Recommendation: The Under Secretary for Health should ensure that facility officials who are responsible for credentialing, reviewing credentials, and hiring receive periodic mandatory training. (Recommendation 1)

Agency: Department of Veterans Affairs
Status: Open

Comments: As of March 2020, VA officials told us that they expect to have this recommendation implemented during calendar year 2020.

Recommendation: The Under Secretary for Health should develop policies and guidance regarding DEA registrations, including the circumstances in which Drug Enforcement Administration (DEA) waivers may be required, the process for requesting them, and a mechanism to ensure that facilities follow these policies. (Recommendation 2)

Agency: Department of Veterans Affairs
Status: Open
Priority recommendation

Comments: As of March 2020, this recommendation remains open. VA sent a letter to DEA asking for clarification about DEA employment waivers and received a response from DEA dated November 26, 2019. VA officials told us that they are considering the input from DEA and consulting with relevant stakeholders to determine next steps. To fully implement this recommendation, VA needs to provide evidence of actions taken to ensure that DEA requirements regarding DEA registrations and employment waivers are met. Such actions include developing policies regarding when a DEA employment waiver may be necessary and guidance about how to request such a waiver.

Recommendation: The Under Secretary for Health should identify and review providers whose DEA registrations were revoked or surrendered for cause and determine whether an employment waiver may be needed from DEA. (Recommendation 3)

Agency: Department of Veterans Affairs
Status: Open
Priority recommendation

Comments: As of March 2020, VA has reported important steps toward implementing this recommendation. Specifically, VA officials told us that they reviewed licensed independent practitioners to see if any that are currently employed at VA have a revoked or surrendered DEA registration. They identified at least one provider with a revoked or surrendered DEA registration. To fully implement this recommendation, VA needs to provide evidence that appropriate action was taken for this provider, such as obtaining a DEA waiver if necessary.

Recommendation: The Commissioner of CBP should revise policy or guidance to ensure documentation of required control activities in its case management system, such as legal review of adverse actions, and data verification (Recommendation 1).

Agency: Department of Homeland Security: United States Customs and Border Protection
Status: Open

Comments: In February 2020, CBP provided documentation of a data verification checklist used by its Office of Professional Responsibility for the Joint Integrity Case Management System. However, CBP also needs to develop a similar tool or method to verify case management data contained in its Human Resource Business Engine system. And to fully implement this recommendation, CBP needs to revise policy or guidance to ensure documentation of control activities (data verification and legal review of adverse actions) in its case management systems. We are continuing to follow-up on the actions taken by CBP to implement this recommendation.

Recommendation: The Commissioner of CBP should monitor the duration of all cases beginning-to-end by stage and by case type (Recommendation 4).

Agency: Department of Homeland Security: United States Customs and Border Protection
Status: Open

Comments: In October 2018, CBP told us that it is currently updating one of its case management systems to better monitor cases beginning-to-end by stage and by case type. Once implemented, CBP's Office of Professional Responsibility will develop an internal management report that includes information on caseload and associated timelines. The estimated completion date for this recommendation is September 30, 2019. As of September 2020, we are continuing to follow up with CBP on its actions to implement this recommendation.

Recommendation: The Commissioner of CBP should monitor the timeliness of misconduct cases according to established targets for management inquiries, administrative inquiries, and criminal and non-criminal investigations using case management system data (Recommendation 5).

Agency: Department of Homeland Security: United States Customs and Border Protection
Status: Open

Comments: In October 2018, CBP stated that it is currently updating one of its case management systems to better monitor the timeliness of misconduct cases according to established targets. Once updated, CBP's Office of Professional Responsibility will develop an internal management report that includes information on caseload and associated timelines. The estimated completion date for this recommendation is September 30, 2019. As of September 2020, we are continuing to follow up with CBP on its actions to implement this recommendation.

Recommendation: The Commissioner of CBP should define and document the case management system data fields to be used for monitoring all established performance targets and provide related guidance to staff (Recommendation 6).

Agency: Department of Homeland Security: United States Customs and Border Protection
Status: Open

Comments: In October 2018, CBP stated that its Office of Professional Responsibility will define the case management system data fields used to measure established performance targets, and it will provide the appropriate guidance to staff. The estimated completion date of this recommendation is September 30, 2019. As of September 2020, we are continuing to follow up with CBP on its actions to implement this recommendation.

Recommendation: The Director of ICE should require staff to document the investigative findings (case resolution codes) of management inquiries in the case management system (Recommendation 8).

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

Comments: In November 2018, ICE provided documentation of related communication provided to staff. However, this documentation did not include revised policy or guidance documents that requires staff to document the investigative findings in the employee misconduct case management system. As of September 2020, we are continuing to follow-up on ICE's actions to implement this recommendation.

Recommendation: The Director of ICE should modify ICE's annual self-inspection program to track the status of related corrective actions to ensure they are implemented in a timely manner (Recommendation 9).

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

Comments: In October 2018, ICE stated that it is revising its policy for its self-Inspection program to track the status of related corrective actions. ICE also stated that it will review three program offices for compliance with these revised policies and procedures during fiscal year 2019. The estimated completion date of this recommendation is June 28, 2019. As of September 2020, we are continuing to follow-up on ICE's actions to implement this recommendation.

Recommendation: The Director of ICE should monitor the duration of all cases beginning-to-end by stage and by case type (Recommendation 10).

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

Comments: In October 2018, ICE stated that beginning in fiscal year 2019, a project team will develop the capability to monitor the duration of all employee misconduct cases beginning-to-end by stage and by case type. The estimated completion date of this recommendation is June 28, 2019. As of September 2020, we are continuing to follow-up on ICE's actions to implement this recommendation.

Recommendation: The Director of ICE should monitor the timeliness of misconduct cases according to established targets for management inquiries and Employee Relations specialist review of proposal and decision of disciplinary outcomes using case management system data (Recommendation 11).

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

Comments: In October 2018, ICE stated that its Office of Professional Responsibility developed guidance regarding established targets for the completion of management inquiries and will distribute the guidance to applicable staff. ICE also stated that it is developing timeliness targets for Employee Relations specialist review of proposals and decisions of disciplinary outcomes and will also distribute this guidance to applicable staff. The estimated completion date for this recommendation is June 28, 2019. As of September 2020, we are continuing to follow-up on ICE's actions to implement this recommendation.

Recommendation: The Director of ICE should define and document the case management system data fields and methodology to be used for monitoring all established performance targets and provide related guidance to staff (Recommendation 12).

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

Comments: In October 2018, ICE stated that it will work to define and document the case management system data fields and methodology to be used for monitoring all established performance targets and will provide related guidance to applicable staff. The estimated completion date for this recommendation is June 28, 2019. As of September 2020, we are continuing to follow-up on ICE's actions to implement this recommendation.

Recommendation: The Administrator of TSA should monitor the duration of all cases beginning-to-end by stage and case type (Recommendation 16).

Agency: Department of Homeland Security: Transportation Security Administration
Status: Open

Comments: In September 2020, TSA provided documentation of internal reports that measure duration. However, the reports do not provide management information on the duration of all case types from beginning-to-end and, by stage. TSA needs to provide evidence that it monitors the duration of all cases, including a description of which process stages are measured and which data fields are used to measure the total duration from beginning-to-end and by stage. We are continuing to follow up on the actions taken by TSA to implement this recommendation.

Recommendation: The Administrator of TSA should monitor the timeliness of misconduct cases according to established targets for management inquiries (fact finding) and administrative inquiries, and the proposal and decision stages, using case information system data (Recommendation 17).

Agency: Department of Homeland Security: Transportation Security Administration
Status: Open

Comments: In September 2020, TSA provided evidence of reports it uses to measure duration. However, these reports do not show how TSA performs with regards to established targets. TSA needs to provide evidence of how it monitors the timeliness of all established targets , including which specific data fields are used to measure these targets. We are continuing to follow up on the actions taken by TSA to implement this recommendation.

Recommendation: The Administrator of TSA should define and document the case management system data fields and methodology to be used for monitoring all established performance targets and provide related guidance to staff (Recommendation 18).

Agency: Department of Homeland Security: Transportation Security Administration
Status: Open

Comments: In May 2019, TSA provided guidance to its staff related to monitoring performance targets. However, these documents do not specify which system data should be used as part of the methodology for monitoring all established performance targets. TSA needs to provide documentation of guidance to staff that defines and documents all the specific case management system data field names (in the various databases, as applicable) and methodology staff should use to monitor all established timeliness targets. We are continuing to follow up on the actions taken by TSA to implement this recommendation.

Recommendation: The Department of Veterans Affairs (VA) Inspector General should revise its policy to include a requirement to verify whether evidence produced in senior-official case referrals demonstrates that the six elements required in VA Directive 0701 have been addressed. (Recommendation 6)

Agency: Department of Veterans Affairs
Status: Open

Comments: The VA Office of the Inspector General updated VA Directive 0701 to require a written or electronic signature from the person preparing the response that the specific requirements of the directive were met. The updated version of the directive was submitted to the Department, the concurrence was signed on November 16, 2018. As of January 2019, the VA OIG was working with the VA to finalize and publish the directive. On February 15, 2019, the VA OIG contacted GAO with revised language for VA Directive 0701. The language clarified the requirement to include a signature and attestation by the person preparing the response. As of June 2020, the VA OIG is in the process of working with the VA administration to finalize and publish the directive. In September 2020, GAO requested an update from the VA OIG on the status of publishing the directive.

Recommendation: The Director of OPM, after consultation with the chief human capital officer (CHCO) Council, should explore the feasibility of improving the quality of data on employee misconduct by providing additional guidance to agencies on how to record instances of misconduct in OPM's databases. (Recommendation 1)

Agency: Office of Personnel Management
Status: Open

Comments: OPM disagreed with this recommendation and cautioned against creating a comprehensive catalog of forms of misconduct because such an approach could expose agencies to the argument that any conduct that was not captured by OPM is not a permissible basis for discipline. In January 2020, OPM stated they are compiling disciplinary data collected from agencies under Executive Order 13839 and anticipate the data will be posted in the near future on OPM.gov.

Recommendation: The Director of OPM, after consultation with the CHCO Council, should broadly disseminate to agencies the promising practices and lessons learned, such as those described in this report, as well as work with agencies through such vehicles as the CHCO Council, to identify any additional practices. (Recommendation 2)

Agency: Office of Personnel Management
Status: Open
Priority recommendation

Comments: OPM partially agreed with this recommendation. In December 2018, OPM stated that it plans to continue to use promising practices and to issue guidance on progressive discipline and tables of penalties. On July 2, 2019, OPM restated it partially concurs with this recommendation. OPM stated that it issued a guidance memorandum to Federal agencies on October 10, 2018, to aid in the implementation of Executive Order 13839, section 5, Ensuring Integrity of Personnel Files. As of January, 2020, OPM stated they are finalizing compiling disciplinary data collected from agencies under that Executive Order and anticipates it will be posted in the near future on OPM.gov. OPM also stated they are in the process of updating online employee relations training to be made available to human resources practitioners and managers later this year.

Recommendation: The Director of OPM, after consultation with the CHCO Council, should provide guidance to agencies to enhance the training received by managers/supervisors and human capital staff to ensure that they have the guidance and technical assistance they need to effectively address misconduct and maximize the productivity of their workforces. (Recommendation 3)

Agency: Office of Personnel Management
Status: Open
Priority recommendation

Comments: OPM partially agreed with this recommendation. On September 17, 2019, OPM published a proposed rule pertaining to probationary periods, performance-based actions, and adverse actions. The public comment period for this proposed rule closed on October 17, 2019. As of January 2020, OPM said they received comments from 1,199 individuals. OPM stated that they are reviewing, analyzing, and adjudicating all comments received in order to prepare a final rule later in 2020. Once the final rule is published, OPM stated they will work with the CHCO Council to educate supervisors on the new rule in accordance with Executive Order 13839.

Recommendation: In order to improve employee misconduct policies and procedures, the Secretary of Homeland Security should direct the FEMA Administrator to document policies and procedures to address potential Surge Capacity Force misconduct.

Agency: Department of Homeland Security
Status: Open

Comments: We found that the Federal Emergency Management Agency (FEMA) had developed and documented misconduct policies and procedures for most employees, but not its entire workforce. Specifically, FEMA had not documented misconduct policies and procedures for Surge Capacity Force members, who may augment FEMA's workforce in the event of a catastrophic disaster. As a result, we recommended that FEMA document policies and procedures to address potential Surge Capacity Force misconduct. In September 2017, FEMA officials reported taking action to address this recommendation. Specifically, FEMA distributed a memorandum to Federal Coordinating Officers and Federal Disaster Recovery Coordinators providing guidance on how and to whom to report allegations of misconduct by Surge Capacity Force members, coordination efforts regarding investigations, and how to address the member's duty status during the course of an investigation. FEMA stated that it will further address this recommendation by updating the FEMA Human Capital Plan for the Surge Capacity Force. As of August 2020, FEMA was finalizing a comprehensive Human Capital Guide based on lessons learned during the 2017 disaster season, which will address the Surge Capacity Force. This recommendation will remain open until the Human Capital Guide is completed.

Recommendation: In order to improve employee misconduct policies and procedures, the Secretary of Homeland Security should direct the FEMA Administrator to document Reservist disciplinary options and appeals policies and procedures that are currently in practice at the agency.

Agency: Department of Homeland Security
Status: Open

Comments: We found that the Federal Emergency Management Agency's (FEMA) policies and procedures for Reservist employees did not outline disciplinary options to address misconduct or address the appeals process available for Reservists. As a result, we recommended that FEMA document Reservist disciplinary options and appeals policies and procedures that are currently in practice at the agency. In September 2017, FEMA reported that the Office of Response and Recovery was drafting an addendum to the FEMA Reservist program manual. As of August 2020, FEMA was finalizing a FEMA Reservist Performance Management Directive which will provide agency-wide guidance for Reservist management and discipline. FEMA expects the directive to be completed by November 2020. This recommendation will remain open until the directive is complete.

Recommendation: In order to better identify and address trends in employee misconduct, the Secretary of Homeland Security should direct the FEMA Administrator to, once the quality of the data is improved, conduct routine reporting on employee misconduct trends.

Agency: Department of Homeland Security
Status: Open

Comments: We found that the Federal Emergency Management Agency (FEMA) did not regularly conduct trend analysis on misconduct cases, and that the quality of the data restricted the agency's ability to identify and address trends. As a result, we recommended that, once steps were taken to improve the quality of the data, FEMA should conduct routine reporting on employee misconduct trends. As of July 2020, FEMA's Office of Professional Responsibility (OPR) changed plans on which information system to use for reporting purposes due to cyber security concerns. According to FEMA officials, OPR will be using a DHS enterprise system and the system will be able to generate regular reporting. FEMA anticipates reporting functionality by October 2020. We will continue to monitor FEMA's efforts to address the recommendation.