all of the roles and responsibilities for positions described by USCIS in its May 2017 written response to GAO. We will continue to work with USCIS to obtain additional documentation about actions it is taking to address this recommendation.
    Recommendation: To provide reasonable assurance that the program executes Agile software development for USCIS ELIS consistent with its own policies and guidance and follows applicable leading practices, the Secretary of DHS should direct the Director of USCIS to direct the USCIS CIO, in coordination with the DHS CIO and the Chief of OTC, to review and update, as needed, existing policies and guidance and consider additional controls to identify all system users and involve them in release planning activities.

    Agency: Department of Homeland Security
    Status: Open

    Comments: As of July 2017, DHS and USCIS had not provided information demonstrating that the department has addressed this recommendation. In October 2016, DHS provided a written response stating that the USCIS Office of Information Technology and Office of Transformation Coordination were working closely with the various USCIS directorates to obtain and integrate feedback through regular review sessions with the end users and through additional end user testing. However, as of July 2017, DHS and USCIS have not provided new information about the status of this recommendation.
    Recommendation: To provide reasonable assurance that the program executes Agile software development for USCIS ELIS consistent with its own policies and guidance and follows applicable leading practices, the Secretary of DHS should direct the Director of USCIS to direct the USCIS CIO, in coordination with the DHS CIO and the Chief of OTC, to review and update, as needed, existing policies and guidance and consider additional controls to write user stories that identify user roles, include estimates of complexity, take no longer than one sprint to complete, and describe business value.

    Agency: Department of Homeland Security
    Status: Open

    Comments: As of July 2017, USCIS had provided GAO with documentation intended to demonstrate that the agency had taken steps to address this recommendation. For example, in May 2017, USCIS provided updated policy governing the development of software releases along with release planning artifacts specific to USCIS ELIS and an Independent Verification and Validation assessment. The agency also provided a series of backlogs that captured user stories for some software releases. In addition, the Independent Verification and Validation assessment indicated that the program was tracking user story quality as part of assessing whether value was continuously discovered and aligned to the mission. However, the assessment report provided to GAO indicated a negative trend for this outcome. Moreover, USCIS policy no longer set expectations regarding user story development. In addition, supporting artifacts from the release planning process did not always define a commitment to a particular development methodology, which is turn impacts the expectations for writing user stories. Finally, backlogs provided by USCIS did not cover all releases in development since our July 2016 report and did not include enough detail to assess all aspects of the user story process (e.g., story size and user involvement). We will continue to work with USCIS to obtain additional documentation about actions it is taking to address this recommendation.
    Recommendation: To provide reasonable assurance that the program executes Agile software development for USCIS ELIS consistent with its own policies and guidance and follows applicable leading practices, the Secretary of DHS should direct the Director of USCIS to direct the USCIS CIO, in coordination with the DHS CIO and the Chief of OTC, to review and update, as needed, existing policies and guidance and consider additional controls to establish outcomes for Agile software development.

    Agency: Department of Homeland Security
    Status: Open

    Comments: As of July 2017, USCIS had taken steps to address this recommendation. For example, in April 2017, USCIS issued updated policy governing software development at the agency. The updated policy included an appendix devoted to generally accepted agency practices and applying Agile principles in the agency. This appendix also included a set of ten outcomes associated with using Agile practices at USCIS. For example, outcomes included that value is continuously discovered and aligned to the mission. However, the updated policy did not require program compliance with the practices and principles described in the appendix. Moreover, the agency did not demonstrate that USCIS ELIS had committed to achieving a specific set of outcomes for Agile software development, such as the outcomes described in the USCIS policy. We will continue to work with USCIS to obtain additional documentation about actions it is taking to address this recommendation.
    Recommendation: To provide reasonable assurance that the program executes Agile software development for USCIS ELIS consistent with its own policies and guidance and follows applicable leading practices, the Secretary of DHS should direct the Director of USCIS to direct the USCIS CIO, in coordination with the DHS CIO and the Chief of OTC, to review and update, as needed, existing policies and guidance and consider additional controls to monitor program performance and report to appropriate entities through the collection of reliable metrics.

    Agency: Department of Homeland Security
    Status: Open

    Comments: As of July 2017, USCIS had taken steps to address this recommendation. For example, in May 2017, USCIS provided updated policy governing the development of software that called for teams to prepare an Operations Monitoring Plan or dashboard showing the practices, tools, and measures that will monitor applications in production. The agency also provided a series of documents from internal systems and processes intended to monitor performance, such as a product dashboard for analyzing code quality (i.e., SonarQube) and a report from its Independent Verification and Validation team. However, the program was undergoing a re-baseline and had yet to document updated cost, schedule, and performance expectations against which to monitor. Moreover, the agency did not demonstrate that other metrics, such as customer satisfaction and team velocity, were being reliably collected. We will continue to work with USCIS to obtain additional documentation about actions it is taking to address this recommendation.
    Recommendation: To help manage the USCIS ELIS system, the Secretary of DHS should direct the Director of USCIS to direct the USCIS CIO, in coordination with the DHS CIO and the Chief of OTC, to review and update existing policies and guidance and consider additional controls to conduct unit and integration, and functional acceptance tests, and code inspection consistent with stated program goals.

    Agency: Department of Homeland Security
    Status: Open

    Comments: As of July 2017, USCIS had taken steps to address this recommendation. For example, in May 2017, USCIS provided artifacts from internal systems in place to monitor software development performance. These metrics monitored aspects of testing, such as code quality and code coverage. However, the program did not provide an updated Test and Evaluation Master Plan, which is a document it will produce as part of its ongoing effort to re-baseline. A Test and Evaluation Master Plan sets the testing expectations for the program as agreed upon with its stakeholders in DHS and USCIS. The updated plan will provide a basis for further evaluation of the steps DHS and USCIS have taken to address this recommendation. Moreover, the agency did not demonstrate that functional acceptance tests were being conducted in accordance with stated program goals. For example, the agency did not provide acceptance criteria or the associated tests demonstrating that user stories passed the defined acceptance criteria. We will continue to work with USCIS to obtain additional documentation about actions it is taking to address this recommendation.
    Recommendation: To help manage the USCIS ELIS system, the Secretary of DHS should direct the Director of USCIS to direct the USCIS CIO, in coordination with the DHS CIO and the Chief of OTC, to review and update existing policies and guidance and consider additional controls to develop complete test plans and cases for interoperability and end user testing, as defined in the USCIS Transformation Program Test and Evaluation Master Plan, and document the results.

    Agency: Department of Homeland Security
    Status: Open

    Comments: As of July 2017, DHS and USCIS had not provided information demonstrating that they had addressed this recommendation. In October 2016, DHS provided a written response indicating that an internal process for revisiting the USCIS ELIS Test and Evaluation Master Plan had been initiated, with participation from all relevant stakeholder groups. A Test and Evaluation Master Plan sets the testing expectations for the program as agreed upon with its stakeholders in DHS and USCIS. The updated plan will provide a basis for further evaluation of the steps DHS and USCIS have taken to address this recommendation. The letter also stated that USCIS had begun to work on a policy for new interoperability test procedures. Moreover, the letter added that end user testing is a continuing activity, including providing feedback of observed issues into the development queue, with the slow launch of the naturalization capabilities in USCIS ELIS being a model. However, as of July 2017, DHS and USCIS had not provided new information about the status of this recommendation. We will continue to work with DHS and USCIS to obtain additional documentation about actions they are taking to address this recommendation.
    Director: Gretta L. Goodwin
    Phone: (202) 512-8777

    1 open recommendations
    Recommendation: To help the NICS Section achieve its mission to enhance national security and public safety by providing the timely and accurate determination of a person's eligibility to possess firearms, the Director of the FBI should monitor NICS check outcomes for specific categories of prohibited individuals to assess timeliness and provide this information to other DOJ entities for use in establishing priorities and tools to assist states in submitting more complete records for use during NICS checks.

    Agency: Department of Justice: Federal Bureau of Investigation
    Status: Open

    Comments: When we confirm what actions the agency has taken in response to this recommendation, we will provide updated information.
    Director: Diana C. Maurer
    Phone: (202) 512-9627

    1 open recommendations
    Recommendation: In order to help ensure that ATF adheres to its policies and facilitates industry compliance with requirements, the Deputy Director of ATF should align the MS deletion policy, MS system design, and the timeliness of deletion practices to improve ATF's compliance with the policy.

    Agency: Department of Justice: Bureau of Alcohol, Tobacco, Firearms and Explosives
    Status: Open

    Comments: In September 2016, ATF reported that it deleted all purchaser names within those multiple sale records GAO identified as having been retained beyond time limits specified by ATF?s policy. In addition, ATF stated that it is in the process of implementing protocols to ensure that purging purchaser names within multiple sale records aligns with ATF policy. As of March 2017, ATF reported changing its query code to result in an improved match ratio with the MS system. In July 2017, ATF reiterated its deletion of affected purchaser names and its change in query code. However, given the longstanding nature of this issue, ATF needs to provide more documentation to demonstrate that the change in query code will identify all records eligible for deletion.
    Director: Marcia Crosse
    Phone: (202) 512-7114

    10 open recommendations
    Recommendation: To increase awareness of the health and legal consequences of FGM/C among visa recipients, the Secretary of State should update the Foreign Affairs Manual to require posts located in countries where FGM/C is commonly practiced to directly provide information about FGM/C to nonimmigrant visa recipients in the same manner as is done for immigrant visa recipients.

    Agency: Department of State
    Status: Open

    Comments: The Department of State (State) concurred with this recommendation, and noted in a September 2016 update that it will expand the pool of visa applicants who will receive information on FGM/C. Specifically, once its transition to providing paperwork electronically during the visa application process is complete, State will directly distribute the fact sheet on FGM/C to both immigrant and nonimmigrant visa recipients. According to State, both immigrant and nonimmigrant visa recipients will have to certify that they have read and understood the fact sheet on FGM/C before signing and submitting their respective visa applications. As of August 2017, State has not yet completed these actions.
    Recommendation: To increase awareness of the health and legal consequences of FGM/C among visa recipients, the Secretary of State should update the Foreign Affairs Manual to require posts located outside of the countries where FGM/C is commonly practiced to directly provide information on FGM/C to immigrant and nonimmigrant visa recipients who are nationals of countries where FGM/C is commonly practiced.

    Agency: Department of State
    Status: Open

    Comments: The Department of State (State) concurred with this recommendation, and noted in a September 2016 update that it will expand the pool of visa applicants who will receive information on FGM/C. Specifically, once its transition to providing paperwork electronically during the visa application process is complete, State will directly distribute the fact sheet on FGM/C to both immigrant and nonimmigrant visa recipients who are from or were nationals of a country where FGM/C is commonly practiced. State noted that this change will ensure the widest distribution possible by providing all individuals from countries where FGM/C is commonly practiced with access to the fact sheet on FGM/C regardless of place of application or visa recipient type. As of August 2017, State has not yet completed these actions.
    Recommendation: To make the best use of federal resources directed toward combating FGM/C in the United States, the Attorney General and the Secretaries of Education, Health and Human Services, Homeland Security, and State should each develop a written plan that describes the agency's approach for conducting education and outreach to key stakeholders in the United States regarding FGM/C.

    Agency: Department of Education
    Status: Open

    Comments: The Department of Education (Education) concurred with this recommendation, and noted in a September 2016 update that it will develop a written plan for disseminating relevant FGM/C resources to the agency?s key stakeholder groups. As of August 2017, Education reported that action is still pending.
    Recommendation: To make the best use of federal resources directed toward combating FGM/C in the United States, the Attorney General and the Secretaries of Education, Health and Human Services, Homeland Security, and State should each develop a written plan that describes the agency's approach for conducting education and outreach to key stakeholders in the United States regarding FGM/C.

    Agency: Department of Health and Human Services
    Status: Open

    Comments: The Department of Health and Human Services (HHS) concurred with this recommendation, and noted in a September 2016 update that various HHS offices and agencies are working together to develop a written plan for its approaches to addressing FGM/C. In August 2017, HHS reported that once a key leadership position has been filled, it will provide more information on developing a written plan.
    Recommendation: To make the best use of federal resources directed toward combating FGM/C in the United States, the Attorney General and the Secretaries of Education, Health and Human Services, Homeland Security, and State should each develop a written plan that describes the agency's approach for conducting education and outreach to key stakeholders in the United States regarding FGM/C.

    Agency: Department of Justice
    Status: Open

    Comments: The Department of Justice (DOJ) concurred with this recommendation, and noted in a September 2016 update that the Human Rights and Special Prosecutions Section of its Criminal Division is taking the lead on developing a written plan on its FGM/C outreach and awareness efforts. As of August 2017, DOJ has not yet developed a written plan.
    Recommendation: To make the best use of federal resources directed toward combating FGM/C in the United States, the Attorney General and the Secretaries of Education, Health and Human Services, Homeland Security, and State should each develop a written plan that describes the agency's approach for conducting education and outreach to key stakeholders in the United States regarding FGM/C.

    Agency: Department of State
    Status: Open

    Comments: The Department of State (State) did not concur with our recommendation, and, as of August 2017, has not indicated that it would implement this recommendation.
    Recommendation: To make the best use of federal resources directed toward combating FGM/C in the United States, the Attorney General and the Secretaries of Education, Health and Human Services, Homeland Security, and State should each communicate the plan with other relevant federal agencies and stakeholder groups, as appropriate.

    Agency: Department of Education
    Status: Open

    Comments: The Department of Education (Education) concurred with this recommendation, and noted in a September 2016 update that it will develop a written plan for disseminating relevant FGM/C resources to the agency?s key stakeholder groups and will explore how to best communicate and coordinate efforts at the federal level. As of August 2017, Education reported that action is still pending.
    Recommendation: To make the best use of federal resources directed toward combating FGM/C in the United States, the Attorney General and the Secretaries of Education, Health and Human Services, Homeland Security, and State should each communicate the plan with other relevant federal agencies and stakeholder groups, as appropriate.

    Agency: Department of Health and Human Services
    Status: Open

    Comments: The Department of Health and Human Services (HHS) concurred with this recommendation, and noted in a September 2016 update that various HHS offices and agencies are working together to develop a written plan for its approaches to addressing FGM/C. HHS also noted that it would share this plan with other federal partners and key stakeholders. In August 2017, HHS reported that once a key leadership position has been filled, it will provide more information on disseminating a written plan.
    Recommendation: To make the best use of federal resources directed toward combating FGM/C in the United States, the Attorney General and the Secretaries of Education, Health and Human Services, Homeland Security, and State should each communicate the plan with other relevant federal agencies and stakeholder groups, as appropriate.

    Agency: Department of Justice
    Status: Open

    Comments: The Department of Justice (DOJ) concurred with this recommendation, and noted in a September 2016 update that the Human Rights and Special Prosecutions Section of its Criminal Division is taking the lead on developing a written plan on its FGM/C outreach and awareness efforts. DOJ also noted that it would communicate its written plan with other relevant federal agencies and stakeholder groups, as appropriate. As of August 2017, DOJ has not yet disseminated a written plan.
    Recommendation: To make the best use of federal resources directed toward combating FGM/C in the United States, the Attorney General and the Secretaries of Education, Health and Human Services, Homeland Security, and State should each communicate the plan with other relevant federal agencies and stakeholder groups, as appropriate.

    Agency: Department of State
    Status: Open

    Comments: The Department of State (State) did not concur with our recommendation, and, as of August 2017, has not indicated that it would implement this recommendation.
    Director: Diana C. Maurer
    Phone: (202) 512-9627

    4 open recommendations
    Recommendation: To help determine if pretrial diversion programs and practices are effectively contributing to the achievement of department goals and enhance DOJ's ability to better manage and encourage the use of such programs and practices, the Attorney General should identify, obtain, and track data on the outcomes and costs of pretrial diversion programs.

    Agency: Department of Justice
    Status: Open

    Comments: In providing comments on this report, DOJ concurred with this recommendation but has not yet taken any actions necessary to implement it.
    Recommendation: To help determine if pretrial diversion programs and practices are effectively contributing to the achievement of department goals and enhance DOJ's ability to better manage and encourage the use of such programs and practices, the Attorney General should develop performance measures by which to help assess program outcomes.

    Agency: Department of Justice
    Status: Open

    Comments: In providing comments on this report, DOJ concurred with this recommendation but has not yet taken any actions necessary to implement it.
    Recommendation: To determine how the use of RRCs and home confinement contribute to its goal of helping inmates successfully reenter society, and to better enable BOP to adjust its policies and procedures for the optimal use of these alternatives, as necessary and within statutory requirements, the Director of BOP should identify, obtain, and track data on the outcomes of the programs.

    Agency: Department of Justice: Bureau of Prisons
    Status: Open

    Comments: In providing comments on this report, DOJ concurred with this recommendation but has not yet taken any actions necessary to implement it.
    Recommendation: To determine how the use of RRCs and home confinement contribute to its goal of helping inmates successfully reenter society, and to better enable BOP to adjust its policies and procedures for the optimal use of these alternatives, as necessary and within statutory requirements, the Director of BOP should develop performance measures by which to help assess program outcomes.

    Agency: Department of Justice: Bureau of Prisons
    Status: Open

    Comments: In providing comments on this report, DOJ concurred with this recommendation but has not yet taken any actions necessary to implement it.
    Director: Diana C. Maurer
    Phone: (202) 512-9627

    2 open recommendations
    including 2 priority recommendations
    Recommendation: To allow for more efficient use of data on missing and unidentified persons contained in the NCIC's Missing Persons and Unidentified Persons files and NamUs, the Directors of the FBI and NIJ should evaluate the feasibility of sharing certain information among authorized users, document the results of this evaluation, and incorporate, as appropriate, legally and technically feasible options for sharing the information.

    Agency: Department of Justice: Federal Bureau of Investigation
    Status: Open
    Priority recommendation

    Comments: In commenting on GAO's June 2016 report, DOJ disagreed with our recommendation, because DOJ believes it does not have the legal authority to fulfill the corrective action as described in the proposed recommendation. Specifically, DOJ stated that the National Missing and Unidentified Persons System (NamUs) does not qualify, under federal law, for access to the National Crime Information Center (NCIC) and is not an authorized user to receive NCIC data. Therefore, DOJ does not believe there is value in evaluating the technical feasibility of integrating these two databases. In March 2017, DOJ reiterated its position that any such sharing was prohibited by law. We understand the legal framework placed on NCIC and that it may be restricted from fully integrating with a public database. However, this statutory restriction does not preclude DOJ from exploring options to more efficiently share information within the confines of the current legal framework. Until DOJ studies whether such feasible mechanisms exist, it will be unable to make this determination, risking continued inefficiencies through fragmentation and overlap.
    Recommendation: To allow for more efficient use of data on missing and unidentified persons contained in the NCIC's Missing Persons and Unidentified Persons files and NamUs, the Directors of the FBI and NIJ should evaluate the feasibility of sharing certain information among authorized users, document the results of this evaluation, and incorporate, as appropriate, legally and technically feasible options for sharing the information.

    Agency: Department of Justice: Office of Justice Programs: National Institute of Justice
    Status: Open
    Priority recommendation

    Comments: In commenting on GAO's June 2016 report, DOJ disagreed with our recommendation, because DOJ believes it does not have the legal authority to fulfill the corrective action as described in the proposed recommendation. Specifically, DOJ stated that the National Missing and Unidentified Persons System (NamUs) does not qualify, under federal law, for access to the National Crime Information Center (NCIC) and is not an authorized user to receive NCIC data. Therefore, DOJ does not believe there is value in evaluating the technical feasibility of integrating these two databases. In March 2017, DOJ reiterated its position that any such sharing was prohibited by law. We understand the legal framework placed on NCIC and that it may be restricted from fully integrating with a public database. However, this statutory restriction does not preclude DOJ from exploring options to more efficiently share information within the confines of the current legal framework. Until DOJ studies whether such feasible mechanisms exist, it will be unable to make this determination, risking continued inefficiencies through fragmentation and overlap.
    Director: Rebecca Gambler
    Phone: (202) 512-8777

    4 open recommendations
    Recommendation: To enhance the monitoring of holding facilities, the Secretary of Homeland Security should direct Border Patrol and ICE to develop and implement a process to assess their time in custody data for all individuals in holding facilities, including: (1) identifying and addressing potential data quality issues; and (2) identifying cases where time in custody exceeded guidelines and assessing the factors impacting time in custody.

    Agency: Department of Homeland Security
    Status: Open

    Comments: When we confirm what actions the agency has taken in response to this recommendation, we will provide updated information.
    Recommendation: To strengthen the transparency of the complaints process, the Secretary of Homeland Security should direct CBP and ICE to develop and issue guidance on how and which complaint mechanisms should be communicated to individuals in custody at holding facilities.

    Agency: Department of Homeland Security
    Status: Open

    Comments: When we confirm what actions the agency has taken in response to this recommendation, we will provide updated information.
    Recommendation: To facilitate the tracking of holding facility complaints, the Secretary of Homeland Security should include a classification code in all complaint tracking systems related to DHS holding facilities.

    Agency: Department of Homeland Security
    Status: Open

    Comments: When we confirm what actions the agency has taken in response to this recommendation, we will provide updated information.
    Recommendation: To provide useful information for compliance monitoring, the Secretary of Homeland Security should direct CBP and ICE to develop and implement a process for analyzing trends related to holding facility complaints across their respective component.

    Agency: Department of Homeland Security
    Status: Open

    Comments: When we confirm what actions the agency has taken in response to this recommendation, we will provide updated information.
    Director: Seto Bagdoyan
    Phone: (202) 512-6722

    5 open recommendations
    Recommendation: To help ensure that practitioners who may be ineligible do not possess a controlled substance registration and that practitioners who pose an increased risk of illicit diversion are identified, the Acting Administrator of DEA should take additional actions to strengthen verification controls. Specifically, the Acting Administrator of DEA should develop a legislative proposal requesting authority to require SSNs for all individuals, regardless of whether they hold an individual or business registration.

    Agency: Department of Justice: Drug Enforcement Administration
    Status: Open

    Comments: In August 2016, DEA told us it is exploring the possibility and practicality of implementing policy or rule changes that would require Social Security Numbers (SSN) from all persons applying for a DEA Registration as a practitioner or mid-level practitioner. We will continue to monitor DEA's progress in implementing this recommendation.
    Recommendation: To help ensure that practitioners who may be ineligible do not possess a controlled substance registration and that practitioners who pose an increased risk of illicit diversion are identified, the Acting Administrator of DEA should take additional actions to strengthen verification controls. Specifically, the Acting Administrator of DEA should develop policies and procedures to validate SSNs and apply the policies and procedures to all new and existing SSNs in the CSA2; such an approach could involve collaborating with SSA to assess the feasibility of checking registrants' SSNs against the Enumeration Verification System.

    Agency: Department of Justice: Drug Enforcement Administration
    Status: Open

    Comments: In August 2016, DEA told us that it had initiated discussions with the Social Security Administration (SSA) to determine the legality and feasibility of using SSA's Enumeration Verification System (EVS) to verify SSNs provided during the registration process. DEA stated that SSA has informed both GAO and DEA that its current legislative authorities do not authorize SSA to provide the information to DEA. As a a result, DEA stated that legislative action will be required to allow DEA additional access to EVS. As stated in our report, the use of EVS is one possible approach to validate SSNs. We will continue to monitor DEA's progress in implementing this recommendation.
    Recommendation: To help ensure that practitioners who may be ineligible do not possess a controlled substance registration and that practitioners who pose an increased risk of illicit diversion are identified, the Acting Administrator of DEA should take additional actions to strengthen verification controls. Specifically, the Acting Administrator of DEA should develop a legislative proposal to request access to SSA's full death file.

    Agency: Department of Justice: Drug Enforcement Administration
    Status: Open

    Comments: In August 2016, DEA told us that the Social Security Administration (SSA) determined that it cannot provide data from the full death file to DEA under existing law for use in administering the DEA Registration Process. DEA also said that if legislative changes allow DEA full access to SSA's full death file, DEA will work with SSA to ensure implementation of the new legislative authority. We continue to believe that DEA should develop a legislative proposal to request access to SSA's full death file and we will continue to monitor DEA's progress in implementing this recommendation.
    Recommendation: To help ensure that practitioners who may be ineligible do not possess a controlled substance registration and that practitioners who pose an increased risk of illicit diversion are identified, the Acting Administrator of DEA should take additional actions to strengthen verification controls. Specifically, the Acting Administrator of DEA should identify and implement a cost-effective approach to monitor state licensure and disciplinary actions taken against its registrants; such an approach could include using data sources that contain this information, such as the National Practitioner Data Bank or the Federation of State Medical Boards.

    Agency: Department of Justice: Drug Enforcement Administration
    Status: Open

    Comments: In August 2016, DEA told us that currently, the Controlled Substance Act and its implementing regulations do not specifically give DEA authority to access state medical licensing boards' databases. DEA also said that it met with representatives of the Federation of State Medical Boards (FSMB) to develop a process that will allow DEA to accomplish the objectives GAO articulated in the draft report. Specifically, DEA said that it is exploring use of the FSMB service to verify the existence and status of state licenses to ensure all applicants for registration who are Doctors of Medicine and Doctors of Osteopathy, or Physician Assistants (in the states that provide this data to FSMB), meet the requirements to possess a DEA Registration. To implement the above described actions, DEA stated it will need to enter into an agreement with FSMB to provide this data in a format that allows real-time access to the data and accommodates the large numbers of applicants for DEA Registrations. DEA also said it obtained information from FSMB to begin the agreement process and is currently obtaining information on data elements that can be used to test user account codes to flag records in the FSMB. We will continue to monitor DEA's progress in implementing this recommendation.
    Recommendation: To help ensure that practitioners who may be ineligible do not possess a controlled substance registration and that practitioners who pose an increased risk of illicit diversion are identified, the Acting Administrator of DEA should take additional actions to strengthen verification controls. Specifically, the Acting Administrator of DEA should assess the cost and feasibility of developing procedures for monitoring registrants' criminal backgrounds, such as conducting matches against federal law-enforcement databases, and document decisions about the approach chosen.

    Agency: Department of Justice: Drug Enforcement Administration
    Status: Open

    Comments: In August 2016, DEA told us they are in the process of determining the feasibility of implementing actions that would permit DEA to comply with the recommendation utilizing the current legal framework and within reasonable cost parameters. DEA also said that the large volume of DEA registrations and the large number of applications received monthly present extensive technical and fiscal challenges with addressing this recommendation. We will continue to monitor DEA's progress in implementing this recommendation.
    Director: James R. McTigue, Jr.
    Phone: (202) 512-9110

    4 open recommendations
    Recommendation: To further deter noncompliance in the Taxpayer Protection Program, the Commissioner of Internal Revenue should, in accordance with Office of Management and Budget (OMB) and National Institute of Standards and Technology (NIST) e-authentication guidance, conduct an updated risk assessment to identify new or ongoing risks for TPP's online and phone authentication options, including documentation of time frames for conducting the assessment

    Agency: Department of the Treasury: Internal Revenue Service
    Status: Open

    Comments: As of March 2017, IRS is taking steps to assess the risks of TPP authentication options, as GAO recommended in its May 2016 report. In November 2016, IRS reported that it will implement the recommendation by October 2017. According to IRS, the agency assessed the e-authentication risk for the TPP web application based on OMB and NIST guidance. Based on the results of these assessments, the agency stated that officials are working to improve the level of assurance for the web application. In the interim, IRS reported that taxpayers will authenticate their identities by phone or in-person until the TPP web application has been sufficiently updated. In March 2017, officials stated that they recently completed a risk assessment for TPP's phone and in-person authentication. Additionally, according to officials, IRS has implemented a new authentication process for TPP's phone authentication that began in February 2017. GAO requested documentation on IRS's risk assessment and authentication process. Once GAO receives and reviews documentation of these actions, it will determine the extent to which IRS has implemented the recommendation. Conducting an updated risk assessment for TPP in accordance with e-authentication and risk management standards, enabled IRS to identify appropriate opportunities to strengthen TPP authentication and prevent IDT fraudsters from passing and potentially receiving millions of dollars in refunds. In addition, strengthening TPP could improve IRS's return on investment by ensuring that efforts to flag fraudulent returns result in fewer refunds paid to IDT fraudsters.
    Recommendation: To further deter noncompliance in the Taxpayer Protection Program, the Commissioner of Internal Revenue should, in accordance with OMB and NIST e-authentication guidance, implement appropriate actions to mitigate risks identified in the assessment.

    Agency: Department of the Treasury: Internal Revenue Service
    Status: Open

    Comments: As of March 2017, IRS is taking steps to assess the risks of TPP authentication options, as GAO recommended in its May 2016 report. In November 2016, IRS reported that it will implement the recommendation by October 2017. According to IRS, the agency assessed the e-authentication risk for the TPP web application based on OMB and NIST guidance. Based on the results of these assessments, the agency stated that officials are working to improve the level of assurance for the web application. In the interim, IRS reported that taxpayers will authenticate their identities by phone or in-person until the TPP web application has been sufficiently updated. In March 2017, officials stated that they recently completed a risk assessment for TPP's phone and in-person authentication. Additionally, according to officials, IRS has implemented a new authentication process for TPP's phone authentication that began in February 2017. GAO requested documentation on IRS's risk assessment and authentication process. Once GAO receives and reviews documentation of these actions, it will determine the extent to which IRS has implemented the recommendation. Conducting an updated risk assessment for TPP in accordance with e-authentication and risk management standards, enabled IRS to identify appropriate opportunities to strengthen TPP authentication and prevent IDT fraudsters from passing and potentially receiving millions of dollars in refunds. In addition, strengthening TPP could improve IRS's return on investment by ensuring that efforts to flag fraudulent returns result in fewer refunds paid to IDT fraudsters.
    Recommendation: To improve the quality of the Taxonomy's IDT refund fraud estimates, the Commissioner of Internal Revenue should remove refund thresholds from criteria used to develop IRS's refunds-paid estimates.

    Agency: Department of the Treasury: Internal Revenue Service
    Status: Open

    Comments: In August 2016, IRS reported that the agency removed the lower limit threshold from the modeling dataset in March 2016, which will expand the population of returns considered for the 2015 Filing Season Taxonomy refund fraud estimates. Further, the agency noted that, to mitigate other thresholds, other returns receive manual reviews. GAO will analyze the 2015 Filing Season Taxonomy estimates, when available, to determine the extent to which GAO's recommendation has been implemented.
    Recommendation: To improve the quality of the Taxonomy's IDT refund fraud estimates, the Commissioner of Internal Revenue should utilize return-level data--where available--to reduce overcounting and improve the quality and accuracy of the refunds-prevented estimates.

    Agency: Department of the Treasury: Internal Revenue Service
    Status: Open

    Comments: In August 2016, IRS reported that the agency did not agree with GAO's recommendation and noted that the agency does not think that adopting a different methodology for Taxonomy estimates is an effective use of agency resources. According to IRS, the agency established the Global Identity Theft Report (Global Report) as a standardized report that uses return-level data for most of the identity theft protected categories and summary data elsewhere. Further, IRS reported that the agency will continue to improve the Global Report, which will flow into the Taxonomy. However, as we reported in May 2016, by using the Global Report to calculate Taxonomy estimates for refunds prevent, IRS may have overestimated the refunds protected or recovered. For example, electronically filed returns that are rejected are overcounted because the same return can be rejected multiple times. Additionally, IRS already has a count of known and potential identity theft returns in its modeling dataset that the agency could use to help calculate the refunds protected estimates. GAO will analyze the 2015 Filing Season Taxonomy estimates, when available, to determine the extent to which GAO's recommendation has been implemented.
    Director: Maurer, Diana C
    Phone: (202) 512-8777

    2 open recommendations
    Recommendation: To ensure that costs savings estimates are reliable, the Director of the USMS should direct its Prisoner Operations Division to develop reliable methods for estimating cost savings and validating reported savings achieved.

    Agency: Department of Justice: United States Marshals Service
    Status: Open

    Comments: In May 2016, we reported on United States Marshals Service's (USMS) actions to reduce prisoner-related costs from fiscal years 2010 through 2015. During the course of our review, we found that while USMS implemented actions that it reports have continued to save prisoner-related costs, USMS's methods to determine savings for certain actions were not reliable. For example, USMS identified $375 million in savings from the alternatives to pre-trial detention program for fiscal years 2010 through 2015, but did not verify the data or methodology used to develop the estimate or provide documentation supporting its reported savings for fiscal years 2012 onward. Consequently, we recommended that USMS direct its prisoner operations division to develop reliable methods for estimating cost savings and validating reports savings achieved. USMS concurred with our recommendation. In July 2016, USMS provided more information about how it would address the recommendation by confirming that its future cost savings estimates would be consistent with OMB guidelines for conducting benefit-cost analyses and GAO-identified practices for assessing the reliability of computer-processed data. Aligning USMS estimates with these identified practices would better position the agency to assess the effectiveness of its cost savings efforts. As USMS develops such mechanisms, we will request and consider documentation and other evidence to determine that USMS has implemented this recommendation.
    Recommendation: To enable USMS to more consistently identify deficiencies and monitor corrective actions, the Director of the USMS should establish a mechanism to aggregate and analyze the results of annual district self-assessments.

    Agency: Department of Justice: United States Marshals Service
    Status: Open

    Comments: In May 2016, we reported on United States Marshals Service's (USMS) actions to design systems to help identify cost savings opportunities. During the course of our review, we found that USMS has designed several systems for identifying cost savings, including, for example, developing a strategic plan and guidance for district officials that reinforce policies to provide for the safe, secure, and cost-effective containment of its prisoners. In addition, USMS requires districts to conduct annual self-assessments of their procedures to identify any deficiencies which could lead to cost savings. However, USMS cannot aggregate and analyze the results of the assessments across districts. As a result, we recommended that USMS establish a mechanism to aggregate and analyze the results of annual district self-assessments. USMS concurred with our recommendation. In July 2016, USMS informed us that the agency will develop a method to aggregate and analyze the results of the annual district self-assessments. However, it has not provided information on its plans or timelines to implement the recommendation. As USMS develops such mechanisms, we will consider documentation and other evidence to determine that USMS has implemented this recommendation.
    Director: Diana Maurer
    Phone: (202) 512-9627

    6 open recommendations
    including 6 priority recommendations
    Recommendation: To improve transparency and better ensure that face recognition capabilities are being used in accordance with privacy protection laws and policy requirements, the Attorney General should assess the PIA development process to determine why PIAs were not published prior to using or updating face recognition capabilities, and implement corrective actions to ensure the timely development, updating, and publishing of PIAs before using or making changes to a system.

    Agency: Department of Justice
    Status: Open
    Priority recommendation

    Comments: DOJ officials did not concur with this recommendation, and stated that the FBI has established practices that protect privacy and civil liberties beyond the requirements of the law. DOJ officials stated that it will internally evaluate the PIA process as part of the Department's overall commitment to improving its processes, not in response to our recommendation. In March 2017, we followed up with DOJ to obtain its current position on our recommendation. DOJ continues to believe that its approach in designing the NGI system was sufficient to meet legal privacy requirements and that our recommendation represents a "checkbox approach" to privacy. We disagree with DOJ's characterization of our recommendation. We continue to believe that the timely development and publishing of future PIAs would increase transparency of the department's systems. We recognize the steps the agency took to consider privacy protection during the development of the NGI system. We also stand by our position that notifying the public of these actions is important and provides the public with greater assurance that DOJ components are evaluating risks to privacy when implementing systems. As a result, the recommendation remains open and unimplemented.
    Recommendation: To improve transparency and better ensure that face recognition capabilities are being used in accordance with privacy protection laws and policy requirements, the Attorney General should assess the SORN development process to determine why a SORN was not published that addressed the collection and maintenance of photos accessed and used through NGI for the FBI's face recognition capabilities prior to using NGI-IPS, and implement corrective actions to ensure SORNs are published before systems become operational.

    Agency: Department of Justice
    Status: Open
    Priority recommendation

    Comments: DOJ agreed, in part, with our recommendation and submitted the SORN for publication to the Federal Register on April 21, 2016, and it was published on May 5, 2016. DOJ did not agree that the publication of a SORN is required by law. We disagree with DOJ's interpretation regarding the legal requirements of a SORN. The Privacy Act of 1974 requires that when agencies establish or make changes to a system of records, they must notify the public through a SORN published in the Federal Register. DOJ's comments on our draft report acknowledge that the automated nature of face recognition technology and the sheer number of photos now available for searching raise important privacy and civil liberties considerations. DOJ officials also stated that the FBI's face recognition capabilities do not represent new collection, use, or sharing of personal information. We disagree. We believe that the ability to perform automated searches of millions of photos is fundamentally different in nature and scope than manual review of individual photos, and the potential impact on privacy is equally fundamentally different. By assessing the SORN development process and taking corrective actions to ensure timely development of future SORNs, the public would have a better understanding of how personal information is being used and protected by DOJ components. As a result, the recommendation remains open and unimplemented.
    Recommendation: To better ensure that face recognition capabilities are being used in accordance with privacy protection laws and policy requirements, the Director of the Federal Bureau of Investigation should conduct audits to determine the extent to which users of NGI-IPS and biometric images specialists in FACE Services are conducting face image searches in accordance with Criminal Justice Information Services Division policy requirements.

    Agency: Department of Justice: Federal Bureau of Investigation
    Status: Open
    Priority recommendation

    Comments: In March 2017, DOJ provided us with the audit plan the CJIS Audit Unit developed in June 2016 for NGI-IPS users. In addition, DOJ reported that the CJIS Audit Unit began assessing NGI-IPS requirements at participating states in conjunction with its triennial National Identity Services audit and that, as of February 2017, the unit had conducted NGI-IPS audits of four states. Further, DOJ officials said CJIS developed an audit plan of the FACE Services Unit to coincide with the existing triennial FBI internal audit for 2018. However, DOJ did not provide the audit plan for the FACE Services Unit. DOJ officials said the methodology would be the same as the audit plan for NGI-IPS, but that methodology does not describe oversight on use of information obtained from external systems accessed by FACE Services employees. Therefore, we believe DOJ is making progress towards meeting the recommendation, but has not fully implemented our recommendation.
    Recommendation: To better ensure that face recognition systems are sufficiently accurate, the Director of the Federal Bureau of Investigation should conduct tests of NGI-IPS to verify that the system is sufficiently accurate for all allowable candidate list sizes, and ensure that the detection and false positive rate used in the tests are identified.

    Agency: Department of Justice: Federal Bureau of Investigation
    Status: Open
    Priority recommendation

    Comments: In comments on our draft report in 2016, and reiterated during recommendation follow-up, as of March 2017, DOJ did not concur with this recommendation. DOJ officials stated that the FBI has performed accuracy testing to validate that the system meets the requirements for the detection rate, which fully satisfies requirements for the investigative lead service provided by NGI-IPS. We disagree with DOJ. A key focus of our recommendation is the need to ensure that NGI-IPS is sufficiently accurate for all allowable candidate list sizes. Although the FBI has tested the detection rate for a candidate list of 50 photos, NGI-IPS users are able to request smaller candidate lists (between 2 and 50 photos). FBI officials stated that they do not know, and have not tested, the detection rate for other candidate list sizes. According to these officials, a smaller candidate list would likely lower the detection rate because a smaller candidate list may not contain a likely match that would be present in a larger candidate list. However, according to the FBI Information Technology Life Cycle Management Directive, testing needs to confirm the system meets all user requirements. Because the accuracy of NGI-IPS's face recognition searches when returning fewer than 50 photos in a candidate list is unknown, the FBI is limited in understanding whether the results are accurate enough to meet NGI-IPS users' needs. DOJ officials also stated that searches of NGI-IPS produce a gallery of likely candidates to be used as investigative leads, not for positive identification. As a result, according to DOJ officials, NGI-IPS cannot produce false positives and there is no false positive rate for the system. We disagree with DOJ. The detection rate and the false positive rate are both necessary to assess the accuracy of a face recognition system. Generally, face recognition systems can be configured to allow for a greater or lesser number of matches. A greater number of matches would generally increase the detection rate, but would also increase the false positive rate. Similarly, a lesser number of matches would decrease the false positive rate, but would also decrease the detection rate. Reporting a detection rate of 86 percent without reporting the accompanying false positive rate presents an incomplete view of the system's accuracy. As a result, the recommendation remains open and unimplemented.
    Recommendation: To better ensure that face recognition systems are sufficiently accurate, the Director of the Federal Bureau of Investigation should conduct an operational review of NGI-IPS at least annually that includes an assessment of the accuracy of face recognition searches to determine if it is meeting federal, state, and local law enforcement needs and take actions, as necessary, to improve the system.

    Agency: Department of Justice: Federal Bureau of Investigation
    Status: Open
    Priority recommendation

    Comments: As of March 2017, FBI officials stated they implemented the recommendation by submitting a paper to solicit feedback from users through the Fall 2016 Advisory Policy Board Process. Specifically, officials said the paper requested feedback on whether the face recognition searches of the NGI-IPS are meeting their needs, and input regarding search accuracy. According to FBI officials, no users expressed concern with any aspect of the NGI-IPS meeting their needs, including accuracy. Although FBI's action of providing working groups with a paper presenting GAO's recommendation is a step, the FBI's actions do not fully meet the recommendation. The FBI's paper was presented as informational, and did not result in any formal responses from users. We disagree with the FBI's conclusion that receiving no responses on the informational paper fulfills the operational review recommendation, which includes determining that NGI-IPS is meeting user's needs. As such, we continue to recommend the FBI conduct an operational review of NGI-IPS at least annually.
    Recommendation: To better ensure that face recognition systems are sufficiently accurate, the Director of the Federal Bureau of Investigation should take steps to determine whether each external face recognition system used by FACE Services is sufficiently accurate for the FBI's use and whether results from those systems should be used to support FBI investigations.

    Agency: Department of Justice: Federal Bureau of Investigation
    Status: Open
    Priority recommendation

    Comments: In comments on our draft report in 2016, and reiterated during recommendation follow-up in 2017, DOJ officials did not concur with this recommendation and had no plans to implement it. DOJ officials stated that the FBI has no authority to set or enforce accuracy standards of face recognition technology operated by external agencies. In addition, DOJ officials stated that the FBI has implemented multiple layers of manual review that mitigate risks associated with the use of automated face recognition technology. Further, DOJ officials stated there is value in searching all available external databases, regardless of their level of accuracy. We disagree with the DOJ position. We continue to believe that the FBI should assess the quality of the data it is using from state and federal partners. We acknowledge that the FBI cannot and should not set accuracy standards for the face recognition systems used by external partners. We also do not dispute that the use of external face recognition systems by the FACE Services Unit could add value to FBI investigations. However, we disagree with FBI's assertion that no assessment of the quality of the data from state and federal partners is necessary. We also disagree with the DOJ assertion that manual review of automated search results is sufficient. Even with a manual review process, the FBI could miss investigative leads if a partner does not have a sufficiently accurate system. By relying on its external partners' face recognition systems, the FBI is using these systems as a component of its routine operations and is therefore responsible for ensuring the systems will help meet FBI's mission, goals and objectives. The recommendation remains open and unimplemented.
    Director: Jacqueline M. Nowicki
    Phone: (617) 788-0580

    2 open recommendations
    including 1 priority recommendation
    Recommendation: The Secretary of Education should direct Education's Office for Civil Rights to more routinely analyze its Civil Rights Data Collection by school groupings and types of schools across key elements to further explore and understand issues and patterns of disparities. For example, Education could use this more detailed information to help identify issues and patterns among school types and groups in conjunction with its analyses of student groups.

    Agency: Department of Education
    Status: Open
    Priority recommendation

    Comments: The Department of Education stated that it already analyzes its civil rights data in some of the ways we recommended, and in light of our recommendation, will consider whether additional analysis could augment their core civil rights enforcement mission. Education noted that it often uses the type of analyses GAO recommended, when appropriate, to inform its internal civil rights investigations, and makes the data available to researchers and other stakeholders outside the agency. While these efforts are encouraging, our recommendation emphasizes that the agency itself more routinely use the civil rights data across key data elements to help it identify disparities and patterns among groups and types of schools. Such an analysis could enhance the agency's current efforts and ultimately improve the agency's ability to target oversight and technical assistance to the schools that need it most. Education reported that this recommendation would be implemented by September 15, 2017. At that time, we will await documentation of its analyses by the school groupings as specified in our recommendation.
    Recommendation: The Attorney General of the United States should direct the Department of Justice's Civil Rights Division to systematically track key summary information across its portfolio of open desegregation cases and use this data to inform its monitoring of these cases. Such information could include, for example, dates significant actions were taken or reports received.

    Agency: Department of Justice
    Status: Open

    Comments: The Department of Justice concurred with this recommendation and believes its procedures for tracking case-related data are adequate. Justice reported in 2016 that it is currently developing an electronic document management system that may allow more case-related information to be stored in electronic format. The agency has already taken substantial steps to increase its case monitoring activities in desegregation cases, and intends to continue those efforts. However, Justice did not provide any details on what these steps are or if these steps are in line with our recommendation. GAO is encouraged that the agency sees a need to increase case monitoring. We will consider closing this recommendation when the agency provides specific information on its systematic tracking of information on open cases and using this information to enhance enforcement.
    Director: Kay E. Brown
    Phone: (202) 512-7215

    1 open recommendations
    Recommendation: To help ensure vulnerable unaccompanied children receive child advocate services, the Secretary of the Department of Health and Human Services should direct ORR to develop a monitoring process that includes: (1) regularly reviewing referrals to the program contractor, including identifying which care providers in locations with a child advocate program do not make referrals; and (2) reviewing information on the children the program contractor determines it is unable to serve.

    Agency: Department of Health and Human Services
    Status: Open

    Comments: In June 2016, the Office of Refugee Resettlement (ORR) reported that it is working with the child advocate contractor to develop standard operating procedures (SOP) to assign child advocates for children as well as address issues identified in the report and monitor the referral and selection process. ORR also reported that its field staff are working with care providers to ensure that care providers are making referrals for child advocates where a local program exists. In July 2017, ORR reported that new SOPs are under development and the program continues to deny cases when child advocates are unavailable due to the limited number of child advocates. Finalizing standard operating procedures for program referrals and developing a process to review information on the children the program contractor determines it is unable to serve would be positive steps towards addressing the recommendation.
    Director: bertonid@gao.gov
    Phone: (202) 512-7215

    8 open recommendations
    including 1 priority recommendation
    Recommendation: To ensure effective and appropriate recovery of DI overpayments and administration of penalties and sanctions, the Acting Commissioner of the Social Security Administration should clarify its policy for assessing the reasonableness of expenses used in determining beneficiaries' repayment amounts to help ensure that withholding plans are consistently established across the agency and accurately reflect individuals' ability to pay.

    Agency: Social Security Administration
    Status: Open

    Comments: As a result of the Bipartisan Budget Act of 2015, SSA gained the ability to use the Access to Financial Information (AFI) system to verify information about the assets of beneficiaries. In February 2017, the agency reported it is continuing to work on clarifying its policy for assessing the reasonableness of expenses used in determining repayment amounts, including guidance on using the new AFI process. As part of this effort, SSA is also reviewing the Internal Revenue Service's (IRS) Collection Financial Standards and determining whether it can incorporate these or similar standards in its policies for determining reasonable repayment amounts. We will continue to track SSA's efforts to clarify its policies, including efforts to incorporate IRS standards.
    Recommendation: To ensure effective and appropriate recovery of DI overpayments and administration of penalties and sanctions, the Acting Commissioner of the Social Security Administration should improve oversight of DI benefit withholding agreements to ensure that they are completed appropriately. This could include requiring supervisory review of repayment plans or sampling plans as part of a quality control process, and requiring that supporting documentation for all withholding plans be retained to enable the agency to perform such oversight.

    Agency: Social Security Administration
    Status: Open

    Comments: SSA agreed with this recommendation, but does not believe that it is necessary to conduct supervisory reviews. As of February 2017, SSA reported that it is exploring system, policy, and training opportunities to better ensure staff appropriately complete benefit withholding agreements. We will continue to track SSA's efforts to improve oversight in this area.
    Recommendation: To ensure effective and appropriate recovery of DI overpayments and administration of penalties and sanctions, the Acting Commissioner of the Social Security Administration should explore the feasibility of using additional methods to independently verify financial information provided by beneficiaries to ensure that complete and reliable information is used when determining repayment amounts. These additional tools could include those already being used by the agency for other purposes.

    Agency: Social Security Administration
    Status: Open

    Comments: According to SSA, Section 834 of the Bipartisan Budget Act of 2015 gave the agency the authority to use the Access to Financial Information system as part of the agency's waiver determination process. SSA reported that, as of February 2017, it also considered using the National Directory of New Hires Query for verifying an overpaid beneficiary's financial information, but preliminarily determined that the information in this system would be of limited value since it is a quarterly report of past earnings. SSA states that it continues to explore other options to verify financial information such as The Work Number and the Interstate Benefit Inquiry. We will monitor SSA's efforts to explore additional options for verifying financial information.
    Recommendation: To ensure effective and appropriate recovery of DI overpayments and administration of penalties and sanctions, the Acting Commissioner of the Social Security Administration should adjust the minimum withholding rate to 10 percent of monthly DI benefits to allow quicker recovery of debt.

    Agency: Social Security Administration
    Status: Open
    Priority recommendation

    Comments: SSA agreed with this recommendation and as of April 2017, it estimated that this would result in an additional $213 million in collections over a 5-year period. The fiscal year 2017 President's budget submission contained a legislative proposal to make this change, but has not yet been enacted. In April 2017, the agency reported that, in the third quarter of fiscal year 2017, it intends to resubmit a regulatory change to establish the minimum withholding rate to 10 percent in the event that its legislative proposal is not included in the fiscal year 2017 budget.
    Recommendation: To ensure effective and appropriate recovery of DI overpayments and administration of penalties and sanctions, the Acting Commissioner of the Social Security Administration should consider adjusting monthly withholding amounts according to cost of living adjustments or charging interest on debts being collected by withholding benefits. Should SSA determine that it is necessary to do so, it could pursue legislative authority to use recovery tools that it is currently unable to use.

    Agency: Social Security Administration
    Status: Open

    Comments: As of February 2017, SSA continued to disagree with this recommendation. For debt subject to benefit withholding, which is not considered delinquent debt, SSA asserted that these measures would not have a significant effect on the amount of debt recovered, especially compared to the option of changing the minimum withholding rate to 10 percent of monthly benefits. For delinquent debt, SSA stated charging interest on debts would require substantial changes to multiple systems that affect its overpayment businesses processes, and would require extensive training to its employees. We continue to believe there is merit in further consideration of these measures. While SSA reported it has studied the potential changes needed to charge interest on debt, without further consideration of, for example, the costs and benefits of charging interest or adjusting withholding amounts according to cost of living adjustments, SSA cannot know the extent to which these options would improve debt recovery efforts or help protect the value of debts against the effects of inflation, which can be substantial given that withholding plans can take decades to complete.
    Recommendation: To ensure effective and appropriate recovery of DI overpayments and administration of penalties and sanctions, the Acting Commissioner of the Social Security Administration should pursue additional debt collection tools for collecting delinquent penalties. This includes taking steps to implement tools within its existing authority and exploring the use of those not within its authority, and seeking legislative authority if necessary.

    Agency: Social Security Administration
    Status: Open

    Comments: In June 2016, SSA reported that: it had drafted regulations to use existing external debt collection tools for penalties, was developing a legislative proposal to allow the use of additional debt collection tools such as Federal salary offset and credit bureau reporting, and had started planning for a multi-activity, multi-year administrative sanctions project. In February 2017, SSA reported that, as part of its administrative sanctions project, the agency revised policy guidance on factors significant to OCIG's civil monetary penalty determinations. We will track SSA's progress in applying new tools to collecting penalties.
    Recommendation: To ensure effective and appropriate recovery of DI overpayments and administration of penalties and sanctions, the Acting Commissioner of the Social Security Administration should take steps to collect complete, accurate, and timely data on, and thereby improve its ability to track civil monetary penalties and their disposition.

    Agency: Social Security Administration
    Status: Open

    Comments: As of February 2017, SSA reported that it is developing a workload tracking tool for penalties to provide accurate management information on cases. SSA expects to implement this tool by September 2017, and have the first full year of management information available in fiscal year 2018. We will close this recommendation once SSA implements and begins using this tool.
    Recommendation: To ensure effective and appropriate recovery of DI overpayments and administration of penalties and sanctions, the Acting Commissioner of the Social Security Administration should take steps to collect complete, accurate, and timely data on, and thereby improve its ability to track administrative sanctions and their disposition.

    Agency: Social Security Administration
    Status: Open

    Comments: As of February 2017, SSA reported that it has been developing a new workload tracking tool for administrative sanctions. The first phase of this tool was implemented in December 2016 and allows SSA to track administrative sanction cases throughout the development process. The second phase, expected to be implemented by September 2017, will provide SSA with management information on sanctions cases. We will continue to monitor SSA's process in developing this tool. We will close this recommendation once the tool is implemented.
    Director: Jacqueline M. Nowicki
    Phone: (202) 512-7215

    1 open recommendations
    including 1 priority recommendation
    Recommendation: Using its general authority to collaborate with other federal agencies, the Secretary of Education should convene its federal interagency partners to develop a strategic approach to interagency collaboration on school emergency preparedness. This group could include designees or delegates from the Secretaries of DHS, HHS, and the Attorney General, including representatives from relevant agency components, such as the Federal Emergency Management Agency, Transportation Security Administration, and the Federal Bureau of Investigation, and others as appropriate, and should incorporate leading federal interagency collaboration practices, for example, by: (1) identifying leadership, (2) defining outcomes and assigning accountability, (3) including all relevant participants, and (4) identifying necessary resources.

    Agency: Department of Education
    Status: Open
    Priority recommendation

    Comments: The Department of Education agrees that improved federal coordination will better assist K-12 schools in preparing for emergencies, and noted that other federal agencies, including especially FEMA, play a significant role in school emergency preparedness. Additionally, Education cited the importance of involving other relevant agencies in obtaining agreement on the assignment of roles and responsibilities, including selecting a lead agency charged with primary responsibility for coordinating federal emergency preparedness assistance to K-12 schools. In August 2016, Education convened a committee of Assistant Secretary-level representatives from relevant agencies, including DHS, FEMA, and TSA, among others, to develop a strategic approach to interagency collaboration on school emergency management efforts. Subsequently, in October 2016, it convened a task force consisting of program staff from the relevant agencies to draft a plan for organizational structure, goals, and objectives for the next five years, which it expects will be approved for implementation beginning in January 2017. We are encouraged by these actions and will monitor the group's progress towards developing a strategic approach to school emergency preparedness. Education stated that it expects to complete these efforts very soon. At that time, we will await documentation showing that it has finalized and implemented its strategic approach for interagency collaboration around school emergency management.
    Director: Rebecca Gambler
    Phone: (202) 512-8777

    1 open recommendations
    Recommendation: To enhance Department of Homeland Security's (DHS) U.S. Immigration and Customs Enforcement's (ICE) ability to make more effective business decisions across immigration detention facilities with respect to the provision of medical care, the Secretary of Homeland Security should direct ICE to track inspection results and conduct analyses of oversight data over time, by standards, and by facility type.

    Agency: Department of Homeland Security
    Status: Open

    Comments: As of May 2017, ICE has not provided a status update regarding the implementation of this recommendation. We will provide updated information after confirming any agency actions.
    Director: Seto J. Bagdoyan
    Phone: (202) 512-6722

    8 open recommendations
    including 8 priority recommendations
    Recommendation: To better oversee the efficacy of PPACA's enrollment control process; to better monitor costs, risk, and program performance; to assist with tax compliance; to strengthen the eligibility determination process; to provide applicants with improved customer service and up-to-date information about submission of eligibility documentation; and to better document agency activities, the Secretary of Health and Human Services should direct the Acting Administrator of CMS to conduct a comprehensive feasibility study on actions that CMS can take to monitor and analyze, both quantitatively and qualitatively, the extent to which data hub queries provide requested or relevant applicant verification information, for the purpose of improving the data-matching process and reducing the number of applicant inconsistencies; and for those actions identified as feasible, create a written plan and schedule for implementing them.

    Agency: Department of Health and Human Services
    Status: Open
    Priority recommendation

    Comments: In April 2016, HHS reported that it considered this recommendation open and it was reviewing options for conducting a feasibility study to monitor and analyze information received from the Hub as recommended. HHS plans to examine the hub process in delivering usable information for applicant verification and analyzing data to identify trends or patterns that could suggest improvements in verification or actions that could reduce the number of inconsistencies that require further attention. HHS reported that this effort began March 2016. In March 2017, the agency said it is making significant progress towards implementing the recommendation. We will continue to monitor HHS's progress in this area.
    Recommendation: To better oversee the efficacy of PPACA's enrollment control process; to better monitor costs, risk, and program performance; to assist with tax compliance; to strengthen the eligibility determination process; to provide applicants with improved customer service and up-to-date information about submission of eligibility documentation; and to better document agency activities, the Secretary of Health and Human Services should direct the Acting Administrator of CMS to track the value of advance premium tax credit and cost-sharing reduction (CSR) subsidies that are terminated or adjusted for failure to resolve application inconsistencies, and use this information to inform assessments of program risk and performance. (See related recommendation 7.)

    Agency: Department of Health and Human Services
    Status: Open
    Priority recommendation

    Comments: In April 2016, HHS reported it considers this recommendation closed because it expanded the use of analytics to analyze the value of premium tax credit and CSR subsidies that are eliminated or adjusted for 2015 actions at the policy level, and that CMS continues to analyze the data to develop future operations changes. In May 2016, we requested documentation of these actions, including (1) information produced using the capability described; (2) ways in which this information is being used for analysis for purposes such as program operations, monitoring, risk assessment, or fraud cleaning; and (3) a description of the future operational changes contemplated based on the analyses done. Once received, we will review to determine whether the efforts taken warrant closing the recommendation. In March 2017, HHS provided us information on their response to this and other recommendations from this report. However, HHS has not provided sufficient documentation to show that they have implemented this recommendation. We will continue to monitor the agency's progress in this area.
    Recommendation: To better oversee the efficacy of PPACA's enrollment control process; to better monitor costs, risk, and program performance; to assist with tax compliance; to strengthen the eligibility determination process; to provide applicants with improved customer service and up-to-date information about submission of eligibility documentation; and to better document agency activities, the Secretary of Health and Human Services should direct the Acting Administrator of CMS to, in the case of CSR subsidies that are terminated or adjusted for failure to resolve application inconsistencies, consider and document, in conjunction with other agencies as relevant, whether it would be feasible to create a mechanism to recapture those costs, including whether additional statutory authority would be required to do so; and for actions determined to be feasible and reasonable, create a written plan and schedule for implementing them.

    Agency: Department of Health and Human Services
    Status: Open
    Priority recommendation

    Comments: In April 2016, HHS reported it considers this recommendation closed because CMS has considered whether it would be feasible to create a mechanism to recapture CSRs and determined that this is not possible under the current statute. HHS also noted that as currently written, the statute does not provide this authority and to pursue developing a mechanism to do so would require Congress to change the statute. In May 2016, we agreed to consider the recommendation closed upon HHS advising us if it made any review or inquiry into the feasibility of recapture apart from statutory authority and providing documentation of such consideration so that we have a full record of the agency's consideration prior to closing the recommendation. In March 2017, HHS provided us information on their response to this and other recommendations from this report. However, HHS has not provided sufficient documentation to show that they have implemented this recommendation. We will continue to monitor the agency's progress in this area.
    Recommendation: To better oversee the efficacy of PPACA's enrollment control process; to better monitor costs, risk, and program performance; to assist with tax compliance; to strengthen the eligibility determination process; to provide applicants with improved customer service and up-to-date information about submission of eligibility documentation; and to better document agency activities, the Secretary of Health and Human Services should direct the Acting Administrator of CMS to identify and implement procedures to resolve Social Security number inconsistencies where the Marketplace is unable to verify Social Security numbers or applicants do not provide them.

    Agency: Department of Health and Human Services
    Status: Open
    Priority recommendation

    Comments: In April 2016, HHS reported that it considered this recommendation open and was working on implementing functionality for updating consumers' Social Security numbers (SSN) and their eligibility based on the correct SSN. HHS reported that is it targeting deployment of the SSN update functionality in 2017. In March 2017, HHS provided us information on their response to this and other recommendations from this report. However, HHS has not provided sufficient documentation to show that they have implemented this recommendation. We will continue to monitor the agency's progress in this area.
    Recommendation: To better oversee the efficacy of PPACA's enrollment control process; to better monitor costs, risk, and program performance; to assist with tax compliance; to strengthen the eligibility determination process; to provide applicants with improved customer service and up-to-date information about submission of eligibility documentation; and to better document agency activities, the Secretary of Health and Human Services should direct the Acting Administrator of CMS to reevaluate CMS's use of Prisoner Update Processing System (PUPS) incarceration data and make a determination to either (a) use the PUPS data, among other things, as an indicator of further research required in individual cases, and to develop an effective process to clear incarceration inconsistencies or terminate coverage, or (b) if no suitable process can be identified to verify incarceration status, accept applicant attestation on status in all cases, unless the attestation is not reasonably compatible with other information that may indicate incarceration, and forego the inconsistency process.

    Agency: Department of Health and Human Services
    Status: Open
    Priority recommendation

    Comments: In April 2016, HHS reported it considers this recommendation closed because in 2015, it made the determination to no longer require application filers to submit documentation regarding incarceration status. We were aware of that determination, but the recommendation was to reevaluate use of PUPS from the specific standpoint of using the data as it was intended to be used as in indicator of further research and then draw a conclusion on the use of the data. In May 2016, we requested documentation demonstrating that in the period since we made this recommendation, CMS has undertaken the reevaluation in the fashion that we indicated. Once received, we will review to determine whether the efforts taken warrant closing the recommendation. In March 2017, HHS provided us information on their response to this and other recommendations from this report. However, HHS has not provided sufficient documentation to show that they have implemented this recommendation. We will continue to monitor the agency's progress in this area.
    Recommendation: To better oversee the efficacy of PPACA's enrollment control process; to better monitor costs, risk, and program performance; to assist with tax compliance; to strengthen the eligibility determination process; to provide applicants with improved customer service and up-to-date information about submission of eligibility documentation; and to better document agency activities, the Secretary of Health and Human Services should direct the Acting Administrator of CMS to create a written plan and schedule for providing Marketplace call center representatives with access to information on the current status of eligibility documents submitted to CMS's documents processing contractor.

    Agency: Department of Health and Human Services
    Status: Open
    Priority recommendation

    Comments: In April 2016, HHS reported it considers this recommendation closed because since May 2015, call center representatives have received daily updates on the status of eligibility documentation. It is working to provide call center representatives with real-time data that is tentatively scheduled for later in 2016. In May 2016, we noted that our recommendation was focused on providing such real-time capability and requested (1) confirmation that call center representatives currently have on-demand, real-time access to up-to-date, application-level document status; and documentation showing development and implementation of this capability; or (2) a written plan and schedule for providing this capability as recommended. Once received, we will review to determine whether the efforts taken warrant closing the recommendation. In March 2017, HHS provided us information on their response to this and other recommendations from this report. However, HHS has not provided sufficient documentation to show that they have implemented this recommendation. We will continue to monitor the agency's progress in this area.
    Recommendation: To better oversee the efficacy of PPACA's enrollment control process; to better monitor costs, risk, and program performance; to assist with tax compliance; to strengthen the eligibility determination process; to provide applicants with improved customer service and up-to-date information about submission of eligibility documentation; and to better document agency activities, the Secretary of Health and Human Services should direct the Acting Administrator of CMS to conduct a fraud risk assessment, consistent with best practices provided in GAO's framework for managing fraud risks in federal programs, of the potential for fraud in the process of applying for qualified health plans through the federal Marketplace.

    Agency: Department of Health and Human Services
    Status: Open
    Priority recommendation

    Comments: In April 2016, HHS reported that it considered this recommendation open. It noted that CMS has launched a Marketplace Integrated Project Team (IPT) through the Program Integrity Board, which includes senior staff from across CMS. An objective of the IPT is to complete the fraud risk assessment of Marketplace eligibility and enrollment based on GAO's Fraud Risk Framework, as required by the recommendation. HHS said the first three steps of GAO's framework for this part were to be completed by early summer. Once HHS has completed all relevant steps of the framework, and the agency has fully documented its implementation efforts-including discussion of any items contemplated by the framework that HHS elected not to follow-we will review to determine whether the efforts taken warrant closing the recommendation. In March 2017, HHS provided us information on their response to this and other recommendations from this report. However, HHS has not provided sufficient documentation to show that they have implemented this recommendation. We will continue to monitor the agency's progress in this area.
    Recommendation: To better oversee the efficacy of PPACA's enrollment control process; to better monitor costs, risk, and program performance; to assist with tax compliance; to strengthen the eligibility determination process; to provide applicants with improved customer service and up-to-date information about submission of eligibility documentation; and to better document agency activities, the Secretary of Health and Human Services should direct the Acting Administrator of CMS to fully document prior to implementation, and have readily available for inspection thereafter, any significant decision on qualified health plan enrollment and eligibility matters, with such documentation to include details such as policy objectives, supporting analysis, scope, and expected costs and effects.

    Agency: Department of Health and Human Services
    Status: Open
    Priority recommendation

    Comments: In April 2016, HHS reported it considers this recommendation closed because CMS prepares an annual Marketplace and Related Programs Cycle Memo to fulfill reporting requirements for internal control. The Memo describes all significant eligibility and enrollment policy and process changes, including new internal key controls associated with these changes, and the 2015 Memo was released in September 2015. In May 2016, we notified HHS that its actions do not close the recommendation. Information contained in the Memos is after-the-fact and while useful, does not meet the full range of documentation contemplated by our recommendation, especially development and analysis of changes prior to implementation. In March 2017, HHS provided us information on their response to this and other recommendations from this report. However, HHS has not provided sufficient documentation to show that they have implemented this recommendation. We will continue to monitor the agency's progress in this area.
    Director: Kay E. Brown
    Phone: (202) 512-7215

    3 open recommendations
    including 1 priority recommendation
    Recommendation: The Secretary of the Department of Health and Human Services should direct the Office of Refugee Resettlement to develop a process to update its bed capacity framework on an annual basis to include the most recent data related to numbers of unaccompanied children who may be referred to its care and adjust its planning scenarios that guide its bed capacity as appropriate.

    Agency: Department of Health and Human Services
    Status: Open
    Priority recommendation

    Comments: The Office of Refugee Resettlement (ORR) developed a bed capacity framework for fiscal year 2016 and anticipated completing its fiscal year 2017 bed capacity framework by September 30, 2016. The framework includes bed capacity projections, including expected referrals and placement needs, based, in part, on data from the previous year. GAO will close this recommendation when HHS completes its 2017 bed capacity framework.
    Recommendation: The Secretary of the Department of Health and Human Services should direct the Office of Refugee Resettlement to review its monitoring program to ensure that onsite visits are conducted in a timely manner, case files are systematically reviewed as part of or separate from onsite visits, and that grantees properly document the services they provide to children.

    Agency: Department of Health and Human Services
    Status: Open

    Comments: HHS agreed with our recommendation and ORR is in the process of reviewing its monitoring templates and tools and, according to HHS, has conducted a monitoring training for its Project Officers. In addition, ORR is sending additional Project Officers into the field to complete scheduled monitoring visits to its care provider facilities. HHS reports that ORR is on track to complete all scheduled monitoring visits for FY 2016. We will close this recommendation when ORR has completed its review of its monitoring templates and tools and demonstrates that it can complete its planned monitoring visits on schedule.
    Recommendation: The Secretary of the Department of Health and Human Services should direct the Office of Refugee Resettlement to develop a process to ensure all information collected through its existing post-release efforts are reliable and systematically collected so that they can be compiled in summary form and provide useful information to other entities internally and externally.

    Agency: Department of Health and Human Services
    Status: Open

    Comments: The Office of Refugee Resettlement (ORR) created a new section in its unaccompanied children's policy guide that, among other things, includes case reporting, records management, retention, and information sharing requirements for post-release service providers. Post-release service providers are required to maintain this information in an ORR-provided database. Also, the section requires that all reports made to ORR's National Call Center be documented and reported in accordance with mandatory reporting laws, state licensing requirements, federal laws and regulations, and ORR policies and procedures. Lastly, in May 2016, ORR released data for the first quarter of fiscal year 2016 on Safety and Well-Being (SWB) follow-up calls that were made to children and their sponsors.
    Director: Brian J. Lepore
    Phone: (202) 512-4523

    1 open recommendations
    Recommendation: Recognizing that DOD has recently revised its disposition guidance, the Secretary of Defense should direct the Director, DLA, to further reassess DOD's disposal process to determine whether additional changes are needed in the priority given to recipients within the process, including potential changes to the categories and quantities of property that special programs may obtain, and revise its guidance reflecting those priorities accordingly to better enable DOD to fulfill the disposal program's objectives.

    Agency: Department of Defense
    Status: Open

    Comments: In September 2017, DOD officials stated that the department has been coordinating with the National Association of State Agencies for Surplus Property (NASASP) to identify classes of non-controlled property that state and local law enforcement agencies would no longer be able to obtain during the reutilization (first) stage of the disposal process. The Defense Logistics Agency is reviewing NASASP's proposed list of property items, and DOD officials said that the department planned to issue a policy memorandum that would specify which items would be removed from those that law enforcement agencies could obtain during the reutilization stage. Because DOD has not yet completed its review or issued updated guidance, this recommendation remains open.
    Director: Jessica Farb
    Phone: (202) 512-6991

    2 open recommendations
    Recommendation: To enhance U.S. agencies' performance monitoring of counter-firearms trafficking activities, the Director of the Bureau of Alcohol, Tobacco, Firearms and Explosives should establish and document performance targets for the bureau's key counter-firearms trafficking activities in Belize, Guatemala, and Mexico, as appropriate.

    Agency: Department of Justice: Bureau of Alcohol, Tobacco, Firearms and Explosives
    Status: Open

    Comments: ATF concurred with this recommendation and stated that it plans to implement it. According to ATF officials, ATF has engaged in an overview of performance measures in Mexico and, when applicable, in Guatemala and Belize, and planned to implement a more structured annual system of performance targeting and evaluation for operations in these jurisdictions in fiscal year 2017. As of October 2017, we are continuing to follow up with ATF on its efforts to implement the new performance evaluation system.
    Recommendation: To enhance U.S. agencies' performance monitoring of counter-firearms trafficking activities, the Secretary of State should work with other U.S. agencies and implementers to help ensure that quarterly progress reports identify key challenges and plans to address them.

    Agency: Department of State
    Status: Open

    Comments: The Department of State concurred with this recommendation and stated that it planned to work with other agencies to implement it. State officials noted that the International Narcotics and Law Enforcement Affairs Bureau's quarterly reporting template for interagency partners currently contains a segment entitled "Problems or Challenges and Corrective Action Plan/Risk Identification Mitigation" in which the interagency partner is expected to detail any problems or challenges in implementing any of the program components and activities. State officials stated they will continue to remind interagency partners of this requirement and assist with correct completion of the reporting templates.
    Director: Jessica Farb
    Phone: (202) 512-6991

    1 open recommendations
    Recommendation: To ensure effective implementation of the strategic objective of the Weapons Chapter of the Strategy, the ONDCP Director should establish a more comprehensive indicator, or set of indicators, that more accurately reflects progress made by ATF and ICE in meeting the strategic objective.

    Agency: Office of National Drug Control Policy
    Status: Open

    Comments: As part of ONDCP's comments on our draft report, the agency concurred with our recommendation to establish a more comprehensive set of indicators for the Weapons Chapter of the National Southwest Border Counternarcotic Strategy. ONDCP indicated that it would work with ICE and ATF to develop additional indicators to evaluate their progress. ONDCP agreed that the indicators developed through this collaborative process would be used in future iterations of the Strategy. However, in its July 26, 2017 letter to the relevant congressional committees leadership ONDCP explained that a decision has not been made on whether a new iteration of Strategy will be released, or if the current Administration will take different approach to address this issue. We will need to wait until an update of the Strategy is available for us to review to determine if our recommendation has been implemented.
    Director: Jennifer Grover
    Phone: (202) 512-7141

    2 open recommendations
    Recommendation: The Attorney General should direct ODAG to document a plan specifying DOJ's process for monitoring the effects of marijuana legalization under state law, in accordance with DOJ's 2013 marijuana enforcement policy guidance, to include the identification of the various data ODAG will use and their potential limitations for monitoring the effects of state marijuana legalization, and how ODAG will use the information sources in its monitoring efforts to help inform decisions on whether state systems are effectively protecting federal marijuana enforcement priorities.

    Agency: Department of Justice
    Status: Open

    Comments: The agency concurred with the recommendation and reported plans to implement it. Subsequent to the agency stating that it has taken action, we plan to verify whether implementation has occurred.
    Recommendation: The Attorney General should direct ODAG to use existing mechanisms to share DOJ's monitoring plan with appropriate officials from DOJ components responsible for providing information DOJ reports using regarding the effects of state legalization to ODAG, obtain feedback, and incorporate the feedback into its plan.

    Agency: Department of Justice
    Status: Open

    Comments: The agency concurred with the recommendation and reported plans to implement it. Subsequent to the agency stating that it has taken action, we plan to verify whether implementation has occurred.
    Director: Rebecca Gambler
    Phone: (202) 512-8777

    6 open recommendations
    including 3 priority recommendations
    Recommendation: To provide reasonable assurance that EOIR's fraud prevention controls are adequate, the Attorney General should direct EOIR to conduct regular fraud risk assessments across asylum claims in the immigration courts.

    Agency: Department of Justice
    Status: Open

    Comments: In April 2017, the Executive Office for Immigration Review (EOIR) reported that it is taking several steps toward implementing this recommendation. First, EOIR undertook a review of all asylum fraud complaints that the office received since 2007. Second, EOIR reported that, beginning in June 2016, it conducted a series of trainings and in-person "listening sessions" to discuss issues related to asylum fraud with immigration judges and court staff. Third, EOIR reported that it is in the process of creating a written assessment for all personnel at immigration courts and the Board of Immigration Appeals to determine the magnitude of asylum fraud issues at each respective location. Fourth, EOIR reported that it is designing a statistical analysis of asylum fraud. On the basis of these actions, EOIR reported that it will subsequently to move to the next phases of the fraud risk assessment, consistent with GAO's Fraud Risk Management Framework. To fully address this recommendation, EOIR should conduct regular fraud risk assessments across asylum claims in immigration courts.
    Recommendation: To provide reasonable assurance that USCIS's fraud prevention controls are adequate and effectively implemented, and ensure that asylum officers and FDNS immigration officers have the capacity to detect and prevent fraud, the Secretary of Homeland Security should direct USCIS to conduct regular fraud risk assessments across the affirmative asylum application process.

    Agency: Department of Homeland Security
    Status: Open
    Priority recommendation

    Comments: In October 2016, DHS indicated that USCIS had established a working group and collected fraud trend information from all eight asylum offices that will be used to inform the development of a risk assessment framework. As of January 2017, USCIS reported that the Asylum Division is continuing to develop the risk assessment framework and is working on an initial draft. According to USCIS, the Asylum Division, in cooperation with other relevant internal stakeholders such as USCIS's Fraud Detection and National Security Directorate, plans to develop an assessment tool and implementation plan for completing regular fraud risk assessments of the affirmative asylum process, with the first assessment to be completed no later than the end of fiscal year 2017. Regularly assessing fraud risks across the affirmative asylum process would provide USCIS more complete information on risks that may affect the integrity of the process and therefore help USCIS target its fraud prevention efforts to those areas that are of highest risk.
    Recommendation: To provide reasonable assurance that USCIS's fraud prevention controls are adequate and effectively implemented, and ensure that asylum officers and FDNS immigration officers have the capacity to detect and prevent fraud, the Secretary of Homeland Security should direct USCIS to develop and implement a mechanism to collect reliable data, such as the number of referrals to FDNS from asylum officers, about FDNS's efforts to combat asylum fraud.

    Agency: Department of Homeland Security
    Status: Open

    Comments: In January 2016, USCIS reported that FDNS is making improvements in its database for maintaining data and information on all FDNS activities, including activities associated with asylum fraud investigations. USCIS reported that FDNS planned to update database system guides and associated training materials, and conduct training for all users by September 2016. As of October 20, 2016, USCIS had not provided GAO with additional updates to the status of this recommendation. Developing and implementing a mechanism to collect reliable data, such as the number of referrals to FDNS from asylum officers, should help FDNS's efforts to combat asylum fraud.
    Recommendation: To provide reasonable assurance that USCIS's fraud prevention controls are adequate and effectively implemented, and ensure that asylum officers and FDNS immigration officers have the capacity to detect and prevent fraud, the Secretary of Homeland Security should direct USCIS to identify and implement tools that asylum officers and FDNS immigration officers can use to detect potential fraud patterns across affirmative asylum applications.

    Agency: Department of Homeland Security
    Status: Open
    Priority recommendation

    Comments: In February 2016, DHS indicated that USCIS had allotted fiscal year 2016 funds in support of initial acquisition activities for tools to detect potential fraud patterns across affirmative asylum applications. USCIS reported that FDNS and DHS's Homeland Security Advanced Research Projects Agency are conducting an Analysis of Alternatives (AoA) to evaluate and compare operational effectiveness, suitability, costs, and risks associated with alternative solutions. In October 2016, DHS officials indicated that FDNS and DHS's Homeland Security Advanced Research Projects Agency have completed an AoA and presented the results to FDNS leadership. According to USCIS, FDNS identified a hardware solution and began acquisition planning for this hardware in September 2016. As of October 2016, RAIO FDNS is working with USCIS's Office of Information Technology and other DHS components, including the DHS Science and Technology Directorate, to study options. Based upon this additional work, and dependent on securing necessary funding, USCIS reported that it expects to complete the analysis of additional tools by September 30, 2017. Identifying and implementing new tools to detect fraud patterns would help USCIS ensure that asylum officers and FDNS immigration officers have the capacity to detect and prevent asylum fraud.
    Recommendation: To provide reasonable assurance that USCIS's fraud prevention controls are adequate and effectively implemented, and ensure that asylum officers and FDNS immigration officers have the capacity to detect and prevent fraud, the Secretary of Homeland Security should direct USCIS to require FDNS immigration officers to prescreen all asylum applications for indicators of fraud to the extent that it is cost-effective and feasible.

    Agency: Department of Homeland Security
    Status: Open
    Priority recommendation

    Comments: We reported that some asylum offices have strengthened their capability to detect and prevent fraud by using immigration officers from USCIS's Fraud Detection and National Security Directorate (FDNS) to prescreen affirmative asylum applications; however, the use of this practice varied across asylum offices. In October 2016, DHS stated that FDNS had completed an initial review of all locally-developed prescreening policies and was working to analyze them comprehensively. Since completing this analysis, USCIS has been drafting a memorandum and companion guidance to be provided to the asylum offices, which USCIS officials stated will establish the framework for a national prescreening program. As of March 2017, USCIS reported that it expects to complete the guidance by September 30, 2017. Greater use of prescreening could allow FDNS to identify fraud trends and detect patterns that may not be evident in a small sample of asylum applications.
    Recommendation: To provide reasonable assurance that USCIS's fraud prevention controls are adequate and effectively implemented, and ensure that asylum officers and FDNS immigration officers have the capacity to detect and prevent fraud, the Secretary of Homeland Security should direct USCIS to include a review of potential fraud indicators in future random quality assurance reviews of asylum applications.

    Agency: Department of Homeland Security
    Status: Open

    Comments: In December 2015, GAO reported that U.S. Citizenship and Immigration Services (USCIS) had implemented some quality assurance procedures for asylum decisions that are designed to ensure asylum officers' decisions are legally sufficient. However, GAO found that USCIS's random quality assurance reviews of asylum cases did not include an examination of potential indicators of fraud in the case file. Thus, GAO recommended that USCIS include a review of potential fraud indicators in future random quality assurance reviews of asylum applications. As of January 2016, USCIS's Asylum Division had revised its quality assurance checklist to include a fraud-specific section that will help the reviewers evaluate whether any fraud indicators were properly identified, analyzed, and processed by asylum officers. According to Asylum Division officials, the revised checklist will be used for all general random quality assurance reviews of asylum cases, and officials stated that the next such random review is scheduled for fiscal year 2017. To fully address this recommendation, upon completion of the fiscal year 2017 review, USCIS plans to provide GAO with documentation that the revised checklist was used.
    Director: Maurer, Diana C
    Phone: (202) 512-9627

    2 open recommendations
    Recommendation: To provide more reliable information for assessing the progress of its cost containment efforts and for informing judiciary and congressional oversight and decision making, the Director of AOUSC should develop a reliable method for estimating cost savings achieved (i.e., that ensures that cost savings are calculated in an accurate and complete manner) for major cost containment initiatives (as determined by the judiciary).

    Agency: Administrative Office of the United States Courts
    Status: Open

    Comments: In September 2016, the AOUSC reported that the Judicial Conference Budget Committee (Committee) discussed the GAO report and its two recommendations relating to major cost containment initiatives in January 2016. Among other things, the Budget Committee asked AOUSC staff to lead a working group to examine major cost containment efforts and develop recommendations on how to proceed on improvements to the calculation and reporting of associated cost savings. According to the AOUSC, work is currently underway to address the Budget Committee's recommendations. To fully address this recommendation, the AOUSC should provide the working group's recommendations on how to proceed on improvements to the calculation of cost savings associated with major cost containment efforts and evidence that the improvements have been implemented.
    Recommendation: To provide more reliable information for assessing the progress of its cost containment efforts and for informing judiciary and congressional oversight and decision making, the Director of AOUSC should regularly report estimated cost savings achieved for major cost containment initiatives (as determined by the judiciary).

    Agency: Administrative Office of the United States Courts
    Status: Open

    Comments: In September 2016, the AOUSC reported that the Judicial Conference Budget Committee (Committee) discussed the GAO report and its two recommendations relating to major cost containment initiatives in January 2016. Among other things, the Committee asked AOUSC staff to lead a working group to examine major cost containment efforts and develop recommendations on how to proceed on improvements to the calculation and reporting of associated cost savings. The AOUSC stated that the Committee believes that reporting on the Judiciary's cost containment initiatives should be included in the Judiciary's annual budget justification materials, as appropriate, to support the annual budget request. To fully address this recommendation, the AOUSC should provide the working group's recommendations on how to proceed on improvements to the reporting of cost savings associated with major cost containment efforts and evidence that the improvements have been implemented.
    Director: Brenda S. Farrell
    Phone: (202) 512-3604

    5 open recommendations
    Recommendation: To improve the effectiveness of DOD's strategy for preventing sexual assault in the military, as part of the department's next biennial update to the 2014-16 sexual-assault prevention strategy, the Secretary of Defense should direct the Under Secretary of Defense for Personnel and Readiness, in conjunction with the Secretaries of the military departments, to link sexual-assault prevention activities with desired outcomes.

    Agency: Department of Defense
    Status: Open

    Comments: DOD action in progress. DOD is conducting assessments at large installations that reflect a cross-section of each of the service's cultures and result in the development of the 2017-2021 DOD Sexual Assault Prevention Plan of Action. According to department officials, the plan will link risks and protective factors.
    Recommendation: To improve the effectiveness of DOD's strategy for preventing sexual assault in the military, as part of the department's next biennial update to the 2014-16 sexual-assault prevention strategy, the Secretary of Defense should direct the Under Secretary of Defense for Personnel and Readiness, in conjunction with the Secretaries of the military departments, to identify risk and protective factors for all of its domains, including the military community and its leaders.

    Agency: Department of Defense
    Status: Open

    Comments: DOD action in progress. DOD is conducting assessments at large installations that reflect a cross-section of each of the service's cultures and will inform the development of the 2017-2021 DOD Sexual Assault Prevention Plan of Action. According to department officials, the plan will identify risk and protective factors for all domains, including military community and leaders.
    Recommendation: To help ensure widespread adoption and implementation of DOD's sexual-assault prevention strategy and to fulfill its role as a framework that can assist leaders and planners in the development of appropriate tasks, the Secretary of Defense should direct the Under Secretary of Defense for Personnel and Readiness, in conjunction with the Secretaries of the military departments, to communicate and disseminate DOD's prevention strategy and its purpose to the appropriate levels of program personnel as well as their roles and responsibilities for its implementation.

    Agency: Department of Defense
    Status: Open

    Comments: DOD action in progress. According to DOD officials, DOD's 2017-2021 Sexual Assault Prevention Plan of Action will include a comprehensive communications roll-out plan to ensure every level of DOD understands its role in prevention.
    Recommendation: To help improve DOD's ability to measure the effectiveness of the department's efforts in preventing sexual assault in the military, the Secretary of Defense should direct the Under Secretary of Defense for Personnel and Readiness, in collaboration with the Secretaries of the military departments, to fully develop the department's performance measures for the prevention of sexual assault so that the measures include all key attributes of successful performance measures.

    Agency: Department of Defense
    Status: Open

    Comments: DOD action in progress. DOD is conducting a feasibility assessment to identify metrics that will detect impacts of prevention efforts and show progress on reducing risk and prevalence of sexual assault. The results will be included in the 2017-2021 DOD Sexual Assault Prevention Plan of Action.
    Recommendation: To help ensure widespread adoption and implementation of DOD's sexual-assault prevention strategy and to fulfill its role as a framework that can assist leaders and planners in the development of appropriate tasks, the Secretary of Defense should direct the Under Secretary of Defense for Personnel and Readiness, in conjunction with the Secretaries of the military departments, to ensure the military services' Sexual Assault Prevention and Response policies are aligned with the department's prevention strategy.

    Agency: Department of Defense
    Status: Open

    Comments: DOD action in progress. As part of its development of the department's 2017-2021 Sexual Assault Prevention Plan of Action, DOD is working to align military service sexual assault prevention policies with the department's overarching sexual assault prevention strategy.
    Director: John Pendleton
    Phone: (202) 512-3489

    1 open recommendations
    Recommendation: To ensure that resources are being efficiently applied to meet the National Guard counterdrug program's objectives, the Secretary of Defense should direct the National Guard Bureau in consultation with the Deputy Assistant Secretary of Defense for Counternarcotics and Global Threats to subsequently collect and use performance information to help inform funding distribution decisions to state programs and to conduct oversight of the training offered by the counterdrug schools.

    Agency: Department of Defense
    Status: Open

    Comments: The National Guard counterdrug program has plans to implement performance information into its fiscal year 2017 annual assessments of the state programs and counterdrug schools. The fiscal year 2017 annual assessments are scheduled to be complete by December 2017. The recommendation will remain open until performance information has been included in the annual assessments.
    Director: Maurer, Diana C
    Phone: (202) 512-9627

    1 open recommendations
    Recommendation: To help ensure that agencies' policies and oversight are fully consistent with The Attorney General's Guidelines Regarding the Use of Confidential Informants, the Assistant Secretary of ICE and the Commandant of USCG should update their respective agencies' informant policies and corresponding monitoring processes to explicitly address the Guidelines' provisions on oversight of informants' illegal activities.

    Agency: Department of Homeland Security: United States Immigration and Customs Enforcement
    Status: Open

    Comments: In December 2016, ICE issued a memo regarding changes to its policies for the registration and suitability of confidential informants. The memo included updated forms to oversee those aspects of confidential informant oversight. In April 2017, ICE officials informed GAO that a working group is in the process of updating the Informants Handbook and the Undercover Operations Handbook. ICE expects to finalize drafts of the handbooks in September 2017 and implement them by December 2017. When the updated handbooks are available for GAO's review, we will assess the extent to which they address our recommendation.
    Director: Gambler, Rebecca S
    Phone: (202) 512-8777

    3 open recommendations
    Recommendation: To strengthen USCIS's EB-5 Program fraud prevention, detection, and mitigation capabilities, and to more accurately and comprehensively assess and report program outcomes and the overall economic benefits of the program, the Director of USCIS should plan and conduct regular future fraud risk assessments of the EB-5 Program.

    Agency: Department of Homeland Security: United States Citizenship and Immigration Services
    Status: Open

    Comments: The Department of Homeland Security's (DHS) U.S. Citizenship and Immigration Services (USCIS) is responsible for administering the Employment-Based Fifth Preference Immigrant Investor Program (EB-5 Program). In 2015, we reviewed the EB-5 program to determine if USCIS assesses fraud and other related risks facing the program. We found that USCIS had collaborated with its interagency partners to assess fraud and national security risks in the program in fiscal years 2012 and 2015 but that these assessments were onetime efforts that did not have documented plans to conduct regular future risk assessments, in accordance with fraud prevention practices, which could help inform efforts to identify and address evolving program risks. To strengthen the program's fraud prevention, detection, and mitigation capabilities, we recommended that USCIS plan and conduct regular future fraud risk assessments. USCIS concurred with the recommendation, stating that it will continue to conduct at least one fraud, national security, or intelligence assessment on an aspect of the program annually. In September 2015, USCIS stated that the Fraud Detection and National Security Directorate unit of its Immigrant Investor Program (IPO) will conduct its next fraud, national security, and intelligence assessment in FY 2016 and one assessment annually thereafter. In an August 2016 update, USCIS stated that it had conducted a national security assessment, the draft of which was under review by management, to be finalized by September 30, 2016. We will continue to monitor USCIS's efforts to ensure that the agency finalizes this assessment and documents plans to conduct future fraud assessments on a regular basis.
    Recommendation: To strengthen USCIS's EB-5 Program fraud prevention, detection, and mitigation capabilities, and to more accurately and comprehensively assess and report program outcomes and the overall economic benefits of the program, the Director of USCIS should develop a strategy to expand information collection, including considering the increased use of interviews at the I-829 phase as well as requiring the additional reporting of information in applicant and petitioner forms.

    Agency: Department of Homeland Security: United States Citizenship and Immigration Services
    Status: Open

    Comments: In 2015, we evaluated the Department of Homeland Security's (DHS) U.S. Citizenship and Immigration Services (USCIS) Employment-Based Fifth Preference Immigrant Investor Program (EB-5 Program) to determine the extent to which the agency had addressed any identified fraud risks in the program. We found that USCIS had identified unique fraud risks in the program and had taken certain steps to address and enhance its fraud risk management efforts, including establishing a dedicated entity to oversee these efforts. However, we found that USCIS's information systems and processes limited its ability to collect and use data on EB-5 Program participants to comprehensively address fraud risks in the program. To strengthen the program's fraud mitigation capabilities, we recommended that USCIS develop a strategy to expand information collection, including considering the increased use of interviews at the application for permanent residency (form I-829) phase as well as requiring the additional reporting of information in applicant and petitioner forms. USCIS concurred with the recommendation, stating that IPO will develop a strategy to enhance and expand information collection, including publishing revised EB-5 application and petition forms, and considering the use of interviews. In a September 2015 update to this recommendation, USCIS stated that it had begun internal discussions for developing a comprehensive strategy to incorporate interviews into various stages of the EB-5 process, including the I-829 phase. In addition, USCIS was implementing a comprehensive approach for revising all EB-5 specific forms (I-526, I-924, and I-924A) to improve program integrity and data collection. USCIS expects the revised forms to be available after December 31, 2015. In an August 2016 update, USCIS stated that it has revised Forms I-924, I-924A, and I-526, and anticipated revising Forms I-924 and I-924A by November 2016 and Form I-829 by March 2017. USCIS also stated that IPO had initiated a new process to allow interview of Form I-829 petitioners by video conference, and planned to develop a comprehensive interview strategy based on the results of initial and future interviews as well as other relevant information. We will continue to monitor USCIS's efforts to develop and implement this more comprehensive EB-5 data collection strategy.
    Recommendation: To strengthen USCIS's EB-5 Program fraud prevention, detection, and mitigation capabilities, and to more accurately and comprehensively assess and report program outcomes and the overall economic benefits of the program, the Director of USCIS should track and report data that immigrant investors report, and the agency verifies on its program forms for total investments and jobs created through the EB-5 Program.

    Agency: Department of Homeland Security: United States Citizenship and Immigration Services
    Status: Open

    Comments: In 2015, we evaluated the Department of Homeland Security's (DHS) U.S. Citizenship and Immigration Services (USCIS)'s capacity to verify job creation and to use a valid and reliable methodology to report the economic benefits of its Employment-Based Fifth Preference Immigrant Investor Program (EB-5 Program). We found that over time USCIS had increased its capacity to verify job creation by increasing the size and expertise of its workforce and by providing clarifying guidance and training, among other actions. However, we found that USCIS's methodology for reporting program outcomes and overall economic benefits of the EB-5 Program was not valid and reliable because it may understate or overstate program benefits in certain instances as it was based on the minimum program requirements of 10 jobs and a $500,000 investment per investor, instead of the number of jobs and investment amounts collected by USCIS on individual EB-5 Program forms. To more accurately and comprehensively assess and report the overall economic benefits of the program, we recommended that USCIS track and report data that immigrant investors report, and the agency verifies on its program forms for total investments and jobs created. USCIS concurred with this recommendation, stating that IPO will develop a plan to collect and aggregate additional data regarding EB-5 investment amounts and job creation, including revising USCIS data systems and processes, as appropriate. In a September 2015 update, USCIS further stated that IPO officials had already met with officials from the USCIS Office of information Technology (OIT) on August 25, 2015, to discuss EB-5 data requirements, and that IPO is reviewing the fields in the Intranet Computer Linked Application Information Management System (iCLAIMS) database used for maintaining EB-5 and other immigration program data, to define data entry requirements. Once that is completed, USCIS stated that IPO will work with OIT to discuss any system changes needed to reliably aggregate data regarding EB-5 program investment amounts and job creation. In an August 2016 update, USCIS stated that through regular meetings with OIT, IPO has identified the assets needed to develop a case management system to meet the complex data needs of the EB-5 program. This system, which will be compatible with USCIS's electronic immigration system, is tentatively projected to be completed in FY 2017. We will continue to monitor USCIS's efforts to develop a system that will enable it to accurately and comprehensively assess and report the overall economic benefits of the program.
    Director: Maurer, Diana C
    Phone: (202) 512-9627

    2 open recommendations
    including 2 priority recommendations
    Recommendation: To ensure that the Department of Justice effectively measures its efforts to address incarceration challenges, the Attorney General should explore additional data collection opportunities and modify its Smart on Crime indicators to incorporate key elements of successful performance measurement systems.

    Agency: Department of Justice
    Status: Open
    Priority recommendation

    Comments: In August 2015, DOJ reported that it has taken steps to obtain new, more granular data elements that it hoped to incorporate into its indicators. However, DOJ also stated that it did not believe that measureable targets were appropriate for its Smart on Crime indicators because prosecutors need to make case by case decisions without regard to targets or concerns for any other incentive. As of October 2016, DOJ had not provided any updates on its progress addressing this recommendation to enhance performance measurement. Until DOJ provides this information, we cannot determine whether its efforts resulted in indicators that incorporate key elements of successful performance measurement systems. In March, 2017, DOJ noted that, due to a change in administration, the consequences of the Smart on Crime initiative are uncertain, and did not provide any further updates on its progress addressing our recommendation.
    Recommendation: To ensure that the Department of Justice effectively measures its efforts to address incarceration challenges, the Attorney General should direct the Office of the Pardon Attorney, in conjunction with the Office of the Deputy Attorney General, to (1) track how long it takes, on average, for commutation of sentence petitions to clear each step in the review process under DOJ's control, and (2) identify and address, to the extent possible, any processes that may contribute to unnecessary delays.

    Agency: Department of Justice
    Status: Open
    Priority recommendation

    Comments: In August 2015, DOJ reported that tracking the steps of its review would not provide meaningful data because the Department prioritizes those cases for review that appear likely to meet the Clemency Initiative factors announced in April 2014. Nevertheless, DOJ stated that it agreed that identifying and addressing unnecessary delays in the review process is important, and that it has been regularly working to identify and address such delays. As of October 2016, DOJ had not provided any updates on its progress addressing this recommendation to better track and address any unnecessary delays. Until it does so, we cannot determine whether it is meeting the key goal of the new Clemency Initiative--to expeditiously identify and review especially meritorious petitions. In March 2017, DOJ noted that due to the accelerated clemency review process implemented in 2015, it currently has no standard process to evaluate, and did not provide any further updates on its progress in addressing our recommendation.
    Director: Maurer, Diana C
    Phone: (202) 512-9627

    2 open recommendations
    Recommendation: To ensure the timely expenditure of VOCA grant funds and thereby limit the carryover of unexpended grant balances, minimize the need for multiple grant extensions, and strengthen OJJDP's capacity to collect and assess grantee performance information, the Assistant Attorney General for OJP should work with the Administrator of OJJDP to conduct a study to examine whether any of its administrative processes contribute to unnecessary delays in grantees' ability to expend VOCA funds within the established 12-month project period and make modifications to these processes as appropriate.

    Agency: Department of Justice: Office of Justice Programs: Office of the Assistant Attorney General
    Status: Open

    Comments: In April 2015, we found that OJJDP had several administrative review and approval processes in place that had contributed to delays in grantees' ability to begin spending their award funds. For instance, grantees could not access their funds until OJJDP had completed its internal review of grantees' budgets--a step that had taken more than 2 months, on average, after the grantees' project period had begun. We recommended that OJP examine its processes and, if appropriate, make modifications to prevent unnecessary delays in grantees' ability to expend VOCA funds within the established project period. In March 2017, OJP reported that its Office of Audit, Assessment and Management (OAAM), worked with OJJDP to complete an assessment to determine the impact of administrative processes on VOCA awards. Focusing on VOCA grants awarded in fiscal years 2010 through 2015, OAAM assessed a number of factors, including (1) the average timeframe for approval of budget reviews; (2) the average timeframe for approval of conference cost requests, and (3) the number of no-cost extensions granted. OJP reported that OAAM continues to work with OJJDP to review documentation to support implementation of process improvements to address the issues the assessment identified. OAAM anticipates issuing a report by March 31, 2017 to OJP's Acting Assistant Attorney General to summarize the results of the assessment and provide updates on the process improvements OJJDP has begun to implement. Examining the delays associated with its administrative review processes and making modifications as necessary will help OJP ensure the effective administration and timely use of grant funds.
    Recommendation: To ensure the timely expenditure of VOCA grant funds and thereby limit the carryover of unexpended grant balances, minimize the need for multiple grant extensions, and strengthen OJJDP's capacity to collect and assess grantee performance information, the Assistant Attorney General for OJP should work with the Administrator of OJJDP to, considering the results of this study, examine whether the current 12-month project period is realistic in light of any administrative processes that cause delay but cannot be modified and extend the project period if necessary.

    Agency: Department of Justice: Office of Justice Programs: Office of the Assistant Attorney General
    Status: Open

    Comments: In April 2015, we found that VOCA grant activities were not being completed within the time parameters OJJDP established for the grant program, and that this may affect the ability of grantees to complete their grant goals and objectives. Specifically, we found that for the 28 VOCA grants that OJJDP awarded from fiscal years 2010 through 2013, grantees had expended less than 20 percent, on average, of each grant they received during the original 12-month project period. In particular, we found that OJJDP's processes for reviewing grantees' budgets and conference planning requests were contributing to delays in grantees' ability to begin spending their funds. We recommended that OJP examine whether 12 months is an appropriate project period length to ensure that VOCA grantees are well positioned to fully expend their grant funds. In March 2017, OJP reported that its Office of Audit, Assessment and Management (OAAM), worked with OJJDP to complete an assessment to determine the impact of administrative processes on VOCA awards. Focusing on VOCA grants awarded in fiscal years 2010 through 2015, OAAM assessed a number of factors, including (1) the average timeframe for approval of budget reviews; (2) the average timeframe for approval of conference cost requests, and (3) the number of no-cost extensions granted. OJP reported that OAAM continues to work with OJJDP to review documentation to support implementation of process improvements to address the issues the assessment identified. OAAM anticipates issuing a report by March 31, 2017 to OJP's Acting Assistant Attorney General to summarize the results of the assessment and provide updates on the process improvements OJJDP has begun to implement. Once OJJDP examines its administrative delays, makes any necessary changes, and reviews the original project period length, OJP will be better positioned to ensure that grantees have an appropriate period in which to expend VOCA grant awards.
    Director: Andrew Sherrill
    Phone: (202) 512-7215

    5 open recommendations
    Recommendation: To better report the occupations filled by H-2B workers who have been approved by DHS, the Director of U.S. Citizenship and Immigration Services should implement during its transformation process to an electronic petition form, an occupation classification system that conforms to a national standard.

    Agency: Department of Homeland Security: United States Citizenship and Immigration Services
    Status: Open

    Comments: In September 2016, USCIS indicated that it was revising its Transformation Roadmap (schedule). The conversion to electronic nonimmigrant petitions is expected to be completed during the second quarter of fiscal year 2018. USCIS also noted that it is exploring the adoption of a single set of occupation codes across multiple form types, but has not yet made a final decision whether to implement this. USCIS estimates this recommendation will be completed by March 31, 2018.
    Recommendation: To help potential H-2A and H-2B workers and their advocates better assess employment offers and reduce their vulnerability to abuse, the Director of U.S. Citizenship and Immigration Services should, during its transformation to an electronic petition form, ensure that petition job information is collected in an electronic manner and made available to the public as soon as possible following a final adjudication decision. Such job information should include number of positions, wage, and any staffing, placement or recruitment agency the employer plans to use.

    Agency: Department of Homeland Security: United States Citizenship and Immigration Services
    Status: Open

    Comments: In September 2016, USCIS indicated that it was revising its Transformation Roadmap (schedule). The conversion to electronic nonimmigrant petitions is expected to be completed during the second quarter of fiscal year 2018. Therefore, USCIS estimates this recommendation will be completed by March 31, 2018.
    Recommendation: To help protect workers from being hired by employers who have been debarred from program participation, the Secretary of Labor should direct the Assistant Secretary, Employment and Training Administration, to use all employer-related information it collects on debarred employers to screen new applications.

    Agency: Department of Labor
    Status: Open

    Comments: In June 2016, the agency noted that it continues to screen for debarred employers in two ways: 1) by adding debarred employers to its iCERT System, which matches incoming employer applications using the federal Employer Identification Number; and 2) by conducting additional reviews during analyst case adjudications using a more expansive set of employer-related information. While the Employment and Training Administration explored enhancing its iCERT system in 2015 to flag more information on debarred employers, the agency said this enhancement was not pursued due to technical difficulties in matching open text fields (e.g., physical employer addresses).
    Recommendation: To ensure that H-2B workers are adequately protected and that DOL's investigative resources are appropriately focused, the Secretary of Labor should direct the Administrator, Wage and Hour Division, to review its enforcement efforts and conduct a national investigations-based evaluation of H-2B employers.

    Agency: Department of Labor
    Status: Open

    Comments: In June 2016, DOL's Wage and Hour Division (WHD) indicated that it is coordinating closely with the department's Chief Evaluation Office on evaluations and special projects involving data analytics. As a result of that coordination, it is shifting away from large-scale compliance surveys and toward leveraging internal enforcement data and external survey data to assess compliance levels in priority industries. Therefore, WHD is not currently considering a national level survey of the H-2B program. However, WHD indicated that its focus of enforcement resources on industries that employ workers vulnerable to violations of labor laws will include H-2B workers and employers.
    Recommendation: To determine to what extent, if any, the 2-year statute of limitations on debarment limits its use as a remedy for employers who violate program requirements: (1) the Secretary of Labor should direct the Assistant Secretary, Employment and Training Administration, and the Administrator, Wage and Hour Division, to collect data on the nature of the cases where debarment would have been recommended but was not because the 2-year statute of limitations had expired, and based on that data determine whether to pursue a legislative proposal to extend the statute of limitations; and (2) the Department of Labor Inspector General should direct the Assistant Inspector General, Office of Labor Racketeering and Fraud Investigations to provide the Assistant Secretary, Employment and Training Administration, and the Administrator, Wage and Hour Division, data on the number of referrals for debarment that the Inspector General's Office sent to the department after the 2-year statute of limitations had expired.

    Agency: Department of Labor
    Status: Open

    Comments: In June 2016, DOL indicated that it was considering the utility of collecting these data in light of the fact that the new H-2B regulations that were issued in April 2015 eliminated the 2-year statute of limitations for the H-2B program. We continue to believe, however, that this data collection would be valuable given that the H-2A program is still subject to the 2-year statute of limitations. The department indicated it is undertaking a modernization of its data systems--by implementing a data governance structure that will manage its data as a business asset--and our recommendation for the collection of these data will be vetted through this process.
    Director: Susan Fleming,
    Phone: (202) 512-2834

    1 open recommendations
    Recommendation: The Secretary of Transportation should direct the Administrator of NHTSA to identify actions--in addition to the agency's currently planned efforts--to support state efforts to increase public awareness of the dangers of drug-impaired driving. This effort should be undertaken in consultation with ONDCP, HHS, state highway-safety offices, and other interested parties as needed.

    Agency: Department of Transportation
    Status: Open

    Comments: NHTSA met with ONDCP, HHS, and GHSA in March 2016 and discussed what consumer research has been done and education materials have been used in raising awareness for the drug-impaired driving issue. NHTSA completed marijuana creative concept focus group market research in the Fall of 2016; however, the findings from this research were inconclusive. NHTSA plans to determine next steps and develop a new strategy in communicating on this challenging topic by Spring 2017. NHTSA anticipates conducting additional market research that will provide the direction for the development of creative materials by Fall 2017.
    Director: Maurer, Diana C
    Phone: (202) 512-9627

    3 open recommendations
    Recommendation: To help ensure the efficient use of resources for the Three Percent Fund, the Attorney General should develop a policy and implement procedures to regularly analyze unobligated balances and develop collection estimates in order to determine an appropriate reserve amount and inform estimates of future funding needs.

    Agency: Department of Justice
    Status: Open

    Comments: In February 2015, we found that the Department of Justice (DOJ) Collection Resource Allocation Board (CRAB) had taken steps to manage the Three Percent Fund, but it had not conducted analyses that would help DOJ better manage the fund, such as developing reserve estimates aligned with DOJ priorities or projecting future collections. GAO has identified leading practices among federal agencies when evaluating balances in federal accounts. Such practices emphasize the importance of regularly analyzing balances by, for example, estimating collections and determining reserve needs. Doing so helps agencies more effectively anticipate program needs and ensure the most efficient use of resources. As a result, we recommended that DOJ develop a policy and implement procedures to regularly analyze unobligated balances collection estimates in the Three Percent Fund. DOJ partially concurred with this recommendation. In response, DOJ provided us with a policy it began implementing in January 2016 to help them analyze the Three Percent Fund's unobligated balance and develop an appropriate reserve amount. For example, DOJ's policy for developing the reserve estimate now relies on more robust requests for information of DOJ debt collection activities, including government personnel, contract support, and automated litigation service requirements. By developing and implementing this policy, DOJ is better positioned to ensure the continuity of operations funded through the Three Percent Fund and to make future resource allocations. However, DOJ stated in its response to the report that it does not believe it is appropriate to estimate incoming collections for the following year. For example, DOJ does not ask litigating components for the number of cases that will be settled because the agency does not want to be perceived as inappropriately encouraging larger government civil collections. Additionally, DOJ does not calculate such estimates due to the high level of variability in the civil debt litigation cases that make it difficult to use historical information to estimate reserves. We noted in our report DOJ's concerns for developing collection estimates. However, we continue to believe that developing a policy for considering collection estimates is important. The Three Percent Fund is self-sustaining and does not receive annual appropriations. Therefore, any volatility should be managed with the best information and estimates the department can provide. Without developing collection estimates, DOJ is at risk of committing too much or too few budgetary resources from the Three Percent Fund. A lack of such a policy may lead to Three Percent balances either falling too low to efficiently manage operations or rise to unnecessarily high levels. As we have previously reported, one method DOJ could consider instead of a specific dollar estimate is to develop a range between the potential lowest and highest collection amounts based on historical trends and current collection activities. By estimating future collections, DOJ could better ensure it is able to efficiently fund as many programs as possible and best support the fund's priorities. Therefore, we consider this recommendation only partially implemented and will keep it open until DOJ develops collection estimates to aid managing the Three Percent Fund.
    Recommendation: To improve transparency and ensure the effective use of automation fees for the CJIS fingerprint checks fees, the Director of the Federal Bureau of Investigation should publish in the Federal Register, or other documents such as annual reports, how much is assessed for automation and cost recovery in each transaction to better communicate the cost of the service to customers and stakeholders.

    Agency: Department of Justice: Federal Bureau of Investigation
    Status: Open

    Comments: In fiscal year 2015, we found that the Federal Bureau of Investigation (FBI) sets its Criminal Justice Information Services (CJIS) fingerprint checks fees to collect two parts--the cost recovery portion and the automation portion, but does not provide transparency in how much is assessed for each portion of the fee. As a result, we recommended that FBI publish in the Federal Register, or other documents such as annual reports, how much is assessed for automation and cost recovery in each transaction to better communicate the cost of the service to customers and stakeholders. In July 2016, FBI published a notice in the Federal Register announcing a CJIS fingerprint checks fees rate change effective on October 1, 2016. However, the notice did not include an explanation of how much is assessed for the cost recovery or the automation portion of the fee. According to a Department of Justice (DOJ) liaison, FBI included a breakout of the revised rates in its CJIS Information Letter, which services as written notification of a rate change to state and federal stakeholders. GAO requested a copy of the CJIS Information Letter, but as of February 2017, DOJ has not provided the letter. Further, while the CJIS Information Letter might provide transparency to stakeholders on how much FBI assesses for each portion of the fee, FBI has not relayed how it intends to be transparent with customers. To fully address this recommendation, FBI needs to demonstrate that it is being transparent with stakeholders and with customers. Until it does so, this recommendation will remain open.
    Recommendation: To improve transparency and ensure the effective use of automation fees for the CJIS fingerprint checks fees, the Director of the Federal Bureau of Investigation should develop a policy to analyze the unobligated balances coming from the automation portion of the fee to inform program needs, including improving methods for anticipating automation collections, and establishing a range of appropriate carryover amounts to support program needs.

    Agency: Department of Justice: Federal Bureau of Investigation
    Status: Open

    Comments: In fiscal year 2015, we found that the Federal Bureau of Investigation (FBI) had a growing unobligated balance from the automation portion of its Criminal Justice Information Services (CJIS) fingerprint checks fees but did not evaluate the appropriate range of its carryover amounts, nor had it developed a policy to do so. As a result, we recommended that FBI develop a policy to analyze the unobligated balances coming from the automation portion of the fee to inform program needs, including improving methods for anticipating automation collections, and establishing a range of appropriate carryover amounts to support program needs. In September 2016, the Department of Justice (DOJ) reported that FBI is taking steps to develop and implement a multi-year investment plan that will be reviewed and updated annually, and that will address key questions from the GAO report titled "Budget Issues: Key Questions to Consider When Evaluating Balances in Federal Accounts." Additionally, the multi-year investment plan will include both an annual analysis of current and projected revenue from the automation portion of the fee, and the evaluation of the resource requirements needed to support the development of technological enhancement of fingerprint identification and criminal justice services. According to DOJ officials, the 2017 plan will be the first to include this information; however GAO has not yet received a copy of the 2017 plan. We will continue to monitor FBI's progress on this recommendation.
    Director: Mark Goldstein
    Phone: (202) 512-2834

    2 open recommendations
    Recommendation: GSA should examine incorporating successful management practices--such as consistently involving tenants at various stages of the project--into its capital investment process to ensure that projects are managed efficiently and that tenant disruptions are minimized.

    Agency: General Services Administration
    Status: Open

    Comments: When we confirm what actions the agency has taken in response to this recommendation, we will provide updated information.
    Recommendation: To ensure that GSA's green Recovery Act projects meet relevant requirements, GSA should analyze environmental outcomes against relevant requirements for each of its full and partial-modernization Recovery Act projects and apply any lessons to future projects.

    Agency: General Services Administration
    Status: Open

    Comments: When we confirm what actions the agency has taken in response to this recommendation, we will provide updated information.
    Director: Maurer, Diana C
    Phone: (202) 512-9627

    2 open recommendations
    Recommendation: To improve disposition reporting that would help states update and complete criminal history records, the Director of the FBI should task the FBI Advisory Policy Board to establish a plan with time frames and milestones for achieving its Disposition Task Force's stated goals.

    Agency: Department of Justice: Federal Bureau of Investigation
    Status: Open

    Comments: When we confirm what actions the agency has taken in response to this recommendation, we will provide updated information.
    Recommendation: To better equip states to meet the regulatory requirement to notify individuals of their rights to challenge and update information in their criminal history records, and to ensure that audit findings are resolved, the Director of the FBI--in coordination with the Compact Council-- should determine why states do not comply with the requirement to notify applicants and use this information to revise its state educational programs accordingly.

    Agency: Department of Justice: Federal Bureau of Investigation
    Status: Open

    Comments: When we confirm what actions the agency has taken in response to this recommendation, we will provide updated information.
    Director: Vijay A. D'Souza
    Phone: (202) 512-7114

    1 open recommendations
    Recommendation: In order to ensure that efforts to address prenatal opioid use and NAS are systematically and effectively planned and coordinated across the federal government, the Director of ONDCP should document the process, including discussions held and information considered, of developing action items on prenatal opioid use and NAS. This may include documenting gaps that were considered in developing action items.

    Agency: Executive Office of the President: Office of National Drug Control Policy
    Status: Open

    Comments: In May 2017 and July 2017, ONDCP officials described the process used to develop the action items related to prenatal opioid use and NAS for the 2015 National Drug Control Strategy report. Specifically, officials described working directly with federal agencies to identify proposals for action items and review proposals during an interagency working group meeting in March 2015. However, ONDCP officials could not provide us any formal documentation, such as meeting minutes, showing the process used or what gaps were considered in developing the action items. ONDCP officials also told us the action items related to prenatal opioid use and NAS for the 2015 Strategy have been generally completed. No action items related to prenatal opioid use and NAS were included in the 2016 Strategy and ONDCP officials said they did not know whether any related action items will be included for the 2017 Strategy. We will update the status of this recommendation after future Strategy reports are published.
    Director: Maurer, Diana C
    Phone: (202) 512-8777

    8 open recommendations
    including 8 priority recommendations
    Recommendation: To better ensure that FBI whistleblowers have access to recourse under DOJ's regulations should the individuals experience retaliation, and to minimize the possibility of discouraging future potential whistleblowers, the Attorney General should clarify in all current relevant DOJ guidance and communications, including FBI guidance and communications, to whom FBI employees may make protected disclosures and, further, explicitly state that employees will not have access to recourse if they experience retaliation for reporting alleged wrongdoing to someone not designated in DOJ's regulations.

    Agency: Department of Justice
    Status: Open
    Priority recommendation

    Comments: As of March 1, 2017, the Department of Justice (DOJ) has not responded to GAO requests for information on any efforts DOJ has taken to address this recommendation.
    Recommendation: To ensure that complainants receive the periodic updates that they are entitled to and need to determine next steps for their complaint, such as whether or not to seek corrective action from OARM, Counsel, DOJ-OPR should tailor its new case management system or otherwise develop an oversight mechanism to capture information on the office's compliance with regulatory requirements and, further, use that information to monitor and identify opportunities to improve DOJ-OPR's compliance with regulatory requirements.

    Agency: Department of Justice: Office of Professional Responsibility
    Status: Open
    Priority recommendation

    Comments: As of March 1, 2017, the Department of Justice (DOJ) has not responded to GAO requests for information on any efforts DOJ has taken to address this recommendation.
    Recommendation: To better ensure that DOJ is fulfilling its commitment to improving efficiency in handling these complaints, Office of Attorney Recruitment and Management (OARM) and Office of the Deputy Attorney General (ODAG) should provide parties with an estimated time frame for returning each decision, including whether the complaint meets threshold regulatory requirements, merits, and appeals. If the time frame shifts, OARM and ODAG should timely communicate a revised estimate to the parties.

    Agency: Department of Justice: Office of the Deputy Attorney General
    Status: Open
    Priority recommendation

    Comments: As of March 1, 2017, the Department of Justice (DOJ) has not responded to GAO requests for information on any efforts DOJ has taken to address this recommendation.
    Recommendation: To better ensure that DOJ is fulfilling its commitment to improving efficiency in handling these complaints, Office of Attorney Recruitment and Management (OARM) and Office of the Deputy Attorney General (ODAG) should provide parties with an estimated time frame for returning each decision, including whether the complaint meets threshold regulatory requirements, merits, and appeals. If the time frame shifts, OARM and ODAG should timely communicate a revised estimate to the parties.

    Agency: Department of Justice: Justice Management Division: Human Resources and Administration: Office of Attorney Recruitment and Management
    Status: Open
    Priority recommendation

    Comments: As of March 1, 2017, the Department of Justice (DOJ) has not responded to GAO requests for information on any efforts DOJ has taken to address this recommendation.
    Recommendation: To better ensure that DOJ is fulfilling its commitment to improving efficiency in handling these complaints, DOJ Office of Professional Responsibility (DOJ-OPR), Office of the Inspector General, OARM, and ODAG should jointly assess the impact of ongoing and planned efforts to reduce the duration of FBI whistleblower retaliation complaints throughout the entire investigation, adjudication, and appeal process to ensure that these changes are in fact shortening total complaint length, without sacrificing quality.

    Agency: Department of Justice: Office of the Deputy Attorney General
    Status: Open
    Priority recommendation

    Comments: As of March 1, 2017, the Department of Justice (DOJ) has not responded to GAO requests for information on any efforts DOJ has taken to address this recommendation.
    Recommendation: To better ensure that DOJ is fulfilling its commitment to improving efficiency in handling these complaints, DOJ Office of Professional Responsibility (DOJ-OPR), Office of the Inspector General, OARM, and ODAG should jointly assess the impact of ongoing and planned efforts to reduce the duration of FBI whistleblower retaliation complaints throughout the entire investigation, adjudication, and appeal process to ensure that these changes are in fact shortening total complaint length, without sacrificing quality.

    Agency: Department of Justice: Justice Management Division: Human Resources and Administration: Office of Attorney Recruitment and Management
    Status: Open
    Priority recommendation

    Comments: As of March 1, 2017, the Department of Justice (DOJ) has not responded to GAO requests for information on any efforts DOJ has taken to address this recommendation.
    Recommendation: To better ensure that DOJ is fulfilling its commitment to improving efficiency in handling these complaints, DOJ Office of Professional Responsibility (DOJ-OPR), Office of the Inspector General, OARM, and ODAG should jointly assess the impact of ongoing and planned efforts to reduce the duration of FBI whistleblower retaliation complaints throughout the entire investigation, adjudication, and appeal process to ensure that these changes are in fact shortening total complaint length, without sacrificing quality.

    Agency: Department of Justice: Office of Professional Responsibility
    Status: Open
    Priority recommendation

    Comments: As of March 1, 2017, the Department of Justice (DOJ) has not responded to GAO requests for information on any efforts DOJ has taken to address this recommendation.
    Recommendation: To better ensure that DOJ is fulfilling its commitment to improving efficiency in handling these complaints, DOJ Office of Professional Responsibility (DOJ-OPR), Office of the Inspector General, OARM, and ODAG should jointly assess the impact of ongoing and planned efforts to reduce the duration of FBI whistleblower retaliation complaints throughout the entire investigation, adjudication, and appeal process to ensure that these changes are in fact shortening total complaint length, without sacrificing quality.

    Agency: Department of Justice: Office of Inspector General
    Status: Open
    Priority recommendation

    Comments: As of March 1, 2017, GAO has not received information from the Department of Justice about any steps taken to address this recommendation.
    Director: Mctigue Jr, James R
    Phone: (202) 512-7968

    2 open recommendations
    Recommendation: To improve the reliability of Taxonomy estimates for future filing seasons, the Commissioner of Internal Revenue should follow relevant best practices outlined in the GAO Cost Guide by documenting the underlying analysis justifying cost-influencing assumptions.

    Agency: Department of the Treasury: Internal Revenue Service
    Status: Open

    Comments: As of April 2017, IRS has taken steps to update its methodology for calculating and reporting its Taxonomy estimates. IRS provided GAO with updated Taxonomy estimates for 2015; GAO is reviewing these estimates to determine the extent to which IRS has implemented GAO's recommendation.
    Recommendation: To improve the reliability of Taxonomy estimates for future filing seasons, the Commissioner of Internal Revenue should follow relevant best practices outlined in the GAO Cost Guide by reporting the inherent imprecision and uncertainty of the estimates. For example, IRS could provide a range of values for its Taxonomy estimates.

    Agency: Department of the Treasury: Internal Revenue Service
    Status: Open

    Comments: As of April 2017, IRS has taken steps to update its methodology for calculating and reporting its Taxonomy estimates. IRS provided GAO with updated Taxonomy estimates for 2015; GAO is reviewing these estimates to determine the extent to which IRS has implemented GAO's recommendation.
    Director: Linda Kohn
    Phone: (202) 512-7114

    2 open recommendations
    Recommendation: To help determine if programs are effective at supporting those individuals with serious mental illness, the Secretaries of Defense, Health and Human Services, Veterans Affairs, and the Attorney General--which oversee programs targeting individuals with serious mental illness--should document which of their programs targeted for individuals with serious mental illness should be evaluated and how often such evaluations should be completed.

    Agency: Department of Defense
    Status: Open

    Comments: The Department of Defense's position is that it already engages in periodic program evaluation of its psychological health programs as required. It noted that on November 24, 2014, the Under Secretary of Defense for Personnel and Readiness directed the Military Departments and other Department of Defense components to assist in an initiative to evaluate Psychological Health and Traumatic Brain Injury programs across the Department of Defense. As of September 2017, we have not received a further update on the Department of Defense's actions. We will continue to monitor these efforts and seek to determine whether they result in documentation of which programs should be evaluated and how such evaluations should be completed.
    Recommendation: To help determine if programs are effective at supporting those individuals with serious mental illness, the Secretaries of Defense, Health and Human Services, Veterans Affairs, and the Attorney General--which oversee programs targeting individuals with serious mental illness--should document which of their programs targeted for individuals with serious mental illness should be evaluated and how often such evaluations should be completed.

    Agency: Department of Health and Human Services
    Status: Open

    Comments: HHS did not concur with this recommendation. The Helping Families in Mental Health Crisis Reform Act of 2016 enacted in December 2016 included a requirement for HHS to develop a strategy for conducting ongoing evaluations of programs related to mental illness--including serious mental illness--and substance use disorders. As of August 2017, HHS is in the process of preparing a report that identifies key programs and activities across the department, as well as summarizes data on those programs and develops criteria for use in prioritizing programs for evaluation. However, this report is not yet complete. We will continue to monitor HHS's efforts in this regard and look for documentation of HHS plans for future evaluations of programs for individuals with serious mental illness.
    Director: Rebecca Gambler
    Phone: (202) 512-8777

    1 open recommendations
    Recommendation: To ensure data required by IMBRA are collected, maintained, and reliable, the Director of USCIS should ensure that IMBRA-required data elements will be collected in an automated manner with the release of the electronic I-129F petition.

    Agency: Department of Homeland Security: United States Citizenship and Immigration Services
    Status: Open

    Comments: In January 2015, USCIS reported that it expected to start development for the electronic I-129F petition in March 2016. As of March 2016, USCIS officials confirmed that the electronic I-129F petition is tied to the Family-Based Adjustment of Status (AOS) product line for USCIS ELIS. USCIS officials stated that, as of March 2016, the requirements-gathering phase for this product line is underway and, as of June 2016, USCIS began the requirements-gathering phase. In October 2016, the Office of Transformation Coordination reported that there have been some delays in the product line that includes the I-129F petition and the tentative expected completion date is the second quarter of fiscal year 2018. To fully implement this recommendation, USCIS should ensure that IMBRA-required data elements are collected in an automated manner with the release of the electronic I-129F petition.
    Director: Thomas Melito
    Phone: (202) 512-9601

    3 open recommendations
    Recommendation: To help ensure agencies can more fully implement their monitoring policy and guidance related to recruitment of foreign workers, the Secretaries of Defense and State and the Administrator of the U.S. Agency for International Development should each develop, as part of their agency policy and guidance, a more precise definition of recruitment fees, including permissible components and amounts.

    Agency: Department of Defense
    Status: Open

    Comments: In comments on a draft of the report, the Department of Defense (DOD) concurred with this recommendation and indicated that it would define recruitment fees as part of the next review of DOD policy on combating trafficking in persons. In January 2015, DOD and other agencies issued a final rule in the Federal Acquisition Regulation (FAR) that prohibits charging employees any recruitment fees; however, this rule did not provide a precise definition of such fees. In May 2016, DOD and others proposed a new FAR rule defining "recruitment fees." The public comment period for this proposed rule ended in July 2016, and, as of August 2017, the proposed rule was in process. In addition, DOD has updated its policy and guidance on combating trafficking in persons, most recently in June 2015. GAO is monitoring these efforts and will provide an update once the proposed FAR rule is finalized.
    Recommendation: To help ensure agencies can more fully implement their monitoring policy and guidance related to recruitment of foreign workers, the Secretaries of Defense and State and the Administrator of the U.S. Agency for International Development should each develop, as part of their agency policy and guidance, a more precise definition of recruitment fees, including permissible components and amounts.

    Agency: United States Agency for International Development
    Status: Open

    Comments: In commenting on a draft of this report, the U.S. Agency for International Development (USAID) noted that a proposed amendment to the Federal Acquisition Regulation (FAR) on combating Trafficking in Persons (TIP) contained language that would prohibit charging contractor employees any recruitment fees. In January 2015, the final FAR rule was issued, prohibiting employers from charging employees any recruitment fees on government contracts; however, this rule did not provide a precise definition of such fees. In May 2016, a new FAR rule defining "recruitment fees," which would apply to USAID, among others, was proposed. The public comment period for this proposed rule ended in July 2016, and, as of August 2017, the proposed rule in process, GAO is monitoring the status of these actions and will provide an update on USAID's activities to define components of recruitment fees once the proposed FAR rule is finalized.
    Recommendation: To help improve agencies' abilities to detect potential TIP abuses and implement the U.S. government's zero tolerance policy, the Secretaries of Defense and State and the Administrator of the U.S. Agency for International Development should each take actions to better ensure that contracting officials specifically include TIP in monitoring plans and processes, especially in areas where the risk of trafficking is high. Such actions could include developing a process for auditing efforts to combat TIP or ensuring that officials responsible for contract monitoring are aware of all relevant acquisition policy and guidance on combating TIP.

    Agency: Department of Defense
    Status: Open

    Comments: In comments on a draft of the report, the Department of Defense (DOD) concurred with this recommendation and indicated that it would update the Defense Federal Acquisition Regulation Supplement (DFARS) accordingly once the final Federal Acquisition Regulation on Ending Trafficking in Persons had been published. In January 2015, DOD updated the DFARS to include a sample checklist for auditing compliance with Combating Trafficking in Persons (CTIP) policy. This checklist reiterates the U.S. government's zero tolerance policy regarding trafficking in persons and includes, among other items, questions regarding contractors' treatment of employee passports and other identification documents. In addition, in September 2017, DOD reported that it had developed and mandated acquisition training for DOD military and civilian contracting employees. U.S. Central Command has also created a CTIP Program Manager position in Afghanistan, which ensures that CTIP training is provided to contracting officials in that country. GAO is monitoring these efforts and will provide an update on DOD's progress as more information becomes available.
    Director: Rebecca Gambler
    Phone: (202) 512-8777

    3 open recommendations
    Recommendation: To enhance ICE's ability to analyze and manage detention facility costs, ensure transparency and accountability in the management of detention facilities, and strengthen the oversight mechanisms that ensure detention facilities provide safe, secure, and humane confinement, the Director of U.S. Immigration and Customs Enforcement should assess the extent to which ICE has appropriate internal controls for tracking and managing detention facility costs and develop additional controls as necessary.

    Agency: Department of Homeland Security: United States Immigration and Customs Enforcement
    Status: Open

    Comments: As of December 2016, no additional information had been provided on the status of ICE efforts to address this recommendation. In February 2015, the Department of Homeland Security (DHS) reported that Immigration and Customs Enforcement (ICE) had created a spend plan tool to help track costs for each detention facility. In addition, DHS reported that ICE headquarters and field offices were coordinating to determine the resources needed to track and manage detention facilities costs. To fully address this recommendation, ICE should assess the extent to which the spend plan tool is an appropriate internal control for tracking and managing detention facilities costs and whether additional controls are necessary.
    Recommendation: To enhance ICE's ability to analyze and manage detention facility costs, ensure transparency and accountability in the management of detention facilities, and strengthen the oversight mechanisms that ensure detention facilities provide safe, secure, and humane confinement, the Director of U.S. Immigration and Customs Enforcement should document the reasons facilities cannot be transitioned to the most recent standards.

    Agency: Department of Homeland Security: United States Immigration and Customs Enforcement
    Status: Open

    Comments: The Department of Homeland Security (DHS) did not concur with this recommendation. As of December 2016, no additional information had been provided on the status of Immigration and Customs Enforcement (ICE) efforts to address this recommendation. To fully address this recommendation, ICE should document the reasons detention facilities cannot be transition to the most recent national detention standards.
    Recommendation: To enhance ICE's ability to analyze and manage detention facility costs, ensure transparency and accountability in the management of detention facilities, and strengthen the oversight mechanisms that ensure detention facilities provide safe, secure, and humane confinement, the Director of U.S. Immigration and Customs Enforcement should take additional steps to help ensure that personnel responsible for reviewing and paying facility detention invoices follow internal control procedures to ensure proper payments.

    Agency: Department of Homeland Security: United States Immigration and Customs Enforcement
    Status: Open

    Comments: As of December 2016, no additional information had been provided on the status of ICE efforts to address this recommendation. In October 2014, the Department of Homeland Security (DHS) reported that Immigration and Customs Enforcement (ICE) had issued a new "Receipt & Acceptance" policy applicable to all program offices and would assess if additional internal controls are required and implement any needed ones, as appropriate. In February 2015, DHS reported that ICE had not finalized an impact assessment of the new policy for fiscal year 2014 to determine if additional controls would be required. To fully address this recommendation, ICE should complete an impact assessment of the new policy to determine if additional controls are needed to ensure proper payment of facility detention invoices.
    Director: Brenda S. Farrell
    Phone: (202) 512-3604

    1 open recommendations
    Recommendation: In order for the military services to obtain more comprehensive and detailed information regarding sexual assault prevention and response during basic and subsequent career-specific training to help oversee their programs, the Secretary of Defense should direct each military service, in collaboration with the Director of DOD's Sexual Assault Prevention and Response Office, to develop and implement a tool, such as a survey, or leverage existing military training surveys--such as those used by the Air Force or the Navy--that will provide more comprehensive and detailed information to decision makers about sexual assault and other sexual misconduct that occur during initial military training, including basic and subsequent career-specific military training.

    Agency: Department of Defense
    Status: Open

    Comments: DOD partially concurred with the recommendation to develop and implement a survey, or leverage existing military training surveys, which will provide more comprehensive and detailed information to decision makers about sexual assault and other sexual misconduct that occurs during initial military training, including basic and subsequent career-specific military training. In its written comments, DOD stated that the department values the intent of this recommendation; but stated that more analysis needs to be conducted to determine the best tool or methodology to meet the intent of this recommendation and reduce the negative impact of possible survey fatigue. As of August 2017, DOD requires each service to respond about actions taken in response to this recommendation in its enclosure to the department's annual report on sexual assault. While the Navy and Air Force continue to survey recruits and technical training students, the Marine Corps and Army have not implemented surveys. As such, this recommendation will remain open and we will monitor the response of the Army and Marine Corps in next year's annual report.
    Director: Maurer, Diana C
    Phone: (202) 512-9627

    1 open recommendations
    Recommendation: To better address obstacles that occur during the activation process and to help ensure that institutions are activated within estimated timeframes, including those institutions that do not currently have inmates, such as Administrative USP Thomson and USP Yazoo City, the Director of the Bureau of Prisons should develop and implement an activation schedule that incorporates the four characteristics of scheduling best practices.

    Agency: Department of Justice: Bureau of Prisons
    Status: Open

    Comments: On November 25, 2014, DOJ provided a written response to GAO-14-709 that stated that BOP was in the process of developing a new activation handbook and comprehensive schedule and that BOP would establish a multi-disciplinary working group of BOP subject-matter experts to work on this project. On June 3, 2015, BOP reported that it had assembled a multidisciplinary workgroup as planned, and based on BOP's March 16, 2016 status update, the workgroup's efforts were ongoing at the time. On September 20, 2016, BOP provided the schedule to us, as part of its newly developed activation handbook. While the Activation Handbook's schedule addresses in detail what needs to be done and who should do the work, it is not fully inclusive of the best practices related to scheduling that we outlined in our report. To fully address this recommendation, BOP would need to fully incorporate best practices. This includes creating a baseline schedule that incorporates all of the tasks identified in the responsibility matrix, determining the duration for each effort, and incorporating the appropriate predecessor and successor logic. Per scheduling best practices, BOP would also need to determine which activities make up the critical path and develop procedures for conducting a schedule risk analysis, ensuring that the schedule can be traced both horizontally and vertically, and that mechanisms are in place for maintaining the baseline schedule and an updated schedule as projects progress.
    Director: James R. White
    Phone: (202) 512-9110

    3 open recommendations
    Recommendation: Congress should consider providing the Secretary of the Treasury with the regulatory authority to lower the threshold for electronic filing of W-2s from 250 returns annually to between 5 to 10 returns, as appropriate.

    Agency: Congress
    Status: Open

    Comments: As of March 2017, no legislative action identified. Lowering the threshold would help IRS prevent identity theft refund fraud by enhancing its ability to verify the employment information reported on tax returns before issuing refunds. Additionally, lowering the threshold would reduce the Social Security Administration's administrative costs of processing W-2 information.
    Recommendation: To provide timely, accurate, and actionable feedback to all relevant lead-generating third parties, the Commissioner of Internal Revenue should provide aggregated information on (1) the success of external party leads in identifying suspicious returns and (2) emerging trends (pursuant to section 6103 restrictions).

    Agency: Department of the Treasury: Internal Revenue Service
    Status: Open

    Comments: As of March 2017, IRS had taken steps to address GAO's August 2014 recommendation, including developing timeliness metrics for managing leads and holding six feedback sessions with financial institutions participating in the External Leads Program, but had not provided GAO with documentation that the agency is providing meaningful feedback to external parties. In November 2015, IRS reported that it had developed a database to track leads submitted by financial institutions and the results of those leads. IRS also stated that it had held six sessions with financial institutions to provide feedback on external leads provided to IRS. These quarterly feedback sessions contained various types of information, including overall statistics for the External Leads Program, individual statistics tailored to a specific external party, and solicitations for how to improve the program. In December 2015, IRS officials stated that the agency sent a customer satisfaction survey asking financial institutions for feedback on the external leads process and was considering other ways to provide feedback to financial institutions. In August 2016, an industry group representing financial institutions reported that IRS had not begun providing meaningful feedback to financial institutions that are providing leads to IRS. In March 2017, IRS officials told us they were holding more frequent, monthly, feedback sessions with financial institutions. GAO will follow up with financial institutions to understand the extent to which IRS's feedback has been timely and is actionable. Without accurate, timely, and actionable feedback, the more than 600 external parties participating in the External Leads Program do not know if the leads they provide to IRS are useful and they may not be able to assess their success in identifying IDT refund fraud or improve their detection tools.
    Recommendation: To provide timely, accurate, and actionable feedback to all relevant lead-generating third parties, the Commissioner of Internal Revenue should develop a set of metrics to track external leads by the submitting third party.

    Agency: Department of the Treasury: Internal Revenue Service
    Status: Open

    Comments: As of March 2017, IRS had taken steps to address GAO's August 2014 recommendation, including developing timeliness metrics for managing leads and holding six feedback sessions with financial institutions participating in the External Leads Program, but had not provided GAO with documentation that the agency is providing meaningful feedback to external parties. In November 2015, IRS reported that it had developed a database to track leads submitted by financial institutions and the results of those leads. IRS also stated that it had held six sessions with financial institutions to provide feedback on external leads provided to IRS. These quarterly feedback sessions contained various types of information, including overall statistics for the External Leads Program, individual statistics tailored to a specific external party, and solicitations for how to improve the program. In December 2015, IRS officials stated that the agency sent a customer satisfaction survey asking financial institutions for feedback on the external leads process and was considering other ways to provide feedback to financial institutions. In August 2016, an industry group representing financial institutions reported that IRS had not begun providing meaningful feedback to financial institutions that are providing leads to IRS. In March 2017, IRS officials told us they were holding more frequent, monthly, feedback sessions with financial institutions. GAO will follow up with financial institutions to understand the extent to which IRS's feedback has been timely and is actionable. Without accurate, timely, and actionable feedback, the more than 600 external parties participating in the External Leads Program do not know if the leads they provide to IRS are useful and they may not be able to assess their success in identifying IDT refund fraud or improve their detection tools.
    Director: Marcia Crosse
    Phone: (202) 512-7114

    1 open recommendations
    Recommendation: To enhance its oversight of drug shortages, particularly as the agency fine-tunes the manner in which it gathers data on shortages and transitions from its database to a more robust system, the Commissioner of FDA should conduct periodic analyses using the existing drug shortages database (and, eventually, the new drug shortages information system) to routinely and systematically assess drug shortage information, and use this information proactively to identify risk factors for potential drug shortages early, thereby potentially helping FDA to recognize trends, clarify causes, and resolve problems before drugs go into short supply.

    Agency: Department of Health and Human Services: Food and Drug Administration
    Status: Open

    Comments: In August 2017, FDA reported that it had not conducted any rigorous analysis of predictors of drug shortages nor have new drug risk factors been identified. Although FDA adopted a new, commercially developed data system, the "Shortage Tracker" to track drug shortages in March 2016, it is used to help the Drug Shortage Staff manage their workload. FDA reported that this system has now been fully operational for over a year. However, no trend analysis relating to drug shortages has been conducted and the agency has no plans to conduct such analyses at this time.
    Director: Brown, Kay E
    Phone: (202) 512-7215

    2 open recommendations
    Recommendation: In order to help inform federal, state, and local initiatives to prevent and respond to child sexual abuse by school personnel, the Secretary of Education should lead an effort, in collaboration with the Secretary of HHS and the Attorney General, to leverage resources, expertise, and capacities across the departments to determine the most cost-effective way to disseminate federal information so that relevant state and local educational agencies, child welfare agencies, and criminal justice entities are aware of and have access to it.

    Agency: Department of Education
    Status: Open

    Comments: In May 2016, the Department of Education reported that on November 16, 2015, the Office of Safe and Healthy Students within the Office of Elementary and Secondary Education convened a meeting with federal partners to explore ways in which the agencies can better support states and to devise dissemination strategies for sharing information and providing technical assistance in the most cost- effective ways to state and local educational agencies and child welfare agencies, and ensure that resources are accessible to the various stakeholders. It noted several next steps including creating and implementing a Federal dissemination plan for the new adult sexual misconduct guidance, repository of federal resources, and for information on all state-level mandates and policies addressing adult sexual misconduct in schools. GAO will consider this recommendation closed when the department provides timelines for the completion of these activities and documentation of their completion.
    Recommendation: In order to help inform federal, state, and local initiatives to prevent and respond to child sexual abuse by school personnel, the Secretary of Education should lead an effort, in collaboration with the Secretary of HHS and the Attorney General, to leverage resources, expertise, and capacities across the departments to identify mechanisms to better track and analyze the prevalence of child sexual abuse by school personnel through existing federal data collection systems, such as the School Survey on Crime and Safety, the National Child Abuse and Neglect Data System, and the National Crime Victimization Survey.

    Agency: Department of Education
    Status: Open

    Comments: The Department of Education reported that experts within the National Center for Education Statistics (NCES) consulted with research partners in the Department of Justice and academic research experts to determine if an effective item or item set about this important issue could be derived. After review of extant sources and consultation with item development experts, a clear question that would result in meaningful information from school administrator respondents could not be developed. They also noted that they understand there is continuing interest on this issue and will continue studying item possibilities for the next School Survey on Crime and Safety (SSOCS) provided the collection is funded. As of May 2016, NCES does not have funds to field SSOCS after 2016, but there is a request in the 2016 budget to support a 2018 collection. GAO will consider this recommendation closed when the department has taken the above mentioned action to continue studying item possibilities for the next SSOCS if the collection is funded.
    Director: Brown, Kay E
    Phone: (202) 512-7215

    1 open recommendations
    Recommendation: To provide the basis for greater consistency across states in assessing elder justice service delivery, the Secretary of HHS, as chairman of the Elder Justice Coordinating Council, should direct the Council to make it a priority to identify common objectives for the federal elder justice effort and define common outcomes.

    Agency: Department of Health and Human Services
    Status: Open

    Comments: HHS agreed with this recommendation and noted the formation of the Elder Justice Coordinating Council (EJCC) as an effort to develop common objectives and plans for action to address elder justice issues. As of June 2014, the EJCC had developed eight recommendations for increased federal leadership in combating elder abuse based on input from elder justice experts in financial exploitation, public policy and awareness, enhancing response, and advancing research. Staff compiled information on best and promising practices for primary, secondary, and tertiary prevention; empirical evidence from peer-reviewed research; approaches used in related disciplines; and information about where gaps exist in the collective knowledge about elder abuse, neglect and exploitation. Staff then turned the suggestions into proposals with accompanying steps for federal action. Those proposals were subsequently presented at two public EJCC meetings (May and September 2013) and were made available for public review and comment. The Secretary of HHS formally accepted the recommendations in May 2014, and they were posted to the EJCC page of the Administration on Aging's website. In May 2015, HHS reported that the EJCC had published these recommendations in a document entitled "Eight (8)Recommendations for Increased Federal Involvement in Addressing Elder Abuse, Neglect, and Exploitation" and stated that the recommendations addressed the issues identified in GAO's recommendation. While we recognized that these 8 recommendations corresponded to the common objectives included in our recommendation, we also sought from HHS information on the status of common outcomes for the objectives. HHS reported that outcomes for the eight common objectives that the EJCC has approved were being discussed, but have not yet been approved. In March 2016,HHS reported that the EJCC's Elder Justice Working Group continued to gather and discuss action steps and outcomes for the eight recommendations. We will monitor the EJCC's progress in agreeing upon outcomes and close the recommendation when agreement on outcomes is reported.
    Director: Maurer, Diana C
    Phone: (202) 512-9627

    3 open recommendations
    including 2 priority recommendations
    Recommendation: To promote coordination as a practice to help avoid overlap, the Secretary of Homeland Security, the Attorney General, and the Director of ONDCP should work through the Information Sharing and Access Interagency Policy Committee (ISA IPC) or otherwise collaborate to develop a mechanism, such as performance metrics related to coordination, that will allow them to hold field-based information-sharing entities accountable for coordinating with each other and monitor and evaluate the coordination results achieved.

    Agency: Department of Justice
    Status: Open
    Priority recommendation

    Comments: The Department of Justice (DOJ), in coordination with the Department of Homeland Security (DHS) and the Office of National Drug Control Policy (ONDCP), has made progress toward addressing GAO's April 2013 recommendation but has not included all of the relevant field-based information sharing entities in its efforts. Through their involvement in an interagency policy committee within the Executive Office of the President, DHS, DOJ, and ONDCP have developed a mechanism to hold state and urban area fusion centers, Regional Information Sharing System (RISS) centers, and High Intensity Drug Trafficking Area (HIDTA) Investigative Support Centers accountable for coordinating their analytical and investigative activities. However, the agencies have not fully addressed the action because DOJ's Federal Bureau of Investigation's (FBI) Joint Terrorism Task Forces (JTTF) and Field Intelligence Groups (FIG), two of the five field-based entities included in GAO's April 2013 report, have not participated in the assessment on which the mechanism is based. In December 2015, DHS developed a field-based partners report in which DHS, DOJ and ONDCP reported data for state and urban area fusion centers, RISS centers, and HIDTA Investigative Support Centers. These data were focused on field-based collaboration, including governance, colocation, and other information sharing, analytic, and deconfliction-focused topics. However, the report did not include data for DOJ's JTTFs or FIGs. DOJ has noted that JTTFs and FIGs are different from the other entities because JTTFs are operational law enforcement investigative entities and FIGs provide intelligence support to FBI Field Offices. However, GAO's April 2013 report identified areas in which the missions and activities of JTTFs and FIGs overlapped with those of the other entities and that coordination with other field based entities was important to prevent unnecessary overlap and potential duplication. Considering the exclusion of two of the five entities, the agencies do not have a collective mechanism that can hold FIGS and JTTFs accountable for coordinating with the other field-based information sharing entities and allow the agencies to monitor progress and evaluate results across entities. Such a mechanism can help entities maintain effective relationships when new leadership is assigned and avoid unnecessary overlap in activities, which in turn can help entities to leverage scarce resources. As of March 2017, DOJ had provided no new updates. GAO will continue to monitor DOJ's progress in this area.
    Recommendation: To help identify where agencies and the field-based entities they support could apply coordination mechanisms to enhance information sharing and reduce inefficiencies resulting from overlap, the Secretary of Homeland Security, the Attorney General, and the Director of ONDCP should work through the ISA IPC or otherwise collaborate to identify characteristics of entities and assess specific geographic areas in which practices that could enhance coordination and reduce unnecessary overlap, such as cross-entity participation on governance boards and colocation of entities, could be further applied. The results of this assessment could be used by the agencies to provide recommendations or guidance to the entities to create coordinated governance boards or colocate entities, which can result in increased efficiencies through shared facilities and resources and reduced overlap through coordinated or collaborative products, activities, and services.

    Agency: Department of Justice
    Status: Open
    Priority recommendation

    Comments: The Department of Justice (DOJ), in coordination with the Department of Homeland Security (DHS) and the Office of National Drug Control Policy (ONDCP), has made progress toward addressing GAO's April 2013 recommendation but has not included all of the relevant field-based information sharing entities in its efforts. The three agencies have taken the necessary steps to assess the extent to which practices that can enhance coordination are being implemented at state and urban area fusion centers, Regional Information Sharing System (RISS) centers, and High Intensity Drug Trafficking Area (HIDTA) Investigative Support Centers through their involvement in an interagency policy committee within the Executive Office of the President. However, the assessment did not include DOJ's Federal Bureau of Investigation's (FBI) Joint Terrorism Task Forces (JTTF) or Field Intelligence Groups (FIG), two of the five field-based entities included in GAO's April 2013 report. In December 2015, DHS, DOJ, and ONDCP developed a field-based partners report in which DOJ and ONDCP collected and reported data elements for RISS centers and HIDTA Investigative Support Centers similar to those DHS uses in its annual fusion center assessment. These data were focused on field-based collaboration, including governance, colocation, and other information sharing, analytic, and deconfliction-focused topics. However, the report did not include data for DOJ's FBI JTTFs or FIGs. A collaborative assessment of where practices that enhance coordination can be applied to reduce overlap, collaborate, and leverage resources for all five field-based information-sharing entities would allow the agencies to provide recommendations or guidance to the entities on implementing these practices. As of March 2017, DOJ had provided no new updates. GAO will continue to monitor DOJ's progress in this area.
    Recommendation: To help ensure that an assessment of practices that could enhance coordination and reduce unnecessary overlap is shared and used to further enhance collaboration and efficiencies across agencies, the Program Manager, with input from the ISA IPC collaborating agencies, should report in the Information Sharing Environment (ISE) annual report to Congress the results of the assessment, including any additional coordination practices identified, efficiencies realized, or actions planned.

    Agency: Office of the Director of National Intelligence: Office of the Program Manager--Information Sharing Environment
    Status: Open

    Comments: When we confirm what actions the agency has taken in response to this recommendation, we will provide updated information. Status last updated August 31, 2017.
    Director: Larence, Eileen
    Phone: (202)512-6510

    1 open recommendations
    Recommendation: To ensure that USNCB and ICE are providing more comprehensive information to their respective foreign counterparts regarding registered sex offenders traveling internationally, the Attorney General and the Secretary of Homeland Security should take steps to help ensure that USNCB and ICE have information on the same number of registered sex offenders as well as the same level of detail on registered sex offenders traveling internationally. Such steps could include USNCB and ICE copying each other on their notifications to their foreign counterparts or USNCB receiving information directly from the CBP National Targeting Center (NTC).

    Agency: Department of Homeland Security
    Status: Open

    Comments: We reported that U.S. National Central Bureau (USNCB) and U.S. Immigration and Customs Enforcement (ICE) did not have information on the same registered sex offenders or the same level of detail on registered sex offenders traveling internationally, which affected their ability to notify their respective foreign counterparts. In part, this is because the two agencies rely on different information sources and do not share information with one another. We recommended that DOJ and DHS develop mechanisms that would enable these two agencies to have access to the same information on traveling sex offenders. In August 2013, ICE provided documentation showing that it copied several U.S. Marshals Service (USMS) officials on notifications that ICE sent to other countries regarding registered sex offenders traveling internationally. However, ICE did not copy USNCB on these notifications. ICE explained that it thought sharing information on traveling sex offenders with USMS and relying on USMS to pass that information along to USNCB was the most efficient way to share information with USNCB. However, we analyzed notifications from ICE, USNCB, and USMS regarding sex offenders who initiated international travel in February 2014 and found that USMS only passed along about 30 percent of the notifications it received from ICE to USNCB. We provided the results of this analysis to all three agencies in July 2014. We met with relevant U.S. Customs and Border Protection (CBP), ICE, USMS, and USNCB officials in September 2014 to discuss options for ensuring that USNCB receives more comprehensive information regarding traveling sex offenders. ICE officials stated that since CBP is the source of the information ICE receives on traveling sex offenders, as well as one of the information sources for USMS, that it may be best for CBP to provide information directly to USNCB. USNCB officials also stated that their preference was to receive information directly from CBP, and it was their understanding that CBP and USNCB were in the process of developing an MOU that would allow for this. In October 2015, CBP confirmed that the MOU would enable CBP to share information with USNCB regarding traveling sex offenders. CBP also stated that the MOU had been approved by CBP and sent to USNCB for review. In an April 2016 update, CBP reported that the MOU had been tentatively approved by USNCB and is expected to be finalized and signed in July 2016. In August 2016, CBP stated that the completion date for the MOU was pushed back to September 30, 2016, to allow time for CBP and USNCB to negotiate additional edits. We followed up with CBP about the status of the MOU in February 2017. We are awaiting a response.
    Director: Goldstein, Mark L
    Phone: (202)512-6670

    2 open recommendations
    Recommendation: The Secretary of Homeland Security and Attorney General should instruct the Director of FPS, and the Director of the Marshals Service, respectively, to jointly lead an effort, in consultation and agreement with the judiciary and GSA, to update the MOA on courthouse security to address the challenges discussed in this report. Specifically, in this update to the MOA stakeholders should: (1) clarify federal stakeholders' roles and responsibilities including, but not limited to, the conditions under which stakeholders may assume each other's responsibilities and whether such agreements should be documented; and define GSA's responsibilities and determine whether GSA should be included as a signatory to the updated MOA; (2) outline how they will ensure greater participation of relevant stakeholders in court or facility security committees; and (3) specify how they will complete required risk assessments for courthouses, referred to by the Marshals Service as court security facility surveys and by FPS as facility security assessments (FSA), and ensure that the results of those assessments are shared with relevant stakeholders, as appropriate.

    Agency: Department of Homeland Security
    Status: Open

    Comments: As of April 2017, The Federal Protective Service, U.S. Marshals Service, Administrative Office of the U.S. Courts, and General Services Administration were working to update the memorandum of agreement on courthouse security. An updated memorandum has been drafted, but it has yet to be signed by all parties. Consequently, resolution of this recommendation is pending until further action is taken.
    Recommendation: The Secretary of Homeland Security and Attorney General should instruct the Director of FPS, and the Director of the Marshals Service, respectively, to jointly lead an effort, in consultation and agreement with the judiciary and GSA, to update the MOA on courthouse security to address the challenges discussed in this report. Specifically, in this update to the MOA stakeholders should: (1) clarify federal stakeholders' roles and responsibilities including, but not limited to, the conditions under which stakeholders may assume each other's responsibilities and whether such agreements should be documented; and define GSA's responsibilities and determine whether GSA should be included as a signatory to the updated MOA; (2) outline how they will ensure greater participation of relevant stakeholders in court or facility security committees; and (3) specify how they will complete required risk assessments for courthouses, referred to by the Marshals Service as court security facility surveys and by FPS as facility security assessments (FSA), and ensure that the results of those assessments are shared with relevant stakeholders, as appropriate.

    Agency: Department of Justice
    Status: Open

    Comments: As of April 2017, The Federal Protective Service, U.S. Marshals Service, Administrative Office of the U.S. Courts, and General Services Administration were working to update the memorandum of agreement on courthouse security. An updated memorandum has been drafted, but it has yet to be signed by all parties. Consequently, resolution of this recommendation is pending until further action is taken.
    Director: King, Kathleen M
    Phone: (202)512-5154

    2 open recommendations
    Recommendation: To develop more accurate data for estimating the funds needed for the CHS program and improving IHS oversight, the Secretary of Health and Human Services should direct the Director of IHS to develop a written policy documenting how IHS evaluates need for the CHS program and disseminate it to area offices and CHS programs to ensure they understand how unfunded services data are used to estimate overall program needs.

    Agency: Department of Health and Human Services
    Status: Open

    Comments: In response to this recommendation, IHS reported in October 2015 that it was completing a comprehensive update of a policy chapter related to the Contract Health Services (CHS) Program (also called the Purchased/Referred Care Program). The agency indicated that this revised chapter would incorporate a written policy on how IHS evaluates need for the CHS program. It indicated that the chapter update had been under revision since December 20, 2012, with final approval anticipated in 2015. In July 2017, IHS indicated that the policy was still under development and would be issued to all IHS sites by September 30, 2017.
    Recommendation: To develop more accurate data for estimating the funds needed for the CHS program and improving IHS oversight, the Secretary of Health and Human Services should direct the Director of IHS to provide written guidance to CHS programs on a process to use when funds are depleted and there is a continued need for services, and monitor to ensure that appropriate actions are taken.

    Agency: Department of Health and Human Services
    Status: Open

    Comments: In response to this recommendation, IHS reported in October 2015 that it developed and distributed Fund Management Standardization guidance to Area Offices to monitor compliance by federal Contract Health Services (CHS) program (also called the Purchased/Referred Care program) Service Units. Also, IHS issued standardized spending plan procedures to all Area Offices and Federally-operated programs. Also, it indicated that spending plan guidance would be included in an update of a policy chapter related to the CHS program. The agency indicated that this chapter had been under revision since December 20, 2012, with final approval anticipated in 2015. In July 2017, IHS indicated that the policy was still under development and would be issued to all IHS sites by September 30, 2017.
    Director: Melvin, Valerie C
    Phone: (202)512-6304

    2 open recommendations
    Recommendation: To help ensure that the development and implementation of IDR and One PI are successful in helping the agency meet the goals and objectives of its program integrity initiatives, the Administrator of CMS should implement and manage plans for incorporating data in IDR to meet schedule milestones.

    Agency: Department of Health and Human Services: Centers for Medicare and Medicaid Services
    Status: Open

    Comments: While CMS has incorporated shared systems Medicare Part A (insurance for hospital and other inpatient services), Part B (insurance for hospital outpatient, physician, and other services), and three states' Medicaid data into IDR, it has not yet implemented and managed plans for incorporating all states' Medicaid data, as GAO recommended in June 2011. As a result, the repository does not yet include all the data that were planned to be incorporated by the end of 2012, and efforts to add the remaining states' Medicaid data to IDR continue to be behind schedule. As of March 2017, agency officials are working to develop plans to integrate all states' data into IDR as part of ongoing program integrity initiatives.
    Recommendation: To help ensure that the development and implementation of IDR and One PI are successful in helping the agency meet the goals and objectives of its program integrity initiatives, the Administrator of CMS should define any measurable financial benefits expected from the implementation of IDR and One PI.

    Agency: Department of Health and Human Services: Centers for Medicare and Medicaid Services
    Status: Open

    Comments: As of March 2017, CMS officials reported that they have identified areas of potential cost savings to be achieved by requiring program integrity contractors to use IDR and One PI, as GAO recommended in June 2011. CMS is awarding new contracts to include this requirement, which is expected to result in the agency no longer funding contractors' efforts to establish and maintain their own data warehouses and analytical tools. However, not all of the contracts have been awarded and, therefore, the requirement has not been fully implemented. Until all the new contracts have been awarded that require the contractors to use IDR and One PI for program integrity purposes, CMS will not have reasonable assurance that using the systems will help improve CMS's ability to detect fraud, waste, and abuse in the Medicare and Medicaid programs, and to achieve the $21 billion in financial benefits program officials projected.
    Director: Fleming, Susan A
    Phone: (202)512-4431

    1 open recommendations
    Recommendation: In order to encourage vehicle owners to comply with safety recalls, provide vehicle owners with specific information about whether their vehicle is involved in a recall, and identify factors that affect recall completion rates, among other things, the Secretary of Transportation should direct the Administrator of NHTSA to develop a plan to use the data it collects on recall campaigns to analyze particular patterns or trends that may characterize successful recalls and determine whether these represent best practices that could be used in other recall campaigns.

    Agency: Department of Transportation
    Status: Open

    Comments: When we confirm what actions NHTSA has taken in response to this recommendation will provide updated information.
    Director: Grover, Jennifer A
    Phone: (202) 512-7141

    3 open recommendations
    including 1 priority recommendation
    Recommendation: To identify effective and cost-efficient methods for meeting TWIC program objectives, and assist in determining whether the benefits of continuing to implement and operate the TWIC program in its present form and planned use with readers surpass the costs, the Secretary of Homeland Security should perform an internal control assessment of the TWIC program by (1) analyzing existing controls, (2) identifying related weaknesses and risks, and (3) determining cost-effective actions needed to correct or compensate for those weaknesses so that reasonable assurance of meeting TWIC program objectives can be achieved. This assessment should consider weaknesses we identified in this report among other things, and include: (1) strengthening the TWIC program's controls for preventing and detecting identity fraud, such as requiring certain biographic information from applicants and confirming the information to the extent needed to positively identify the individual, or implementing alternative mechanisms to positively identify individuals; (2) defining the term extensive criminal history for use in the adjudication process and ensuring that adjudicators follow a clearly defined and consistently applied process, with clear criteria, in considering the approval or denial of a TWIC for individuals with extensive criminal convictions not defined as permanent or interim disqualifying offenses; and (3) identifying mechanisms for detecting whether TWIC holders continue to meet TWIC disqualifying criminal offense and immigration-related eligibility requirements after TWIC issuance to prevent unqualified individuals from retaining and using authentic TWICs.

    Agency: Department of Homeland Security
    Status: Open

    Comments: We reported that internal control weaknesses governing the enrollment, background checking, and use of TWIC potentially limit the program's ability to provide reasonable assurance that access to secure areas of MTSA-regulated facilities is restricted to qualified individuals. We further reported that TSA did not assess the internal controls designed and in place to determine whether they provided reasonable assurance that the program could meet defined mission needs for limiting access to only qualified individuals, and that internal control weaknesses in TWIC enrollment, background checking, and use could have contributed to the breach of selected MTSA-regulated facilities during covert tests conducted by our investigators. We recommended that DHS perform an internal control assessment of the TWIC program by (1) analyzing existing controls, (2) identifying related weaknesses and risks, and (3) determining cost-effective actions needed to correct or compensate for those weaknesses so that reasonable assurance of meeting TWIC program objectives can be achieved. In April 2013, DHS reported that it had taken a number of steps to address our recommendations. For example, it had refreshed and reissued fraudulent document detection training to enrollment personnel; created a mechanism for enrollment personnel to send detailed information of suspected fraud to adjudication personnel; benchmarked TWIC enrollment processes with passport enrollment processes; and defined guidance for adjudicators on the application of discretionary authority. As we reported in May 2013, to determine if the internal control weaknesses identified in our May 2011 report still exist, we conducted limited covert testing in late 2012. Our investigators again acquired an authentic TWIC through fraudulent means and were able to use this card and counterfeit TWIC cards to access areas of ports or port facilities requiring a TWIC for entry at four ports. In February 2014, TSA reported that it, in coordination with Coast Guard and DHS subject matter experts, had established an Executive Steering Committee to address recommendations from the May 2011 report on the TWIC program's internal controls (GAO-11-657). GAO recommended that the internal control assessment be the basis of the effectiveness assessment. In response, the Executive Steering Committee developed an internal control action plan that lists TWIC program control issues GAO identified, along with actions that TSA and the Coast Guard would or would not take to address them. However, based on our review of the internal control action plan and associated documents, and further discussing with TSA officials the methodology used to arrive at the internal control action plan, we determined that the internal control assessment we recommended has not been implemented. Specifically, there is no evidence of a detailed mapping of each policy and process in the program, their interrelationships, and clear linkage to show how actions in one step may enhance or reduce the effectiveness of the TWIC program achieving its stated mission needs. In January 2017 TSA awarded a contract for an internal control assessment of the TWIC program, including the TWIC program?s internal controls of the enrollment, background checking, and credential issuance processes. The assessment, however, is to exclude an assessment of Coast Guard?s role in TWIC enforcement. The project held a kickoff meeting in March of 2017 and is expected to produce final recommendations by August 2017. We believe that this is a positive step towards addressing our recommendation. However, the assessment does not include an evaluation of the use of TWIC, including Coast Guard's role in TWIC enforcement. We continue to believe that the internal control assessment inclusive of TWIC use and the interrelationship between acquiring a TWIC and using it in the maritime environment is needed. For the reasons noted above, this recommendation remains open.
    Recommendation: To identify effective and cost-efficient methods for meeting TWIC program objectives, and assist in determining whether the benefits of continuing to implement and operate the TWIC program in its present form and planned use with readers surpass the costs, the Secretary of Homeland Security should conduct an effectiveness assessment that includes addressing internal control weaknesses and, at a minimum, evaluates whether use of TWIC in its present form and planned use with readers would enhance the posture of security beyond efforts already in place given costs and program risks.

    Agency: Department of Homeland Security
    Status: Open
    Priority recommendation

    Comments: We reported that DHS had not assessed the program's effectiveness at enhancing security. We recommended that DHS conduct an effectiveness assessment that includes addressing internal control weaknesses and, at a minimum, evaluates whether use of TWIC in its present form and planned use with readers would enhance the posture of security beyond efforts already in place given costs and program risks. In March 2012, DHS reported that it agreed that the results and progress of the internal control actions should be used to further evaluate the effectiveness of the TWIC program. They further noted that as the different long term actions progress, DHS will develop specific plans to address this action. In May 2013 (see GAO-13-198), we reported that DHS had not addressed this recommendation. On January 17, 2014, the explanatory statement accompanying the Consolidated Appropriations Act, 2014, directed DHS to complete the assessment that we recommended within 90 days after enactment (April 17, 2014). In February 2014, TSA reported that it, in coordination with Coast Guard and DHS subject matter experts, had established an Executive Steering Committee to address recommendations from the May 2011 report on the TWIC program's internal controls (GAO-11-657). GAO recommended that the internal control assessment be the basis of the effectiveness assessment. In response, the Executive Steering Committee developed an internal control action plan that lists TWIC program control issues GAO identified, along with actions that TSA and the Coast Guard would or would not take to address them. However, based on our review of the internal control action plan and associated documents, and further discussing with TSA officials the methodology used to arrive at the internal control action plan, we determined that the internal control assessment we recommended has not been implemented. Specifically, there is no evidence of a detailed mapping of each policy and process in the program, their interrelationships, and clear linkage to show how actions in one step may enhance or reduce the effectiveness of the TWIC program achieving its stated mission needs. As of March 2017, the internal control assessment we recommended as the basis for initiating the effectiveness assessment had not been completed. However, on January 15, 2016, Coast Guard reported that it had completed its effectiveness assessment. Specifically, DHS completed an effectiveness assessment titled "Security Assessment of the Transportation Worker Identification Credential and Readers." However, the effectiveness assessment did not substantively address the risk concerns identified in our report. For example, the effectiveness assessment lacked the internal control assessment we deem to be the critical first step for fully understanding the TWIC program's controls, costs, and risks. Further, while the effectiveness assessment presented a comparison of alternative credentialing approaches, the assessment did not fully consider, as discussed in our 2011 and 2013 reports, an approach wherein federal security threat assessments could be leveraged in concert with site-specific credentials. The analysis did consider the benefits of updating the TWIC credential to new federal credentialing standards. However, absent from the analysis is a risk-informed basis for disallowing site-specific credentials. While TWIC credentials are developed based on standards aligned with those used by federal entities, each federal entity continues to use site-specific credentials that have varying appearances, rather than a single credential for granting access to all federal entities. This is important, especially because Coast Guard's risk assessment does not include an evaluation of the security benefits and shortfalls that a single credential used nation-wide provide. Absent effectiveness assessment that meets the intent of our recommendation, this recommendation remains open.
    Recommendation: To identify effective and cost-efficient methods for meeting TWIC program objectives, and assist in determining whether the benefits of continuing to implement and operate the TWIC program in its present form and planned use with readers surpass the costs, the Secretary of Homeland Security should use the information from the internal control and effectiveness assessments as the basis for evaluating the costs, benefits, security risks, and corrective actions needed to implement the TWIC program in a manner that will meet stated mission needs and mitigate existing security risks as part of conducting the regulatory analysis on implementing a new regulation on the use of TWIC with biometric card readers.

    Agency: Department of Homeland Security
    Status: Open

    Comments: We reported that prior to issuing the regulation on implementing the use of TWIC as a flashpass, DHS conducted a regulatory analysis, which asserted that TWIC would increase security. The analysis included an evaluation of the costs and benefits related to implementing TWIC. We further reported that as a proposed regulation on the use of TWIC with biometric card readers is under development, DHS is to issue a new regulatory analysis. Conducting a regulatory analysis using the information from the internal control and effectiveness assessments as the basis for evaluating the costs, benefits, security risks, and needed corrective actions could better inform and enhance the reliability of the new regulatory analysis. Moreover, these actions could help DHS identify and assess the full costs and benefits of implementing the TWIC program in a manner that will meet stated mission needs and mitigate existing security risks, and help ensure that the TWIC program is more effective and cost-efficient than existing measures or alternatives at enhancing maritime security. We therefore recommended that DHS use the information from the internal control and effectiveness assessments we recommended as the basis for evaluating the costs, benefits, security risks, and corrective actions needed to implement the TWIC program in a manner that will meet stated mission needs and mitigate existing security risks as part of conducting the regulatory analysis on implementing a new regulation on the use of TWIC with biometric card readers. In March 2012, DHS reported that upon completion of the internal control and effectiveness assessments, DHS will evaluate the results to determine any subsequent actions, and that any applicable data or risks will be communicated to the Coast Guard for consideration during their regulatory analysis. However, DHS has not implemented the internal control assessment we recommended, which is to be the basis for the effectiveness assessment and addressing this recommendation. Further, the January 15, 2016 effectiveness assessment titled "Security Assessment of the Transportation Worker Identification Credential and Readers" did not substantively address the risk concerns identified in our report. Given shortfalls that remain in addressing our internal control assessment and effectiveness assessment recommendations, this recommendation remains open pending DHS taking corrective actions. As of March 2017, no further action has been taken.
    Director: Pickup, Sharon L
    Phone: (202)512-9619

    2 open recommendations
    Recommendation: To establish ongoing accountability and better leverage the unique positions of the CMO and DCMO to provide the leadership necessary to follow up the Secretary's recent efficiency initiative for the long term, the Secretary of Defense should assign specific roles and responsibilities to the CMO and DCMO for integrating the Secretary's efficiency initiative with ongoing reform efforts, overseeing its implementation, and otherwise institutionalizing the effort for the long term.

    Agency: Department of Defense
    Status: Open

    Comments: DOD concurred with this recommendation, but did not specify the action it planned to take to implement the recommendation. Based on a review of all the memos related to the efficiencies and recent discussions with the Deputy Chief Management Officer and Under Secretary of Defense (Comptroller) offices, there is currently no guidance that formally assigns the DCMO and Comptroller responsibility for tracking and overseeing the implementation of the efficiency initiatives. However, during a March 2011 testimony before the Senate Armed Services Committee, the Comptroller stated that the Deputy Chief Management Officer (DCMO) and the Under Secretary of Defense (Comptroller) were assigned the task of monitoring the implementation of the efficiency initiative and report successes and problems to the Deputy Secretary of Defense, DOD's Chief Management Officer (CMO). Given the responsibilities, under statute and department guidance, related to improving the efficiency and effectiveness of business operations, the DCMO,in conjunction with the Under Secretary of Defense (Comptroller), is positioned to monitor, integrate, and otherwise institutionalize the Secretary of Defense's ongoing efficiency initiative. The recommendation remains unimplemented in the absence of formal guidance that institutionalizes the responsibilities of the CMO and DCMO. As of early September 2015, DOD has not yet issued formal guidance that assigns the CMO and DCMO these specific roles and responsibilities.
    Recommendation: To enhance DOD's ability to set strategic direction for its business transformation efforts, and better align and institutionalize its efforts to develop and implement plans and measure progress against established goals, the Secretary of Defense should direct the CMO to issue guidance to establish a strategic planning process with mechanisms---such as procedures and milestones---for routinely updating the SMP and military department business transformation plans. In particular, this guidance should include elements such as how DOD and the military departments---including the CMO, DCMO, and military department CMOs---will reach consensus on business priorities, coordinate review and approval of updates to plans, synchronize the development of plans with the budget process, and monitor the implementation of reform initiatives, and report progress, on a periodic basis, towards achieving established goals.

    Agency: Department of Defense
    Status: Open

    Comments: DOD partially concurred with this recommendation. As of July 2013, DOD has not issued guidance to establish a strategic planning process with mechanisms, such as procedures and milestones, for routinely updating the Strategic Management Plan and the business transformation plans of the military departments. As of early September 2015, DOD has not yet issued guidance to establish a strategic planning process to update related business transformation plans.
    Director: Wise, David J
    Phone: (202)512-5731

    1 open recommendations
    Recommendation: To improve FTA's ability to determine the extent to which transit grants, current formula incentives, and FTA program activities have had a positive effect on local transit agency performance--and to the extent that FTA finds current data sources to be appropriate and reliable for such purposes-- the Secretary of Transportation should direct the FTA Administrator to further analyze and use data submitted to FTA by local transit agencies. As part of this analysis, FTA may want to identify and evaluate, when applicable, (1) the extent to which transit grant programs are accomplishing their established goals; (2) the areas of performance in which FTA should concentrate its program activities to increase the performance of local transit agencies and the federal transit program in general; and (3) the extent to which formula incentives and other performance accountability mechanisms have influenced the activities and performance of local transit agencies.

    Agency: Department of Transportation
    Status: Open

    Comments: As of July 2017, FTA had published the final National Safety Plan and a final rule on state of good repair for transit assets. However, the final Public Transportation Agency Safety Plan rule is under additional review per the transition in administration. FTA does not expect publication until the end of this calendar year at the earliest. We will continue to monitor DOT actions pertaining to this rulemaking.
    Director: Mccool, Thomas J
    Phone: (202)512-8678

    1 open recommendations
    Recommendation: In developing legislation for a national reporting system for the biological laboratory community, Congress may wish to consider provisions for the agency it designates as responsible for the system to take into account the following in design and implementation: (1) including stakeholders in setting system goals; (2) assessing labs' organizational culture to guide design and implementation decisions; (3) making reporting voluntary, with open-reporting formats that allow workers to report events in their own words and that can be submitted by all workers in a variety of modes (Web or postal), with the option to report to either an internal or external entity; (4) incorporating strong reporter protections, data deidentification measures, and other incentives for reporting; (5) developing feedback mechanisms and an industry-level entity for disseminating safety data and safety recommendations across the lab community; and (6) ensuring ongoing monitoring and evaluation of the safety reporting system and safety culture.

    Agency: Congress
    Status: Open

    Comments: Congress has not taken action on this recommendation.
    Director: Goldstein, Mark L
    Phone: (202)512-3000

    3 open recommendations
    Recommendation: In order to improve the planning and oversight for future courthouse construction projects, to increase the efficiency of courtroom usage through courtroom sharing, and to ensure that future courthouses are built within the congressionally authorized gross square footage, the Administrator of GSA should establish sufficient internal control activities to ensure that regional GSA officials understand and follow GSA's space measurement policies throughout the planning and construction of courthouses. These control activities should allow for accurate comparisons of the size of a planned courthouse with the congressionally authorized gross square footage throughout the design and construction process.

    Agency: General Services Administration
    Status: Open

    Comments: GSA has provided information to support closing this recommendation that GAO is evaluating.
    Recommendation: In order to improve the planning and oversight for future courthouse construction projects, to increase the efficiency of courtroom usage through courtroom sharing, and to ensure that future courthouses are built within the congressionally authorized gross square footage, the Administrator of GSA should, in order to avoid requesting insufficient space for courtrooms based on the AnyCourt model's identification of courtroom space needs, establish a process, in cooperation with the Director of the Administrative Office of the U.S. Courts, by which the planning for the space needed per courtroom takes into account GSA's space measurement policy related to tenant floor cuts if a courthouse may be designed with courtrooms that have tenant floor cuts.

    Agency: General Services Administration
    Status: Open

    Comments: GSA has provided information to support closing this recommendation that GAO is evaluating.
    Recommendation: In order to improve the planning and oversight for future courthouse construction projects, to increase the efficiency of courtroom usage through courtroom sharing, and to ensure that future courthouses are built within the congressionally authorized gross square footage, the Administrator of GSA should report to congressional authorizing committees when the design of a courthouse exceeds the authorized size by more than 10 percent, including the reasons for the increase in size.

    Agency: General Services Administration
    Status: Open

    Comments: GSA has provided information to support closing this recommendation that GAO is evaluating.
    Director: Goldenkoff, Robert N
    Phone: (202)512-2757

    1 open recommendations
    Recommendation: To provide more meaningful access to LEP populations, the Administrator of SBA should finalize and issue its LEP plan and recipient guidance.

    Agency: Small Business Administration
    Status: Open

    Comments: Executive Order 13166 requires federal agencies to examine how to improve access for persons with limited English proficiency (LEP) to programs, services, and activities conducted by both federal agencies as well as state, local, and regional entities that receive federal financial assistance (a group referred to in the Executive Order as "recipients"). While the Executive Order does not prescribe specific approaches for improving access for LEP persons, it does require federal agencies to develop guidelines (referred to as "recipient guidance") that clarify the obligations of state, local, and regional entities. Agencies are also required to prepare LEP plans outlining the steps the agency will take to ensure that eligible LEP persons can access their programs and activities. In our April 2010 report on language access issues, we determined that the Small Business Administration (SBA) had not issued its recipient guidance or LEP plan. SBA officials attributed the delay to several factors, including staff turnover in key positions responsible for developing and approving their LEP Plan and recipient guidance as well as a major transformation effort involving SBA's business operations, goals, and staffing arrangements. As a result, our report recommended that the SBA Administrator finalize and issue SBA's LEP Plan and recipient guidance. As of February 2017, SBA's audit liaison reported that SBA's LEP Plan and recipient guidance are being revised based on comments from a review by the Department of Justice.
    Director: Gambler, Rebecca S
    Phone: (202)512-8816

    4 open recommendations
    Recommendation: To improve the reliability and accountability of checkpoint performance results to the Congress and the public, the Commissioner of Customs and Border Protection should establish internal controls for management oversight of the accuracy, consistency, and completeness of checkpoint performance data.

    Agency: Department of Homeland Security: Directorate of Border and Transportation Security: Bureau of Customs and Border Protection
    Status: Open

    Comments: In our review of Border Patrol traffic checkpoints, we found inconsistencies in the way field agents collected and entered performance data into the checkpoint information system. As a result, data reported in the system were unreliable. We recommended that Border Patrol establish internal controls to ensure the accuracy, consistency, and completeness of checkpoint performance data. In October 2009, the Border Patrol reported internal control solutions were underway, which would primarily involve upgrading its existing checkpoint data systems and creating a checkpoint data oversight protocol. In June 2013, Border Patrol reported that it was developing a redesigned checkpoint information system that should address the data errors and issues identified by our report. The agency also noted that it was exploring ways to implement a data oversight procedure and training on the importance of accurate data collection. In October 2014, the Border Patrol reported that the recommendation was being addressed in various phases, with a new expected completion date of March 2015. In June 2015, Border Patrol revised the expected completion date to September 2015. In September 2016, Border Patrol officials stated that the agency had not yet updated its checkpoint data system or created a data oversight protocol. Without established internal controls, the integrity of Border Patrol's performance and accountability system with regard to checkpoint operations remains uncertain.
    Recommendation: To improve the reliability and accountability of checkpoint performance results to the Congress and the public, the Commissioner of Customs and Border Protection should implement the quality of life measures that have already been identified by the Border Patrol to evaluate the impact that checkpoints have on local communities. Implementing these measures would include identifying appropriate data sources available at the local, state, or federal level, and developing guidance for how data should be collected and used in support of these measures.

    Agency: Department of Homeland Security: Directorate of Border and Transportation Security: Bureau of Customs and Border Protection
    Status: Open

    Comments: In our review of Border Patrol traffic checkpoints, we found that the Border Patrol had identified some measures to evaluate the impact that checkpoints have on local communities in terms of quality of life, but Border Patrol had not implemented the measures. As a result, the Border Patrol lacked information on how checkpoint operations could affect nearby communities. In October 2009, the Border Patrol reported that it was reevaluating its checkpoint performance measures, including quality of life measures. In June 2012, Border Patrol reported that the University of Arizona and the University of Texas, El Paso had completed a study for CBP on checkpoints. This study made several recommendations to Border Patrol on evaluating the impact of checkpoints on local communities using quantitative measures and with maintaining regular contact with the public to elicit opinions on experiences with the checkpoint, both positive and negative. At the time, the Border Patrol noted it intended to develop quantitative measures on community impact, such as on public safety and quality of life, using information collected in the new checkpoint information system it was planning. Border Patrol also noted that it was considering the budgetary feasibility of (1) conducting a survey of checkpoint travelers to gather detailed information about the community and impact metrics that are of highest importance to the public and (2) implementing an expedited lane for regular and pre-approved travelers. In July 2014, the Border Patrol revised the expected completion date for this recommendation to March 2015, noting that it planned to request ideas from the field commanders on what the agency could measure that would accurately depict the impact of checkpoints on the community. In June 2015, Border Patrol revised the expected completion date to September 2015. In September 2016, officials from Border Patrol's Checkpoint Program Management Office said quality of life measures had not been implemented and they were not aware of any plans to develop and implement such measures.
    Recommendation: To improve the reliability and accountability of checkpoint performance results to the Congress and the public, the Commissioner of Customs and Border Protection should use the information generated from the quality of life measures in conjunction with other relevant factors to inform resource allocations and address identified impacts.

    Agency: Department of Homeland Security: Directorate of Border and Transportation Security: Bureau of Customs and Border Protection
    Status: Open

    Comments: In our review of Border Patrol traffic checkpoints, we found that while the Border Patrol's national strategy cites the importance of assessing the community impact of Border Patrol operations, the implementation of such measures was lacking in terms of checkpoint operations. We recommended that Border Patrol implement such measures in areas of community concern to provide greater attention and priority in Border Patrol operational and staffing decisions to address any existing issues. In October 2009, the Border Patrol reported that once it had completed an upgrade of its existing checkpoint data systems and had reevaluated its checkpoint performance measures, the agency would begin using information garnered by these performance measures to inform future resource allocation decisions. This was originally expected to be completed by September 30, 2010, but due to budgetary and other issues, the checkpoint system upgrades were not yet completed as of June 2013. Border Patrol reported to us in June 2013 that the redesigned and upgraded checkpoint information system was expected to be implemented in September 2014. In July 2014, however, Border Patrol revised its expected completion date to March 2016. In June 2015, Border Patrol reported that it was on target to meet this March 2016 completion date. However, in September 2016, officials from Border Patrol's Checkpoint Program Management Office stated that they were not aware of any planned or completed actions to address this recommendation.
    Recommendation: To ensure that the checkpoint design process results in checkpoints that are sized and resourced to meet operational and community needs, the Commissioner of Customs and Border Protection should, in connection with planning for new or upgraded checkpoints, conduct a workforce planning needs assessment for checkpoint staffing allocations to determine the resources needed to address anticipated levels of illegal activity around the checkpoint.

    Agency: Department of Homeland Security: Directorate of Border and Transportation Security: Bureau of Customs and Border Protection
    Status: Open

    Comments: In our review of Border Patrol traffic checkpoints, we found that Border Patrol's checkpoint strategy to push illegal aliens and smugglers to areas around checkpoints-which could include nearby communities-underscores the need for the Border Patrol to ensure that it deploys sufficient resources and staff to these areas. We recommended that Border Patrol conduct a needs assessment when planning for a new or upgraded checkpoint in order to better ensure that officials consider the potential impact of the checkpoint on the community and plan for a sufficient number of agents and resources. In October 2009, Border Patrol reported that the agency was evaluating its checkpoint policy regarding the establishment of a new checkpoint or the upgrade of an old checkpoint, and checkpoint policy changes would be finalized by September 30, 2010. Border Patrol also reported that checkpoint system upgrades that capture data on checkpoint performance would help management determine future resource needs at checkpoints. In June 2013, Border Patrol reported that due to budget and other issues, the checkpoint system upgrade had not been completed, and the rewritten checkpoint data protocol had not been approved. In June 2013, Border Patrol reported that as part of the checkpoint study conducted by the DHS Centers of Excellence, the Centers created checkpoint simulation tools that would help inform resource allocations when determining the number of inspection lanes on current or new checkpoints. The Border Patrol agreed with the utility of such a model, but noted that the Border Patrol would need to purchase modeling software--a cost-prohibitive measure in the current budget environment. In the interim, Border Patrol is developing a formal workforce staffing model to identify staffing strategies for all Border Patrol duties. Border Patrol expected to implement this model for checkpoint staffing assignments in fiscal year 2014. However, in July 2014, Border Patrol reported that the Border Patrol Personnel Requirements Determination project was still being developed and would not be complete until 2015. That process will inform staffing at checkpoints. As a result, Border Patrol revised its expected implementation date to September 2015. In June 2015, Border Patrol reported that it was on target to implement this recommendation by September 2015. In September 2016, Border Patrol officials reported that the agency's Personnel Requirements Determination process would not provide information on staffing needs until fiscal year 2017 or 2018, and also noted that this effort is not specifically examining staffing needs at checkpoints. Officials said there could be additional ways to address the recommendation, but that there were no ongoing efforts to do so apart from any information that may be available from the Personnel Requirements Determination process.
    Director: Clark, Cheryl E
    Phone: (202)512-9377

    1 open recommendations
    Recommendation: The Finance Officer at the Commission's European Regional (ER) office should instruct and monitor approving officials to ensure that expenditure transactions are dated when goods and services are received and approved before payments are processed.

    Agency: American Battle Monuments Commission: European Regional Office
    Status: Open

    Comments: During our fiscal years 2009, 2010, and 2011 financial statement audits, we continued to find expenditure transactions being processed prior to the goods or services being received and approved for payment. During our fiscal year 2012 audit, the Commission informed us that since the transition to a new financial management system in August 2011, all receiving is conducted in the iProcurement system (part of the Oracle accounting system) and must be complete before an invoice is processed for payment in Oracle. Although we found that invoices were approved before payment, we continued to find instances where the invoices were not dated and/or signed when goods or invoices were received. During fiscal year 2017, the Commission informed us that they developed a related policy to address our recommendation. However, the Commission has not provided documentation or an explanation of the controls used by management for monitoring (i.e. evaluating or reviewing) the effective implementation of the procedures established related to this recommendation. Therefore, we will continue to follow up on this open recommendation with the Commission at a later date.
    Director: Shear, William B
    Phone: (202)512-4325

    1 open recommendations
    Recommendation: To ensure compliance with federal contracting regulations and to more transparently disclose the extent to which subcontracting opportunities are available to small businesses, the Secretaries of Homeland Security and Defense and the Administrator of General Services should consider asking their respective Inspectors General to conduct a review at an appropriate future date to ensure that this guidance and related requirements are being followed.

    Agency: Department of Homeland Security
    Status: Open

    Comments: DHS issued a chapter on its small business subcontracting program in its DHS Acquisition Manual in October 2009 and developed a subcontracting plan checklist that officials are to use when awarding a contract. In May 2010 DHS officials claimed that these documents are examples of progress they have made to address the recommendation on ensuring compliance with federal contracting regulations and other related requirements. After reviewing these documents we disagreed with the agency and do not believe that these documents constitute agency guidance on the contract administration duties to monitor contractor compliance with subcontracting plan reporting requirements.
    Director: Kingsbury, Nancy R
    Phone: (202)512-2700

    1 open recommendations
    Recommendation: To help correct undercounts, eliminate conceptual problems, and where possible, fill gaps for information on immigration flow, the Commissioner of INS should: (1) evaluate and, where feasible, improve data on flow; and (2) utilize an effective information typology (either the one put forward in table 2.1 of this report or an alternative designed by INS) to clearly distinguish different demographic concepts and to determine which statistics can fairly be compared to others.

    Agency: Department of Homeland Security: Office of the Secretary
    Status: Open

    Comments: On September 5, 2017, GAO called the Deputy Assistant Secretary, Office of Immigration Statistics, and discussed this open recommendation. The Deputy Assistant Secretary said that in response to the February 6, 2017, e-mail and a brief personal discussion with GAO during a Migration Policy Institute conference in August 2017, he had assigned a staff member to complete work on the typology, but that the staff member was one of several who were temporarily reassigned to work in Houston as a consequence of Hurricane Harvey, and for that reason work on the typology would be delayed. He said DHS would like to have this typology completed and published before the end of 2017, but could not guarantee that, and said that it would be completed. On February 6, 2017, GAO sent an e-mail to the Deputy Assistant Secretary, Office of Immigration Statistics at DHS, which included a PDF of the typology GAO created, as well as a PDF of the published report. GAO followed up with a telephone call to the Deputy Assistant Secretary on February 24, 2017, and noted the former Director of the Office of Immigration Statistics had been working on adding some categories to the typology and planned on completing those and publishing it. The Deputy Assistant Secretary said he agreed that doing the typology and publishing it is important, and that he would be addressing it in the near future. On June 1, 2016, the Special Assistant for the Office of Policy at the Department of Homeland Security told GAO that it has initiated an examination of this recommendation to determine how it might be closed. When the typology is published and utilized, this recommendation will be closed.