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DHS Confirmed it Has Applied Lessons Learned in the Latest Financial System Modernization Effort
From the Highlights: "DHS has sought to update its financial systems since its inception. During the past 16 years, DHS has made three major attempts, but did not modernize and consolidate its financial systems. In 2017, DHS initiated its fourth attempt, the Financial Systems Modernization (FSM) TRIO program, to address the incompatible processes and antiquated financial management systems in use department-wide. The ultimate goal of this program is to improve the quality of financial information to support decision-making and improve the ability to provide timely and accurate reporting to ensure efficient stewardship of taxpayer dollars. In accordance with DHS guidance, the Department developed a strategy to apply lessons learned from prior system updates to its current FSM TRIO effort. According to DHS, the program office has successfully identified 29 lessons from prior modernization efforts and has begun applying them to the FSM TRIO program. DHS' awareness of the importance of identifying and applying lessons learned provides some assurance and a positive outlook for continued future progress of the FSM TRIO project since there was no known strategy to apply lessons learned in earlier attempts. Leveraging successful practices from prior efforts, and avoiding past failures, may help DHS use its resources wisely, mitigate risks, and achieve its goals for FSM TRIO."
United States. Department of Homeland Security. Office of Inspector General
2019-12-19
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Investigation of Alleged Violations of Immigration Laws at the Tecate, California, Port of Entry by U.S. Customs and Border Protection Personnel (Redacted)
From the Document: "Following a referral from the U.S. Office of Special Counsel (OSC) to the U.S. Department of Homeland Security (DHS) on August 23, 2018, the DHS Office of Inspector General (OIG) reviewed three allegations of immigration law violations at the Tecate, California, Port of Entry. We issued this report to DHS on July 9. 2019, and DHS provided a copy of the report to OSC on September 17, 2019. [...] We substantiated, in whole or in part, all three factual allegations referred to DHS by OSC."
United States. Department of Homeland Security. Office of Inspector General
2019-09-26
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(U) S&T Has Taken Steps to Address Insider Threats, but Management Challenges Remain
From the Unclassified Summary: "The Science and Technology (S&T) Directorate is the primary research arm of the Department of Homeland Security (DHS). Its mission is to strengthen the Nation's security and resiliency by providing knowledge products and innovative solutions to support DHS mission operations. Specifically, Congress created S&T in 2003 to conduct basic and applied research, development, demonstration, testing, and evaluation activities relevant to any or all elements of the Department. S&T oversees laboratories where scientists perform mission-critical research on chemical and biological threats, radiological and nuclear detection, animal diseases, transportation security, and explosives trace identification S&T employees, contractors, and business partners--especially those with special or elevated privileges--can potentially use their inside knowledge and access to exploit vulnerabilities and cause harm to mission-critical systems and operations. Between January 2017 and June 2017, we conducted a review of S&T's insider threat program. Our objective was to determine the effectiveness of steps S&T has taken to protect information technology assets and data from potential unauthorized access, disclosure, or misuse by trusted insiders. Our report contains nine recommendations that, if implemented, should strengthen S&T's management of insider threat risks. The Department concurred with all of the recommendations."
United States. Department of Homeland Security. Office of Inspector General
2018-09-28
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Consejos de Auditoría para Administrar los Costos de Projectos Relacionados con Desastres
"Al utilizar este informe asistiremos a los beneficiarios y sub-beneficiarios de las subvenciones de asistencia por desastre de la Agencia Federal para el Manejo de Emergencias (FEMA) a: [1] documentar y contabilizar los costos relacionados con el desastre; [2] minimizar la pérdida de los fondos de asistencia por desastre de FEMA; [3] maximizar la recuperación financiera; y [4] prevenir el fraude, malversación y abuso de los fondos de desastre. El informe revisado es efectivo para todas las emergencias y desastres mayores declarados a partir del 1 de abril de 2017."
United States. Department of Homeland Security. Office of Inspector General
2017-12-26
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Progress Made, but CBP Faces Challenges Implementing a Biometric Capability to Track Air Passenger Departures Nationwide
From the Highlights: "U.S. Customs and Border Protection (CBP) has primary responsibility for implementing a capability to track air passenger departures and, using the data obtained, to identify potential visitor overstays. We conducted this audit to evaluate CBP's efforts to develop and implement a biometric exit capability, and determine whether the data collected at pilot locations has improved DHS' ability to verify foreign visitor departures at U.S. airports."
United States. Department of Homeland Security. Office of Inspector General
2018-09-21
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Independent Auditors' Report on DHS' FY 2018 Financial Statements and Internal Control Over Financial Reporting
From the Highlights: "The 'Chief Financial Officers Act of 1990' (Public Law 101-576) and the 'Department Of Homeland Security Financial Accountability Act' (Public Law 108-330) require us to conduct an annual audit of the Department of Homeland Security's (DHS) consolidated financial statements and internal control over financial reporting."
United States. Department of Homeland Security. Office of Inspector General
2018-11-15
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USCIS' Medical Admissibility Screening Process Needs Improvement
From the Highlights: "USCIS [U.S. Citizenship and Immigration Services] is responsible for verifying that foreign nationals applying for lawful permanent resident status meet health-related standards for admissibility. We performed this audit to determine whether USCIS has controls in place to ensure it complies with these standards."
United States. Department of Homeland Security. Office of Inspector General
2018-09-21
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Evaluation of DHS' Compliance with Federal Information Security Modernization Act Requirements for Intelligence Systems (Fiscal Year 2017)
From the Unclassified Summary: "We evaluated the Department of Homeland Security's (DHS) enterprise-wide security program for Top Secret/Sensitive Compartmented Information intelligence systems. Pursuant to the 'Federal Information Security Modernization Act of 2014,' we reviewed the Department's security program, including its policies, procedures, and system security controls for the enterprise-wide intelligence system. Since our FY 2016 evaluation, the Office of Intelligence and Analysis (I&A) has continued to provide effective oversight of the department-wide intelligence system and has implemented programs to monitor ongoing security practices. In addition, the United States Coast Guard is in the process of migrating its intelligence users to a system that is jointly managed by the Defense Intelligence Agency and the National Geospatial Agency. However, we determined that DHS' information security program for intelligence systems is not effective, based on the maturity model included in this year's reporting instructions. Specifically, DHS' continuous monitoring tools for its intelligence system are not interoperable. DHS has not documented procedures, established formal training, and instituted qualitative and quantitative measures for continuous monitoring of its intelligence systems. Lastly, the United States Secret Service (USSS) has not developed a process to ensure its employees and contractors complete the required annual security awareness training. We are making three recommendations to I&A and one recommendation to USSS to address identified deficiencies in DHS' information security program for intelligence systems. I&A concurred with all three recommendations and USSS concurred with its one recommendation. We conducted our fieldwork between May and November 2017."
United States. Department of Homeland Security. Office of Inspector General
2018-03-12
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Department of Homeland Security's FY 2017 Compliance with the Improper Payments Elimination and Recovery Act of 2010
"Our objective was to determine whether the Department of Homeland Security complied with the 'Improper Payments Elimination and Recovery Act of 2010' (IPERA). Additionally, we evaluated the accuracy and completeness of DHS' improper payment reporting. We recommend that DHS' Risk Management and Assurance Division (RM&A) strengthen its oversight and review procedures for IPERA risk assessments; and follow the Office of Management and Budget's requirements to comply with IPERA."
United States. Department of Homeland Security. Office of Inspector General
2018-08-09
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Success of Future Disaster Response and Recovery Efforts Depends on FEMA Addressing Current Vulnerabilities
From the Highlights: "Multiple hurricanes in 2017 exposed weaknesses in Federal, state, and local governments' capabilities to respond to concurrent disasters. We previously published more than two dozen reports resulting in 115 recommendations to improve Federal disaster response. This report provides a summary of our previous findings and recommendations, which may inform future disaster response efforts. FEMA should share this report with its PA [public assistance] grant recipients and subrecipients to promote their awareness and improvement in the systemic areas identified."
United States. Department of Homeland Security. Office of Inspector General
2021-03-03
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Oversight Review of the Office of the Chief Security Officer, Internal Security Division
From the Document: "Our review of the Office of the Chief Security Officer's (OCSO), Internal Security Division (ISD) found that ISD possessed all assigned technical equipment and government assigned vehicles, and periodic background investigations were current. ISD staff also met operational firearms training requirements. However, ISD needs to improve its policies and guidance, administrative requirements for evidence and firearms, accountability for law enforcement sensitive equipment, case file management and documentation, and compliance with DHS Management Directive 0810.1."
United States. Department of Homeland Security. Office of Inspector General
2020-09-21
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CBP Does Not Have a Comprehensive Strategy for Meeting Its LS-NII Needs
From the Document: "U.S. Customs and Border Protection (CBP) does not have a comprehensive strategy for meeting its Large-Scale Non-Intrusive Inspection (LS-NII) equipment needs at all CBP locations. Instead, CBP uses multiple plans, such as its Multi-Year Investment and Management Plan, and individual acquisition plans for each type of LS-NII equipment it may purchase. At times, these acquisition plans contained conflicting information and did not align with the program's approved lifecycle cost estimate. This occurred because DHS and CBP acquisition officials did not provide effective oversight of CBP's fragmented acquisition planning efforts and did not confirm acquisition plans aligned with LS-NII program objectives. Without improvements, CBP cannot ensure that its multi-million dollar investments in LS-NII technology and equipment will help the component fulfill its mission of protecting U.S. borders."
United States. Department of Homeland Security. Office of Inspector General
2020-09-28
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Capacity Audit of FEMA Grant Funds Awarded to the USVI Water and Power Authority
From the Document: "DHS OIG [Department of Homeland Security, Office of Inspector General] contracted with KPMG, LLP to conduct an audit to determine whether the Federal Emergency Management Agency (FEMA) ensured the Virgin Islands Emergency Management Agency (VITEMA), and Virgin Islands Water and Power Authority (VIWAPA) established and implemented policies, procedures, and practices to account for and expend Public Assistance (PA) disaster grant funds in accordance with Federal regulations and FEMA guidance. We made three recommendations that, when implemented, should improve FEMA's, VITEMA's and VIWAPA's management of FEMA PA funds, ensuring PA disaster grant funds are expended in accordance with Federal regulations and FEMA guidance."
United States. Department of Homeland Security. Office of Inspector General
2020-06-19
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DHS Inconsistently Implemented Administrative Forfeiture Authorities Under CAFRA
From the Document: "The Department of Homeland Security inconsistently implemented seizure and administrative forfeiture authorities under the 'Civil Asset Forfeiture Reform Act of 2000' (CAFRA) in FYs 2014 through 2018. Congress enacted CAFRA to provide uniform procedures for civil forfeitures and increase safeguards for individuals whose property has been seized by the Federal Government. However, DHS components used inconsistent processes for administrative forfeitures under CAFRA. Specifically, we found inconsistencies in the forms used to notify property owners and the process for responding to claims. Additionally, U.S. Customs and Border Protection (CBP) inappropriately used waivers to extend deadlines for responding to claims. These inconsistencies occurred, in part, because components interpreted CAFRA differently, but also because DHS did not designate an office responsible for overseeing administrative forfeitures across the Department."
United States. Department of Homeland Security. Office of Inspector General
2020-08-27
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(U) Review of DHS' Information Security Program for Intelligence Systems for Fiscal Year 2016
From the Unclassified Summary: "We evaluated the Department of Homeland Security (DHS) enterprise-wide security program for Top Secret/Sensitive Compartmented Information intelligence systems. We assessed DHS programs for continuous monitoring management, configuration management, identity and access management, incident response and reporting, risk management, security training, plans of actions and milestones, remote access management, contingency planning, and contractor systems. This report will be issued to the Office of the Inspector General of the Intelligence Community, in accordance with reporting instructions dated May 10, 2016. Pursuant to the 'Federal Information Security Modernization Act of 2014', we reviewed the Department's security program, including its policies, procedures, and system security controls for the enterprise-wide intelligence system. Since our FY 2015 evaluation, the Office of Intelligence and Analysis has continued to provide effective oversight of the department-wide system and has implemented programs to monitor ongoing security practices. In addition, Intelligence and Analysis has relocated its intelligence system to a DHS data center to improve network resiliency and support. The United States Coast Guard (USCG) has migrated all of its sites that process Top Secret/Sensitive Compartmented Information to the Department of Defense Intelligence Information System owned by the Defense Intelligence Agency. However, USCG must continue to work with the Defense Intelligence Agency to clearly identify agency oversight responsibilities for the Department of Defense Intelligence Information System enclaves that support USCG's intelligence operations."
United States. Department of Homeland Security. Office of Inspector General
2016-09-09
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Information Technology Management Letter for Other Department of Homeland Security Components of the FY 2015 Department of Homeland Security Financial Statement Audit
From the Highlights: "Each year, our independent auditors identify component-level information technology (IT) control deficiencies as part of the DHS consolidated financial statement audit. This letter provides details that were not included in the fiscal year 2015 DHS Agency Financial Report. [...] We recommend that Management, in coordination with the DHS Chief Information Officer and Chief Financial Officer, make improvements to its financial systems and associated information technology security program."
United States. Department of Homeland Security. Office of Inspector General
2016-05-13
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Management Advisory - Calrecycle, a California State Agency, Needs Assistance to Ensure That $230 Million in Disaster Costs Are Valid
From the Management Advisory: "Through this management advisory, we are bringing to your attention a condition that we identified during our current audit of FEMA Public Assistance grant funds awarded to the California Department of Resources Recycling and Recovery (CalRecycle). Our full audit will include a review of four contracts awarded by CalRecycle valued at about $223 million to perform disaster-related work. CalRecycle expects debris removal work will cost about $230 million, and has received invoices totaling $200 million from two contractors. However, the invoices included documentation with numerous discrepancies that did not fully support the invoiced costs as Federal regulations require. Therefore, FEMA has little assurance that these costs are valid and eligible. This condition occurred because CalRecycle did not maintain a contract administration system adequate to ensure contractors complied with contract terms for submitting invoices. We discussed the deficiencies in supporting documentation with CalRecycle officials, and they are working with their contractors to correct the deficiencies and locate adequate support. Our advisory contains two recommendations aimed at directing the California Office of Emergency Services (California), to continue providing technical assistance to, and ensure compliance with all applicable Federal regulations to avoid improperly funding any of the $230 million it expects to claim for debris removal cost."
United States. Department of Homeland Security. Office of Inspector General
2017-03-06
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Transportation Security Administration Needs a Crosscutting Risk-Based Security Strategy
From the Highlights: "We sought to determine whether the Transportation Security Administration (TSA) has an intelligence-driven, risk-based security strategy that informs security and resource decisions across all transportation modes. [...] TSA should develop and implement a risk-based security strategy that encompasses all transportation modes; ensure risk management oversight and support are provided for all transportation modes; and establish a formal budget planning process that uses risk to help inform resource allocations."
United States. Department of Homeland Security. Office of Inspector General
2016-09-09
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Jamestown, Colorado, Needs Additional Assistance and Monitoring to Ensure Proper Management of Its $10.4 Million FEMA Grant
From the Highlights: "The Town of Jamestown, Colorado, (Town) received a $10.4 million Federal Emergency Management Agency (FEMA) grant award for damages resulting from severe storms, flooding, landslides, and mudslides that occurred in September 2013. We conducted this audit early in the grant process to identify areas where the Town may need additional technical assistance or monitoring to ensure compliance with Federal requirements. [...] FEMA should direct Colorado, as the grantee, to continue providing technical assistance and monitoring to ensure the Town (1) complies with all applicable Federal regulations and (2) avoids misspending the $10.4 million FEMA awarded the Town for disaster-related repairs."
United States. Department of Homeland Security. Office of Inspector General
2016-02-02
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Information Technology Management Letter for the U. S. Immigration and Customs Enforcement Component of the FY 2015 Department of Homeland Security Financial Statement Audit
From the Highlights: "Each year, our independent auditors identify component-level information technology (IT) control deficiencies as part of the DHS consolidated financial statement audit. This letter provides details that were not included in the fiscal year 2015 DHS Agency Financial Report. [...] We recommend that ICE [U.S. Immigration and Customs Enforcement], in coordination with the DHS Chief Information Officer and Chief Financial Officer, make improvements to its financial systems and associated information technology security program."
United States. Department of Homeland Security. Office of Inspector General
2016-04-22
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Information Technology Management Letter for the United States Secret Service Component of the FY 2015 Department of Homeland Security Financial Statement Audit
From the Highlights: "Each year, our independent auditors identify component-level information technology (IT) control deficiencies as part of the DHS consolidated financial statement audit. This letter provides details that were not included in the fiscal year (FY) 2015 DHS Agency Financial Report. [...] We recommend that USSS [U.S. Secret Service], in coordination with the DHS Chief Information Officer and Chief Financial Officer, make improvements to its financial systems and associated information technology security program."
United States. Department of Homeland Security. Office of Inspector General
2016-05-02
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United States Immigration and Customs Enforcement's Management Letter for DHS' FY 2015 Financial Statements Audit
From the Highlights: "The 'Chief Financial Officers Act of 1990' (Public Law 101- 576) and the 'Department Of Homeland Security Financial Accountability Act' (Public Law 108-330) require us to conduct an annual audit of the Department of Homeland Security's (DHS) consolidated financial statements and internal control over financial reporting."
United States. Department of Homeland Security. Office of Inspector General
2016-05-03
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San Bernardino County, California, Generally Accounted for and Expended FEMA Public Assistance Funds Properly
From the Highlights: "San Bernardino County, California (County), received a $16.5 million Public Assistance grant award for damages resulting from California wildfires that occurred from October 2007 through March 2008. We audited $14.3 million of the $16.5 million gross award. [...] The Federal Emergency Management Agency (FEMA) should disallow $247,309 in ineligible duplicate benefits."
United States. Department of Homeland Security. Office of Inspector General
2016-04-12
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United States Secret Service's Management Letter for DHS' FY 2015 Financial Statements Audit
From the Highlights: "The 'Chief Financial Officers Act of 1990' (Public Law 101- 576) and the 'Department Of Homeland Security Financial Accountability Act' (Public Law 108-330) require us to conduct an annual audit of the Department of Homeland Security's (DHS) consolidated financial statements and internal control over financial reporting."
United States. Department of Homeland Security. Office of Inspector General
2016-05-04
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Office of Health Affairs' Management Letter for DHS' FY 2015 Financial Statements Audit
From the Highlights: "The 'Chief Financial Officers Act of 1990' (Public Law 101- 576) and the 'Department Of Homeland Security Financial Accountability Act' (Public Law 108-330) require us to conduct an annual audit of the Department of Homeland Security's (DHS) consolidated financial statements and internal control over financial reporting."
United States. Department of Homeland Security. Office of Inspector General
2016-04-26
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Oversight Review of the United States Citizenship and Immigration Services, Investigations Division
From the Highlights: "We conducted this review as part of the planned periodic review of the Department of Homeland Security (DHS) component internal affairs offices by the DHS Office of Inspector General in keeping with the oversight responsibilities mandated by the Inspector General Act of 1978, as amended. [...] We recommended that USCIS [U.S. Citizenship and Immigration Services] consider removing the Investigations Division from the Management Directorate, ensure that criminal investigators work at least the minimum number of LEAP [Law Enforcement Availability Pay] hours required or terminate the employees' entitlement to LEAP, and update current policy manuals to reflect current practices and implement a process for issuing interim policy changes that ensures that changes are communicated to all."
United States. Department of Homeland Security. Office of Inspector General
2016-06-06
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DHS' Progress in Implementing the Federal Information Technology Acquisition Reform Act
From the Highlights: "In 2012, we reported on DHS' challenges in implementing an effective information technology (IT) management program. FITARA [Federal Information Technology Acquisition Reform Act] was enacted in 2014 to institutionalize IT reform across the Federal Government. We conducted this audit to determine the extent to which DHS has implemented FITARA to improve department-wide IT management and oversight. [...] We made three recommendations to the DHS CIO [Chief Information Officer] to ensure effective implementation of the authorities and reporting requirements of FITARA."
United States. Department of Homeland Security. Office of Inspector General
2016-10-21
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Longmont and Colorado Officials Should Continue to Improve Management of $55.1 Million FEMA Grant
From the Highlights: "The City received a $55.1 million Public Assistance award for damages from a September 2013 flood. We conducted this audit early in the grant process to identify areas where the City may need additional technical assistance or monitoring to ensure compliance with Federal requirements."
United States. Department of Homeland Security. Office of Inspector General
2016-01-21
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FEMA Should Recover $505,549 of $3.3 Million in Public Assistance Grant Funds Awarded to Dekalb County, Georgia, for Damages from a September 2009 Flood
From the Highlights: "DeKalb County, Georgia (County), received a $3.3 million grant award from the Georgia Department of Emergency Management (Georgia), a Federal Emergency Management Agency (FEMA) grantee, for damages resulting from a September 2009 flood. Our audit objective was to determine whether the County accounted for and expended FEMA funds according to Federal requirements."
United States. Department of Homeland Security. Office of Inspector General
2015-11-19
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Boulder, Colorado, Has Adequate Policies, Procedures, and Business Practices to Manage Its FEMA Grant Funding
From the Highlights: "The City of Boulder, Colorado, (City) received a Federal Emergency Management Agency (FEMA) grant award of $19 million for damages resulting from severe storms, flooding, landslides, and mudslides that occurred during September 2013. We conducted this audit early in the grant process to identify areas where the City may need additional technical assistance or monitoring to ensure compliance with Federal requirements."
United States. Department of Homeland Security. Office of Inspector General
2016-01-29
