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1 - 17 of 17 Recommendations, including 0 Priority Recommendations

DHS Office of Inspector General: Actions Needed to Address Long-Standing Management Weaknesses

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17 Open Recommendations
Agency Recommendation Status
DHS Office of Inspector General The Inspector General should follow key organizational transformation practices when implementing any future changes in its organizational structure. (Recommendation 1)
Open

DHS OIG agreed with this recommendation. In April 2021, the Inspector General announced several organizational changes to reorganize existing functions into two new offices-the Office of Integrity and the Office of Innovation. These organizational changes followed some of the key practices for organizational transformation, but did not follow other key practices. Notably, some actions to fully establish these offices remain in process more than a year later. Therefore, OIG has not addressed this recommendation based on actions taken to date with respect to the organizational changes in April

DHS Office of Inspector General The Inspector General should develop and implement a process to assess the nature, scope, and inherent risks of DHS programs as part of a risk-based planning system and to serve as the basis for its annual work plans and organizational performance management processes. (Recommendation 2)
Open – Partially Addressed

DHS OIG agreed with this recommendation. In October 2022, DHS OIG officials provided us with a demonstration of an internal dashboard tool that includes information connected to risk, such as budgetary information and past OIG work. OIG officials noted that the information is accessible to all staff to inform proposals for new work and that they plan to add more information to the dashboard in the future. Staff in the Office of Innovation work with leaders in the Office of Audits and the Office of Inspections and Evaluation to coordinate on how the information can be used for planning purposes

DHS Office of Inspector General The Inspector General should develop and implement an annual work planning process, as part of a risk-based planning system, that identifies the activities to audit, inspect, or evaluate. (Recommendation 3)
Open

DHS OIG agreed with this recommendation. DHS OIG prepared an annual work plan for Fiscal Year 2022, and in January 2022, OIG officials said they were developing documentation to institutionalize the process for future work plans. As noted in our recommendation, the annual work planning process should be part of a risk-based planning system, the first step of which is assessing the nature, scope, and inherent risks of DHS programs. We separately recommended that DHS OIG develop and implement such a risk assessment process (Recommendation 2). We will continue to monitor DHS OIG's efforts to

DHS Office of Inspector General The Inspector General should implement organizational performance management processes that are consistent with professional standards and leading practices. Such processes should include (1) developing a strategic plan that documents goals, objectives, and performance measures; (2) developing annual performance plans that translate strategic priorities into outcome-related goals, objectives, and performance measures; and (3) collecting and using data to assess progress as well as identify areas for improvements or corrective actions. (Recommendation 4)
Open – Partially Addressed

DHS OIG agreed with this recommendation. In July 2021, DHS OIG issued its FY 2022-2026 strategic plan. In September 2021, DHS OIG finalized its FY 2022 annual performance plan, and officials subsequently aligned senior executive performance goals with these plans. In October 2022, DHS OIG provided us with its FY 2023 annual performance plan and a strategic implementation plan to cover FY 2023-2026. We will continue to monitor DHS OIG's efforts to address this recommendation. In addition to developing these plans to govern specific fiscal years, it will be important for DHS OIG to document and

DHS Office of Inspector General The Inspector General should develop and implement a workforce plan that translates DHS OIG's strategic priorities into skill sets and competencies and identifies strategies for meeting those workforce needs. (Recommendation 5)
Open

DHS OIG agreed with this recommendation. In July 2021, DHS OIG issued its FY 2022-2026 strategic plan. In October 2021, DHS OIG officials said that the National Academy of Public Administration (NAPA) will provide support and guidance in the development of a workforce plan for DHS OIG. In January 2022, DHS OIG officials said that through NAPA, they have conducted research to identify best practices and model succession plans in the OIG community and they had begun to draft a workforce plan. In September 2022, officials said they were reviewing a final gap analysis report from NAPA and expect

DHS Office of Inspector General The Inspector General should develop and implement a process to allocate human capital resources based on the organization's current and emerging strategic objectives and priorities, once DHS OIG establishes them in its strategic plan. (Recommendation 6)
Open

DHS OIG agreed with this recommendation. In July 2021, DHS OIG issued its FY 2022-2026 strategic plan. In October 2021, DHS OIG officials said that the National Academy of Public Administration (NAPA) will provide support and guidance in the development of a human capital plan for DHS OIG. In September 2022, officials said they expect to complete work on a workforce plan by December 2022. DHS OIG officials also provided an overview of resource allocation steps. We are in the process of requesting documentation of how the agency's priorities inform these steps, such as how these priorities

DHS Office of Inspector General The Inspector General should develop and implement a process to develop succession plans to determine how critical leadership roles will be filled in the event of planned and unplanned vacancies. (Recommendation 7)
Open

: DHS OIG agreed with this recommendation. In July 2021, DHS OIG issued its FY 2022-2026 strategic plan. In October 2021, DHS OIG officials said that they plan to address our recommendation regarding a workforce plan (Recommendation 5) prior to developing a succession plan. In September 2022, DHS OIG officials said they expect to have a workforce plan finalized by December 2022. We will continue to monitor DHS OIG's efforts to address this recommendation.

DHS Office of Inspector General The Inspector General should develop and implement a process to provide regular training and support for staff and supervisors so that they can consistently apply the organization's performance management policy, once DHS OIG develops and implements an updated performance management policy. (Recommendation 9)
Open – Partially Addressed

DHS OIG agreed with this recommendation. As we reported in June 2021, DHS OIG had taken steps to deliver performance management training, including training for supervisors in the summer and fall of 2020 and training for new hires from November 2020 through January 2021. However, we noted in our report that the performance management sessions did not appear to be recurring trainings and, according to one DHS OIG senior leader, the organization had not determined how frequently those trainings would be delivered. DHS OIG officials offered training to all managers on year-end performance

DHS Office of Inspector General The Inspector General should evaluate the structure of the organization and clearly define the responsibilities of each division and program office to ensure they are aligned with the OIG's strategic objectives and priorities, once DHS OIG establishes them in its strategic plan. (Recommendation 10)
Open

DHS OIG agreed with this recommendation. In August 2021, DHS OIG officials noted that the agency implemented organizational changes in April 2021 to ensure programs and offices were aligned to allow for efficiency and effectiveness in conducting the OIG's mission. However, the April 2021 changes preceded DHS OIG's efforts to identify strategic objectives and priorities, which were established in a subsequent FY 2022-2026 strategic plan. Available documentation regarding the April 2021 organizational changes does not align organizational roles and responsibilities with the agency's strategic

DHS Office of Inspector General The Inspector General should implement a process to identify, analyze, and determine the appropriate response to risks—that is, the internal and external risks to achieving the organization's goals and objectives—once DHS OIG establishes them in its strategic plan. (Recommendation 11)
Open

DHS OIG agreed with this recommendation. In September 2022, DHS OIG officials said they had developed a draft Risk Register focused on internal and external risks, including those we identified in our report. They noted that this Risk Register is undergoing leadership review. We will continue to monitor DHS OIG's efforts to address this recommendation.

DHS Office of Inspector General The Inspector General should implement a process for developing, reviewing, approving, and managing its organizational policies. (Recommendation 12)
Open

DHS OIG agreed with this recommendation. The Office of Innovation has cataloged organization policies and the corresponding responsible offices. In June 2022, the Office of Innovation provided this catalog to responsible DHS OIG offices for review and comment to identify whether each policy should be archived, updated, or combined with another existing policy document. Additionally, officials said that the Office of Innovation is developing a directive and manual for the process and framework for developing, reviewing, approving, and managing its organizational policies. We will continue to

DHS Office of Inspector General The Inspector General should develop and implement an organization-wide quality assurance program, including establishing a structure, responsibility, and authority for implementing quality assurance in all DHS OIG work. (Recommendation 15)
Open

DHS OIG agreed with this recommendation. In September 2022, DHS OIG officials said that they are in the process of drafting policies that will establish the organization-wide quality assurance program. One such policy relates to the responsibilities and authorities of the Office of Integrity, established in April 2021. The other policy would establish the DHS OIG quality control and assurance program. DHS OIG officials said that they plan to increase staffing to support the quality assurance program, and they also plan to develop a quality control function to address in-process work. We will

DHS Office of Inspector General The Inspector General should develop and implement a process to ensure that DHS OIG's internal quality assurance reviews are comprehensive and that these reviews regularly assess Office of Audits and Office of Special Reviews and Evaluations work that is conducted according to each of (1) audit; (2) inspection and evaluation; and (3) other standards or authorities. (Recommendation 16)
Open

DHS OIG agreed with this recommendation. In August 2021, DHS OIG officials said that they are developing a process to ensure that work from the Office of Audits and the Office of Inspections and Evaluations is regularly assessed and that such work is conducted according to the appropriate standards. As of September 2022, DHS OIG officials said they were in the process of developing a policy that would govern the Office of Integrity, which was established in April 2021 and includes the Audits and Inspections Quality Assurance division. Additionally, in response to our Recommendation 15, DHS OIG

DHS Office of Inspector General The Inspector General should develop and implement a process for assessing actual time frames against planned and target time frames for Office of Audits and Office of Special Reviews and Evaluations work. (Recommendation 17)
Open – Partially Addressed

DHS OIG agreed with this recommendation. In August 2021, DHS OIG officials said that the Office of Audits and Office of Inspections and Evaluations (formerly the Office of Special Reviews and Evaluations) have established target time frames and are assessing engagements against those time frames. In December 2021, DHS OIG's Office of Innovation showed us a newly developed online dashboard to allow DHS OIG to track project time frames. Officials demonstrated the dashboard's capabilities-such as visualizing comparisons of current project timelines against standardized goals based on project type

DHS Office of Inspector General The Inspector General should update its report review directive, including reviewer roles, responsibilities, and time frames, for draft and final reviews of Office of Audits and Office of Special Reviews and Evaluations work. (Recommendation 19)
Open

DHS OIG agreed with this recommendation. As of September 2022, DHS OIG officials said they have drafted revisions to the report review directive and are soliciting comments from program offices prior to finalizing any changes. We will continue to monitor DHS OIG's efforts to address this recommendation.

DHS Office of Inspector General The Inspector General should develop and implement a consistent process for DHS OIG program offices to coordinate with DHS to receive and respond to technical and management comments about Office of Audit and Office of Special Reviews and Evaluations work. (Recommendation 20)
Open – Partially Addressed

DHS OIG agreed with this recommendation. The Office of Audits and Office of Inspections and Evaluations established standardized process for responding to DHS technical comments; they noted that they shared their planned approach with DHS and incorporated DHS's feedback into the process. In January 2022, DHS OIG provided official notification to DHS of their implementation of the new process, and this notification included a template for how DHS OIG will document disposition of technical comments. We will continue to monitor and will assess implementation, including DHS's perspective on the

DHS Office of Inspector General As the Inspector General takes steps to implement recommendations in this report—and in doing so, transform the organization's management and operations—the Inspector General should follow key organizational transformation practices. These practices include (1) ensuring top leadership drives the transformation, (2) setting implementation goals and a timeline, (3) dedicating an implementation team to manage the transformation process, and (4) involving employees to obtain their ideas and gain their ownership for the transformation. (Recommendation 21)
Open – Partially Addressed

DHS OIG agreed with this recommendation. The Inspector General has appointed an executive sponsor to lead implementation of each of our recommendations. In October 2021, officials provided a copy of the fiscal year 2022 annual performance plan, which includes steps related to the organizational transformation. In February 2022, officials said that DHS OIG's Office of Innovation has implemented a shared tracking tool for monitoring tasks related to GAO's recommendations. We will continue to monitor DHS OIG's efforts to address this recommendation.

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