Recommendation: EBSA should explore ways to collect information on fees charged to participants or alternate payees by a retirement plan—including plan service provider fees the plan passes on to participants—for review and qualification of domestic relations orders and evaluate the burden of doing so. For example, DOL could consider collecting fee information as part of existing reporting requirements in the Form 5500. (Recommendation 1)

Agency: Department of Labor
Status: Open

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

Recommendation: EBSA should take steps to ensure that information regarding the requirements for QDROs is available and easily accessible for participants and alternate payees. For example, EBSA could develop a checklist of documents and information that parties could use to help draft a domestic relations order that would be more likely to be qualified as a QDRO on a plan administrator's first review. In addition, EBSA could conduct outreach focused on QDROs to practitioners, such as members of the family bar who may draft domestic relations orders. (Recommendation 2)

Agency: Department of Labor
Status: Open

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

Recommendation: The Secretary of State should require Chiefs of Mission at overseas missions that receive allocations for rule of law assistance to assess the sufficiency of their coordination methods to verify that this assistance is coordinated with all relevant interagency partners. (Recommendation 1)

Agency: Department of State
Status: Open

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

Recommendation: The NMFS Assistant Administrator for Fisheries should work with the South Atlantic and Gulf of Mexico councils, and other councils as appropriate, to develop documented processes for conducting allocation reviews. (Recommendation 1)

Agency: Department of Commerce: National Oceanic and Atmospheric Administration: National Marine Fisheries Service
Status: Open

Comments: Commerce and NOAA agreed with this recommendation and stated that NOAA's NMFS will work to implement it to the extent possible. We will continue to monitor NMFS' efforts to do so.

Recommendation: The NMFS Assistant Administrator for Fisheries should work with the South Atlantic and Gulf of Mexico councils, and other councils as appropriate, to specify how the councils will document their allocation reviews, including the basis for their allocation decisions, whether fishery management plan objectives are being met, and what factors were considered in the reviews. (Recommendation 2)

Agency: Department of Commerce: National Oceanic and Atmospheric Administration: National Marine Fisheries Service
Status: Open

Comments: Commerce and NOAA agreed with this recommendation and stated that NOAA's NMFS will work to implement it to the extent possible. We will continue to monitor NMFS' efforts to do so.

Recommendation: The Administrator of FAA should conduct and document a risk assessment that considers inherent and residual fraud and abuse risks that may enable criminal, national security, or safety risks. (Recommendation 1)

Agency: Department of Transportation: Federal Aviation Administration: Office of the Administrator
Status: Open

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

Recommendation: The Administrator of FAA should determine impact, likelihood, and risk tolerance as part of a risk assessment. (Recommendation 2)

Agency: Department of Transportation: Federal Aviation Administration: Office of the Administrator
Status: Open

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

Recommendation: The Administrator of FAA should develop a strategy that outlines specific actions to address analyzed risks, including periodic assessments to evaluate continuing effectiveness of the risk response. (Recommendation 3)

Agency: Department of Transportation: Federal Aviation Administration: Office of the Administrator
Status: Open

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

Recommendation: The Administrator of FAA should collect and record information on individual registrants, initially including name, address, date of birth, and driver's license or pilot's license, or both, with subsequent PII elements informed by the risk assessment, once completed. (Recommendation 4)

Agency: Department of Transportation: Federal Aviation Administration: Office of the Administrator
Status: Open

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

Recommendation: The Administrator of FAA should collect and record information on legal entities not traded publicly—on each individual and entity that owns more than 25 percent of the aircraft; for individuals: name, date of birth, physical address, and driver's license or pilot's license, or both; and for entities: name, physical address, state of residence, and taxpayer identification number. (Recommendation 5)

Agency: Department of Transportation: Federal Aviation Administration: Office of the Administrator
Status: Open

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

Recommendation: The Administrator of FAA should verify aircraft registration applicants' and dealers' eligibility and information. (Recommendation 6)

Agency: Department of Transportation: Federal Aviation Administration: Office of the Administrator
Status: Open

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

Recommendation: The Administrator of FAA should increase aircraft registration and dealer fees to ensure the fees are sufficient to cover the costs of FAA efforts to collect and verify applicant information while keeping pace with inflation. (Recommendation 7)

Agency: Department of Transportation: Federal Aviation Administration: Office of the Administrator
Status: Open

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

Recommendation: The Administrator of FAA should ensure, as part of aircraft registry IT modernization, that information currently collected in ancillary files or in PDF format on (1) owners and related individuals and entities with potentially significant responsibilities for aircraft ownership (e.g., beneficial owners, trustors, trustees, beneficiaries, stockholders, directors, and managers) and (2) declarations of international operations is recorded in an electronic format that facilitates data analytics by FAA and its stakeholders. (Recommendation 8)

Agency: Department of Transportation: Federal Aviation Administration: Office of the Administrator
Status: Open

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

Recommendation: The Administrator of FAA should link information on owners and related individuals and entities with significant responsibilities for aircraft ownership through a common identifier. (Recommendation 9)

Agency: Department of Transportation: Federal Aviation Administration: Office of the Administrator
Status: Open

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

Recommendation: The Administrator of FAA should, as part of IT modernization, develop an approach to check OFAC sanctions data on owners and related individuals and entities with potentially significant responsibilities for aircraft ownership for coordination with OFAC and to flag sanctioned individuals and entities across aircraft registration and dealer systems. (Recommendation 10)

Agency: Department of Transportation: Federal Aviation Administration: Office of the Administrator
Status: Open

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

Recommendation: The Administrator of FAA should use data collected as part of IT modernization as well as current data sources to identify and analyze patterns of activity indicative of fraud or abuse, based on information from declarations of international operations, postal addresses, sanctions listings, and other sources, and information on dealers, noncitizen corporations, and individuals and entities with significant responsibilities for aircraft ownership. (Recommendation 11)

Agency: Department of Transportation: Federal Aviation Administration: Office of the Administrator
Status: Open

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

Recommendation: The Administrator of FAA should develop and implement risk-based mitigation actions to address potential fraud and abuse identified through data analyses. (Recommendation 12)

Agency: Department of Transportation: Federal Aviation Administration: Office of the Administrator
Status: Open

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

Recommendation: The Administrator of FAA should develop mechanisms, including regulations if necessary, for dealer suspension and revocation. (Recommendation 13)

Agency: Department of Transportation: Federal Aviation Administration: Office of the Administrator
Status: Open

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

Recommendation: The Administrator of FAA, in coordination with relevant law-enforcement agencies, should enhance coordination within the Aircraft Registry Task Force through collaborative mechanisms such as written agreements and use of liaison positions. (Recommendation 14)

Agency: Department of Transportation: Federal Aviation Administration: Office of the Administrator
Status: Open

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

Recommendation: The Administrator of FAA, in coordination with relevant law-enforcement agencies, should develop a mechanism to provide declarations of international operations for law-enforcement purposes. (Recommendation 15)

Agency: Department of Transportation: Federal Aviation Administration: Office of the Administrator
Status: Open

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

Recommendation: The CBP Commissioner should issue updated Border Patrol and OFO training materials that reflect the correct definition of a family unit and guidance for recording that information. (Recommendation 1)

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

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

Recommendation: The CBP Commissioner should provide written guidance to Border Patrol agents and OFO officers about what narrative information should be recorded on the child's and the accompanying adult's Forms I-213 to document cases in which CBP determines that a parent–child relationship may be invalid. (Recommendation 2)

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

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

Recommendation: The CBP Commissioner should develop and implement additional controls to ensure that Border Patrol agents accurately record family unit separations in its data system. (Recommendation 3)

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

Comments: In commenting on a draft of this report, DHS reported that CBP plans to add enhancements to Border Patrol's processing system that will prompt agents to create family units within the system, when applicable. Upon completion of these enhancements, CBP plans to provide training to agents to describe the enhancements to help ensure that family units are recorded when necessary. DHS estimates these actions will be completed by September 30, 2020. To fully address our recommendations, CBP should develop and implement controls to ensure agents are accurately recording family unit separations in its data system.

Recommendation: The CBP Commissioner should update Border Patrol's and OFO's data systems to ensure data captured on family unit separation reasons clearly align with CBP policy. (Recommendation 4)

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

Comments: DHS concurred with this recommendation and provided documentation of guidance that OFO and Border Patrol issued about data system updates. We are reviewing the information and documents DHS provided to assess the extent to which CBP fully addressed this recommendation.

Recommendation: The CBP Commissioner should develop and implement additional controls to ensure that Border Patrol agents include a narrative description of a family unit separation on the parent's / legal guardian's and child's Forms I-213, including the reason for the separation. (Recommendation 5)

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

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

Recommendation: The CBP Commissioner should provide guidance to Border Patrol agents and OFO officers on the narrative information they are to include about family unit separation events on the parent's / legal guardian's and child's Forms I-213. (Recommendation 6)

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

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

Recommendation: The ICE Director should develop and implement a mechanism to systematically track in its data system the family units ICE separates. (Recommendation 7)

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

Comments: In commenting on a draft of our report, DHS reported that ICE is modifying its data system to track separations and reunification throughout the Office of Enforcement and Removal Operations' enforcement process. DHS estimates that this process will be complete by September 30, 2020. To fully address this recommendation, ICE should ensure that it has a mechanism in its data system to systematically track the family units it separates.

Recommendation: The Secretary of Homeland Security, jointly with the Secretary of Health and Human Services, should collaborate to address information sharing gaps identified in this report to ensure that ORR receives information needed to make decisions for UAC, including those apprehended with an adult. (Recommendation 8)

Agency: Department of Homeland Security
Status: Open

Comments: In commenting on a draft of our report, DHS reported that the Office of Strategy, Policy, and Plans will work with relevant components and HHS to document current information-sharing practices to validate the remaining gaps and draft a joint plan between DHS and HHS to ensure that HHS receives information needed to make decisions for unaccompanied children, including those apprehended with an adult. DHS estimated that these actions will be completed by December 31, 2020. Further DHS and HHS collaboration about information sharing methods and ways to enhance interagency agreements would better position HHS to make informed and timely decisions for unaccompanied children.

Recommendation: The Secretary of Health and Human Services, jointly with the Secretary of Homeland Security, should collaborate to address information sharing gaps identified in this report to ensure that ORR receives information needed to make decisions for UAC, including those apprehended with an adult. (Recommendation 9)

Agency: Department of Health and Human Services
Status: Open

Comments: In commenting on a draft of our report, HHS reported that the department plans to coordinate with DHS, beginning in June 2020, on periodic updates to the interagency Joint Concept of Operations. To fully address this recommendation, HHS and DHS should address the information sharing gaps identified in our report.

Recommendation: The Secretary of Homeland Security should identify the information about family members apprehended together that its components collectively need to process those family members and communicate that information to its components. (Recommendation 1)

Agency: Department of Homeland Security
Status: Open

Comments: According to DHS, in June 2020, DHS's Office of Immigration Statistics launched a Family Status Data Standards Community of Interest (COI) under the purview of the DHS Immigration Data Integration Initiative. In August 2020, DHS reported that the Family Status COI includes subject matter experts and data system managers from DHS components, the Department of Health and Human Services, and the Executive Office for Immigration Review. The COI's mandate includes drafting common DHS-wide and interagency data standards (common codes, common definitions, common formats) for all topics related to family status, including codes to identify the reasons for family separation, members apprehended together, and unaccompanied children. DHS expects to complete these actions by September 30, 2020. Identifying and communicating department-wide information needs with respect to family members who have been apprehended together should help provide DHS with greater assurance that its components are identifying all individuals who may be eligible for relief from removal from the United States based on their family relationships.

Recommendation: The Secretary of Homeland Security should ensure that, at the time of apprehension, CBP collects the information that DHS components collectively need to process family members apprehended together. (Recommendation 2)

Agency: Department of Homeland Security
Status: Open

Comments: In commenting on a draft of our report, DHS reported that its Office of Immigration Statistics (OIS) will work with relevant components and offices to ensure all required information is collected at the time of apprehension on the Form I-213 when processing family members apprehended together. As of August 2020, DHS reported that DHS OIS continues to work with relevant components and offices to ensure all required information is collected at the time of apprehension on Form I-213 when processing family members apprehended together. DHS expects to complete these actions by September 30, 2020. Collecting information about the relationships between family members apprehended together and documenting that information on the Form I-213 could help address fragmentation among DHS components and improve the information available to other agencies.

Recommendation: The Secretary of Homeland Security should ensure that CBP documents the information that DHS components collectively need to process family members apprehended together on the Form I-213. (Recommendation 3)

Agency: Department of Homeland Security
Status: Open

Comments: In commenting on a draft of our report, DHS reported that, upon implementation of the steps the department plans to take in response to our second recommendation, CBP will issue guidance to the field to ensure that CBP agents and officers document the information that DHS components collectively need to process family members. In August 2020, DHS reported that component agencies continue to collaborate to define the process of family members apprehended together, as will be reflected on CBP Form I-213. DHS estimates issuing this guidance by March 31, 2021. Collecting information about the relationships between family members apprehended together and documenting that information on the Form I-213 could help address fragmentation among DHS components and improve the information available to other agencies.immigration or other proceedings.

Recommendation: The Secretary of Homeland Security should evaluate options for developing a unique identifier shared across DHS components' data systems to link family members apprehended together. (Recommendation 4)

Agency: Department of Homeland Security
Status: Open

Comments: In commenting on a draft of our report, DHS reported that its Office of Immigration Statistics (OIS) plans to work with relevant components to develop a unique shared identifier linking family members apprehended together. According to DHS, DHS OIS launched the Family Status Community of Interest (COI) in June 2020, and the COI has since established a bi-weekly meeting schedule. The COI's initial focus is on standard codes describing the reasons for family separations. Upon completing the family separation reason standard, DHS reported that the COI will prioritize developing common codes to identify family members apprehended together. DHS estimates completing these actions by March 31, 2021. Evaluating options for developing a shared unique family member identifier across components that would allow each component access to certain information about family members apprehended together would help bridge the information gaps about family relationships between components caused by DHS's fragmented data systems.

Recommendation: The Director of USCIS should ensure that, in addition to USCIS's basic asylum officer training, all asylum offices provide pre-departure training on the credible and reasonable fear processes before their officers begin screening cases at the family residential centers. (Recommendation 1)

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

Comments: In commenting on a draft of our report, DHS reported that USCIS plans to develop a standardized pre-departure training and provide this training to all detailees prior to deployment to the family residential centers. DHS estimated that these actions would be completed by September 2020. As of August 2020, USCIS told GAO that the number of noncitizens processed under expedited removal has decreased dramatically as a result of Coronavirus Disease 2019. Therefore, details to the Family Residential Centers have largely been paused. USCIS noted that the Asylum Division is reviewing the credible fear and reasonable fear training requirements; working on an enhanced training module; and, developing a standardized pre-departure training by December 31, 2020. USCIS plans to provide the training to all detailees prior to deployment to the Family Residential Centers during calendar year 2021, should the details resume. Providing pre-departure training, in addition to USCIS's basic training for new asylum officers, would help USCIS ensure that officers from all asylum offices are conducting efficient and effective fear screenings of families.

Recommendation: The Director of USCIS should ensure asylum officers systematically record in USCIS's automated case management system if individuals receive credible fear determinations as principal applicants, dependents, or in the interest of family unity, pursuant to regulation or USCIS policy. (Recommendation 3)

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

Comments: In commenting on a draft of our report, DHS reported that USCIS planned to explore ways to modify its case management system so that asylum officers can record whether an individual received a positive credible fear determination as a principal applicant, dependent, or in the interest of family unity. USCIS plans to make any appropriate changes to its case management system and train asylum officers on these changes by December 2020. As of August 2020, USCIS reported that the agency remains on track to complete this work as planned, provided staffing is not affected by USCIS budget issues. Having complete data in its case management system on all outcomes of credible fear screenings at family residential centers would better position USCIS to report on the scope of either the agency's policy for family members who are treated as dependents, pursuant to regulation, or USCIS's use of discretion in the interest of family unity.

Recommendation: The Director of USCIS should collect and analyze additional information on case delays, including specific reasons for delays and how long they last, that asylum officers may face when screening credible and reasonable fear cases. (Recommendation 4)

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

Comments: In commenting on a draft of our report, DHS reported that USCIS will explore ways to collect additional information on credible and reasonable fear case delays in its case management system. USCIS plans to modify the system, as appropriate, to instruct users on the changes, and begin collecting and analyzing the information by December 31, 2020. As of August 2020, USCIS reported that the agency remains on track to accomplish this work by the end of calendar year 2020, provided staffing is not adversely affected by the on-going COVID-19 pandemic and USCIS budget issues. Collecting additional information in its automated case management system on case delays would provide USCIS with more readily available information and analyzing such data could help USCIS identify case delay reasons relevant in the current environment for officers conducting fear screenings and better position USCIS to mitigate the reasons for the delays and improve efficiency in case processing.

Recommendation: The FEC, in consultation with DOJ, should review guidance addressing coordination with DOJ, to include the MOU, and once a quorum of commissioners is in place, update that guidance as appropriate based on the review. (Recommendation 1)

Agency: Federal Election Commission
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 Securities and Exchange Commission's Co-Directors of Enforcement should develop written procedures for generating Enforcement's public reports, including procedures for compiling and verifying statistics used in the reports and documenting their implementation. (Recommendation 1)

Agency: United States Securities and Exchange Commission: Division of Enforcement
Status: Open

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

Recommendation: The Secretary of Defense should ensure that the Deputy Secretary of Defense assesses the tradeoffs of potential options for expanding public access to military commissions' proceedings by identifying and analyzing associated risks, and, as appropriate, developing a strategy to implement any viable options.

Agency: Department of Defense
Status: Open

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

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

Agency: Department of Health and Human Services
Status: Open

Comments: In June 2016, the Office of Refugee Resettlement (ORR) reported that it was working with the child advocate contractor to develop standard operating procedures (SOP) to assign child advocates for children. In February 2020, ORR reported that the finalized SOPs are being implemented. Agency officials stated that they are reviewing program referrals through monthly reporting and calls with the contractor. ORR officials also said they allow the contractor to determine which unaccompanied children are provided a child advocate and there are insufficient resources to assign advocates to all children that are referred. In August 2020, ORR reported that the agency is in the process of developing a new case management system that will enhance its monitoring of the child advocate program, including the ability to analyze child advocate referral data. This system is expected to be fully operational in late 2021.

Recommendation: To provide reasonable assurance that USCIS's fraud prevention controls are adequate and effectively implemented, and ensure that asylum officers and FDNS immigration officers have the capacity to detect and prevent fraud, the Secretary of Homeland Security should direct USCIS to conduct regular fraud risk assessments across the affirmative asylum application process.

Agency: Department of Homeland Security
Status: Open
Priority recommendation

Comments: In October 2016, DHS indicated that USCIS had established a working group and collected fraud trend information from all eight asylum offices that will be used to inform the development of a risk assessment framework. According to USCIS officials, the Asylum Division, in cooperation with other relevant internal stakeholders such as USCIS's Fraud Detection and National Security Directorate (FDNS), completed a draft asylum fraud risk assessment in September 2017. In January 2019, Asylum Division officials told us that they had identified limitations in the data used in the draft assessment. Thus, USCIS was working to complete a revised qualitative risk assessment report for our review. Officials also told us that the report was undergoing additional revisions due to changes in 2019 to the affirmative asylum program, and to reflect updates to the resources dedicated to FDNS's functions. As of October 2020, USCIS anticipates finalizing the report by the end of December 2020. Regularly assessing fraud risks across the affirmative asylum process would provide USCIS more complete information on risks that may affect the integrity of the process and therefore help USCIS target its fraud prevention efforts to those areas that are of highest risk.