Recommendation: The Attorney General should ensure that the Department of Justice fully implements the category management activity to reduce unaligned IT spending, by performing an analysis of alternatives to justify the agency's unaligned IT contracts. (Recommendation 9)

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: The Attorney General should ensure that the Department of Justice fully implements the category management activity to share prices paid, terms and conditions for purchased IT goods and services. (Recommendation 10)

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: The Attorney General should ensure that the Department of Justice fully implements the category management activity to engage the workforce in training regarding category management principles and practices, by tracking its workforce's attendance in the training. (Recommendation 11)

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: The Attorney General should ensure that the Department of Justice uses a spend analysis to identify opportunities to reduce IT contract duplication. (Recommendation 12)

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: The Attorney General should ensure that the Department of Justice develops and implements strategies to address duplication identified through the use of spend analyses. (Recommendation 13)

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: The Director of BOP should update its program evaluation plan to set a new timeline for conducting an evaluation of FPI. (Recommendation 1)

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: In order to help promote a meaningful program assessment, the Director of BOP should develop a goal for FPI related to recidivism reduction and measure progress toward meeting that goal.(Recommendation 2)

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: We recommend that the Attorney General ensure that additional guidance is provided to federal agencies to clarify Fix NICS Act certification requirements for record submissions and reporting. (Recommendation 1)

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: The Assistant Attorney General for the Civil Rights Division should work with Education's Office for Civil Rights to provide state educational agencies and school districts with online information, technical assistance, or training materials related to federal accessibility requirements specific to public school facilities. (Recommendation 1)

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: The Assistant Attorney General for the Civil Rights Division should work with Education's Office for Civil Rights to provide state educational agencies and school districts with online information, technical assistance, or training materials related to federal accessibility requirements in public school facilities in the context of safety and security. This may include leveraging recent, online federal initiatives on school safety and physical security. (Recommendation 2)

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: The Director of BOP should conduct an analysis, using available incident and cost data, and other information as appropriate, to determine if the current decision to not issue pepper spray to minimum security prisons should remain in effect. (Recommendation 1)

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: The Attorney General of the United States should develop and implement policies and procedures for assessing the impact of training provided to agency hiring managers and human resources staff on Schedule A hiring authority. This includes assessing the impact of its training on agency performance goals related to increased hiring of individuals with disabilities and targeted disabilities. (Recommendation 2)

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: The Attorney General of the United States should develop and implement policies and procedures for obtaining employee feedback about the agency's reasonable accommodations efforts and use such information to evaluate the ongoing effectiveness of the program. This may include identifying any effects on employee retention, identifying potential risks, and determining any improvements that may be warranted. (Recommendation 3)

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: The FBI Director should, in collaboration with OMB, solicit input from CMS, IRS, SSA, and state agency stakeholders on revisions to its security policy to ensure that cybersecurity requirements for state agencies are consistent with other federal agencies and NIST guidance to the greatest extent possible. (Recommendation 5)

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: The FBI Director should fully develop policies for coordinating with state agencies on the use of prior findings from relevant cybersecurity assessments conducted by other organizations. (Recommendation 6)

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: The FBI Director should revise its assessment policies to maximize coordination with other federal agencies to the greatest extent practicable. (Recommendation 7)

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: The Director of BOP should develop and document the agency's methods for determining the number of additional agency personnel it reports needing to support its MAT program expansion. (Recommendation 1)

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

Comments: BOP concurred with this recommendation and is taking steps to implement it. Specifically, as of June 2020, BOP stated it is working to identify the number of additional agency personnel needed to support its MAT program expansion, including evaluating existing program requirements and consulting with external subject matter experts. To fully address this recommendation, BOP will need to provide documentation on how it determined the number of additional agency personnel it needs to fully implement the MAT program.

Recommendation: The Director of BOP should document how the agency plans to recruit and onboard additional personnel for expanding and implementing the MAT program. (Recommendation 2)

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

Comments: BOP concurred with this recommendation and is taking steps to implement it. Specifically, as of June 2020, BOP stated that its recruiters for medical personnel positions needed to implement the MAT program were being trained to focus on promising candidates within a larger pool. Additionally, BOP stated that market factors had been established to incentivize new applicants and existing BOP personnel to engage in the MAT program. To fully implement this recommendation, BOP must provide more information and documentation supporting these steps, and additionally, provide information on how these and other steps relate to BOP's plans for recruiting and onboarding necessary personnel.

Recommendation: The Director of BOP should develop and document time frames and target goals for key milestones—including a completion date—for the MAT program expansion. (Recommendation 3)

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

Comments: BOP concurred with this recommendation and, as of June 2020, indicated that it continues to develop and adjust target goals and milestones for MAT services expansion leading to full nationwide implementation. To fully implement this recommendation, BOP will need to provide evidence that it has developed and documented time frames and target goals for expanding the MAT program, including a target date for when the MAT program expansion will be completed.

Recommendation: The Director of BOP should update its program evaluation plan to include the MAT program and re-prioritize the time frames for evaluating all programs in the plan based on available funding and staffing levels for conducting evaluations. (Recommendation 4)

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

Comments: BOP concurred with this recommendation and indicated in June 2020 that it would provide GAO with an updated program evaluation plan. To fully implement this recommendation, BOP will need to provide this updated plan along with supporting documentation outlining BOP's process for updating it.

Recommendation: The Director of BOP should implement the revised program evaluation plan based on available funding and staffing levels for conducting them. (Recommendation 5)

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

Comments: BOP concurred with this recommendation and is taking steps to implement it.

Recommendation: The Director of BOP should develop and document a plan for managing its portfolio of drug education and treatment programs, including the MAT program. This plan should, among other components, identify specific activities and resources necessary to achieve desired results. (Recommendation 6)

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

Comments: BOP concurred with this recommendation and is taking steps to implement it. Specifically, as of June 2020, BOP stated it will develop a portfolio management plan to ensure necessary resources are secured and appropriately allocated in a manner consistent with the agency's strategic plan. To fully implement this recommendation, BOP will need to develop this plan to include, among other components, specific activities and resources necessary to effectively manage its portfolio of drug education and treatment programs.

Recommendation: The Director of BOP should implement BOP's plan for managing its portfolio of drug education and treatment programs. (Recommendation 7)

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

Comments: BOP concurred with this recommendation and is taking steps to implement it.

Recommendation: In consultation with DOE, HHS, NASA, NSF, and USDA, the Assistant Attorney General for the Department of Justice should direct the responsible Civil Rights Division sections to fully adopt two federal interagency leading practices—agree on agency's roles and responsibilities and develop mechanisms to monitor, evaluate, and report results of collaborative efforts, for its Quarterly Title IX STEM discussion group. (Recommendation 17)

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

Comments: DOJ generally agreed with the recommendation. According to the department's February 2020 formal comment letter, the Civil Rights Division (CRT) is prepared to delineate agencies' roles and responsibilities within the Quarterly Title IX STEM Discussion Group and is willing to develop an enhanced process for evaluating, monitoring, and reporting on the group's collaborations in enforcing Title IX that is achievable within DOJ's current resource allocation, or if more resources become available.

Recommendation: The Director of the U.S. Marshals Service should take steps to ensure that supervisory review of division and district investigations is documented in accordance with USMS policy. (Recommendation 1)

Agency: Department of Justice: United States Marshals Service
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 ATF should develop policy for verifying the accuracy and completeness of information in ATF employee misconduct systems. (Recommendation 2)

Agency: Department of Justice: Bureau of Alcohol, Tobacco, Firearms and Explosives
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 U.S. Marshals Service should develop policy for verifying the accuracy and completeness of information in USMS employee misconduct systems. (Recommendation 3)

Agency: Department of Justice: United States Marshals Service
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 ATF should develop a performance measure to monitor the timeliness of misconduct investigations, according to policy requirements. (Recommendation 4)

Agency: Department of Justice: Bureau of Alcohol, Tobacco, Firearms and Explosives
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 U.S. Marshals Service should develop a performance measure to monitor the timeliness of district and division misconduct investigations, according to policy requirements. (Recommendation 5)

Agency: Department of Justice: United States Marshals Service
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 ATF should modify existing oversight mechanisms to include the monitoring of key internal controls related to employee misconduct investigations. (Recommendation 6)

Agency: Department of Justice: Bureau of Alcohol, Tobacco, Firearms and Explosives
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 U.S. Marshals Service should modify existing oversight mechanisms to fully monitor key internal controls related to employee misconduct investigations. (Recommendation 7)

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

Comments: When we confirm what actions the agency has taken in response to this recommendation, we will provide updated information.

Recommendation: The Attorney General, in consultation with the FEC, should review guidance addressing coordination with the FEC, to include the MOU, and once a quorum of commissioners is in place, update that guidance as appropriate based on the review. (Recommendation 2)

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

Comments: When we confirm what actions the agency has taken in response to this recommendation, we will provide updated information.

Recommendation: The DEA Administrator should develop and implement additional ways to use algorithms in analyzing ARCOS and other data to more proactively identify problematic drug transaction patterns. (Recommendation 1)

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

Comments: DOJ agreed with this recommendation and DEA stated it will continue to examine a variety of technologies to analyze ARCOS and other data and implement additional ways to use algorithms to more proactively identify problematic drug transaction patterns.

Recommendation: The DEA Administrator, in coordination with the department-wide efforts on data strategy, should establish and document a data governance structure to ensure DEA is maximizing its management of industry-reported drug transaction data. (Recommendation 2)

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

Comments: DOJ agreed with this recommendation. As of September 2019, DEA officials stated that its Office of Information Systems' Chief Data Officer just recently started to work with DOJ and other components to develop a data strategy in response to the recently released department wide strategy, and has begun efforts to develop a governance structure. In November, 2019 DEA indicated it will continue to mature its data governance structure. The intent of this recommendation is for DEA to establish a formalized data governance structure to manage its collection and use of data used to support the Diversion Control Division's mission.

Recommendation: The DEA Administrator should establish outcome-oriented goals and associated measurable performance targets related to opioid diversion activities, using data it collects, to assess how the data it obtains and uses supports its diversion control activities. (Recommendation 3)

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

Comments: DOJ neither agreed nor disagreed with this recommendation but DEA stated in November 2019, that it recognizes that measurable performance targets related to opioid diversion activities can serve as leading practices at different organizational levels including the program, project, or activity level. Our recommendation is intended to ensure that DEA can demonstrate the usefulness of the data it collects and uses to support its opioid diversion control activities.

Recommendation: The DEA Administrator, in consultation with industry stakeholders, should identify solutions to address the limitations of the ARCOS Enhanced Lookup Buyer Statistic Tool, to ensure registrants have the most useful information possible to assist them in identifying and reporting suspicious orders to DEA. (Recommendation 4)

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

Comments: DOJ agreed with this recommendation and in November 2019, stated it has consulted with industry stakeholders and identified solutions to address the limitations of the tool.

Recommendation: The OJJDP Administrator should set performance targets for individual grant programs. (Recommendation 1)

Agency: Department of Justice: Office of Juvenile Justice and Delinquency Prevention
Status: Open

Comments: In June 2020, DOJ reported that OJJDP is engaged in a comprehensive effort to improve performance measures. The final step of this process will be the development of performance targets. According to DOJ, OJJDP anticipates setting initial targets for its discretionary grant programs by October 2021 and for the Title II Formula Grant program by March 2023. We believe these actions, when effectively completed, will address our recommendation. We plan to provide an update on OJP's progress in late 2021.

Recommendation: The Assistant Attorney General for Administration should ensure that future department-level fraud risk profiles (1) determine the department's fraud risk tolerance for DOJ grants—which include OJJDP grant programs, and (2) prioritize residual fraud risks based on an assessment against that tolerance, consistent with leading practices in GAO's Fraud Risk Framework. (Recommendation 2)

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

Comments: In June 2020, DOJ reported that it awarded a new contract in January 2020 that includes a requirement to continue conducting annual fraud risk assessments and update associated fraud risk profiles using the GAO Fraud Risk Framework. DOJ further reported that it will develop a fraud risk tolerance for DOJ grants and prioritize residual fraud risk against that tolerance when it conducts this assessment. We believe these actions, when effectively completed, will address our recommendation. We plan to follow-up with DOJ and provide an update in early 2021.

Recommendation: The Attorney General should ensure that the agency fully implements each of the eight key IT workforce planning activities it did not fully implement. (Recommendation 7)

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: The Attorney General should ensure that relevant DOJ offices update information about religious-based hate crimes on college campuses, practices to address them, and available DOJ resources to help colleges, campus law enforcement, and other stakeholders monitor and address these crimes. (Recommendation 1)

Agency: Department of Justice
Status: Open

Comments: DOJ has taken a number of steps to address this recommendation, including creating a campus-specific brochure that highlights the Community Relations Service's (CRS) hate crimes prevention and response resources for campus stakeholders. CRS is also in the process of developing a comprehensive guide with best practices for and tools to aid in the planning and implementation of Campus SPIRIT programs and a "spotlight" article for the Department's hate crimes website. DOJ noted that the Office of Community Oriented Policing Services (COPS) is developing hate crimes-specific training curriculum to provide technical assistance to law enforcement agencies, including those on campus. These are important steps to implement this recommendation, but because these resources are currently under development, this recommendation remains open.

Recommendation: The Attorney General should ensure that relevant DOJ offices share more information about available DOJ resources with colleges, campus law enforcement, and other stakeholders to help them monitor and address religious-based hate crimes on college campuses. (Recommendation 3)

Agency: Department of Justice
Status: Open

Comments: DOJ outlined steps it will take to work with campus-based law enforcement organizations such as the International Association of Campus Law Enforcement Administrators, the International Association of Chiefs of Police's University and College Police Section, and the National Association of Student Affairs Professionals. This includes participating in a conference in June 2020 and contacting the groups to increase awareness of its hate crimes website. GAO has requested documentation to demonstrate this outreach has occurred.

Recommendation: The Attorney General of the United States should update the department's environmental justice strategic plan. (Recommendation 6)

Agency: Department of Justice
Status: Open

Comments: In April 2020, the department agreed to review its environmental justice strategy and to revise it if needed. It also stated that as part of that review, it will consider any guidance issued by the Interagency Working Group on Environmental Justice (EJ IWG) concerning what agencies should include in environmental justice strategic plans. The department stated that it anticipated receiving such guidance by the end of 2020. We will continue to review the department's actions and update this information.

Recommendation: The Attorney General should direct the Bureau of Justice Assistance to enhance quality checks to ensure the accuracy of information in its 180-day reports about Public Safety Officers' Benefits claims related to public safety officers affected by 9/11. (Recommendation 1)

Agency: Department of Justice
Status: Open

Comments: The Bureau of Justice Assistance agreed with this recommendation. The agency said it will develop and implement quality checks to confirm the accuracy of information reported in the 180-day reports related to PSOB 9/11 claims. We will consider closing this recommendation when this effort is completed.

Recommendation: The Attorney General should develop a cybersecurity risk management strategy that includes the key elements identified in this report. (Recommendation 21)

Agency: Department of Justice
Status: Open
Priority recommendation

Comments: In its comments on our draft report, the Department of Justice did not state whether it concurred with this recommendation. As of January 2020, . the department reported that it had an integrated strategy for identifying, prioritizing, assessing, responding to, monitoring, and reporting on cybersecurity risks. Once the department states that it has taken action, we plan to verify whether implementation has occurred.

Recommendation: The Attorney General should fully establish and document a process for coordination between cybersecurity risk management and enterprise risk management functions. (Recommendation 22)

Agency: Department of Justice
Status: Open
Priority recommendation

Comments: In its comments on our draft report, the Department of Justice did not state whether or not it concurred with this recommendation. As of January 2020, the department stated that it is developing an ongoing mechanism to institutionalize coordination between its cybersecurity and ERM functions in fiscal year 2020. Once the department states that it has taken action, we plan to verify whether implementation has occurred.

Recommendation: The Attorney General should develop and document goals that explain the common outcomes DOJ seeks to achieve through its elder justice efforts. (Recommendation 1)

Agency: Department of Justice
Status: Open

Comments: In its comments on a draft of our report in May 2019, DOJ did not explicitly state whether or not it concurred with the two recommendations we directed to the department, but stated that it is taking our recommendations under serious review. Specifically, DOJ stated that it planned to form a subcommittee within its Elder Justice Working Group to consider the development or clarification of goals and the development of outcome measures. In a follow-up response dated December 17, 2019, DOJ noted that the subcommittee had been formed, and had met to explore the development of additional---or clarification of present---goals, including those referenced in our report. We will continue to monitor DOJ's efforts towards implementing this recommendation.

Recommendation: The Attorney General should develop and document outcome measures to track the progress the agency is making toward achieving its elder justice goals. (Recommendation 2)

Agency: Department of Justice
Status: Open

Comments: In its comments on a draft of our report in May 2019, DOJ did not explicitly state whether or not it concurred with the two recommendations we directed to the department, but stated that it is taking our recommendations under serious review. Specifically, DOJ stated that it planned to form a subcommittee within its Elder Justice Working Group to consider the development or clarification of goals and the development of outcome measures. In a follow-up response dated December 17, 2019, DOJ noted that the subcommittee had been formed, and had met to begin developing and documenting appropriate outcome measures that can better track the Department's progress on its overall elder justice efforts. This will include consideration of the specific suggestions cited in our report, as well exploring opportunities for additional data collection to enhance the Department's efforts and better measure outcomes. We will continue to monitor DOJ's efforts towards implementing this recommendation.

Recommendation: The Attorney General should take action to meet the data center optimization metric targets established for Justice under DCOI by OMB. (Recommendation 15)

Agency: Department of Justice
Status: Open

Comments: In comments on our report, the Department of Justice (Justice) agreed with our recommendation and began taking action to implement it. After the Office of Management and Budget (OMB) released the updated Data Center Optimization Initiative policy in June 2019, the department established new data center optimization targets. The department subsequently reported meeting its targets for the virtualization and advanced energy metering metrics. However, the department did not have an established target for the server utilization metric. Justice stated that, due to OMB issuance of the revised DCOI guidance and metrics, the department had not developed a baseline and target for server utilization. Once it can track server utilization for a few reporting periods, the department stated that it will finalize its definition for underutilized severs and establish an appropriate target for the metric. We will continue to monitor the department's progress in implementing this recommendation.

Recommendation: The Attorney General of the United States should ensure that the CIO of Justice completes an assessment of all IT investments for suitability for migration to a cloud computing service, in accordance with OMB guidance. (Recommendation 18)

Agency: Department of Justice
Status: Open

Comments: The Department of Justice (Justice) concurred with our recommendation, and stated that it would require components to assess all investments for cloud. However as of April 2020, based on our review of IT Dashboard data, Justice had not yet completed cloud assessments for 80 investments. We will continue to monitor Justice's progress with this effort.

Recommendation: The Attorney General of the United States should ensure that the CIO of Justice establishes a consistent and repeatable mechanism to track savings and cost avoidances from the migration and deployment of cloud services. (Recommendation 19)

Agency: Department of Justice
Status: Open

Comments: The Department of Justice (Justice) concurred with our recommendation and stated that it would take action to address it. In December 2019, Justice officials reported that the department had taken steps to identify cloud investments and related savings data as part of an integrated data call required by OMB. However, the department still needs to establish a consistent and repeatable mechanism to track savings for all IT investments. We will continue to monitor Justice's progress in implementing this recommendation.

Recommendation: The Principal Deputy Assistant Attorney General for OJP should consistently document CEBR program-wide goals to clarify intended program results. (Recommendation 1)

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

Comments: In September 2019, OJP reported that it is building a logic model for the CEBR program that will provide the basis for addressing this recommendation. According to OJP, this logic model will more clearly align CEBR program goals and objectives with permitted program activities and associated performance measures. OJP had originally planned to finalize this logic model by March 2020 and share it--including any resulting changes in how program goals are articulated--with the CEBR stakeholder community in advance of the fiscal year 2021 grant cycle, beginning October 1, 2020. In June 2020, OJP reported that the CEBR program was transferred from OJP's National Institute of Justice to OJP's Bureau of Justice Assistance. As a result, OJP reported that plans to finalize and communicate the CEBR logic model have been postponed. GAO will follow-up with OJP in the winter of 2020-2021 to obtain documentation on the logic model and how they are communicating it. This will enable GAO to determine if the model--and OJP's efforts to communicate it to stakeholders--meets the intent of the recommendation by consistently documenting CEBR program-wide goals and clarifying intended results.

Recommendation: The Principal Deputy Assistant Attorney General for OJP should ensure that performance measures for each CEBR program-wide goal fully reflect appropriate attributes of successful performance measures. (Recommendation 2)

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

Comments: In September 2019, OJP reported that it is reviewing each CEBR program performance measure as part of its process for creating a CEBR program logic model. According to OJP, the purpose of this review is to ensure the measures are meaningful and have the right attributes. In June 2020, OJP reported that, as appropriate, updated performance measures will be included in the fiscal year 2021 CEBR grant program solicitation--which they anticipate releasing in early 2021. GAO will follow-up with OJP in the spring of 2021 to obtain documentation of changes to performance measures, and to determine whether updated performance measures meet the intent of the recommendation.

Recommendation: The Principal Deputy Assistant Attorney General for OJP should document which employee positions have been delegated certification (final signature) authority for confidential financial disclosure reports and specify required levels of review and approval. (Recommendation 3)

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

Comments: In June 2020, OJP provided a memo sent by the Principal Deputy Assistant Attorney General for OJP to OJP components, dated March 2020. This memo states that supervisors are to review and sign reports, and notes that secondary supervisors may review and sign reports as Final Reviewing Officials, but it is not mandatory. This is a positive step, but does not fully meet the intent of the recommendation because it is not clear if immediate supervisors have been delegated final signature authority. Specifically, there are two places for signature on the reports (1) "Signature and Title of Supervisor/Other Intermediate Reviewer," and (2) "Signature and Title of Agency's Final Reviewing Official" (certification). According to Office of Government Ethics' regulation and guidance, review and signature of a supervisor or other intermediate reviewer is optional, but review and signature of a Final Reviewing Official-who has been delegated authority to certify reports-is required. OJP's memo states that secondary supervisors may sign as Final Reviewing Officials (i.e. have been delegated this authority), but OJP's memo is not clear if immediate supervisors have also been delegated authority to certify reports as Final Reviewing Officials. To address this discrepancy and enable GAO to close this recommendation as "implemented," OJP needs to clarify who has been delegated authority to certify reports as Final Reviewing Officials.

Recommendation: The Principal Deputy Assistant Attorney General for OJP should (1) clarify its guidance to grantees to specify what their requirements are under 28 C.F.R. pt. 69 with regard to obtaining lobbying certification documents, and obtaining and forwarding to OJP lobbying disclosure forms, from tiers beneath them; and (2) design a control to follow-up with grantees to help ensure they are meeting these requirements. (Recommendation 4)

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

Comments: In September 2020, OJP reported that it plans to (1) issue guidance to all OJP funding recipients to remind them of lobbying disclosure requirements and provide instructions for how to submit the disclosures, and (2) implement an updated in-depth monitoring checklist whereby OJP can ensure applicable lobbying disclosure forms are collected and submitted to OJP. OJP stated that it plans to take these steps by October 1, 2020. GAO will follow-up in late 2020 to obtain and review all relevant documentation and ensure that these steps meet the intent of the recommendation.

Recommendation: The Attorney General should revise DOJ's process for conducting improper payment risk assessments for Law Enforcement to help ensure that it results in a reliable assessment of whether the program is susceptible to significant improper payments. This should include preparing sufficient documentation to support DOJ's risk assessments. (Recommendation 4)

Agency: Department of Justice
Status: Open
Priority recommendation

Comments: The Department of Justice (DOJ) did not concur with this recommendation. In January 2020, DOJ reiterated that it continues to not concur with the recommendation. DOJ stated that its risk assessment methodology provides DOJ management with a reasonable basis for determining whether the law enforcement program, as well as DOJ's other four mission-aligned programs, are susceptible to significant improper payments. In addition, DOJ reiterated that it continues to not concur with GAO's conclusion that DOJ's risk assessment documentation is not adequate. DOJ stated that its documentation meets all of the requirements in the Improper Payments Information Act of 2002 (IPIA), as amended, and the Office of Management and Budget's (OMB) implementing guidance. Therefore, DOJ stated that it does not believe it would be a prudent use of limited resources to expand on the documentation that already exists. DOJ stated that notwithstanding its differences from GAO on the recommendation, it will continue to examine its risk assessment methodology. Finally, DOJ stated that its goal has been, and continues to be, meeting the requirements of IPIA, as amended, and OMB's implementing guidance in a cost effective manner. We continue to believe this recommendation is appropriate because DOJ's risk assessment documentation did not adequately demonstrate how DOJ determined the weighting of the risk factors or the numerical risk level ranges or whether a program is or is not susceptible to significant improper payments. We will continue to monitor the agency's actions to address the recommendation.

Recommendation: The Attorney General should ensure that the Office of the CIO and other offices, as appropriate, address gaps in the department's FITARA plans by developing and implementing policies and procedures that include the CIO as a member of governance boards that inform decisions regarding all IT resources, including component-level boards. (Recommendation 31)

Agency: Department of Justice
Status: Open

Comments: The department agreed with the recommendation and has taken steps towards implementing it. Specifically, in October 2019, the DOJ CIO issued a memorandum requiring component CIOs to establish a process for providing IT investment information to the DOJ CIO. The component CIO's process is to either include the DOJ CIO as a member of component investment review boards or provide an alternative mechanism for obtaining the DOJ CIO's input on component IT investments. We will continue to monitor the department's progress in implementing our recommendation.

Recommendation: The FBI Director should direct the Office of the CIO and other offices, as appropriate, to take steps to ensure that the actions taken to comply with OMB's common baseline for implementing FITARA on individual investments are adequately documented. (Recommendation 34)

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

Comments: FBI agreed with our recommendation. When we confirm what actions the agency has taken in response to this recommendation, we will provide updated information.

Recommendation: The Director of the FBI should, in collaboration with the HUD OIG, determine what information on fugitive apprehensions that occur as the result of the Fugitive Felon Initiative would be most useful and consistently share such information with the HUD OIG. (Recommendation 6)

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

Comments: The Department of Justice agreed with this recommendation and stated that it will continually provide apprehension statistics on a fiscal year basis. The department will also collaborate with the HUD OIG to provide any additional assistance necessary for quality information sharing.

Recommendation: The Director of the FBI should, in collaboration with the HUD OIG, update the Fugitive Felon Initiative MOU to reflect the agencies' current activities and responsibilities. (Recommendation 7)

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

Comments: The Department of Justice agreed with this recommendation and will take action to update the MOU, in collaboration with the HUD OIG.

Recommendation: The Attorney General should direct Justice's members of the interagency working group for protection of Native American cultural property to implement selected leading collaboration practices, such as taking steps to agree on outcomes and objectives, clarify roles and responsibilities, and document these decisions. (Recommendation 3)

Agency: Department of Justice
Status: Open

Comments: As of August 2019, we have reached out to the Department of Justice and are awaiting a response on actions they may have taken in response to this recommendation.

Recommendation: The Attorney General should direct Justice's members of the interagency working group for protection of Native American cultural property to identify and externally communicate to tribes points of contact within the agency that are responsible for responding to tribes' requests for assistance with repatriating cultural items from overseas auctions. (Recommendation 7)

Agency: Department of Justice
Status: Open

Comments: As of August 2019, we have reached out to the Department of Justice and are awaiting a response on actions they may have taken in response to this recommendation.

Recommendation: The Attorney General should direct Justice's members of the interagency working group for protection of Native American cultural property to collaborate with the interagency working group members from other agencies to assess, in consultation with Indian tribes, whether and how amending the U.S. legal framework governing the export, theft, and trafficking of Native American cultural items would facilitate the repatriation of these items from auctions overseas and report its findings to Congress. (Recommendation 11)

Agency: Department of Justice
Status: Open

Comments: As of August 2019, we have reached out to the Department of Justice and are awaiting a response on actions they may have taken in response to this recommendation.

Recommendation: The Attorney General should ensure that the department's IT management policies address the role of the CIO for key responsibilities in the five areas we identified. (Recommendation 13)

Agency: Department of Justice
Status: Open

Comments: Justice concurred with our recommendation and started work to address it. When we confirm what actions the agency has taken in response to this recommendation, we will provide updated information.

Recommendation: The Attorney General of the United States should take steps to develop and document a plan that fully addresses best practices with regards to reduction of backlogged FOIA requests. (Recommendation 11)

Agency: Department of Justice
Status: Open

Comments: In August 2018, the Department of Justice acknowledged that it plans to reexamine its progress and take steps for continued improvement in reducing its backlog. Currently, GAO is awaiting a response from the Department on a publication date.

Recommendation: The Executive Director of Organized Crime Drug Enforcement Task Forces should work with the National Heroin Initiative Coordinator to establish outcome-oriented performance measures for the goals set out for National Heroin Initiative. (Recommendation 4)

Agency: Department of Justice: Organized Crime Drug Enforcement Task Forces
Status: Open
Priority recommendation

Comments: In its 60 Day-letter, dated June 26, 2018, officials from the Organized Crime Drug Enforcement Task Force (OCDETF) noted the output metrics and statistics that OCDETF is tracking as part of its National Heroin Initiative. For example, the letter states that OCDETF will track statistics on opioid overdose deaths, however it is unclear how this tracking effort is being incorporated into the National Heroin Initiative. While our report noted that statistics on overdose deaths have been used as outcome-oriented measures by agencies like the Office of National Drug Control Policy to assess its efforts, it is unclear how OCDETF is using these statistics to assess its performance and inform its efforts under the National Heroin Initiative. In October 2018, OCDETFs National Heroin Initiative Coordinator told us that the OCDETF Regional Directors were in the process of establishing and tracking region-specific metrics, such as local data on drug overdoses. In January 2020, we reached out to OCEDTF officials for an update, and they did not have any further information to provide. In August 2020, OCDETF officials told us that the National Heroin Initiative had evolved and they are no longer positioned to collect and report on drug overdoses as a performance measure for the initiative. However, officials stated that the initiative is measuring the number of OCDETF cases that are produced that result in the disruption or dismantlement of criminal networks involved in heroin and opioid trafficking. We asked OCDETF to provide documentation of the current state of the initiative and its related goals and performance measures. Once received, we will review and follow-up with OCDETF, if needed, to work towards the closure of the recommendation as implemented.

Recommendation: The Attorney General should, in consultation with its relevant components such as the Drug Enforcement Administration (DEA) and Executive Office for United States Attorneys (EOUSA), establish goals and outcome oriented performance measures for its Strategy to Combat the Opioid Epidemic. (Recommendation 5)

Agency: Department of Justice
Status: Open
Priority recommendation

Comments: In its 60 Day-letter, dated June 26, 2018, DOJ officials reported a number of output measures, such as conviction rates, that they will use to assess the effectiveness of the department's efforts to respond to the opioid epidemic. However, it is unclear how, if all, these measures have been incorporated into the department-wide strategy or if additional outcome-oriented metrics are being developed. In October 2018, DOJ officials reported that while they have not updated the strategy, then-Attorney General Sessions had issued a memo to the U.S. Attorneys that communicated some goals for their efforts, such as reductions in overdose deaths, and called for the U.S. Attorneys Office's Regional Opioid Coordinators to develop metrics specific to their regions. In October 2019, DOJ officials reported that the department is currently working on finalizing its Annual Priority Goals and related performance measures with respect to opioids, however they could not provide additional details nor a timeline for when these efforts are to be completed. We reached out in January 2020 to receive additional details and the Department did not have any further information to provide. We will continue to coordinate with DOJ to learn more about these efforts and when officials expect them to be implemented.

Recommendation: The DEA Administrator should establish goals and outcome-oriented performance measures for the enforcement and diversion control activities within the 360 Strategy and establish outcome-oriented performance measures for the community engagement activities within the 360 Strategy. (Recommendation 6)

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

Comments: In its 60-Day Letter, dated June 26, 2018, DEA officials noted the steps they had taken to develop performance metrics for its enforcement and diversion control activities under the 360 Strategy and reported that DEA had implemented outcome-oriented performance metrics for the 360 Strategy's community engagement activities for fiscal year 2019. Further, DEA officials noted applying DEA's Threat Enforcement Planning Process (TEPP) specifically to the 360 Strategy to develop outcome-oriented metrics. Further, according to DEA officials, the TEPP includes an impact report that assesses the outcomes of the activities undertaken under 360. In October 2018, DEA told us that TEPP was still in development and they did not give a date for projected completion. In January 2020, we reached out to DEA officials for an update, and they did not have any further information to provide. We will continue to follow up with DEA officials on their progress.

Recommendation: To improve oversight of the collection of restitution, the Attorney General should develop and implement performance measures and goals for each USAO related to the collection of restitution, and measure progress towards meeting those goals. (Recommendation 2)

Agency: Department of Justice
Status: Open

Comments: In March 2019, the Department of Justice (DOJ) reported that Executive Office for United States Attorneys developed a core set of performance measures for evaluating collection activities. Further, DOJ officials reported that DOJ was in the process of developing an analytical tool to allow DOJ and U.S. Attorneys Offices' (USAOs) to assess USAO restitution collection efforts and results based on relevant factors. In November 2019, DOJ officials reported that DOJ had begun piloting the analytical tool and expected that it would be fully implemented by July 2020. However, in July 2020, DOJ officials reported that the technical challenges they encountered, as well as the impacts to government operations as a result of the 2019 COVID pandemic, have directly impacted their operations and resulted in delays. While DOJ's initial completion time frame was scheduled for October 2020, the challenges they have encountered have resulted in the timeline for implementation now expected to take place during the first quarter of FY 2021. We will continue to monitor DOJ's progress and time frames for implementation.

Recommendation: The Attorney General, in collaboration with other agencies through the planned interagency working group or another mechanism, should identify further opportunities to more effectively publicize resources to reach additional colleges. (Recommendation 3)

Agency: Department of Justice
Status: Open

Comments: In early 2020, the federal government created the schoolsafety.gov clearinghouse website to compile and publicize emergency preparedness resources from across multiple agencies including the Departments of Education, Homeland Security, and Justice. The website houses key emergency preparedness resources we identified during our work as well as newer information that was not part of our review, such as guidance related to the Coronavirus Pandemic. DOJ issued a press release when the website was launched, but does not prominently publicize it on it website, including on its webpages that are specifically focused on colleges and universities. We will monitor the agency's efforts to publicize these resources and consider closing it at that time.

Recommendation: The Director of the USMS should develop and implement a mechanism to provide specific feedback to employees on the results of the promotion process, including their readiness for promotion. (Recommendation 2)

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

Comments: USMS concurred with this recommendation and said that it is taking steps to implement it. In August 2018, USMS began providing feedback reports to employees completing the redesigned competency assessment process, which include detailed breakouts of scores by competency. However, these reports do not contain specific feedback, including the employee's readiness for promotion. As of June 2019, USMS is finalizing plans to provide training to employees on the GS-13 and GS-14 competencies. As of August 2020, USMS is building development programs and computer-based courses for each grade level, including GS-13 and GS-14. To fully address this recommendation, USMS should provide information on efforts or plans to provide specific feedback to employees, including on their readiness for promotion, and provide final training plans.

Recommendation: The Attorney General should study the implementation of federal accessibility requirements in the context of early in-person voting and make any changes to existing guidance that are determined to be necessary as a result of the study. (Recommendation 1)

Agency: Department of Justice
Status: Open

Comments: The Department of Justice (DOJ) agreed with this recommendation and stated it would make any changes to existing guidance that it determines to be necessary as a result of the study. DOJ also outlined its efforts to enforce the protections for voters with disabilities found in federal law. As of October 2019, DOJ indicated that the agency planned to study these issues and has not made any changes to its guidance. We will consider closing this recommendation when the agency has completed these efforts.

Recommendation: To enhance management attention to closing out contracts, the Attorney General should direct the Senior Procurement Executive to ensure the development of a means to track data on the number and type of contracts eligible for closeout and where the contracts are in the closeout process, as well as a means to assess--at the agency or component level--progress by establishing goals and performance measures for closing contracts. (Recommendation 4)

Agency: Department of Justice
Status: Open

Comments: The Department of Justice agreed with the recommendation and in early fiscal year 2020 enhanced its financial management system to allow the Bureaus to assess whether a contract needs to be closed out. The Department anticipates that the associated guidance, which includes performance measures, will be issued in late summer 2020.

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: BOP agreed with GAO's June 2017 recommendation and has begun to take steps to address it. In 2018, BOP contracted with a management consulting firm to improve organizational alignment and strengthen data analytics capabilities. This firm is also examining data analytics solutions and by late March 2020 is expected to make recommendations to BOP to support a request for purchase (RFP) for the most cost-effective one. BOP anticipates the RFP will then follow within the subsequent three months. This contracting work is a positive step that should help BOP identify the most cost-effective solution to collect health care utilization data. BOP is still in the early stages of implementing this action, therefore it is too soon to assess whether its efforts will fully address GAO's recommendation. However, once these actions are completed, BOP could be better positioned to find a solution for collecting the needed data.

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: BOP agreed with GAO's June 2017 recommendation and has begun to take steps to address it. In 2018, BOP contracted with a management consulting firm to identify opportunities to improve organizational alignment and strengthen data analytics capabilities. As part of this effort, BOP also contracted with a health care finance expert, who began working with BOP Health Services Division in June 2019. The expert has met with subject matter experts across disciplines to identify reliable sources for medical cost data, including medical activities data, staffing data, and medical cost data to support conducting spend analyses. BOP expects this effort to be completed by late spring 2020. This contracting work is a positive step toward implementing BOP's spend analysis guidance; however, since BOP has not yet completed this effort, it is too soon to assess whether BOP's efforts will fully address GAO's recommendation. Once BOP has completed this effort, it could be better positioned to identify opportunities for controlling health care costs.

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: BOP agreed with GAO's June 2017 recommendation and has begun to take steps to address it. In 2018, BOP contracted with a management consulting firm to identify opportunities to improve organizational alignment and strengthen data analytics capabilities. As part of this effort, BOP also contracted with a health care finance expert, who began working with BOP Health Services Division in June 2019. BOP is working with this expert to validate existing financial data sources and apply a standardized cost accounting model to evaluate the cost effectiveness of key health care cost control initiatives. According to BOP, the model is being developed in phases with the initial phase expected to be completed by late March 2020. The second phase of the model is scheduled to launch in October 2020. This is a positive step that will better position BOP to evaluate its health care cost control initiations. Since BOP has not yet completed this effort, it is therefore too soon to assess whether its efforts will fully address GAO's recommendation. However, once BOP has completed this effort, it could help BOP evaluate the effectiveness of its health care cost control initiatives.

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: BOP agreed with GAO's June 2017 recommendation and has begun to take steps to address it. In October 2018, BOP initiated a contract with an external group of public administration experts to examine BOP's organizational structure and its lines of authority. The group completed its study and issued a report in October 2019, which included recommendations for BOP. According to BOP, the Health Services Division is in the process of creating a Strategic Plan Advisory Group, which will implement recommendations in the October 2019 report, and will establish a 2020-2025 Strategic Plan. The Strategic Plan Advisory Group will also evaluate metrics, including those related to financial performance that will, according to BOP, enable it to identify the resources and investments to help control health care costs. This action is a positive step that could help BOP enhance its strategic planning for and implementation of health care cost control efforts. However, BOP is in the early stages of implementing this recommendation; thus it is too soon to assess if BOP will find the most effective method for enhancing its strategic planning.

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: In June 2017, BOP agreed with GAO's recommendation. However, BOP decided to end the Federal Medical Center mission analyses process. Instead, in September 2018 BOP established a Medical Referral Center (MRC) Executive Advisory Board, made up of BOP's Health Services Division leadership and wardens from all seven MRCs. According to BOP, the Board plans to develop and implement dashboard metrics by the end of calendar year 2020 to monitor essential functions at the centers, which it hopes will improve management of the inmate health care system. In the meantime, BOP reports that the Board has already developed and implemented the MRC pipeline patient dashboard, which permits the MRC wardens to monitor incoming patients in advance of arrival and to maximize the best patient care and housing until treatment is complete. In addition, the Board has developed and implemented the Memory Disorder Unit at one if its MRCs. This resulted in BOP making more efficient use its inpatient beds, as inmates that were housed in community hospitals could return to a BOP inpatient setting. While these steps might not fulfill the recommendation as worded, they have already resulted in some improvements to the utility of the MRCs, and therefore the intent of the recommendation. We will continue to monitor progress on this effort to ensure BOP develops and implements the metrics as planned.

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
Priority recommendation

Comments: In December 2019, EOIR officials told us that EOIR is continuing to develop an agency-wide strategic plan that will address workforce planning, among other issues. In addition, EOIR completed a review of the Office of the Chief Immigration Judge workforce in October 2018, which resulted in a new organizational structure and staffing plan for each court. According to EOIR officials, the staffing plan addresses and mitigates gaps and updates position descriptions to more clearly define roles and responsibilities. To fully address our recommendation, EOIR needs to continue to develop, and then implement, a strategic workforce plan that addresses key principles of effective strategic workforce planning. Once this strategic workforce plan is completed, EOIR needs to monitor and evaluate 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
Priority recommendation

Comments: In April 2017, the Attorney General approved a revised Immigration Judge hiring process. As part of the development of the revised process, the Office of the Deputy Attorney General, in consultation with EOIR, assessed the immigration judge hiring process, identified opportunities for efficiency, and proposed changes to the hiring process that address those opportunities. In December 2019, EOIR officials told us that EOIR is continuing to develop an agency-wide strategic plan that will address the immigration judge hiring process, among other issues. To fully implement our recommendation, EOIR will need to continue to improve its hiring process by developing a hiring strategy targeting short- and long-term human capital needs.

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
Priority recommendation

Comments: As of April 2019, EOIR reported that it had selected the EOIR Investment Review Board as the ECAS oversight body with the EOIR Office of Information Technology directly responsible for the management of the ECAS program. Since that time, EOIR has shared documents with us that, according to EOIR, collectively serve as its oversight plan for ECAS. In particular, in January 2020, EOIR provided a copy of its Investment Review Guidance, a document that outlines the process, roles and responsibilities, and criteria it uses to assess selected IT investments, including ECAS. EOIR also provided documentation illustrating assessment of the ECAS investment performance towards expected schedule and benefits, and identification of areas where performance was not deemed very good or excellent. However, the documentation EOIR provided does not assign corrective actions to appropriate parties or establish how EOIR is monitoring program performance and progress toward expected costs. To fully address this recommendation, EOIR should document and implement a 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, monitor program performance and progress toward expected costs; assign corrective actions to the appropriate parties at the first sign of cost, schedule, or performance slippages; and ensure that corrective actions are tracked until the desired outcomes are achieved.

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 December 2019, EOIR modified its case management system so that users must manually select the hearing medium type--telephonic, VTC, or in-person--when scheduling a hearing. In February 2018, EOIR also reported that it initiated a pilot project to collect data on Board of Immigration Appeals (BIA) appeals in which the use of VTC formed some basis for the appeal. These efforts should provide EOIR more complete and reliable data it can use to assess the effects of VTC on immigration hearings. To fully address this recommendation, EOIR should analyze the data it collects through the change to its case management system and through its collection of data on appeals in which the use of VTC formed the basis for the appeal, analyze those data to assess the effects of VTC on immigration hearings and, as appropriate, address any issues identified through such an assessment.

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 January 2020, EOIR officials reported that the agency was taking steps to implement electronic filing of Notices to Appear which they anticipated would ensure the timely and accurate recording of Notices to Appear. At that time, EOIR officials estimated that it would take 2 years to implement electronic filing of Notices to Appear at all existing immigration courts. In the interim, to fully implement this recommendation, EOIR should update its policies and procedures to better ensure the timely and accurate recording of Notices to Appear.

Recommendation: To help identify what domestic CVE efforts are to achieve and the extent to which investments in CVE result in measureable success, the Secretary of Homeland Security and the Attorney General--as heads of the two lead agencies responsible for coordinating CVE efforts--should direct the CVE Task Force to develop a cohesive strategy that includes measurable outcomes for CVE activities.

Agency: Department of Justice
Status: Open

Comments: As of August 2019, DOJ has not provided a response to our recommendation. In June 2019, DHS indicated that CVE-style prevention work would fall under a newly formed Office for Targeted Violence and Terrorism Prevention under which it will be part of a broad counterterrorism strategy that DHS plans to have ready by this fall. We will continue to monitor DOJ's involvement in these efforts as DHS it develops its plan.

Recommendation: To help identify what domestic CVE efforts are to achieve and the extent to which investments in CVE result in measureable success, the Secretary of Homeland Security and the Attorney General--as heads of the two lead agencies responsible for coordinating CVE efforts--should direct the CVE Task Force to establish and implement a process to assess overall progress in CVE, including its effectiveness.

Agency: Department of Justice
Status: Open

Comments: As of August 2019, DOJ has not provided a response to our recommendation. In June 2019, DHS indicated that CVE-style prevention work would fall under a newly formed Office for Targeted Violence and Terrorism Prevention under which it will be part of a broad counterterrorism strategy that DHS plans to have ready by this fall. We will continue to monitor DOJ's involvement in these efforts as DHS develops its plan.

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. DOJ did not provide an update for 2020.

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. DOJ did not provide an update for 2020.

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. In July 2018, EOIR reported to GAO that EOIR had developed program performance measures for both LOP and LOPC to assess the program of these programs in achieving their goals. EOIR then incorporated these program performance measures into the May 2017 blanket purchase agreement with the Vera Institute of Justice. In July 2018, EOIR reported to GAO that the agency has been working with its contractor to refine its performance measurement systems to align with these new measures. In March 2019, EOIR reported to GAO that the first reports on the new performance measures are expected later in fiscal year 2019. As of July 2020, EOIR told GAO that the agency is working to provide GAO with an update, but has nothing new to report at this time. To fully address the recommendation, EOIR should develop and implement a system to assess LOP and LOPC program performance against the new program performance measures.

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 November 2017, BOP reported that it developed a revised Statement of Work (SOW) for use with its RRC contractors that requires the contractors to track and report to BOP on, among other things, the number of placements into and releases from RRCs and home confinement; revocations from RRCs or home confinement; and RRC and home confinement residents that have secured full, part-time, or temporary employment. In a March 2019 update, BOP stated that it awarded nine contracts under the 2017 SOW and plans to use the data required under the SOW to conduct annual performance appraisals for RRCs after each performance period and intends to use this information in the future to track outcomes of the programs (e.g., employment, housing, individualized goals of offender). In a May 2020 update, BOP stated that that it had just received the first quarter of data from many of its RRC providers and that it continues to work with the providers to refine the data to determine if it can be utilized to develop performance measures. BOP stated that it anticipates being able to provide an update on this phase of their effort in September 2020. While the collection of this data is an important step, to fully implement this recommendation, BOP also needs to define and develop performance measures by which it can use such data to report and assess outcomes program-wide. We will continue to monitor BOP's ongoing efforts.

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 April 2018, DEA told us that it assessed the feasibility of directly collaborating with SSA to check registrants' SSNs against any SSA systems, including the Enumeration Verification System (EVS), and is unable to implement a data verification process to validate SSNs against EVS without legislative authority. Specifically, DEA said that access to SSA's systems would require passage of new legislation to authorize DEA to fully participate in a data exchange agreement with SSA, which DEA said was also confirmed by Senate staff. In June 2020, DEA provided documentation of SSA's response to DEA's request to access EVS which stated that SSA was unable to enter into a data exchange under the conditions DEA initially proposed. However, it also stated that SSA would explore granting DEA access if DEA requested number-holder's consent. Therefore, we continue to believe there is a possible path forward in using SSA's service. Additionally, DEA told us that it would use information from the Federation of State Medical Boards (FSMB) to validate SSNs. However, as of August 2020, DEA has not provided any documentation to support how or if this has been implemented. Further, as noted in our report, FSMB is limited to information for medical doctors, osteopathic doctors and some physician assistants, which make up only a portion of DEA's registrants. As we noted in our report, validating SSNs will help establish registrants' identities which will better ensure DEA has the information necessary to implement its existing controls and to identify other registrations held by each individual, including past adverse actions taken against previous registrations. As such, we continue to believe that DEA should take steps to validate the information it receives. We will continue to monitor the agency's progress in this area.

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 July 2018, DEA provided a copy of its purchase order award to the Federation of State Medical Boards (FSMB); however, as of August 2020, DEA has not provided documentation to demonstrate how use of FSMB will be implemented. Also, in April 2018, DEA said it was exploring how to establish a cost-effective system to obtain National Practitioner Data Bank (NPDB) information and will reevaluate the need to obtain NPDB information after DEA has had the opportunity to process the FSMB information. In June 2020, DEA stated it will not be taking additional action on obtaining NPDB. We will continue to monitor DEA's progress in implementing this recommendation.

Recommendation: In order to strengthen DEA's communication with and guidance for registrants and associations representing registrants, as well as supporting the Office of Diversion Control's mission of preventing diversion while ensuring an adequate and uninterrupted supply of controlled substances for legitimate medical needs, the Deputy Assistant Administrator for the Office of Diversion Control should solicit input from distributors, or associations representing distributors, and develop additional guidance for distributors regarding their roles and responsibilities for suspicious orders monitoring and reporting.

Agency: Department of Justice: Drug Enforcement Administration: Operations Division: Office of Diversion Control: Deputy Assistant Administrator for the Office of Diversion Control
Status: Open
Priority recommendation

Comments: In September 2019, DEA told us that the agency had refocused its efforts on revising draft regulations in line with the SUPPORT for Patients and Communities Act, and that the revised draft was undergoing internal DEA and Department of Justice review. The agency noted that it expected the rule to codify existing legal obligations related to due diligence and suspicious order reporting and provide additional guidance regarding the nature and timing of the suspicious order reporting requirement, but also indicated that it was not possible to be certain of the precise nature of the draft rule. While DEA has reported taking some actions to address this recommendation, as noted above, until the regulations are finalized we cannot determine if these changes will fully address the recommendation. We will continue to monitor DEA's progress in addressing our recommendation.

Recommendation: In order to strengthen DEA's communication with and guidance for registrants and associations representing registrants, as well as supporting the Office of Diversion Control's mission of preventing diversion while ensuring an adequate and uninterrupted supply of controlled substances for legitimate medical needs, the Deputy Assistant Administrator for the Office of Diversion Control should solicit input from pharmacists, or associations representing pharmacies and pharmacists, about updates and additions needed to existing guidance for pharmacists, and revise or issue guidance accordingly.

Agency: Department of Justice: Drug Enforcement Administration: Operations Division: Office of Diversion Control: Deputy Assistant Administrator for the Office of Diversion Control
Status: Open

Comments: In April 2016, DEA reported that it had worked with the National Association of Boards of Pharmacy regarding issues raised during stakeholder discussions, which resulted in a March 2015 consensus document published by stakeholders entitled "Stakeholders' Challenges and Red Flag Warning Signs Related to Prescribing and Dispensing Controlled Substances." Additionally, in December 2016 DEA also described other ways in which the agency had been working with pharmacists or associations representing pharmacists to discuss their responsibilities, such as during regional one-day Pharmacy Diversion Awareness Conferences, and quarterly meetings with two pharmacy associations. In February 2018, DEA reported that following input from pharmacists, and representatives of pharmacies and pharmacists, it had revised its existing Pharmacist's Manual. DEA reported in September 2019 that the manual was currently in the final approval process for publication, and that when published, DEA would provide the manual to GAO. Until the updated Pharmacist's Manual is published and we have a chance to review the revisions, we cannot fully assess DEA's actions in this area. Therefore, the recommendation remains open.

Recommendation: To help the department effectively manage spending on mobile devices and services, the Attorney General should ensure procedures to monitor and control spending are established department-wide. Specifically, ensure that (1) procedures include assessing devices for zero, under, and over usage; (2) personnel with authority and responsibility for performing the procedures are identified; and (3) the specific steps to be taken to perform the process are documented.

Agency: Department of Justice
Status: Open

Comments: As of January 2020, the Department of Justice has made progress implementing this recommendation; however, more remains to be done. Specifically, in response to our findings, in April 2015, the department's Chief Information Officer issued a memo that required components to establish procedures for regular reviews of invoices for wireless services to identify unused and underused devices or services, as well as any over-usage charges to service plans. One of the components we reviewed, the Federal Bureau of Investigation, established procedures in July 2016 to monitor mobile device usage. In addition, the Justice Management Division (JMD) established procedures in May 2019 that apply to JMD as well some but not all other components. The other component we reviewed in our report, the Drug Enforcement Agency, had not established procedures that address our recommendation. We will continue to monitor the department's progress.

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: In response to our report, in December 2016, Congress passed and the President signed the FBI Whistleblower Protection Enhancement Act of 2016, Pub. L. No. 114-302, which, among other things, provides a means for FBI employees to obtain corrective action for retaliation for disclosures of wrongdoing made to supervisors and others in the employees' chain of command. Following this, the FBI worked closely with the Department of Justice's Office of Inspector General (DOJ-OIG) to develop a training that clearly identifies to whom FBI employees may make protected disclosures. In addition, the FBI issued an aligned policy directive and two fact sheets detailing whistleblower rights. In October 2018, a DOJ official reported to us that the department was in the process of updating its regulations and, in February 2020, DOJ officials confirmed that the updated regulation was in the departmental clearance process but they could not provide an estimate for when it would be finalized. As a result, as of February 2020, DOJ's regulations have not been updated and are inconsistent with the current statute and FBI's guidance and training; as such, the problem of unclear or conflicting guidance to FBI employees still needs to be addressed. To address this recommendation, DOJ would need to update its regulations and ensure that all relevant guidance is clear and consistent across the department.

Recommendation: To improve the department's implementation of PortfolioStat, the Attorney General should direct the CIO to reflect 100 percent of information technology investments in the department's enterprise architecture.

Agency: Department of Justice
Status: Open

Comments: In October 2019, the department stated that its budget formulation process ensures that all investments are included in its enterprise architecture (EA). Specifically, the department stated that, as part of the budget formulation process, the EA group reviews investments and aligns them to the business areas within the EA framework by assigning them business reference model codes. To support its claims, in November 2019, the department provided a list of investments showing their alignment with the business reference model codes for the fiscal year 2021 budget formulation process. However, the department did not provide evidence of the EA group's review process. As of January 2020, we were following up with the department to obtain this evidence.