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Coast Guard: A More Systematic Process to Resolve Recommended Actions Could Enhance Future Surge Operations
GAO-21-584
Sep 21, 2021
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1 Open Recommendations
Agency Affected Recommendation Status
United States Coast Guard The Commandant of the Coast Guard should establish a more systematic process for ensuring that assigned recommended actions are tracked, updated, and resolved in line with the Coast Guard's resolution rate and timeliness goals. (Recommendation 1)
Open
DHS and the Coast Guard concurred with the recommendation and, in its official agency response letter, noted that the Office of Emergency Management and Disaster Response (OEM) plans to take the following actions: (1) Create and institute a metric to track compliance with the recommendation - with an estimated completion date of March 31, 2022. (2) Change the Contingency Preparedness System (CPS) to allow for the identification of lead and support offices for recommended actions - with an estimated completion date of June 30, 2022. (3) Update the Commandant Instruction 3010.19 (series), "Coast Guard After Action Program," to clarify (a) the role of action offices assigned a recommended action; (b) requirements for commenting and resolution; and (c) requirements for designating an action officer for each task-with an estimated completion date for these tasks of September 30, 2022. (4) Review outstanding recommended actions and (a) identify lead offices and action officers for each, and (b) provide outreach and instruction for utilizing the CPS to update progress and resolve recommended actions-with an estimated completion date for these tasks of September 30, 2022. (5) Within 2 years after funding is made available, create CPS dashboards showing progress toward resolution of outstanding recommended actions, as well as generate automatic notifications to action officers to inform them of progress toward resolution - with an estimated completion date to be determined.

U.S. Citizenship and Immigration Services: Actions Needed to Address Pending Caseload
GAO-21-529
Sep 17, 2021
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6 Open Recommendations
Agency Affected Recommendation Status
United States Citizenship and Immigration Services The Director of USCIS should develop and implement a plan with time frames for verifying and closing cases in CLAIMS-3 that are recorded inaccurately as pending. (Recommendation 1)
Open
We provided a draft of this report to DHS for review and comment. In response, DHS stated that it concurred with this recommendation. DHS also stated that USCIS had begun efforts to manually close cases in CLAIMS-3 that were recorded inaccurately as pending, and is working to implement an automated process to administratively close such cases. We will continue to monitor USCIS's efforts to implement this recommendation.
United States Citizenship and Immigration Services The Director of USCIS should develop and implement performance measures for monitoring and reporting the timeliness of processing applications and petitions that have significant pending caseloads. (Recommendation 2)
Open
We provided a draft of this report to DHS for review and comment. In response, DHS stated that it concurred with this recommendation. DHS also stated that USCIS will assess its current processing time targets for major forms, develop performance measures, and incorporate additional performance measures and targets into the agency performance management and planning process for fiscal year 2023. We will continue to monitor USCIS's efforts to implement this recommendation.
United States Citizenship and Immigration Services The Director of USCIS should develop performance measures for its process improvement projects to monitor the extent to which those projects reduce case processing times. (Recommendation 3)
Open
We provided a draft of this report to DHS for review and comment. In response, DHS stated that it concurred with this recommendation. DHS also stated that USCIS will identify pilot process improvement projects for measurement and develop performance measures for those projects. We will continue to monitor USCIS's efforts to implement this recommendation.
United States Citizenship and Immigration Services The Director of USCIS should incorporate key risk factors, such as risks posed by hiring delays and attrition, into its staffing models. (Recommendation 4)
Open
We provided a draft of this report to DHS for review and comment. In response, DHS stated that it concurred with this recommendation. DHS also stated that, in 2020, USCIS began creating 7-year staffing models, which will allow them to properly plan for risks moving forward. Once DHS provides documentation supporting these steps, we will assess the extent to which USCIS's actions fully address the recommendation.
United States Citizenship and Immigration Services The Director of USCIS should develop a long-term workforce plan that includes strategies for acquiring, developing, and retaining staff. (Recommendation 5)
Open
We provided a draft of this report to DHS for review and comment. In response, DHS stated that it did not concur with this recommendation. DHS stated that USCIS does not believe a long-term workforce plan is necessary and believes its current workforce planning activities meet its needs. DHS also noted that USCIS's workforce needs change frequently in response to new laws and regulations, changes directed by the administration and changes in department priorities. DHS noted that USCIS has developed fiscal year 2021 hiring plans for its operational components and that USCIS's workforce planning activities are informed by other higher-level plans, such as the DHS Strategic Plan and the USCIS Strategic Plan. While USCIS's specific workforce needs and mission priorities may change from year to year, USCIS has consistently faced workforce challenges related to attrition, difficulty in hiring to authorized staffing levels, and increases in pending caseloads. While developing short-term hiring plans and consulting higher-level plans are positive steps, we continue to believe that it is important for USCIS to develop long-term workforce goals and strategies in order to address these long-standing challenges.
United States Citizenship and Immigration Services The Director of USCIS should identify the resources necessary to address its case backlog and inform key stakeholders, such as the Office of Management and Budget and Congress. (Recommendation 6)
Open
We provided a draft of this report to DHS for review and comment. In response, DHS stated that it concurred with this recommendation and that USCIS has communicated to the Office of Management and Budget the resources required to eliminate the backlog over a sustained, multiyear effort. DHS also stated that the fiscal year 2022 President's Budget submitted to Congress included an increase in USCIS staff and funding to support application processing, reduction of backlogs, and refugee program operations. Once DHS provides documentation supporting these steps, such as plans detailing the resources it needs to reduce the pending caseload, documentation that it communicated those resources to Congress, and relevant spend plans, we will assess the extent to which USCIS's actions fully address the recommendation.

Capitol Attack: Special Event Designations Could Have Been Requested for January 6, 2021, but Not All DHS Guidance is Clear [Reissued with revisions on Aug. 09, 2021.]
GAO-21-105255
Aug 09, 2021
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2 Open Recommendations
2 Priority
Agency Affected Recommendation Status
Department of Homeland Security
Priority Rec.
This is a priority recommendation.
The Secretary of Homeland Security should consider whether additional factors, such as the context of the events and surrounding circumstances in light of the current environment of emerging threats, are needed for designating NSSE events. (Recommendation 1)
Open
When we confirm what actions the agency has taken in response to this recommendation, we will provide updated information.
Department of Homeland Security
Priority Rec.
This is a priority recommendation.
The Secretary of Homeland Security should update the Department of Homeland Security's policy to clarify and communicate the process for requesting an NSSE designation for an event held on federal property in Washington, D.C. to all relevant stakeholders, including relevant federal, state, and local entities (Recommendation 2).
Open
When we confirm what actions the agency has taken in response to this recommendation, we will provide updated information.

Biodefense: After-Action Findings and COVID-19 Response Revealed Opportunities to Strengthen Preparedness
GAO-21-513
Aug 04, 2021
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16 Open Recommendations
Agency Affected Recommendation Status
Department of Homeland Security The Secretary of Homeland Security, should, with input from key nonfederal partners, work through the Biodefense Steering Committee to ensure that the Biodefense Coordination Team defines the set of capabilities needed to prepare for and respond to nationally significant biological incidents. (Recommendation 1)
Open
When we confirm what actions the agency has taken in response to this recommendation, we will provide updated information.
Department of Defense The Secretary of Defense, should, with input from key nonfederal partners, work through the Biodefense Steering Committee to ensure that the Biodefense Coordination Team defines the set of capabilities needed to prepare for and respond to nationally significant biological incidents. (Recommendation 2)
Open
When we confirm what actions the agency has taken in response to this recommendation, we will provide updated information.
Department of Health and Human Services The Secretary of Health and Human Services, should, with input from key nonfederal partners, work through the Biodefense Steering Committee to ensure that the Biodefense Coordination Team defines the set of capabilities needed to prepare for and respond to nationally significant biological incidents. (Recommendation 3)
Open
When we confirm what actions the agency has taken in response to this recommendation, we will provide updated information.
Department of Agriculture The Secretary of Agriculture, should, with input from key nonfederal partners, work through the Biodefense Steering Committee to ensure that the Biodefense Coordination Team defines the set of capabilities needed to prepare for and respond to nationally significant biological incidents. (Recommendation 4)
Open
When we confirm what actions the agency has taken in response to this recommendation, we will provide updated information.
Department of Homeland Security The Secretary of Homeland Security should work through the Biodefense Steering Committee to ensure that the Biodefense Coordination Team establishes a process to periodically assess and communicate exercise priorities among the capabilities they identify to support nationally significant biological incidents. (Recommendation 5)
Open
When we confirm what actions the agency has taken in response to this recommendation, we will provide updated information.
Department of Defense The Secretary of Defense should work through the Biodefense Steering Committee to ensure that the Biodefense Coordination Team establishes a process to periodically assess and communicate exercise priorities among the capabilities they identify to support nationally significant biological incidents. (Recommendation 6)
Open
When we confirm what actions the agency has taken in response to this recommendation, we will provide updated information.
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