Recommendation: The Director of FinCEN should develop and implement written policies and procedures to help promote the greater use of BSA reports by law enforcement agencies that do not have direct access to the BSA database. Such policies and procedures could include outreach strategies and educational or training materials. (Recommendation 1)

Agency: Department of the Treasury: Financial Crimes Enforcement Network
Status: Open

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

Recommendation: The Associate Director of FinCEN's Global Investigations Division should provide additional direction for self-initiated GTOs, including how the agency will plan to (1) oversee covered businesses, (2) inform and obtain feedback from appropriate law enforcement agencies, and (3) evaluate the GTOs to determine the appropriate course of action. (Recommendation 1)

Agency: Department of the Treasury: Financial Crimes Enforcement Network
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 FinCEN, after consulting with the Commodity Futures Trading Commission (CFTC), should consider prioritizing the inclusion of the primary SRO conducting BSA examinations in the futures industry in the Bank Secrecy Act Advisory Group (BSAAG) on a more consistent basis and also making the primary futures industry association a concurrent member. (Recommendation 1)

Agency: Department of the Treasury: Financial Crimes Enforcement Network
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 FinCEN, after consulting with CFTC, should take steps to explore providing direct BSA data access to the National Futures Association. (Recommendation 2)

Agency: Department of the Treasury: Financial Crimes Enforcement Network
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 FinCEN should review options for FinCEN to more consistently and publicly provide summary data on the usefulness of BSA reporting. This review could either be concurrent with FinCEN's BSA value study or through another method. (Recommendation 3)

Agency: Department of the Treasury: Financial Crimes Enforcement Network
Status: Open

Comments: As of August 2020, FinCEN officials told us that they began to implement a strategy to communicate the results of its BSA Value Study (completed in April 2020) and more generally publicize statistics on the value that BSA reporting provides to industry and the public. According to FinCEN officials, they have made some progress in implementing the communication strategy, including briefing key public and private sector stakeholders and developing fact sheets, videos and other materials for eventual public release, and expect to complete the initial phase of the communication plan by the end of 2020.

Recommendation: The Director of FinCEN should review options for establishing a mechanism through which law enforcement agencies may provide regular and institution-specific feedback on BSA reporting. Options should take into consideration providing such feedback to cover different types of financial institutions and those with significant financial activity. This review could either be part of FinCEN's BSA value study or through another method. (Recommendation 4)

Agency: Department of the Treasury: Financial Crimes Enforcement Network
Status: Open

Comments: According to FinCEN officials, it will use measures outlined in response to Recommendation 3 and information gathered from the BSA Value Study to develop a specific action plan to better collect data for FinCEN and its law enforcement and other partners in a way that allows them to communicate more consistent feedback to reporting entities, and address the gaps and recommendations from the study. FinCEN anticipates the development and approval of the action plan by the end of 2020.

Recommendation: The Director of JIATF-West should establish a vital few performance measures that are consistently measured over time. (Recommendation 1)

Agency: Joint Interagency Task Force West
Status: Open

Comments: In November 2019, DOD officials reported that JIATF-W identified measures of performance in critical mission areas that have not previously been captured, including the Counter Narcotics Operations Center, Operational Intelligence, and Mission Support units. However, it is unclear whether the measures JIATF-W identified are higher-level and part of a "vital few" rather than just additional output-based performance measures. GAO will need to review the new measures to understand whether DOD/JIATF-W's actions are aligned with the intent of the recommendation. GAO will continue to follow-up with DOD/JIATF-W on the their progress toward implementing the recommendation.

Recommendation: The Director of JIATF-West should establish specific targets that set a minimal level of performance. (Recommendation 2)

Agency: Joint Interagency Task Force West
Status: Open

Comments: In November 2019, DOD stated JIATF-W updated its Assessment Instruction to codify baseline standards and processes for collecting metrics in its directorates and would send personnel to train to improve their ability to measure performance against DOD minimal standards. However, it is unclear whether JIATF-W has set targets. We will continue to follow up with DOD/JIATF-W on their progress toward implementing the recommendation.

Recommendation: The Secretary of Homeland Security should develop outcome-based performance measures for the DHS JTFs that are consistent. (Recommendation 3)

Agency: Department of Homeland Security
Status: Open

Comments: DHS stated it concurred with the GAO recommendation. In December 2019, DHS officials stated it is overseeing the implementation of measures that contain outcome-based direction for assessing counter drug operations effects, which requires a phased approach, and added that DHS hopes to achieve two consecutive years of consistent reporting of performance measures. The estimated completion date for addressing this recommendation is June 2020. GAO will continue to follow-up with DHS on its progress towards implementing the recommendation.

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

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

Comments: In December 2016, ICE issued a memo regarding changes to its policies for the registration and suitability of confidential informants. The memo included updated forms to oversee those aspects of confidential informant oversight. In April 2017, ICE officials informed GAO that the agency planned for a working group to update the Informants Handbook and the Undercover Operations Handbook. As of October 2018, ICE reported that officials had made draft updates to the handbooks and that these updates were undergoing review. In June 2019, ICE reported that the updates were expected to be finalized in July 2019. The handbook updates had not been finalized as of February 2020, and, at that time, ICE officials reported that the handbooks were undergoing additional updates related to a separate effort unrelated to GAO's recommendation. As of June 2020, ICE officials did not have an estimated completion date for finalizing revisions to the handbooks. When the updated handbooks are available for GAO's review, we will assess the extent to which they address our recommendation.

Recommendation: Congress may wish to consider requiring the Departments of Justice, Homeland Security, and Treasury to collaborate on the development and implementation of a joint radio communications solution. Specifically, Congress may wish to consider requiring the departments to (1) establish an effective governance structure that includes a formal process for making decisions and resolving disputes, (2) define and articulate a common outcome for this joint effort, and (3) develop a joint strategy for improving radio communications.

Agency: Congress
Status: Open

Comments: Legislation has been enacted to provide funding for, among other things, the development of a nationwide, interoperable broadband network that is aimed at improving interoperable radio communications among public safety officials. However, the use of the broadband network by public safety users will be voluntary. In addition, officials from the Departments of Justice, Homeland Security, and the Treasury stated that, once mission-critical voice capabilities have been developed for the broadband network, their respective departments will determine whether they will use the network to support their mission-critical operations. Therefore, until the three departments have the information they need to make a decision to use the nationwide public safety broadband network to support mission critical voice capabilities, it is uncertain if the legislation will remedy these agencies' fragmented approaches to improving interoperable radio communications. As of March 2020, there has been no legislative action taken in the current Congress.