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.
